0.1 The Company
// Include your company profile
0.2 Products & Services
// Include your company’s product and services
1.0 Scope for ISO 29001:2020
1.0 Scope for API Q1
Scope of the Quality management System of XXX is:
“ Include the scope of your company
Application & Exclusion
In accordance with API Spec Q1, Section 1, XXX has identified the following products from design and development on the basis of API advisory 6 since the exclusion cannot “affect the organization’s ability, or responsibility, to provide products and related servicing that meets customer and applicable regulatory requirements”; and, in accordance with API Spec Q1, Section 4.4.1 b), item 1, the justification for the design and development exclusion has been documented within our quality manual and quality management system.
- API Spec …………………………………………….
- API Spec ……………………………………………
- API Spec …………………………………………..
2.0 Normative References
2.0 Normative References for ISO 29001:2020
2.0 Normative References for API Q1
1. ISO 29001: 2020 Petroleum, petrochemical and natural gas industries
— Sector-specific quality management systems
— Requirements for product and service supply organizations.
2. ISO 9000: 2015 Quality management systems – Fundamentals and Vocabulary
3. ISO 19011:2011 Guidelines for auditing Management System.
4. API Spec Q1, 9th Edition Specification for Quality Management System Requirement for manufacturing organization for the Petroleum and Natural Gas Industry
5. API Spec …. ……………………………………………………………….
6. API Spec …. …………………………………………………………………
7. API Spec … …………………………………………………………………
3.0 Terms & Definitions.
3.0 Terms & Definitions for ISO 29001:2020
3.0 Terms & Definitions for API Q1
XXX : Company name
GM : General Manager
QM : Quality Manual
QMS : Quality Management System
SAS : Systems & Automated Solutions (Divn.)
MR : Management Representative
WI : Work Instructions
Amend : Amendment
BOS : Business Operating System
CAPA : Corrective and Preventive Action
IQA : Internal Quality Audit
MRM : Management Review Meeting / Minutes
NC : Nonconformity
PO : Purchase Order
QA / QC : Quality Assurance / Quality Control
QMSM : Quality Management System Manual
RM : Raw Material
Sec : Section
TS : Technical Specification
OPE : Operator
API : American Petroleum Institute
CFT : Cross Functional Team
ISO : International Organization for Standardization
QMS : Quality Management System
WI : Work Instruction
QMSP : Quality Management Procedure
D&D : Design & Development
DAC : Design Acceptance Criteria
ITP : Inspection Test Plan
KPI : Key Performance Indicator
MAC : Manufacturing Acceptance Criteria
MOC : Management of Change
MPS : Manufacturing Process Specification
PCP : Process Control Plan
QAP : Quality Activity Plan
QP : Quality Plan
QMS : Quality Management Systems
1 Acceptance criteria
Specified limits of acceptability applied to process or product characteristics.
2 Acceptance inspections
Demonstration through monitoring or measurement that the product conforms to specified requirements.
Comparison to a standard of known accuracy and making any needed adjustment(s).
Process of obtaining, assembling, and/or organizing applicable information with the intent of meeting the requirements
Act or process of satisfying the legal and other applicable requirements of a regulation or regulatory body
That deemed by the XXX, product specification, or customer as mandatory, indispensable or essential, needed for a stated purpose or task, and requiring specific action.
Point in time and physical location at which the agreed transfer of ownership takes place
8 Design acceptance criteria (DAC)
Defined limits placed on characteristics of materials, products, or services established by XXX, customer, and/or applicable specifications to achieve conformity to the product design.
9 Design validations
Process of proving a design by testing to demonstrate conformity of the product to design requirements
10 Design verification
Process of examining the result of design and development output to determine conformity with specified requirements
11 First article
Representative sample of a product, component, or output from a process used to verify that prescribed activities have satisfied the requirements as specified by XXX.
12 Key performance indicator (KPI)
Quantifiable measure that XXX uses to gauge or compare performance
13 Legal requirements
Obligation imposed on XXX, including those that are statutory or regulatory.
Person or group of people, as defined by XXX, who directs and controls all or part of a facility, location, department, or other function; has the fiscal responsibility for XXX, and is accountable for ensuring compliance with legal and other applicable requirements.
15 manufacturing acceptance criteria (MAC)
Defined limits placed on characteristics of materials, products, and services established by the XXX to achieve conformity to the manufacture or service requirements.
Function or process that is performed by an external supplier on behalf of XXX.
17 Preventive maintenance
Planned action to minimize the likelihood of equipment failure and unscheduled interruptions
Organization’s documented method for performing an activity under controlled conditions to achieve conformity to specified requirements.
Situation or circumstance that has both a likelihood of occurring and a potentially negative consequence
Performance of an activity by one function or XXX for another
Product maintenance, adjustment, repair, and/or on-site installation when installation is required by applicable product specifications
4.0 QUALITY MANAGEMENT SYSTEM – REQUIREMENTS
4.0 Quality Management System – Requirements for API Q1
4.0 Context of the Organization
4.0 Context of the Organization for ISO 29001:2020
- XXX Scope of Quality Management System documentation is defined, established and revision of documents, and their distribution, is controlled. New documents and revisions are reviewed and approved prior to issue; and are identified with respect to their revision level.
- Appropriate documents are available at locations where they are used. Obsolete documents are removed from points of use. Documents of external origin are identified and their distribution is controlled. Quality Records are identified and indexed to facilitate their retrieval, and are stored in a suitable environment to minimize deterioration.
- Quality Records are retained for a minimum period of 5 Years as required by the customer/API product specifications.
4.1 QUALITY MANAGEMENT SYSTEM
4.1 Quality Management System for API Q1
4.1.1 General for API Q1
4.4 Quality management system and its processes for ISO 29001:2020
XXX has established, documented, implemented, and maintained at all times a Quality Management System for all products and service provided for use in the petroleum and natural gas industry. XXX measures the effectiveness and improves upon the Quality Management System in accordance with the requirements of API Spec Q1, 9th Edition & ISO 9001:2015. Processes for XXX with inputs, outputs and sequences are given in Annexure-II & III. Processes include:
- Trading of items (Procurement from Agents / Principals & supply to customers)
- Repair & refurbishment of static & rotating equipment at Workshop
- IT department (Maintenance of systems & support of software and hardware for departments)
- HR & Administration (Recruitment & Recording employee attendance, Leaves, Plan for training and renewal of licenses)
Outsourced processes: Calibration of equipment is outsourced to external calibration agency. Transportation / delivery of products are often outsourced if necessary. The performance of the outsourced agencies are monitored and controlled. Necessary resources for the processes are provided by the management through HR and their responsibilities & authorities are defined and documented. Risks and opportunities for each process are determined and necessary actions are planned to enhance desirable effects and eliminate/reduce undesired effects. Related Documented Information:
|Documented Information||Ref. no|
|Overall Process Map||Annexure – II|
|Process Maps : for processes||Annexure – III|
4.1.2 Quality Policy
4.1.2 Quality Policy for API Q1
5.2 Policy For ISO 29001:2020
The top management of XXX has established, implemented and maintained a Quality Policy, which is appropriate to the purpose and context of the organization. It provides commitment to satisfy applicable requirements and continual improvements of the Quality Management system.
Documented Quality Policy is shown in Annexure.
The Quality policy is communicated, understood and applied within the organization and made available to the relevant interested parties.
Quality Policy to ensure that it is appropriate to XXX, is the basis for the development of it’s Objectives (Refer 4.1.3), and is communicated, understood, implemented, and maintained at all relevant functions and levels within the XXX. The policy includes a commitment to the company with requirements and continually improves the effectiveness of the quality management system in accordance with specifications API Q1 and ISO 29001:2022.
Quality policy is established by the top management and is approved by the Chairman. Any changes to the policy must be approved by the General Manager.
Role of the policy
The main role of the Quality policy is to communicate the company’s commitments and aspirations with regard to Quality and to define principal objectives for the Quality Management system.
The policy provides a framework for establishing specific quality objectives, and provides direction for the continual improvement effort. The use of policy in setting quality objectives is addressed in this manual in Refer 4.1.3.
The Quality policy is posted throughout the company, and its role is explained and discussed at the general orientation training provided to all employees.
The Quality policy is also communicated to customers, consumers and other interested parties. For this purpose, it is displayed in the reception area and posted on the company work area.
The policy is periodically reviewed within the framework of management reviews of the quality system. This is to ensure its continual relevance and suitability. The process for reviewing the policy is defined in Quality Management System Procedure, Management Review Meetings
XXX policy includes a commitment to comply with requirements and continually improve the effectiveness of the Quality Management System.
4.1.3 Quality Objectives
4.1.3 Quality Objectives for API Q1
6.2 Quality objectives and planning to achieve them for ISO 29001:2020
Quality objectives for all processes are defined and are available with the respective department heads. These are consistent with the quality policy and measurable. Quality Objectives are defined with focus on achieving products and service conformity and enhancing customer satisfaction. Objectives are monitored and communicated. Documented information of Quality Objectives are maintained. Management, with approval from top management, ensures that Quality Objectives, including those needed to meet product and customer requirements, are established at relevant functions and levels within XXX.
Planning for achievements of the Objectives is done covering the action plan, resources responsibility and time period. The performance is measured and monitored by the relevant Departments and Management Representative.
Management Representative in consultation with the Department heads determines fulfilment of the quality objectives periodically and puts forward the results of achievements for Management Review. The relevance and updating of the Quality objective itself is carried out once in a year and where a change is required they are suitably done by MR authorized by the General Manager.
4.1.4 Planning of API Q1
Management ensures that:
a) Criteria and methods needed for the operation and control of all Quality Management System processes are determined, managed, and effective; and
b) Planning of the Quality Management System is carried out in order to meet the requirements of this specification.
18.104.22.168 Understanding the organization and its context
4.1 Understanding the organization and its context of ISO 29001:2020
XXX shall determine and define external and internal issues that are relevant to its purpose and strategic goal(s) and that affect its ability to meets the intended result(s) of the Quality Management System. Organization contexts related to internal & external issues that are relevant and can affect its ability to achieve intended results of the QMS are identified and documented by the respective departments with proposed actions. Information about these external and internal issues are regularly monitored and reviewed.
22.214.171.124 Understanding the needs and expectations of interested parties
4.2 Understanding the needs and expectations of interested parties of ISO 29001:2020
XXX has determined interested parties that are relevant to the QMS such as customers, owners/shareholders, Black Gold personnel, and suppliers/channel partners. The interested parties for XXX include Clients, Principals/Service Providers, Employees, Higher Management, Government / Regulatory Bodies. The needs and expectations of interested parties are identified and taken care by the departments. Management of XXX is always committed to fulfill the needs and expectations of all interested parties. The main needs and expectations of the interested parties are given below.
4.1.5 Communication of API Q1
7.4 Communication of ISO 29001:2020
Mode of internal and external communications is informed to the personnel by Department Heads. It includes what to communicate, whom to communicate and when.
Management ensures that appropriate communication processes are established within the XXX and the effectiveness of the Quality Management System is communicated. XXX has established process to ensure that:
a) Importance of meeting customer, legal, and other applicable requirements is communicated at relevant functions within the XXX; and
b) Results of analysis of data are communicated at relevant levels and functions within XXX.
c) Internal communications in XXX are done by internal memo, e-mail communication, phone calls, meetings, trainings and tool box meetings.
XXX determines and implements a process for communicating with external organization, including customers, to ensure requirements are understood throughout contract execution and product realization. The communication process address:
a) Execution of inquiries, contracts, or order handling and amendments
b) Provision of product information, including product nonconformities identified after delivery to the customer (Refer 5.10.4);
c) Feedback and customer complaints (Refer 6.2.1),
d) When required by contract, providing information required by product quality plans and subsequent changes to those plans (Refer 5.7.2).
The point of contact for execution of inquiries, contracts, or order handling & amendments and Feedback and customer complaints in XXX is Commercial officer.
The point of contact for Provision of product information, including product nonconformities identified after delivery to the customer and when required by contract, providing information required by product quality plans and subsequent changes to those plans is Machine shop Manager & Quality Systems Manager.
4.2 MANAGEMENT RESPONSIBILITY
4.2 Management Responsibility of API Q1
4.2.1 General of API Q1
Management ensures the availability of resources essential to establish, implement, maintain, and improve the Quality Management System.
Management provides evidence of its commitment to the development and implementation of the Quality Management System and continually improves its effectiveness by:
a) Ensuring that Quality Objectives are established including key performance indicators for use in data analysis; and
b) Conducting Management Reviews (Refers 6.5).
126.96.36.199 Leadership and commitment
5.1 Leadership and commitment of ISO 29001:2020
XXX’s Management has demonstrated leadership and commitment with respect to the quality management system through
- Taking accountability for the effectiveness of the quality management system by periodical review of quality management system through management review meeting, Quality objectives review and providing necessary resources.
- Management has established the quality policy and quality objectives for the quality management system and is compatible with the context and strategic direction of the organization.
- Management has determined the organizational processes and integrated with the quality management system requirement through process map & Interaction this can be demonstrated.
- The established procedure for promoting the use of the process approach and risk-based thinking.
- Ensuring that the resources needed for the quality management system are available, this is being periodically reviewed through management review meeting.
- Communicating the importance of effective quality management and of conforming to the quality management system requirements
- Ensuring that the quality management system achieves its intended results
- Engaging, directing and supporting persons to contribute to the effectiveness of the quality management system by providing training, conducting awareness programs and
- Promoting improvement by introducing the suggestion scheme, Kaizens and conducting meetings.
- Supporting other relevant management roles to demonstrate their leadership as it applies to their areas of responsibility.
188.8.131.52 Customer focus
5.1.2 Customer focus of ISO 29001:2020
Xxx management has demonstrated leadership and commitment with respect to customer focus by ensuring that:
- Customer and applicable statutory and regulatory requirements are determined, understood and consistently met.
- The risks and opportunities that can affect conformity of products and services and the ability to enhance customer satisfaction are determined and addressed
- The focus on enhancing customer satisfaction is maintained and procedure for customer satisfaction is addressed
4.2.2 Responsibility and Authority
4.2.2 Responsibility and Authority of API Q1
5.3 Organizational roles, responsibilities and authorities of ISO 29001:2020
Responsibilities, authorities, and accountabilities of personnel within the scope of QMS are defined, documented, and communicated throughout XXX.An organizational chart has been established to show the interrelation of personnel in the organization. Job descriptions define the responsibilities and authorities of each of the positions on the organizational chart. Job descriptions and the organizational chart are reviewed and approved by top management for adequacy. These documents are available throughout the organization to help personnel understand responsibilities and authorities.
XXX’s management has ensured that the responsibilities and authorities for relevant roles are assigned communicated and understood within the organization. While assigning roles, responsibility, and authority, top management has considered and ensured that
- The quality management system conforms to the requirements of this API Q1 and/or ISO 29001:2020 standard.
- The processes are delivering their intended outputs
- Reporting on the performance of the quality management system and on opportunities for improvement, in particular, to top management
- The promotion of customer focus throughout the organization
- The integrity of the quality management system is maintained when changes to the quality management system are planned and implemented.
(Refer Organization Chart & Responsibilities, authorities & accountabilities)
4.2.3 Management Representative
4.2.3 Management Representative of API Q1
Top management appoints and maintains a member of XXX management who, irrespective of other responsibilities, has responsibility and authority that includes:
- Ensuring that processes needed for the Quality Management System are established, implemented, and maintained;
- Reporting to top management on the performance of the Quality Management System and any need for improvement;
- Ensuring initiation of action(s) to minimize the likelihood of the occurrence of nonconformities (Refer 6.4.3); and
- Ensuring the promotion of awareness of customer requirements throughout XXX.
4.3 ORGANIZATION CAPABILITY
4.3 Organization Capability of API Q1
4.3.1 Provision of Resources
4.3.1 Provision of Resources of API Q1
7.1 Resources of ISO 29001:2020
XXX determines and allocates the resources needed to implement, maintain, and improve the effectiveness of the requirements of the Quality Management System. Resources needed, which include people, infrastructure, environment, monitoring & measuring resources are determined by the respective Department heads and approved by the General Manager. For determining the resources, capabilities and constraints of internal resources and required competency are considered.
184.108.40.206 People & Infrastructure
7.1.2 People and 7.1.3 Infrastructure of ISO 29001:2020
Requirement of personnel and the infrastructure are identified by departmental heads for effective operation and control of QMS and are approved by the General Manager. Personnel could be internal or through external providers. Infrastructure includes:
- Systems used for planning & recording (such as ERP) including hardware and software
- Processing and testing equipment at workshop
- Information and communication technology
220.127.116.11 Organizational Knowledge
7.1.6 Organizational knowledge of ISO 29001:2020
XXX determines the knowledge necessary for its operations and to achieve conformity of its products and services. These include:
- Product information provided by the external providers / Principals
- Information related to repair and servicing (particularly any special processes)
- Information on systems and applications installed (such as ERP system, HR system etc.)
- Specific product / service related
Product information from training programs / conferences are documented and shared. Service related information (e.g. discrepancies, customer grievances) are documented and shared. Whenever there is a changing requirements, acquiring or access of additional knowledge or updates are done and documented by concerned department.
4.3.2 Human Resources
4.3.2 Human Resources of API Q1
18.104.22.168 General of API Q1
7.1.2 People of ISO 29001:2020
XXX maintains a documented procedure for defining personnel competency and identifying training requirements or other actions to achieve the necessary competency of personnel whose responsibilities fall within the scope of the Quality Management System. The procedure includes provision for determining and documenting the effectiveness of the training or other actions taken toward the achievement of required competency.
22.214.171.124 Personnel Competence
126.96.36.199 Personnel Competence of API Q1
7.2 Competence of ISO 29001:2020
Management ensures that the personnel performing work which affects conformity to service requirements are competent on the basis of education, training, skills and experience. Where necessary, training is provided to personnel to acquire necessary competence and the effectiveness is evaluated. Personnel competencies are based on the appropriate education, training, skills, and experience needed to meet product and customer requirements. Evidence of the determination of competence of personnel is recorded and maintained. Documented information is maintained as evidence of competence.
188.8.131.52 Training and Awareness
184.108.40.206 Training and Awareness of API Q1
7.3 Awareness of ISO 29001:2020
Personnel of each department are made aware of quality policy, and objectives for the department and their contribution to effective Quality management System. Effect of non-conformity in their work are also made aware of. XXX
- Provides Quality Management System training and job training;
- Ensures that customer-specified training and/or customer-provided training, when required, is included in the training program;
- Ensures that the frequency and content of training is identified;
- Ensures that its personnel are aware of the relevance and importance of their activities and how they contribute to the achievement of the Quality objectives; and
- Maintains appropriate records of education, training, skills, and experience
4.3.3 Work Environment
4.3.3 Work Environment of API Q1
7.1.4 Environment for the operation of processes of ISO 29001:2020
XXX determines, provides, manages, and maintains the work environment needed to achieve conformity applicable to the manufacture of the product. Work environment includes:
- Buildings, workspace, and associated utilities;
- Process equipment and its maintenance (both hardware and software) (Refer 5.7.8);
- Supporting services (e.g. transport, communication, information systems); and
- Conditions under which work is performed such as physical, environmental, or other factors.
4.4 DOCUMENTATION REQUIREMENTS
4.4 Documentation Requirements of API Q1
7.5 Documented information of ISO 29001:2020
Documented information includes manual, procedures, records, information received or communicated by e-mail etc. Documented information are maintained as required by the quality management system and those determined by the organization for effective operations.
4.4.1 General of API Q1
The Quality Management System documentation includes:
- Statements of Quality Policy and Quality Objectives;
- A Quality Manual that addresses the requirements specified in the standards API Q1 & ISO 29001:2020
- The scope of the Quality Management System, including justification for any exclusion to specific Quality Management System elements (Refer Scope of QMS);
- A description of the sequence and interaction between the processes of the Quality Management System; (Annexure: Sequence and interaction of process)
- Identification of processes that require validation (Refer 220.127.116.11); and
- Reference to documented procedures that control the Quality Management System processes;
- Documented procedures established for the Quality Management System
- Documents and records to ensure the effective planning, operation, and control of its processes and compliance with specified requirements;
- Identification of legal and other applicable requirements to which XXX claims compliance that are needed to achieve product conformity.
4.4.2 Procedures of API Q1
All procedures referenced within this specification will be established, documented, implemented, and maintained for continued suitability.
18.104.22.168 Creating & updating documentation
7.5.2 Creating and updating of ISO 29001:2020
Following are ensured while creating & updating documentation.
- Identification & description (title, date, reference no)
- Format is maintained in system or as hard copy.
- Reviewed and approved by authorized person (department head or by MR, as applicable).
4.4.3 Control of Documents
4.4.3 Control of Documents of API Q1
7.5.3 Control of documented information of ISO 29001:2020
XXX maintains a documented procedure for the identification, distribution, and control of documents required by the Quality Management System and this specification, including required documents of an origin external to XXX. Documented information is controlled so that these are available and suitable for use. Those are protected from improper use, loss of confidentiality, as applicable. For control of documented information, following are ensured:
- Distribution to concerned functions.
- Ensuring accessibility and retrieval when required.
- Ensuring storage and preservation
- Version or revision control after changes
- Defining retention period and disposition methods.
- Ensuring that documents of external origin are identified and their distribution controlled,
The procedure specifies the responsibilities for approval and re-approval and identifies the controls needed to ensure that the documents required by the Quality Management System, including revisions, translations, and updates:
- Are reviewed and approved for adequacy prior to issue and use,
- Identify changes and revision status,
- Remain legible and readily identifiable, and
- Are available where the activity is being performed.
Documents of external origin controlled to ensure that the relevant versions are used and maintained. Obsolete documents are removed from all points of issue or use, or otherwise identified to ensure against unintended use if they are retained for any purpose. Procedures, work instructions, and forms required by the Quality Management System are controlled.
4.4.4 Use of External Documents in Product Realization
4.4.4 Use of External Documents in Product Realization of API Q1
7.5.3 Control of documented information of ISO 29001:2020
When API product or other external specification requirements, including addenda, errata, and updates, are used in the design or manufacture of the product, XXX maintains a documented procedure for the integration of these requirements into the product realization process and any other affected process.
4.5 CONTROL OF RECORDS
4.5 Control Of Records of API Q1
7.5.3 Control of documented information of ISO 29001:2020
XXX maintains a documented procedure to identify the controls and responsibilities needed for the identification, collection, storage, protection, retrieval, retention time, and disposition of records. Records, including those originating from outsourced activities, are established and controlled to provide evidence of conformity to requirements and XXX Quality Management System. Records remain legible, identifiable, and retrievable. Records are retained for a minimum of five years or as required by customer, legal, and other applicable requirements, whichever is longer.
5.0 PRODUCT REALIZATION
5.0 Product Realization of API Q1
8 Operation of ISO 29001:2020
Planning of product realization process starts with the review of customer enquiry, contracts, and amendments of contracts if any as described and specified below; This may include but not be limited to product or service requirement as specified by the customer, specification or other statutory or regulatory requirements; development of required process and process documentation; and establishment of product verification and validation programs. The plan also defines requirement for records necessary to demonstrate process and product conformity.
5.1 CONTRACT REVIEW
5.1 Contract Review of API Q1
8.2 Requirements for products and services of ISO 29001:2020
5.1.1 General of API Q1
8.2.3 Review of the requirements for products and services of ISO 29001:2020
XXX maintains a documented procedure for Contract Review to review the requirements related to the provision of products and required service. Before committing the products/services, the concerned department reviews that :
- The requirements could be met including requirements for delivery and post-delivery activities.
- Any statutory and regulatory requirements applicable for the product/services.
- Any other requirements to be considered , not specified by customer.
- Acceptance criteria for the products are defined
- Any difference in order requirements from previously expressed ones.
Record is maintained for the results of review of contracts.
22.214.171.124 Customer communication
8.2.1 Customer communication of ISO 29001:2020
Communication with customers is include
- Providing information relating to products and services
- Handling inquiries, contracts or orders, including changes
- Obtaining customer feedback relating to products and services, including customer complaints
- Handling or controlling customer property
- Establishing specific requirements for contingency actions, when relevant
Customers are communicated regarding the product information through the letter, verbal, and/ or through phone, Fax, e-mail. If any amendments in inquiries, purchase orders it will be communicated through Phone, letter & Email. The customer complaints are registered in the customer complaint register and the corrective action taken is communicated.
5.1.2 Determination of Requirements
5.1.2 Determination of Requirements of API Q1
8.2.2 Determining the requirements for products and services for ISO 29001:2020
- Requirements specified by the customer;
- Legal and other applicable requirements; and
- Requirements not stated by the customer but considered necessary by XXX for the provision of the product.
Where the customer provides no documented statement of the requirements, the customer requirements are confirmed by the XXX and records maintained.
5.1.3 Review of Requirements
5.1.3 Review of Requirements of API Q1
8.2.3 Review of the requirements for products and services of ISO 29001:2020
XXX reviews the requirements related to provision of products. This review conducted prior to XXX commitment to deliver product to the customer and ensures that:
- Requirements are identified and documented;
- Requirements differing from those previously identified are resolved; and
- XXX has the capability to meet the documented requirements.
Where contract requirements are changed, XXX ensures that relevant documents are amended and that relevant personnel are made aware of the changed requirements. Records of the results of the review, including resulting actions, are maintained.
5.2 Planning of API Q1
8.1 Operational planning and control of ISO 29001:2020
Operational planning is carried out by Individual departments of XXX so that customer requirements are met. The Planning covers:
- Requirements of product/services to be provided.
- Processes, documents / documented information and resources needed for the product & services
- Verification, inspection and measurement activities as applicable.
- Acceptance criteria for the products
Schedule for delivery is prepared at the quotation stage including service requirements if any. The schedule for delivery and services are monitored for identifies and plans the processes and documents needed for product realization. Planning of product realization is consistent with the requirements of the other processes of the Quality Management System (Refer 4.1.4). In planning, XXX addresses the following:
- Required resources and work environment management (Refer 4.3);
- Product and customer-specified requirements (Refer 5.1);
- Legal and other applicable requirements;
- Contingencies based on risk assessment (Refer Risk Assessment and Management) and (Refer Contingency Plan);
- Design and development requirements (Refer Design & Development);
- Required verification, validation, monitoring, measurement, inspection, and test activities specific to the product and the criteria for product acceptance;
- Management of change (MOC) (Refer Management of Change) and
- Records needed to provide evidence that the product realization processes meet requirements.
The output of planning is documented and updated as changes occur. The plans are maintained in a structure suitable for XXX method of operations.
Product realization planning
Product realization planning includes, as applicable:
- Definition and evaluation of manufacturing operations and process
- Development of adequate and capable process
- Identification of special process
- Consideration of associated risks and consequences
- Establishment and implementation of appropriate process control measures
- Development of instructions and training for process operators, and
- Requirements for records necessary to demonstrate process conformity
- Product realization plans are established in collaboration between Marketing, Production, Engineering, and Quality Assurance. The plans are defined in various types of production documents, such as production work orders, operator instructions, etc.,
- QMS Procedures related to Control of Production, Operations; explain how outputs of product realization planning are used.
Product verification and validation planning
Product verification and validation plans determine the inspection and testing program for a product, and for materials that are incorporated into the product. This includes:
- Identification of inspection and testing points
- Inspection and testing scope, frequency, and method
- Acceptance criteria, and
- Requirements for records necessary to demonstrate product conformity
5.3 RISK ASSESSMENT AND MANAGEMENT
5.3 Risk Assessment and Management of API Q1
6.1 Actions to address risks and opportunities of ISO 29001:2020
All Department heads have identified risks for individual processes and controls are developed for all the identified risks. The risks and the issues are addressed with a view to
- enhance desirable effects
- reduce or prevent undesired effects
- achieve improvements
The control actions are implemented considering potential impact on the conformity of products and services. Actions taken to address the risks and issues are regularly monitored by MR & Department Heads for strict implementation. The risks, issues and the controls thereof are maintained as Documented Information by the department heads. Opportunities for achieving desired improvements are identified by the Department heads and implemented to the extent possible. The results of such implementations are reviewed and achieved improvements are assessed. XXX maintains a documented procedure (Risk Assessment and Management) to identify and control risk associated with impact on delivery and quality of product. The procedure identifies the techniques, tools and their application for risk identification, assessment, and mitigation.
Risk assessment associated with product delivery includes:
- Facility/equipment availability and maintenance; and
- Supplier performance and material availability/supply.
Risk assessment associated with product quality includes, as applicable:
- Delivery of nonconforming product (Refer 5.10.1);
- Availability of competent personnel.
Records of risk assessment and management including actions taken and maintained
5.4 DESIGN AND DEVELOPMENT
5.4 Design and Development of API Q1
8.3 Design and development of products and services of ISO 29001:2020
5.4.1 Design and Development Planning
5.4.1 Design and Development Planning of API Q1
8.3.1 General and 8.3.2 Design and development planning of ISO 29001:2020
XXX maintains a documented procedure (Procedure for Design and Development) to plan and control the design and development of the product. The procedure identifies:
- The plan(s), including plan updates, used for design development;
- The design and development stages;
- The resources, responsibilities, authorities, and their interfaces to ensure effective communication;
- The review, verification, and validation activities necessary to complete each design and development stage; and
- The requirements for a final review of the design (Refer 5.4.5).
When design and development activities are performed at different locations within XXX, The procedures identify the controls required to ensure that the designs meet the requirements of (Refer Design and Development). When design and development are outsourced, XXX ensures the supplier meets the requirements of (Refer 126.96.36.199).
5.4.2 Design and Development Inputs
5.4.2 Design and Development Inputs of API Q1
8.3.3 Design and development inputs of ISO 29001:2020
Inputs are identified and reviewed for adequacy, completeness, and lack of conflict. Inputs include functional and technical requirements, and the following, as applicable:
- Customer-specified requirements (Refer 5.1);
- Requirements provided from external sources, including API product specifications;
- Environmental and operational conditions;
- Methodology, assumptions, and formulae documentation;
- Historical performance and other information derived from previous similar designs;
- Legal requirements; and
- Results from risk assessments (Risk Assessment and Management).
Records of design inputs are maintained.
5.4.3 Design and Development Outputs
5.4.3 Design and Development Outputs of API Q1
8.3.5 Design and development outputs of ISO 29001:2020
Outputs are documented to allow verification against the design and development input requirements.
- Meet the input requirements for design and development;
- Provide appropriate information for purchasing, production, and service;
- Identify or reference design acceptance criteria (DAC);
- Include identification of, or reference to, products, components and /or activities deemed critical to the design;
- Include results of applicable calculations; and
- Specify the characteristics of the product that are essential for its safe and proper use.
Records of design outputs are maintained.
5.4.4 Design and Development Review
5.4.4 Design and Development Review of API Q1
8.3.4 Design and development controls of ISO 29001:2020
At suitable stages, review(s) performed:
- To evaluate the suitability, adequacy, and effectiveness of the results of design and development stages to meet specified requirements; and
- To identify any problems and propose necessary actions.
Participants in such review(s) include representatives of functions concerned with the design and development stage(s) being reviewed. Records of the results of the review(s) and any necessary actions are maintained.
5.4.5 Design and Development Verification and Final Review
5.4.5 Design and Development Verification and Final Review of API Q1
8.3.4 Design and development controls of ISO 29001:2020
To ensure that the design and development outputs have met the design and development input requirements, design and development verification and a final review conducted and documented in accordance with planned arrangements Records of design and development verification and the final review are maintained.
5.4.6 Design and Development Validation and Approval
5.4.6 Design and Development Validation and Approval of API Q1
8.3.4 Design and development controls of ISO 29001:2020
Design and development validation is performed in accordance with planned arrangements to ensure that the resulting product is capable of meeting the specified requirements. Validation is completed prior to the delivery of the product, when possible. The completed design is approved after validation. Competent individual(s) other than the person or persons, who developed the design, approve the final design. Records of the design and development validation, approval, and any necessary actions are maintained
5.4.7 Design and Development Changes
5.4.7 Design and Development Changes of API Q1
8.3.6 Design and development changes of API Q1
Design and development changes are identified. The changes are reviewed, verified, and validated, as appropriate, and approved before implementation. The review of design and development changes includes evaluation of the effect of the changes on product and/or their constituent parts already delivered. Design and development changes, including changes to design documents, require the same controls as the original design and development. Records of design and development changes, reviews of those changes, and any necessary actions are maintained.
5.5 CONTINGENCY PLAN
5.5 Contingency plan of API Q1
8.1 Operational planning and control of ISO 29001:2020
XXX maintains a documented procedure for Contingency Planning and needed to address Risk associated with impact on delivery and quality of product. Contingency planning is based on assessed risks, and output is documented and communicated to the relevant personnel and updated as required.
5.5.2 Planning Output
The contingency plan includes, at a minimum:
- Actions required in response to significant risk scenarios to mitigate effects of disruptive incidents;
- Identification and assignment of responsibilities and authorities; and
- Internal and external communication controls (Refer 4.1.5).
5.6 Purchasing of API Q1
8.4 Control of externally provided processes, products and services of ISO 29001:2020
5.6.1 Purchasing Control
5.6.1 Purchasing Control of API Q1
8.4.1 General of ISO 29001:2020
Products and services provided by external providers are directly delivered to the customers on behalf of XXX. The external providers of products and services for XXX are client / consultant approved suppliers, with whom agency agreements are made.
External providers for IT services are selected by IT department based on credentials and past experience
XXX maintains a documented procedure (Refer Control of Externally provided products/Services) to ensure that purchased products, components or activities conform to specified requirements.
The procedure address:
- Identification of critical products, components or activities;
- Initial evaluation and selection of suppliers based on their ability to supply products, components or activities in accordance with the XXX requirements (Refer 188.8.131.52 and 184.108.40.206);
- Type and extent of control applied to the supply chain for critical products, components or activities;
- Criteria, scope, frequency, and methods for reassessment of suppliers;
- Maintaining a list of approved suppliers and scope of approval; and
- Type and extent of control to be applied to outsourced activities (Refer 220.127.116.11).
18.104.22.168 Initial Supplier Evaluation – Critical Purchases
For purchase of critical products, components or activities, the initial evaluations of suppliers by XXX is site-specific for each supplier and include the following:
- Verification that the supplier’s Quality Management System conforms to the quality system requirements specified for suppliers by XXX; and
- Verification of the type and extent of control applied by the supplier, internally and to their supply chain, in order to meet XXX requirements; and
- Assessment of the supplier to ensure its capability to meet the XXX specified requirements by one or more of the following:
- Performing an on-site evaluation of relevant activities, or
- Performing first article inspection to ensure conformance to stated requirements, or
- Identifying how the supplied product, component or activity conforms to stated requirements when limited by proprietary, legal, and/or contractual arrangements.
22.214.171.124 Initial Supplier Evaluation – Noncritical Purchases
For purchase of noncritical products, components, or activities that impact product realization or the final product, the criteria for evaluation of suppliers by XXX meet the requirements of Refer 126.96.36.199 or satisfy one or more of the following:
- Verification that the supplier’s Quality Management System conforms to the Quality system requirements specified for suppliers by the XXX; or
- Assessment of the supplier to meet the XXX purchasing requirements; or
- Assessment of the product or component upon delivery, or activity upon completion.
188.8.131.52 Supplier Re-evaluation
XXX determines the supplier re-evaluation frequency based on supplier risk and supplier quality performance. For the re-evaluation of suppliers of critical products, components or activities, the requirements of Refer 184.108.40.206 is apply. For the re-evaluation of suppliers of non-critical products, components or activities, the requirements of Refer 220.127.116.11 is apply.
18.104.22.168 Supplier Evaluation – Records
Records of the results of all evaluations and any necessary actions arising from the evaluations will be maintained.
Where XXX chooses to outsource any activity within the scope of its Quality Management System, XXX ensures that all applicable elements of its Quality Management System are satisfied and maintains the responsibility for product conformance to specified requirements, including applicable API product specifications, associated with product realization. For workshop, calibration of equipment is outsourced to external calibration agency. Transportation / delivery of products are often outsourced if necessary. The performance of the outsourced agencies are monitored and controlled. Records of outsourced activities are maintained.
5.6.2 Purchasing Information
5.6.2 Purchasing Information of API Q1
8.4.3 Information for external providers of ISO 29001:2020
After confirmation of orders by customer, specifications of products , quantity, terms & conditions, etc. are communicated to the external providers in the Purchase Order. It includes prior approved products/services. Requirements of competence and qualification of personnel as appropriate ( in case of post-delivery installations, maintenance etc. )are specified when services are needed to be provided.
XXX ensures the adequacy of specified purchasing information prior to their communication to the supplier. Purchasing information provided to the supplier documented and adequately describe the product or activity to be purchased, including acceptance criteria, and where appropriate:
- Requirements for approval of supplier’s procedures, process, and equipment;
- Applicable version of specifications, drawings, process requirements, inspection instructions, traceability, and other relevant technical data;
- Requirements for qualification of supplier’s personnel; and
- Quality Management System requirements.
5.6.3 Verification of Purchased Products or Activities
5.6.3 Verification of Purchased Products or Activities of API Q1
8.4.2 Type and extent of control of ISO 29001:2020
Controls are applied at their selection and post-delivery performance (output) stages as follows:
- External Providers are selected on the basis of their credentials, capability to meet the requirements of the concerned products / services and their past record of supply.
- Performance of external providers is monitored on the basis of quality of the product & services supplied and delivery commitments. Records of their evaluations are maintained.
- Verification / inspection of products & services are done to ensure that products/services meet the requirements.
XXX maintains a documented procedure (Refer Verification of Purchased Products and Activities) for the verification or other activities necessary for ensuring that purchased products, components or activities meet specified purchase requirements. For critical products, components or activities, the procedure addresses the following:
- Review of XXX required documentation from the supplier; and
- Verification that the applicable versions were used when specifications, drawings, process requirements, inspection instructions, traceability, and other relevant technical data are specified per 5.6.2 b).
Additionally for critical products and components, the procedure includes requirements for the testing or inspection methods, frequency and responsible party for these activities. The requirements are based on risk associated with supplier product quality. Where XXX or its customer intends to perform verification at the supplier‘s premises, XXX states the intended verification arrangements and method of product release in the purchasing information. XXX ensures and provides evidences that purchased products and activities conform to specified requirements. XXX maintains records of verification activities.
5.7 PRODUCTION AND SERVICING PROVISION
5.7 Production and service provision of API Q1
8.5 Production and service provision of ISO 29001:2020
5.7.1 Control of Production and Servicing
5.7.1 Control of Production and Servicing of API Q1
8.5.1 Control of production and service provision of ISO 29001:2020
The activities of XXX are carried out under controlled conditions. Controlled conditions include:
- Availability of documented information describing product characteristics and services to be provided and the results to be achieved.
- Availability and use of suitable monitoring and measuring resources.
- Implementation of monitoring and measurement activities at appropriate stages to verify outputs and that the acceptance criteria are met.
- Engaging competent persons, with requisite qualification and experience for servicing & inspection activities.
- Implementation of release, delivery and post delivery activities.
- Validation to achieve planned results where the resulting outputs cannot be verified by monitoring and measurement. Such process may include
- supply of alignment systems and monitoring systems whose functions can be validated over a period of their functioning.
- Special processes such as painting / coating required in servicing.
Concerned engineer obtains feedback from customer for validation.
XXX maintains a documented procedure that describes controls associated with the production of products. The procedures address the following:
- The availability of information that describes the characteristics of the product;
- Implementation of the product quality plan, when applicable (Refer 5.7.2);
- Ensuring design requirements and related changes are satisfied, when applicable;
- The availability and use of suitable production, testing, monitoring, and measurement equipment;
- The availability of work instructions, when applicable;
- Process control documents (Refer 22.214.171.124);
- Implementation of monitoring and measurement activities; and
- Implementation of product releases, including applicable delivery and post-delivery activities.
XXX maintains a documented procedure (Control of Servicing) that describes controls associated with the Servicing (Refer 3.1.21) of products. The procedures address the following:
- Review and implementation of the XXX customer-specific, product servicing, and other servicing requirements;
- The availability and use of suitable Servicing, testing, monitoring, and measurement equipment;
- The availability of work instructions, when applicable;
- Ensuring identification and traceability requirements are maintained throughout the Service process;
- The implementation of monitoring and measurement activities;
- Process control documents (Refer 126.96.36.199); and
- Requirements for release of the product that was serviced.
188.8.131.52 Process Control Documents
Process controls are documented in routings, travellers, checklists, process sheets, or equivalent controls required by XXX and include requirements for verifying conformance with applicable product quality plans (Refer 5.7.2), API product specifications, customer requirements, and/or other applicable product standards/codes. The process control documents include, reference instructions and acceptance criteria for process, tests, inspections, and required customer’s inspection hold or witness points.
184.108.40.206 Product Realization Capability Documentation
XXX develops and maintains the documentation that includes but is not limited to product realization plans (Refer 5.2) and records of review/verification, validation, monitoring, measurement, inspection, and test activities, including criteria for product acceptance that demonstrates the capability of XXX to satisfy specified product and/or Service requirements.
220.127.116.11 Validation of Processes for Production and Servicing
XXX validate processes for production and Servicing where the resulting output cannot be verified by subsequent monitoring or measurement, and as a consequence, deficiencies become apparent only after the product is in use or the Service has been delivered. (Validation of Process for Production and Service) Validation demonstrates the ability of these processes to achieve planned results. Where an XXX chooses to outsource a process that requires validation, XXX requires that the supply chain conform to these requirements (Refer 18.104.22.168).
XXX maintains a documented procedure to address methods for review and approval of the process including:
- Required equipment;
- Qualification of personnel;
- Use of specific methods, including identified operating parameters;
- Identification of acceptance criteria;
- Requirements for records; and
XXX validates those processes identified by the applicable product specification as requiring validation. If these processes are not identified, or there is no product specification involved, the process requiring validation (if applicable to the product) include, as a minimum;
- Non-destructive examination;
- Heat treating; and
- Coating & Plating (when identified as critical to product performance by product specification or by XXX
5.7.2 Product Quality Plans
5.7.2 Product Quality Plans of API Q1
8.1 Operational planning and control of ISO 29001:2020
When required by contract, XXX develops a product quality plan that specifies the processes of the Quality Management System (including the product realization processes) and the resources to be applied to a product. The product Quality Plan required by contract is address each of the following as a minimum:
- Description of the product to be manufactured;
- Required processes and documentation, including required inspections, tests, and records, for conformance with requirements;
- Identification and reference to control of outsourced activities;
- Identification of each procedure, specification, or other document referenced or used in each activity; and
- Identification of the required hold, witness, monitor, and document review points.
These product quality plans and any revisions to them documented and approved by the XXX to ensure customer requirements are met. These product Quality Plans and any revisions will be communicated to the customer.
5.7.3 Identification and Traceability
5.7.3 Identification and Traceability of API Q1
8.5.2 Identification and traceability of ISO 29001:2020
All material received from external providers are appropriately identified by description and product codes before delivery to customers. For repair /servicing, identification tags are put showing Job number, customer ID. Customer Log is maintained job wise which enables traceability of the products. Where traceability is a requirement, unique identification of the outputs are done and documented information is retained to enable traceability. XXX maintains a documented procedure (Refer Identification and Traceability) for identification and traceability while the product is under control of XXX as required by the XXX, the customer, and/or the applicable product specifications throughout the product realization process, including applicable delivery and post-delivery activities. The procedure includes requirements for maintenance or replacement of identification and/or traceability marks. Records of identification and traceability are maintained.
5.7.4 Product Inspection/Test Status
5.7.4 Product Inspection/Test Status of API Q1
8.5.1 Control of production and service provision of ISO 29001:2020
XXX maintains a documented procedure (Refer Product Inspection/Test Status) for the identification of product inspection and/or test status throughout the product realization process that indicates the conformity or nonconformity of product with respect to inspections and/or tests performed. XXX ensures that only product that meets requirements or that is authorized under concession is released.
5.7.5 Customer-supplied Property
5.7.5 Customer-supplied Property of API Q1
8.5.3 Property belonging to customers or external providers of ISO 29001:2020
XXX is committed to protect the customer and external providers property while it is under custody of XXX or in use. Such properties include :
- Products supplied by customers for repair / servicing. Log is maintained for the products.
- Customer drawings / sketches , specifications etc. These are kept in safe custody . Soft copies if any are maintained with appropriate access controls.
- Manuals provided by equipment suppliers. These are kept in cabinets for references.
- External providers supplied products are preserved in stores till delivery. Records maintained on receiving the items and also inspection & delivery records maintained.
In case of any damage or deterioration of customer/external providers property takes place, it is immediately informed by the Dept. Head and further actions are taken in consultation with the customer/ external provider. Records of such communication are maintained. XXX maintains a documented procedure (Refer Customer or External Provider’s Property) for the identification, verification, safeguarding, preservation, maintenance, and control of customer-supplied property, including intellectual property and data, while under control of the XXX. The procedures include requirements for reporting to the customer any loss, damage, or unsuitability for use of customer-supplied property. Records for the control and disposition of customer-supplied property maintained.
5.7.6 Preservation of Product
5.7.6 Preservation of Product of API Q1
8.5.4 Preservation of ISO 29001:2020
All products are appropriately identified and stored to ensure their conformity. Concerned department head is responsible for appropriate storage conditions. Where necessary, original Packaging of the products as received, are kept till delivery or consumption. Chemicals (such as paints , thinners ) & welding consumables are preserved in workshop as per Material Safety Data Sheet provided by suppliers. All items are kept in safe place. Where preservation requirement is agreed with the Customer or where found necessary, the same is followed.
XXX maintains a documented procedure (Refer Preservation of Product) describing the methods used to preserve the product and constituent parts throughout product realization and delivery to the intended destination in order to maintain conformity to requirements. As applicable, preservation includes identification and traceability marks, transportation, handling, packaging, and protection.
22.214.171.124 Storage and Assessment
The procedure identifies the requirements for storage and assessment. XXX uses designated storage areas or stock rooms to prevent damage or deterioration of product, pending use or delivery. In order to detect deterioration, the condition of product or constituent parts in stock assessed at specified intervals identified by the procedure. The interval is appropriate to the products or constituent parts being assessed. Records of the results of assessments are maintained.
5.7.7 Inspection and Testing
5.7.7 Inspection and Testing of API Q1
8.5.1 Control of production and service provision of ISO 29001:2020
XXX maintains a documented procedure (Refer Inspection and Testing) for inspection and testing to verify that product requirements have been met. The procedures include requirements for in-process and final inspection and testing. Records of required inspection and testing maintained per documented procedures.
126.96.36.199 In-process Inspection and Testing
XXX inspects and tests the product at planned stages as required by the product Quality Plan (Refer 5.7.2), process control documents (Refer 188.8.131.52), and/or documented procedures. Evidence of conformity with the acceptance criteria is maintained.
184.108.40.206 Final Inspection and Testing
XXX performs all final inspection and testing in accordance with the product Quality Plan (Refer 5.7.2) and/or documented procedures to validate and document conformity of the finished product the specified requirements. Personnel other than those who performed or directly supervised the production of the product perform final acceptance inspection at planned stages of the product realization process.
5.7.8 Preventive Maintenance
5.7.8 Preventive Maintenance of API Q1
7.1.3 Infrastructure of ISO 29001:2020
XXX maintains a documented procedure (Preventive Maintenance) for the establishment of preventive maintenance for equipment used in product realization. The procedures identify requirements for:
- Type of equipment to be maintained;
- Frequency; and
- Responsible personnel.
Records of preventive maintenance are maintained.
5.8 CONTROL OF TESTING, MEASURING AND MONITORING EQUIPMENT
5.8 Control Of Testing, Measuring And Monitoring Equipment of API Q1
7.1.5 Monitoring and measuring resources of ISO 29001:2020
XXX determines the testing, monitoring, and measurement requirements and the associated equipment needed to provide evidence of conformity to those requirements. XXX maintains a documented procedure (Refer Control of Testing, Measuring, and Monitoring Equipment) in order to ensure that testing, measurement, and monitoring equipment is calibrated and maintained and that the equipment is used in a manner that is consistent with monitoring and measurement requirements. The procedures include requirements for the specific equipment type that address:
- Unique identifier;
- Calibration status;
- Equipment traceability to international or national measurement standards; where no such standards exist, the basis used for calibration or verification is recorded
- Frequency of calibration, at specific intervals or prior to use;
- Calibration or verification method, including adjustments and readjustments, as necessary;
- Acceptance criteria;
- Control of equipment identified as out-of-calibration in order to prevent unintended use; and
- When the equipment is found to be out of calibration, an assessment of the validity of previous measurements and actions to be taken on the equipment and product, including maintaining records and evidence of notification to the customer (Refer 220.127.116.11) if suspect product has been shipped.
Testing, measuring, and monitoring equipment:
- Are calibrated or verified, or both, against measurement standards;
- Have the calibration status identifiable by the user for the activities being performed at all times;
- Are safeguarded from adjustments that would invalidate the measurement result or the calibration status;
- Are protected from damage and deterioration during handling, maintenance, and storage; and
- Are used under environmental conditions that are suitable for the calibrations, inspections, measurements, and tests being carried out.
When used in the testing, monitoring, or measurement of specified requirements, the ability of computer software to satisfy the intended application is confirmed prior to initial use and reconfirmed as necessary. When the equipment is provided from a source external to the XXX, including third-party, proprietary, employee – and customer-owned equipment, XXX verifies that the equipment is suitable and provides evidence of conformity to the requirements of this section. XXX maintains a registry of the required testing, measurement and monitoring equipment used to determine product conformity to requirements that includes a unique identification, specific to each piece of equipment. Records of the results of calibration and verification are maintained.
5.9 PRODUCT RELEASE
5.9 Product Release of API Q1
8.6 Release of products and services of ISO 29001:2020
XXX maintains a documented procedure (Refer Product Release) to ensure release of product to the customer does not proceed until the planned arrangements (Refer 5.7) have been satisfactorily completed, unless otherwise approved by a relevant authority (QA/QC Engineer in XXX) and, where applicable, by the customer. Records are maintained to enable identification of the individual releasing the product.
5.9.1 Post-delivery activities
8.5.5 Post-delivery activities of ISO 29001:2020
Post-delivery activities include, for example, actions under warranty provisions, contractual obligations such as maintenance services and supplementary services such as recycling or final disposal. Where required in the contract, XXX carries out post-delivery activities which are usually services during warranty period. Services are carried out by the equipment suppliers except for some battery and UPS for which services are done by XXX internally. All services are monitored by the concerned dept. and service records are kept with feedbacks from customers. After servicing / repairs of equipment at workshop, periodic maintenance or servicing ( in warranty period) are done if required in the contract . Record of services is maintained.
5.10 CONTROL OF NONCONFORMING PRODUCT
5.10 Control of nonconforming products of API Q1
8.7 Control of nonconforming outputs of ISO 29001:2020
XXX identifies and controls the nonconforming products and services to prevent their unintended use or delivery. It is applicable also if non-conforming product/services is detected after delivery. Non-conforming outputs are dealt in one or more of the following ways:
- Corrections of the faults identified (of minor nature )
- Segregation and re-work of the products/services
- Obtaining replacement through the product supplier (for products received).
- Obtaining authorization from customer for acceptance
Corrective actions are taken to prevent recurrence of the non-conformity. After corrections are done, conformity to the requirements is verified. Records are maintained for the non-conformances, showing:
- Description of non-conformity
- Description of the actions taken
- Any concessions obtained.
- Authority deciding the corrections & corrective actions.
XXX maintains a documented procedure(s) (Refer-Control of Nonconforming Products) to identify the controls and related responsibilities and authorities for addressing nonconforming product. The procedure for addressing nonconforming product identified during product realization includes controls for:
- Product identification to prevent unintended use or delivery;
- Addressing the detected nonconformity (Refer 5.10.2);
- Taking action to preclude its original intended use or delivery; and
- Authorizing its use, release, or acceptance under concession by relevant authority and, where applicable, by the customer (Refer 5.10.3).
The procedure for addressing nonconforming product identified after delivery includes controls for:
- Identifying, documenting, and reporting non-conformances or product failure identified after delivery;
- Ensuring the analysis of product non-conformance or failure, provided the product or documented evidence supporting the nonconformity is available to facilitate the determination of the cause (Refer 6.4.2);
- Taking action appropriate to the effects, or potential effects, of the non-conformance when nonconforming product is detected after delivery.
5.10.2 Nonconforming Product
XXX addresses the nonconforming products by performing one or more of the following:
- Repair or rework with subsequent inspection to meet specified requirements;
- Re-grade for alternative applications;
- Release under concession (Refer 5.10.3); and/or
- Reject or scrap.
5.10.3 Release of Nonconforming Product under Concession
The evaluation and release under concession of nonconforming product that does not satisfy manufacturing acceptance criteria (MAC) permitted when the XXX relevant authority and the customer (where applicable) have authorized the release provided that:
- Products continue to satisfy the applicable DAC and/or customer criteria; or
- The violated MAC are categorized as unnecessary to satisfy the applicable DAC and/or customer criteria; or
- The DAC are changed and the products satisfy the revised DAC and associated MAC requirements.
5.10.4 Customer Notification
XXX notifies customers of product not conforming to DAC or contract requirements, which has been delivered. XXX maintains records of such notifications.
Records of the nature of nonconformities and any subsequent actions taken, including concessions obtained are maintained .
5.11 MANAGEMENT OF CHANGE (MOC)
5.11 Management of Change (MOC) of API Q1
8.5.6 Control of changes of ISO 29001:2020
Changes in the product/ service requirements if any are reviewed by the concerned department. Results of review and any actions needed are recorded and approved by the department head ensuring conformity with the requirements.
XXX maintains a process (Refer Management of Change) for MOC. XXX ensures that the integrity of the Quality Management System is maintained when changes to the Quality Management System are planned and implemented. For MOC, XXX identifies the potential risks (Refer Risk Assessment and Management) associated with the change and any required approvals prior to the introduction of such changes. XXX maintains the records of MOC activities (Refer Control of Records).
5.11.2 MOC Implementation
XXX uses MOC process for any of the following that may negatively impact the quality of the product:
- Changes in the organizational structure (Refer 4.2.2);
- Changes in key or essential personnel (Refer 4.3.2);
- Changes in suppliers of critical products, components or activities (Refer 18.104.22.168); and/or
- Changes to the management system procedures, including changes resulting from corrective and preventive actions.
5.11.3 MOC Notification
XXX notifies relevant personnel, including the customer when required by contract, of the change and residual or new risk due to changes that have either been initiated by XXX or requested by the customer.
6.0 QUALITY MANAGEMENT SYSTEM MONITORING, MEASUREMENT, ANALYSIS AND IMPROVEMENT
6.0 Quality Management System Monitoring, Measurement, Analysis and Improvement of API Q1
9 Performance evaluation and 10 Improvement of ISO 29001:2020
6.1 General of API Q1
9.1 Monitoring, measurement, analysis and evaluation of ISO 29001:2020
XXX has planned and implemented the monitoring, measurement, analysis and evaluation processes needed:
- to demonstrate conformity of the product,
- to ensure conformity of quality management system, and
- to continually improve the effectiveness of the quality management systems.
Documented information are maintained for monitoring , measurement , analysis and evaluation , which includes customer satisfaction, meeting the planned time frame for services, complaints, effectiveness of the actions taken on risks & opportunities, performance of external providers. Measurement and analysis are performed at least once in a year. XXX plans and implements the monitoring, measurement, analysis, and improvement process needed to ensure conformity of the Quality Management System to the requirements of this specification and to continually improve the effectiveness of the Quality Management System. Quality Management System Monitoring, Measurement, Analysis, and Improvement include determination of applicable methods, including techniques for the analysis of data, and the extent of their use.
6.2 MONITORING, MEASURING, AND IMPROVING
6.2.1 Customer Satisfaction
6.2.1 Customer satisfaction of API Q1
9.1.2 Customer satisfaction of ISO 29001:2020
As one of the performance of quality management system, the Organization monitors information relating to customer perception as to whether the Organization has met customer requirements. XXX is performing regular customer survey by using customer feedback form. Customer feedbacks are reviewed by GM and analysis on customer feedback is presented and discussed during management reviews where the needful corrective and preventive actions can be initiated. Where feedbacks are not received such as from ministries and oil sectors, customer perception is evaluated based on performance such as timely delivery and complaints if any. Customer complaints are considered very vital for improving XXX performance. They are recorded and handled as per the documented mechanism of Corrective and Preventive Procedure. XXX maintains a documented procedure (Refer-Customer Satisfaction) to measure customer satisfaction. The procedure address the frequency of measurement, obtaining customer feedback, key performance indicators (KPIs), and other information that XXX uses to determine whether the XXX has satisfied customers in meeting identified requirements. Records of the results of customer satisfaction information are maintained.
6.2.2 Internal Audit
6.2.2 Internal audit of API Q1
9.2 Internal audit of ISO 29001:2020
The organization conducts internal audits at planned intervals to determine the quality management system conforms to the planned arrangements, to the requirements of ISO 9001 and to the quality management system requirements established by the Organization, and that it is effectively implemented and maintained. An audit program is planned, taking into consideration the status and importance of the processes and areas to be audited, as well as the results of previous audits. The audit criteria, scope, frequency, and methods are defined through documented procedures and relevant records. Selection of auditors and conduct of audits ensure objectivity and impartiality of the audit process. Auditors do not audit their own work. The responsibilities and requirements for planning and conducting audits, and for reporting results and retaining documented information are defined in a documented procedure. The management responsible for the area being audited ensures that corrections and corrective actions are taken without undue delay to eliminate detected nonconformities and their causes. Follow-up activities include the verification of actions taken and the reporting of verification results. Documented information is retained by Management Representative as evidence of implementation of audit programs and audit results. Results of internal audits are reported to the higher management in review meetings
XXX maintains a documented procedure (Refer internal Audit) to define responsibilities for planning, conducting, and documenting internal audits. Audits verify that the Quality Management System is effectively implemented and maintained and conforms to the requirements of this specification. The planning of internal audits takes into consideration the results of previous audits and criticality of the process being audited. XXX identifies the audit criteria, scope, frequency, and methods to ensure that all process of the Quality Management System claiming conformity to the requirements of this specification are audited at least every 12 months. Outsourced activities that impact the quality of the product and that are performed at the XXX facility included as part of the internal audit of the XXX.
22.214.171.124 Performance of Internal Audit
Audits performed by competent personnel (Refer 126.96.36.199) independent of those who performed or directly supervised the activity being audited to ensure objectivity and impartiality of the audit process. Records of the audits provide objective evidence that the Quality Management System is implemented and maintained. All process of the Quality Management System required meeting this specification audited prior to claiming conformance to the requirements of this specification.
188.8.131.52 Audit Review and Closure
XXX identifies response times for addressing detected nonconformities. The management responsible for the area being audited ensures that any necessary corrections and corrective actions follow the requirements of (Refer 6.4.2). The results of internal audits and the status of corrective actions are reported in the management review (Refer 6.5). Records of internal audits are maintained.
6.2.3 Process Evaluation
6.2.3 Process Evaluation of API Q1
9.1.3 Analysis and evaluation of ISO 29001:2020
XXX applies suitable evaluation methods to demonstrate the ability of the Quality Management System processes to achieve planned results, including conformity to product requirements. When planned results are not achieved, correction and corrective actions are taken (Refer 6.4.2), as appropriate
6.3 Analysis of data
6.3 Analysis of data of API Q1
9.1.3 Analysis and evaluation of ISO 29001:2020
Individual department heads analyse and evaluate data and information generated from customer feedbacks, complaints, service reports, and supplier evaluation records, achievement of quality objectives, risks & opportunities. Needs for improvements are identified based on the analysis and evaluation. XXX maintains a documented procedure (Refer Analysis of Data) for the identification, collection, and analysis of data to demonstrate the suitability and effectiveness of the Quality Management System. The analysis includes data generated from monitoring and measurement, internal audits (Refer 6.2.2), management reviews, and other relevant sources.
The data analysis output provides information relating to:
- Customer satisfaction (Refer 6.2.1);
- Conformity to product requirements;
- Nonconformities and product failures identified after delivery or use, provided the product or documented evidence is available to facilitate the determination of the cause (Refer 05.10);
- Characteristics and trends of processes and products including opportunities for preventive action (Refer 6.4.3);
- Supplier Performance (Refer 5.6); and
- Quality Objectives (Refer 4.1.3).
XXX uses data to evaluate where continual improvement of the effectiveness of the Quality Management System can be made.
6.4 Improvement of API Q1
10 Improvement of ISO 29001:2020
6.4.1 General of API Q1
10.1 General of ISO 29001:2020
Management of XXX determines opportunities for improvements and implements necessary actions thereof. These include:
- Improvement in the products & services for meeting the requirements effectively and also considering future needs and expectations.
- Implementing corrective actions and preventive measures to eliminate or reduce undesired effects.
- Improving performance and effectiveness of quality management system.
XXX continually improves the effectiveness of the Quality Management System through the use of the Quality Policy, Quality Objectives, Audit Results, Analysis of Data, Corrective and Preventive Actions, and Management Review.
184.108.40.206 Continual Improvements
10.3 Continual improvement of ISO 29001:2020
XXX continually improves the suitability, adequacy and effectiveness of the quality management system through analysis, evaluation and outputs of Management Review and determines any need for opportunity for continual improvement.
6.4.2 Corrective Actions
6.4.2 Corrective Actions of API Q1
10.2 Nonconformity and corrective action of ISO 29001:2020
XXX takes actions to eliminate the causes of non-conformities including complaints in order to prevent recurrence. The corrective actions taken are appropriate to the effect of non-conformities encountered and their consequences. XXX maintains a documented procedure (Refer Corrective Action) to correct nonconformities and to take corrective actions, both internally and with suppliers, to eliminate the causes of nonconformities in order to minimize the likelihood of its recurrence. Corrective actions are appropriate to the effect(s) of the nonconformity encountered. The procedures identify requirements for:
- Reviewing a process nonconformity (including customer complaints);
- Determining and implementing corrections;
- Identifying the root cause of the nonconformity and evaluating the need for corrective actions;
- Implementing corrective action to reduce the likelihood that nonconformity recurs;
- Identifying the timeframe and responsible person(s) for addressing corrections and corrective action;
- Verification of the effectiveness of the corrections and corrective action taken; and
- MOC, (Refer 5.11) when the corrective actions require new or changed controls within the Quality Management System.
Records of the activities for control of a nonconforming process are maintained. Records identify the activities performed to verify effectiveness of the corrective actions taken.
6.4.3 Preventive Action
6.4.3 Preventive Action of API Q1
XXX maintains a documented procedure (Refer Preventive Action) to determine and implement preventive actions, both internally and with suppliers, to eliminate the causes of potential nonconformities in order to minimize the likelihood of their occurrence. Preventive actions are appropriate to the effect(s) of the potential problems. The procedures identify requirements for:
- Identifying opportunities for improvements;
- Identifying a potential nonconformity and its potential cause(s);
- Evaluating the need for preventive action, including any immediate or short-term action required, to prevent occurrence of nonconformity;
- Identifying the time-frame and responsible person(s) for implementing a preventive action;
- Reviewing the effectiveness of the preventive action taken; and
- MOC, (Refer 5.11) when the preventive actions require new or changed controls within the Quality Management System.
Records of the activities for control of potential process nonconformities are maintained
6.5 MANAGEMENT REVIEW
6.5 Management Review of API Q1
5.3 Management Review of ISO 29001:2020
Top management of XXX reviews the Organization’s quality management system annually, to ensure its continuing suitability, adequacy, and effectiveness. This review includes assessing opportunities for improvement and the need for changes to the quality management system, including the quality policy and quality objectives. Management Review minutes are generated as documented information and distributed to all concerned for review and necessary actions.
XXX’s Quality Management System is reviewed at least every 12 months by the XXX management to evaluate the continuing suitability, adequacy, and effectiveness. This review includes assessing opportunities for improvement and the need for changes to the Quality Management System, including the QHSE Policy and Quality Objectives (Refer Management Review).
6.5.2 Input Requirements
The input to Management Review includes, as a minimum:
- Effectiveness of actions resulting from previous management reviews;
- Results of audits (Refer 6.2.2);
- Changes that could affect the Quality Management System, including changes to legal and other applicable requirements (such as industry standards);
- Analysis of customer satisfaction, including customer feedback (Refer 6.2.1);
- Process performance (Refer 6.2.3) and (Refer Analysis of Data)
- Results of Risk Assessment (Refer Risk Assessment and Management)
- Status of corrective and preventive actions (Refer 6.4.2 and 6.4.3);
- Analysis of supplier performance;
- Review of the analysis of product conformity, including nonconformities identified after delivery or use (Refer Control of Nonconforming Products) and
- Recommendations for improvement.
6.5.3 Output Requirements
The output from the management review includes a summary assessment of the effectiveness of the Quality Management System. The assessment includes any required changes (Refer 5.11) to the processes and any decisions and actions, required resources, and improvement to products in meeting customer requirements. Top management reviews and approves the output of management reviews. Management reviews are documented and records of these reviews are maintained.
( The following section is for API Q1 only and not for ISO 29001:2020)
7.0 API MONOGRAM PROGRAM REQUIREMENTS
ANNEX A – API Spec Q1, 9TH EDITION
XXX, an API Licensed organization provides, API monogrammed products, in conformance with API Spec ….., API Spec …., API Spec …., API Spec ….& API Spec …. monogram requirements
The API Monogram® is a registered certification mark owned by API and authorized for licensing by the API Board of Directors. Through the API Monogram Program (www.api.org/certification-programs/apimonogram-program-and-apiqr.aspx), API licenses product manufacturers to apply the API Monogram to products that comply with product specifications and have been manufactured under a quality management system that meets the requirements of API Q1. API maintains a complete, searchable list of all Monogram Licensees on the API Composite List website (http://compositelist.api.org).
The application of the API Monogram and license number on products constitutes a representation and warranty by the Licensee to API and to purchasers of the products that, as of the date indicated, the products were manufactured under a quality management system conforming to the requirements of API Q1 and that the product conforms in every detail with the applicable standard(s) or product specification(s). API Monogram Program licenses are issued only after an on-site audit has verified that an organization has implemented and continually maintained a quality management system that meets the requirements of API Q1 and that the resulting products satisfy the requirements of the applicable API product specification(s) and/or standard(s). Although any manufacturer may claim that its products meet API product requirements without monogramming them, only manufacturers with a license from API can apply the API Monogram to their products.
Together with the requirements of the API Monogram license agreement, this annex establishes the requirements for those organizations who wish to voluntarily obtain an API license to provide API monogrammed products that satisfy the requirements of the applicable API product specification(s) and/or standard(s) and API Monogram Program requirements.
For information on becoming an API Monogram Licensee, please contact API, Certification Programs, 1220 L Street, NW, Washington, DC 20005 or call 202-682-8145 or by email at email@example.com.
A.2 Normative References
API Q1, Specification for Quality Management System Requirements for Manufacturing Organizations for the Petroleum and Natural Gas Industry
A.3 Terms and Definitions
For purposes of this annex, the following terms and definitions apply.
A.3.1 API monogrammable product
Product that has been manufactured by an API Licensee utilizing a fully implemented API Q1 compliant quality management system and that meets all the API-specified requirements of the applicable API product specification(s) and/or standard(s).
A.3.2 API product specification
Prescribed set of rules, conditions, or requirements attributed to a specified product that address the definition of terms; classification of components; delineation of procedures; specified dimensions; manufacturing criteria; material requirements, performance testing, design of activities; and the measurement of quality and quantity with respect to materials; pr XXX takes actions to eliminate the causes of non-conformities including complaints in order to prevent recurrence. The corrective actions taken are appropriate to the effect of non-conformities encountered and their consequences. products, processes, services, and/or practices.
A.3.3 API-specified requirements
Requirements, including performance and Licensee-specified requirements, set forth in API Q1 and the applicable API product specification(s) and/or standard(s).
NOTE Licensee-specified requirements include those activities necessary to satisfy API-specified requirements.
A.3.4 Design package
Records and documents required to provide evidence that the applicable product has been designed in accordance with API Q1 and the requirements of the applicable product specification(s) and/or standard(s).
Organization that has successfully completed the application and audit process and has been issued a license by API
A.4 Quality Management System Requirements
An organization applying the API Monogram to products shall develop, maintain, and operate at all times a quality management system conforming to API Q1.
A.5 Control of the Application and Removal of the API Monogram
XXX shall control the application and removal of the API Monogram in accordance with the following:
- Products that do not conform to API-specified requirements shall not bear the API Monogram.
- XXX shall develop and maintain an API Monogram marking procedure that documents the marking/monogramming requirements specified by this annex and any applicable API product specification(s) and/or standard(s). The marking procedure (Refer API Monogram marking procedure):
- Defines the authority responsible for application and removal of the API Monogram
- Defines the method(s) used to apply the Monogram
- Identifies the location on the product where the API Monogram is to be applied;
- Requires the application of the Licensee’s license number and date of manufacture of the product in conjunction with the use of the API Monogram;
- Requires that the date of manufacture, at a minimum, be two digits representing the month and two digits representing the year (e.g. 05-12 for May 2022) unless otherwise stipulated in the applicable API product specification(s) or standard(s)
- Requires controls for the application of the additional API product specification(s) and/or standard(s) marking requirements, as applicable.
- Only an API Licensee shall apply the API Monogram and its designated license number to API monogrammable products.
- The API Monogram license, when issued, is site-specific and subsequently the API Monogram shall only be applied at that site specific licensed facility location.
- The API Monogram may be applied at any time appropriate during the production process but shall be removed in accordance with the Licensee’s API Monogram marking procedure if the product is subsequently found to be out of conformance with any of the requirements of the applicable API product specification(s) and/or standard(s) and API Monogram Program.
For certain manufacturing processes or types of products, alternative API Monogram marking procedures may be acceptable. Requirements for alternative API Monogram marking are detailed in the API Policy, API Monogram Program Alternative Marking of Products License Agreement, available on the API Monogram Program website at http://www.api.org/alternative-marking.
A.6 Design Package Requirements
Each Licensee and/or applicant for licensing shall maintain a current design package for all of the applicable products that fall under the scope of each Monogram license. The design package information shall provide objective evidence that the product design meets the requirements of the applicable and most current API product specification(s). The design package(s) shall be made available during API audits of the facility.
In specific instances, the exclusion of design activities is allowed under the Monogram Program, as detailed in Advisory #6, available on API Monogram Program website at http://www.api.org/advisories.
A.7 Manufacturing Capability
The API Monogram Program is designed to identify facilities that have demonstrated the ability to manufacture equipment that conforms to API specifications and/or standards. API may refuse initial licensing or suspend current licensing based on a facility’s level of manufacturing capability. If API determines that additional review is warranted, API may perform additional audits (at the organization’s expense) of any subcontractors to ensure their compliance with the requirements of the applicable API product specification(s) and/or standard(s).
A.8 API Monogram Program: Non-conformance Reporting
API solicits information on products that are found to be nonconforming with API-specified requirements, as well as field failures (or malfunctions), which are judged to be caused by either specification deficiencies or nonconformities with API-specified requirements. Customers are requested to report to API all problems with API monogrammed products. A non-conformance may be reported using the API Non-conformance Reporting System available at http://compositelist.api.org/ncr.asp.