# API Q1 and ISO 29001 Readiness Assessment for Equipment Manufacturers > Source: https://netray.co/tools/api-q1-iso-29001-readiness-assessment > Publisher: Netray (netray.co), AI and integration engineering for ERP and manufacturing systems. > Section: Free Tools ## Short answer Ten questions to gauge how ready your quality system, records and ERP data are for an API Q1 or ISO 29001 audit. ## Category compliance-legal ## Industry Oil and Gas Equipment ## Audience - Quality manager - Operations manager - Plant manager - Management representative ## Tool **Kind:** assessment **Questions:** #### How well is your quality manual and procedure set mapped to the requirements you are certifying to? **Options:** ##### No mapping exists **Score:** 0 ##### Partial, mostly from memory **Score:** 1 ##### A mapping exists but is out of date **Score:** 2 ##### Current clause by clause mapping, reviewed in the last year **Score:** 3 #### How are risk and opportunity assessed in your processes? **Options:** ##### Not formally **Score:** 0 ##### Only at the company level **Score:** 1 ##### For key processes, not reviewed regularly **Score:** 2 ##### Documented for each process and reviewed with management **Score:** 3 #### How do you control approved suppliers and the product they provide? **Options:** ##### No formal approved supplier list **Score:** 0 ##### A list exists but evaluation is informal **Score:** 1 ##### Evaluated at approval, rarely reviewed **Score:** 2 ##### Scored, reviewed on a cycle, with controlled purchase requirements **Score:** 3 #### How is material traceability maintained from receipt to shipment? **Options:** ##### Paper travelers only **Score:** 0 ##### Heat or lot recorded at receipt only **Score:** 1 ##### Traceable through the ERP for most orders **Score:** 2 ##### Full heat and serial traceability, tested by mock recall **Score:** 3 #### How are special processes such as welding, heat treatment and NDE controlled? **Options:** ##### By individual experience **Score:** 0 ##### Procedures exist, qualification records are scattered **Score:** 1 ##### Qualified procedures and personnel, tracked manually **Score:** 2 ##### Qualifications and expiry tracked and enforced at job start **Score:** 3 #### How are inspection, measuring and test equipment calibrations controlled? **Options:** ##### No calibration system **Score:** 0 ##### Calibrated, but no reliable due date tracking **Score:** 1 ##### Tracked in a spreadsheet **Score:** 2 ##### System controlled, with out of tolerance impact review **Score:** 3 #### How are nonconformances and corrective actions recorded and closed? **Options:** ##### Handled verbally **Score:** 0 ##### Recorded, no root cause method **Score:** 1 ##### Recorded with root cause, closure often late **Score:** 2 ##### Recorded, root cause analysed, effectiveness verified and trended **Score:** 3 #### How do you control document and record retention for product records? **Options:** ##### No defined retention **Score:** 0 ##### Retention defined but not followed **Score:** 1 ##### Followed for paper records, digital is uneven **Score:** 2 ##### Defined, enforced and retrievable on demand for any order **Score:** 3 #### How often do you run internal audits and management review? **Options:** ##### Not yet **Score:** 0 ##### Only before external audits **Score:** 1 ##### Annually, with limited follow up **Score:** 2 ##### Planned by risk, findings tracked to closure, reviewed by management **Score:** 3 #### How ready is your product data book package generation? **Options:** ##### Assembled by hand at the end **Score:** 0 ##### Template exists, data is gathered manually **Score:** 1 ##### Partly generated from ERP records **Score:** 2 ##### Generated from controlled records and checked before release **Score:** 3 **Bands:** #### Early stage **Min:** 0 **Max:** 30 **Verdict:** Significant gaps in the basics. An external audit now would likely produce major findings. **Recommendations:** - Obtain the current standard and map each clause to a procedure owner. - Start with supplier control, traceability and calibration records. - Plan a gap assessment before booking the certification audit. #### Building **Min:** 31 **Max:** 60 **Verdict:** Core processes exist but are not consistently controlled or evidenced. **Recommendations:** - Close gaps in special process and calibration tracking first. - Move paper records that auditors sample into controlled systems. - Run a full internal audit against the standard and track findings to closure. #### Nearly ready **Min:** 61 **Max:** 85 **Verdict:** A solid base with a few weak areas. Targeted work should get you audit ready. **Recommendations:** - Test traceability with a mock recall on a recent order. - Check effectiveness of corrective actions, not just closure dates. - Run a management review with real data before the audit. #### Audit ready **Min:** 86 **Max:** 100 **Verdict:** Controls look mature and well evidenced. Keep them current and sample records regularly. **Recommendations:** - Maintain the internal audit schedule and trend findings. - Automate data book generation from ERP records where you can. - Review customer specific requirements that go beyond the standard. ## Content **Intro:** API Spec Q1 and ISO 29001 are the quality management standards for the petroleum, petrochemical and natural gas industries, and many wellhead, valve and pressure equipment customers expect them. This ten question assessment shows where your system and records are strong and where an auditor is likely to dig. **Sections:** #### How to use the assessment **Body:** Answer for how things work today, not how the procedure says they should. Ask the people who run the process, such as the receiving inspector or the welding coordinator, rather than answering alone. The score is converted to a percentage and mapped to a readiness band with recommendations. Export the result and use it as the starting point for a formal gap assessment or an internal audit plan. #### What the standards are about **Body:** API Q1 and ISO 29001 build on the ISO 9001 quality management structure and add requirements specific to the industry, such as stricter control of design, purchased product, special processes, traceability, calibration and records. The details and the clause numbers are in the standards themselves. Certification is by an accredited body, and API Q1 is also the basis for use of the API Monogram where a license applies. #### Where audits find problems **Body:** Auditors tend to follow a product through the process and sample the records. Gaps appear in supplier evaluation, missing or late calibration, expired welder or NDE qualifications, nonconformances closed without root cause, and records that cannot be found. These are all data problems as much as procedure problems, and an ERP with controlled holds, expiry dates and traceability closes many of them by design. **Bullets:** - Supplier approval and review cycle evidence - Calibration due dates and impact review - Welder and NDE personnel qualification expiry - Corrective action effectiveness checks #### Common mistakes **Body:** The most common mistake is writing procedures to satisfy the standard and then running the shop differently. Another is preparing only in the weeks before the audit. Treat the standard as the way the plant operates, keep records as work happens, and make the internal audit program real. Also check customer specific requirements, which often add to the standard. **Cta:** If many of your gaps are in records and traceability, we can help review how your ERP data supports them. We do not certify; that is done by an accredited body. **Faq:** #### What is the difference between API Q1 and ISO 29001? **Answer:** Both are quality management standards for the petroleum, petrochemical and natural gas industries. API Q1 is published by the American Petroleum Institute and is linked to the API Monogram program, while ISO 29001 is the ISO sector standard. Their requirements are closely related but not identical. #### Do I need ISO 9001 first? **Answer:** The sector standards include the ISO 9001 based requirements plus sector additions, so you do not need a separate ISO 9001 certificate in principle. Many companies hold both. Check what your customers and certification body require. #### Does this assessment guarantee certification? **Answer:** No. It is a self assessment to highlight likely gaps. Certification depends on an audit by an accredited body against the current standard, and the outcome depends on your actual evidence. #### How long does preparation take? **Answer:** It varies widely with the starting point, size and existing ISO 9001 maturity. A company with a working ISO 9001 system and good records may need months of targeted work, while a company starting from scratch needs longer. A formal gap assessment gives a realistic plan. ## Search terms API Q1 readiness checklist, ISO 29001 audit preparation, API Q1 gap assessment, API Spec Q1 requirements, oil and gas quality management system, API monogram audit preparation, ISO 29001 vs ISO 9001, API Q1 self assessment --- Talk to an engineer: https://netray.co/contact?intent=erp_ai | Machine catalog: https://netray.co/agent/catalog.json