API SPECIFICATION Q2
Service Quality Management System
COMPLETE AUDIT CHECKLIST
For Oil & Gas Service Company Quality Management Audits
AUDIT INFORMATION
Organization / Company:
Facility / Location:
Audit Date(s):
Lead Auditor:
Audit No.:
Audit Team Members:
Scope of Audit:
API Q2 Edition:
1st Edition (2015) / 2nd Edition
Document Rev.:
CONFORMANCE RATING LEGEND
C — Conforming
Requirement fully met with adequate objective evidence.
NC — Non-Conforming
Requirement not met or evidence insufficient.
N/A — Not Applicable
Clause does not apply; justification required.
OFI — Opportunity
Improvement opportunity noted (not a finding).
SECTION 4 — Context of the Organization
These requirements address how the organization understands its operational context, identifies stakeholders, and defines the scope of its Quality Management System in the context of oil & gas service activities.
4.1 — Understanding the Organization and Its Context
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
4.1.1
The organization has determined external and internal issues relevant to its purpose that affect its ability to achieve intended QMS outcomes.
Review documented context analysis (SWOT, PESTLE, or equivalent). Confirm issues are relevant to O&G service activities.
C / NC / N/A
☐
4.1.2
Issues include those related to the oil & gas industry environment: regulatory changes, technology developments, market conditions, and HSE risks.
Interview management; verify issues include sector-specific factors such as well integrity, HSE regulations, operator requirements.
C / NC / N/A
☐
4.1.3
The organization monitors and reviews information about external and internal issues at defined intervals.
Check review records, management review minutes, or dashboard reports for evidence of periodic update.
C / NC / N/A
☐
4.1.4
Risk and opportunities arising from the organizational context are fed into QMS planning processes.
Trace context issues to risk register or opportunity log; confirm linkage to QMS objectives.
C / NC / N/A
4.2 — Understanding the Needs and Expectations of Interested Parties
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
4.2.1
Interested parties relevant to the QMS have been determined (customers, regulators, employees, contractors, community).
Review stakeholder register or equivalent document. Confirm O&G operators, OEMs, HSE regulators are included.
C / NC / N/A
☐
4.2.2
Relevant requirements of each interested party have been identified and documented.
Verify requirements are captured per party: API Q2, ISO standards, customer-specific requirements, regulatory mandates.
C / NC / N/A
☐
4.2.3
The organization monitors and reviews information about interested parties and their relevant requirements.
Check review cycle; confirm updates occur when regulations or customer requirements change.
C / NC / N/A
4.3 — Determining the Scope of the QMS
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
4.3.1
The scope of the QMS has been determined considering external/internal context, interested party requirements, and products/services offered.
Review scope statement; verify it covers all applicable O&G service lines (e.g., well services, equipment rental, inspection).
C / NC / N/A
☐
4.3.2
The scope document specifies the products and services covered and any exclusions, with justification.
Confirm exclusions are legitimate (e.g., design if not performed) and documented with rationale.
C / NC / N/A
☐
4.3.3
The scope is available and maintained as documented information.
Verify scope is controlled, dated, and accessible to relevant personnel.
C / NC / N/A
4.4 — QMS Processes
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
4.4.1
The organization has established, implemented, maintained, and continually improved the QMS, including processes and interactions needed.
Verify a process map or turtle diagram exists identifying inputs, outputs, resources, responsibilities, and KPIs.
C / NC / N/A
☐
4.4.2
Process owners are identified for each QMS process.
Check process ownership assignments; verify owners understand their responsibilities.
C / NC / N/A
☐
4.4.3
Risks and opportunities are determined for each QMS process and addressed in process planning.
Confirm process-level risk assessments exist and link to corrective/preventive actions.
C / NC / N/A
☐
4.4.4
Documented information supports the operation and control of QMS processes.
Verify procedures, work instructions, and records exist for key service processes.
C / NC / N/A
SECTION 5 — Leadership
5.1 — Leadership and Commitment
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
5.1.1
Top management demonstrates leadership and commitment to the QMS by taking accountability for its effectiveness.
Interview top management; review management review records and communication to staff.
C / NC / N/A
☐
5.1.2
Top management ensures quality policy and objectives are established and compatible with the organizational context.
Review quality policy; verify it is signed, dated, and communicated by top management.
C / NC / N/A
☐
5.1.3
Top management ensures integration of QMS requirements into business processes.
Confirm QMS requirements are embedded in planning, budgeting, and project execution processes.
C / NC / N/A
☐
5.1.4
Top management promotes use of the process approach and risk-based thinking.
Verify process approach is understood at all levels; check training records.
C / NC / N/A
☐
5.1.5
Top management communicates the importance of effective quality management and conformity to QMS requirements.
Review meeting minutes, toolbox talks, newsletters, or other communication vehicles for quality messaging.
C / NC / N/A
☐
5.1.6
Top management ensures the QMS achieves its intended results.
Review KPI performance data and management review outputs against objectives.
C / NC / N/A
☐
5.1.7
Top management supports and directs persons to contribute to QMS effectiveness.
Confirm personnel have authority and resources to implement improvements.
C / NC / N/A
☐
5.1.8
Top management promotes continual improvement.
Review improvement projects, corrective actions, and lessons-learned programs.
C / NC / N/A
☐
5.1.9
Top management supports other relevant management roles to demonstrate their leadership in their areas.
Verify department/functional managers actively participate in QMS activities.
C / NC / N/A
5.2 — Quality Policy
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
5.2.1
The quality policy is appropriate to the purpose and context of the organization and supports strategic direction.
Review policy against the organization's O&G service activities and strategic plan.
C / NC / N/A
☐
5.2.2
The quality policy provides a framework for setting quality objectives.
Confirm objectives are traceable to policy commitments.
C / NC / N/A
☐
5.2.3
The quality policy includes commitment to satisfy applicable requirements and to continual improvement.
Verify policy text explicitly references compliance and improvement commitment.
C / NC / N/A
☐
5.2.4
The quality policy is available as documented information, communicated, understood, and applied within the organization.
Check availability (posted, intranet); test personnel understanding via interviews.
C / NC / N/A
☐
5.2.5
The quality policy is available to interested parties as appropriate.
Confirm policy is available on request to customers and regulators.
C / NC / N/A
5.3 — Organizational Roles, Responsibilities, and Authorities
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
5.3.1
Roles, responsibilities, and authorities relevant to the QMS are assigned, communicated, and understood.
Review org chart, job descriptions, and responsibility matrices (RACI).
C / NC / N/A
☐
5.3.2
A management representative (or equivalent) is designated with responsibility for the QMS.
Confirm appointment letter or equivalent; verify the role includes reporting QMS performance and promoting awareness.
C / NC / N/A
☐
5.3.3
Responsibilities for ensuring product/service conformance are clearly defined.
Verify inspection, release, and acceptance authority is documented and understood.
C / NC / N/A
☐
5.3.4
Responsibilities for reporting QMS performance to top management are defined.
Check management review schedule and reporting chain; verify data flows to top management.
C / NC / N/A
SECTION 6 — Planning
6.1 — Actions to Address Risks and Opportunities
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
6.1.1
The organization has identified risks and opportunities relating to QMS context and interested party requirements.
Review risk register or risk assessment documentation; confirm O&G-specific risks are included (e.g., well control, HSE incidents, supply chain failure).
C / NC / N/A
☐
6.1.2
Actions have been planned to address risks and opportunities, integrated into QMS processes.
Verify action plans exist; confirm risk controls are embedded in SOPs and work instructions.
C / NC / N/A
☐
6.1.3
Risks are evaluated for potential impact and likelihood; prioritization is documented.
Check risk matrix or scoring methodology; confirm high risks have robust mitigation plans.
C / NC / N/A
☐
6.1.4
Actions taken are evaluated for their effectiveness.
Review closed risk action items; verify effectiveness checks are performed.
C / NC / N/A
☐
6.1.5
Risk-based thinking is applied across the QMS including at process level.
Confirm process owners conduct risk assessments; verify linkage to corrective actions.
C / NC / N/A
6.2 — Quality Objectives and Planning to Achieve Them
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
6.2.1
Quality objectives are established at relevant functions, levels, and processes.
Review objective register; confirm objectives cover operations, support, and management functions.
C / NC / N/A
☐
6.2.2
Quality objectives are measurable, consistent with the quality policy, and monitored.
Verify each objective has a KPI, target, baseline, and measurement method.
C / NC / N/A
☐
6.2.3
Plans for achieving quality objectives include: what will be done, resources required, responsible persons, completion date, and how results will be evaluated.
Review objective action plans for completeness against the five plan elements.
C / NC / N/A
☐
6.2.4
Quality objectives are updated when context changes and at management review.
Check management review outputs for objective review and update records.
C / NC / N/A
6.3 — Planning of Changes
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
6.3.1
Changes to the QMS are carried out in a planned manner.
Review change management procedure; verify changes require documented evaluation before implementation.
C / NC / N/A
☐
6.3.2
Change planning considers: purpose and consequences, integrity of QMS, availability of resources, allocation of responsibilities.
Confirm change request forms include assessment of these four elements.
C / NC / N/A
☐
6.3.3
Emergency or unplanned changes are reviewed and documented after the fact.
Check procedure for handling urgent changes; review at least one recent example.
C / NC / N/A
SECTION 7 — Support
7.1 — Resources
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
7.1.1
Resources needed for the QMS are determined, provided, and maintained.
Review resource planning records, budget allocations, and staffing plans for QMS activities.
C / NC / N/A
☐
7.1.2
Human resources include persons necessary for effective implementation and operation of the QMS.
Verify staffing levels and competency requirements are defined and met.
C / NC / N/A
☐
7.1.3
Infrastructure (facilities, equipment, utilities, IT) necessary for process operation is determined and maintained.
Review equipment lists, calibration records, facility maintenance logs, and IT system availability.
C / NC / N/A
☐
7.1.4
Environment for the operation of processes (physical, social, psychological) is determined and managed.
Confirm workplace conditions are addressed in HSE plans and quality procedures.
C / NC / N/A
☐
7.1.5
Monitoring and measuring resources are adequate, maintained, and suitable for use.
Inspect calibration records for measuring equipment; verify traceability to national/international standards.
C / NC / N/A
☐
7.1.6
Organizational knowledge is determined, maintained, and made available.
Review knowledge management system, lessons-learned database, and retention plans for key personnel.
C / NC / N/A
7.2 — Competence
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
7.2.1
Competence requirements are determined for persons affecting QMS performance and conformity of products/services.
Review job descriptions and competency matrices for all QMS-relevant roles.
C / NC / N/A
☐
7.2.2
Personnel are competent based on education, training, or experience.
Verify training records, qualifications, and certifications (e.g., API, IADC, IWCF) for key roles.
C / NC / N/A
☐
7.2.3
Where applicable, actions are taken to acquire necessary competence and their effectiveness is evaluated.
Review training needs analysis; check evaluation records for completed training.
C / NC / N/A
☐
7.2.4
Competency records are documented, up-to-date, and retained.
Verify records exist for all personnel with QMS responsibilities; check expiry management.
C / NC / N/A
☐
7.2.5
Third-party and contractor personnel competence is verified before deployment.
Review sub-contractor qualification records and pre-job competency checks.
C / NC / N/A
7.3 — Awareness
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
7.3.1
Persons are aware of the quality policy and their contribution to QMS effectiveness.
Interview a sample of personnel at various levels; confirm awareness of policy and individual impact.
C / NC / N/A
☐
7.3.2
Persons are aware of relevant quality objectives.
Verify personnel can identify objectives relevant to their role.
C / NC / N/A
☐
7.3.3
Persons are aware of the implications of not conforming to QMS requirements.
Check awareness training records; conduct interviews to verify understanding of consequences.
C / NC / N/A
7.4 — Communication
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
7.4.1
Internal and external communications relevant to the QMS are determined, including: what, when, with whom, how, and who communicates.
Review communication matrix or plan; verify it covers O&G operator interfaces, regulatory bodies, and subcontractors.
C / NC / N/A
☐
7.4.2
Communication channels are established and functioning.
Verify meeting structures, reporting templates, and escalation pathways are documented and in use.
C / NC / N/A
☐
7.4.3
Communications with customers and regulators are managed and recorded.
Sample customer correspondence files; verify regulatory submissions are tracked and acknowledged.
C / NC / N/A
7.5 — Documented Information
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
7.5.1
The QMS includes all documented information required by API Q2 and determined by the organization as necessary.
Review document register against API Q2 requirements; confirm all mandatory documents are present.
C / NC / N/A
☐
7.5.2
Documented information is created and updated with appropriate identification, format, and review/approval.
Verify documents carry revision number, date, author, and approver signature.
C / NC / N/A
☐
7.5.3
Documents are controlled to ensure availability, suitability, and protection.
Check document control procedure; verify access controls and version management are in place.
C / NC / N/A
☐
7.5.4
Documented information of external origin is identified and controlled.
Confirm customer requirements, regulatory standards, and OEM manuals are listed and current.
C / NC / N/A
☐
7.5.5
Records (retained documented information) are protected from unintended alteration and loss.
Review records retention schedule; verify backup procedures and storage security.
C / NC / N/A
☐
7.5.6
Electronic documents and records are backed up and protected from loss.
Check IT backup policy; verify backups are tested periodically.
C / NC / N/A
SECTION 8 — Operation
8.1 — Operational Planning and Control
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
8.1.1
Processes are planned, implemented, controlled, and maintained to meet requirements for service realization.
Review service delivery procedures; confirm they address planning, execution, inspection, and handover.
C / NC / N/A
☐
8.1.2
Criteria for processes and acceptance of products and services are established.
Verify acceptance criteria are documented in work orders, job packages, or engineering drawings.
C / NC / N/A
☐
8.1.3
Resources needed for the operational processes are determined.
Confirm resource lists (personnel, equipment, tools) are part of job planning documentation.
C / NC / N/A
☐
8.1.4
Process outputs are controlled; records are maintained to demonstrate conformance.
Sample completed job records; verify all required signatures, inspection results, and test data are present.
C / NC / N/A
☐
8.1.5
Changes to operational processes are controlled; unintended consequences are addressed.
Review management of change records for operational process changes.
C / NC / N/A
☐
8.1.6
Outsourced processes are identified and controlled.
Verify subcontractor agreements include QMS requirements; review performance monitoring records.
C / NC / N/A
8.2 — Requirements for Products and Services
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
8.2.1
Customer communication includes: information about products/services, enquiries, contracts, customer feedback, and handling of complaints.
Review customer communication procedures and sample correspondence files.
C / NC / N/A
☐
8.2.2
Requirements for products and services to be offered to customers are determined, including legal/regulatory requirements.
Verify product/service specifications are documented and include applicable API, NACE, ASTM, and regulatory standards.
C / NC / N/A
☐
8.2.3
The organization reviews requirements before committing to supply products/services to the customer.
Check contract/tender review records; verify sign-off by authorized personnel before commitment.
C / NC / N/A
☐
8.2.4
Changes to requirements are confirmed, documented, and communicated to relevant persons.
Review amendment records; verify change notifications are sent to all affected functions.
C / NC / N/A
☐
8.2.5
Service-level agreements and KPIs with customers are established and tracked.
Confirm SLAs or contract KPIs exist; review performance data against targets.
C / NC / N/A
8.3 — Design and Development (if applicable)
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
8.3.1
A design and development process is established, implemented, and maintained where products/services are designed.
Verify scope includes or excludes design; if included, review the D&D procedure.
C / NC / N/A
☐
8.3.2
Design and development planning considers: stages, reviews, verification, validation, responsibilities, and customer/regulatory inputs.
Review D&D plan templates; confirm all required elements are addressed.
C / NC / N/A
☐
8.3.3
Design inputs (functional requirements, legal requirements, previous design information, failure modes) are determined.
Check design input records; verify technical basis documents or basis of design are maintained.
C / NC / N/A
☐
8.3.4
Design outputs meet input requirements; outputs are suitable for subsequent service provision.
Review design output documents (drawings, specifications, test plans); verify traceability to inputs.
C / NC / N/A
☐
8.3.5
Design reviews are performed at defined stages.
Check design review meeting minutes; verify attendance by competent reviewers and sign-off.
C / NC / N/A
☐
8.3.6
Design verification is performed to ensure outputs have met input requirements.
Review verification test records, calculations, or analysis reports.
C / NC / N/A
☐
8.3.7
Design validation confirms the product/service meets requirements for the specified application.
Check field trial, pilot test, or customer acceptance records.
C / NC / N/A
☐
8.3.8
Design changes are identified, reviewed, controlled, and authorized.
Review design change notices (DCN/ECO); verify impact assessment and re-verification where required.
C / NC / N/A
8.4 — Control of Externally Provided Processes, Products, and Services
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
8.4.1
External providers are evaluated and selected based on their ability to supply in accordance with requirements.
Review supplier evaluation and selection procedure; confirm criteria include technical capability, QMS certification, and HSE performance.
C / NC / N/A
☐
8.4.2
An approved supplier/vendor list (ASL/AVL) is maintained and current.
Inspect ASL; verify last review date and re-qualification intervals are defined and met.
C / NC / N/A
☐
8.4.3
Requirements communicated to external providers include: processes, products/services, release criteria, and QMS requirements.
Review purchase orders or subcontract documents; confirm QMS and HSE clauses are included.
C / NC / N/A
☐
8.4.4
Verification activities are performed on externally provided items before use.
Check receiving inspection procedures and records; verify certificates of conformance are reviewed.
C / NC / N/A
☐
8.4.5
Critical subcontracted activities are monitored; performance is recorded and fed back to the supplier.
Review sub-contractor performance scorecards or audit reports; confirm feedback loop exists.
C / NC / N/A
☐
8.4.6
Nonconforming externally provided items are segregated and dispositioned.
Verify NCR process covers purchased materials; check recent NCRs involving suppliers.
C / NC / N/A
8.5 — Production and Service Provision
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
8.5.1
Service provision is carried out under controlled conditions: documented information, monitoring, measuring equipment, competent personnel, and infrastructure.
Verify job packages include all controlled-condition requirements; conduct field/workshop observation.
C / NC / N/A
☐
8.5.2
Unique identification and traceability are maintained throughout service provision where required.
Check traceability requirements in procedures; verify serial/lot numbers, certificates, and traveler cards are used.
C / NC / N/A
☐
8.5.3
Customer or external provider property is identified, protected, and safeguarded.
Review customer property procedure; check records of customer equipment handling and any losses.
C / NC / N/A
☐
8.5.4
Preservation of outputs is maintained to ensure conformity during service provision and delivery.
Check preservation procedures for equipment, chemicals, or sensitive items; verify storage conditions.
C / NC / N/A
☐
8.5.5
Post-delivery activities (warranty, end-of-life services) are addressed where required.
Review warranty/post-delivery procedure; confirm customer feedback from post-job surveys is collected.
C / NC / N/A
☐
8.5.6
Release of products and services to customers is authorized only after planned arrangements have been satisfactorily completed.
Verify release authority is defined; check release records for authorization signatures.
C / NC / N/A
8.6 — Special Processes (API Q2 Specific)
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
8.6.1
Special processes (welding, heat treatment, NDE, pressure testing, cementing, coiled tubing operations) requiring qualification are identified.
Review special process register; confirm all applicable O&G special processes are listed.
C / NC / N/A
☐
8.6.2
Personnel performing special processes are qualified per applicable codes (e.g., AWS, ASME, API 5L, CSWIP, PCN).
Verify qualification records and current certifications for special process personnel.
C / NC / N/A
☐
8.6.3
Equipment used in special processes is qualified, calibrated, and maintained.
Check equipment qualification records; verify calibration status is current.
C / NC / N/A
☐
8.6.4
Procedure Qualification Records (PQRs) and Welding Procedure Specifications (WPS) are available and approved.
Review PQR/WPS documentation; confirm code compliance and customer acceptance where required.
C / NC / N/A
☐
8.6.5
NDE procedures are qualified and personnel hold current Level II or III certifications.
Sample NDE personnel certificates; verify procedures reference applicable standards (ASNT SNT-TC-1A, EN ISO 9712).
C / NC / N/A
☐
8.6.6
Pressure testing is performed per documented procedures with calibrated gauges and certified test packs.
Review pressure test procedures and recent test records; verify MAWP, hold time, and acceptance criteria are documented.
C / NC / N/A
8.7 — Control of Nonconforming Outputs
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
8.7.1
Nonconforming products/services are identified and controlled to prevent unintended use or delivery.
Review NCR procedure; verify segregation, tagging, and hold area controls are in place.
C / NC / N/A
☐
8.7.2
Dispositions (rework, repair, reject, use-as-is, scrap) are documented and authorized.
Check NCR records; confirm dispositions are approved by authorized personnel (e.g., Quality Engineer, customer where required).
C / NC / N/A
☐
8.7.3
Reworked or repaired items are re-inspected to verify conformance before release.
Verify re-inspection records exist for reworked items; check acceptance criteria are met.
C / NC / N/A
☐
8.7.4
Nonconformances are analyzed for root cause and preventive action is initiated.
Review NCR-to-CAPA linkage; verify root cause analysis (5-Why, fishbone, FMEA) is performed for significant NCs.
C / NC / N/A
☐
8.7.5
Customers and/or regulatory bodies are notified of nonconformances affecting delivered products where required.
Check customer notification records; verify contractual and regulatory notification requirements are met.
C / NC / N/A
SECTION 9 — Performance Evaluation
9.1 — Monitoring, Measurement, Analysis, and Evaluation
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
9.1.1
What needs to be monitored and measured, methods, frequency, and when results will be analyzed are determined.
Review QMS monitoring plan or KPI register; verify coverage of process performance, product conformance, and customer satisfaction.
C / NC / N/A
☐
9.1.2
Customer satisfaction is monitored and the results are analyzed.
Review customer satisfaction survey results, complaint logs, and on-time delivery data.
C / NC / N/A
☐
9.1.3
Analysis and evaluation of QMS data is performed to assess conformance, trends, and effectiveness.
Check data analysis reports; verify statistical methods are used where appropriate.
C / NC / N/A
☐
9.1.4
Performance data includes: service conformance rates, NCR trends, supplier performance, audit results, and objective achievement.
Verify dashboard or performance report covers these data categories.
C / NC / N/A
☐
9.1.5
Equipment and measuring devices are identified, calibrated, and records maintained.
Review calibration program; check that all measurement equipment used for acceptance is included.
C / NC / N/A
9.2 — Internal Audit
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
9.2.1
Internal audits are conducted at planned intervals to determine if the QMS conforms to requirements and is effectively implemented.
Review annual audit schedule; verify all processes and clauses are covered within the audit cycle.
C / NC / N/A
☐
9.2.2
An audit program is established considering status, importance of processes, changes, and previous audit results.
Check audit program document; verify risk-based scheduling and rotation of audit focus areas.
C / NC / N/A
☐
9.2.3
Auditors are trained, qualified, and do not audit their own work.
Review auditor qualification records (e.g., ISO 9001 Lead Auditor, API Q2 auditor training); verify independence.
C / NC / N/A
☐
9.2.4
Audit reports are documented and provided to relevant management.
Sample audit reports; verify findings, observations, and corrective action requirements are clearly stated.
C / NC / N/A
☐
9.2.5
Corrective actions from audits are tracked to closure and verified.
Review CAR log; check that audit findings are closed within defined timeframes with evidence.
C / NC / N/A
☐
9.2.6
Audit records are maintained as documented information.
Verify audit plans, reports, and CAR records are filed and retained per the records retention schedule.
C / NC / N/A
9.3 — Management Review
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
9.3.1
Top management reviews the QMS at planned intervals to ensure continuing suitability, adequacy, effectiveness, and alignment with strategy.
Review management review schedule and meeting minutes; confirm top management attendance.
C / NC / N/A
☐
9.3.2
Management review inputs include: status of actions from previous reviews; external/internal issues; QMS performance data (CARs, NCRs, objectives, audit results, customer satisfaction); adequacy of resources; and risks and opportunities.
Check management review agenda and minutes for coverage of all required inputs per API Q2 Section 9.3.
C / NC / N/A
☐
9.3.3
Management review outputs include decisions and actions for improvement, resource needs, and changes to the QMS.
Verify action register from management review; confirm actions have owners and due dates.
C / NC / N/A
☐
9.3.4
Management review records are retained as documented information.
Confirm minutes are approved, signed, and retained; verify action items are tracked to closure.
C / NC / N/A
SECTION 10 — Improvement
10.1 — General
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
10.1.1
Improvement opportunities are determined and actions selected to meet customer requirements and enhance customer satisfaction.
Review improvement register; confirm links to customer feedback, audit findings, and data analysis.
C / NC / N/A
☐
10.1.2
Improvement includes reaction to nonconformities, corrective actions, and continual improvement.
Verify the improvement process encompasses reactive, proactive, and breakthrough improvement.
C / NC / N/A
10.2 — Nonconformity and Corrective Action
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
10.2.1
When a nonconformity occurs, the organization reacts, takes action to control and correct it, and deals with consequences.
Review CAR procedure; verify immediate containment steps are required and documented.
C / NC / N/A
☐
10.2.2
Root cause analysis is performed for nonconformities and corrective actions are implemented.
Sample CARs; verify root cause methods (5-Why, 8D, fishbone) are used and documented.
C / NC / N/A
☐
10.2.3
Corrective actions are appropriate to the effects of the nonconformity encountered.
Verify action plans address root cause, not just symptom; confirm actions prevent recurrence.
C / NC / N/A
☐
10.2.4
Effectiveness of corrective actions is verified.
Check effectiveness review records; confirm re-audit or trend data confirms resolution.
C / NC / N/A
☐
10.2.5
Changes to the QMS resulting from corrective actions are made where necessary.
Verify procedure/document updates are initiated when CARs reveal systemic issues.
C / NC / N/A
☐
10.2.6
CAR records are retained as documented information.
Confirm CAR system (electronic or paper) maintains full history; verify retention period meets requirements.
C / NC / N/A
☐
10.2.7
Trends in nonconformities are analyzed and reported to management.
Check trend analysis reports; verify pareto charts or trend graphs are reviewed at management review.
C / NC / N/A
10.3 — Continual Improvement
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
10.3.1
The organization continually improves the suitability, adequacy, and effectiveness of the QMS.
Review improvement projects list; verify measurable improvements have been achieved in the past 12 months.
C / NC / N/A
☐
10.3.2
Results of analysis and evaluation, and outputs of management review are used to identify areas for improvement.
Confirm improvement actions are linked to performance data and management review outputs.
C / NC / N/A
☐
10.3.3
Improvement methodology is defined and applied consistently.
Verify a recognized improvement methodology (PDCA, Six Sigma DMAIC, Lean) is used.
C / NC / N/A
API Q2 Specific Requirements — Oil & Gas Service Operations
API Q2 §A — Service Quality Plan (SQP)
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
SQP.1
A Service Quality Plan (SQP) is prepared for each contract/project as required by the customer or contract.
Review SQP template and completed SQPs; verify they reference API Q2 and customer specifications.
C / NC / N/A
☐
SQP.2
The SQP identifies the applicable codes, standards, regulations, and customer requirements.
Check SQP documents for complete reference to applicable standards (API, ISO, ASTM, NACE, OSHA, local regulations).
C / NC / N/A
☐
SQP.3
The SQP identifies inspection and test hold points, witness points, and review points.
Verify ITPs (Inspection & Test Plans) are included in or referenced by the SQP.
C / NC / N/A
☐
SQP.4
The SQP is reviewed and approved before service commencement.
Check approval signatures and dates; verify customer approval where contractually required.
C / NC / N/A
☐
SQP.5
SQPs are updated when scope or requirements change.
Review SQP revision history; confirm changes are re-approved.
C / NC / N/A
API Q2 §B — Management of Change (MOC)
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
MOC.1
A formal MOC procedure exists covering technical, organizational, and QMS changes.
Review MOC procedure; verify it is applicable to process, equipment, personnel, and QMS changes.
C / NC / N/A
☐
MOC.2
MOC requests are formally documented and include description, reason, risk assessment, and approval.
Sample recent MOC records; check all required fields are completed.
C / NC / N/A
☐
MOC.3
Risk assessment is performed for all changes before implementation.
Verify risk assessment methodology (e.g., HAZOP, bowtie, FMEA) is applied to MOC items.
C / NC / N/A
☐
MOC.4
Affected documents, procedures, and personnel are updated and notified following a change.
Check post-MOC document revision records and communication logs.
C / NC / N/A
☐
MOC.5
Emergency changes are documented retroactively within a defined timeframe.
Verify emergency MOC procedure; check examples of retroactive documentation.
C / NC / N/A
API Q2 §C — HSE Integration with QMS
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
HSE.1
HSE requirements are integrated into QMS processes and documentation.
Verify HSE requirements appear in job procedures, risk assessments, and competency requirements.
C / NC / N/A
☐
HSE.2
A stop-work authority (SWA) policy is established and communicated to all personnel.
Check SWA policy; interview field personnel to confirm they understand and are empowered to exercise SWA.
C / NC / N/A
☐
HSE.3
HSE incidents (near-misses, injuries, spills) are reported, investigated, and root-caused per documented procedure.
Review incident management procedure; sample recent incident investigation reports.
C / NC / N/A
☐
HSE.4
HSE performance data (TRIR, LTIR, near-miss frequency) is collected, trended, and reported to management.
Verify HSE KPI dashboard; confirm data is reviewed at management review.
C / NC / N/A
☐
HSE.5
Environmental management controls for oil & gas service activities (spill prevention, waste management, emissions) are documented.
Review environmental management plan or procedure; verify controls are implemented in the field.
C / NC / N/A
API Q2 §D — Equipment and Tool Management
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
ETM.1
An equipment register is maintained for all service-critical equipment.
Review equipment register; verify unique ID, description, calibration/maintenance due dates are current.
C / NC / N/A
☐
ETM.2
Preventive maintenance schedules are established and followed for service-critical equipment.
Check PM schedule compliance; review overdue maintenance items and justifications.
C / NC / N/A
☐
ETM.3
Equipment is inspected before deployment to the field.
Verify pre-job inspection checklists exist; sample completed pre-deployment inspection records.
C / NC / N/A
☐
ETM.4
Rental or leased equipment meets the same quality and safety requirements as owned equipment.
Review rental equipment qualification procedure; check certificates and inspection records for rented assets.
C / NC / N/A
☐
ETM.5
Defective equipment is tagged out, segregated, and cannot be released until repaired and re-inspected.
Verify LOTO/tagout procedure; check hold area management; sample repair-and-return records.
C / NC / N/A
API Q2 §E — Well Site and Field Operations Quality Controls
✓
Ref.
Requirement / Audit Item
Objective Evidence / Criteria
Conform.
Auditor Notes
☐
WS.1
Pre-job meetings (tailgate/toolbox) are conducted and documented before well site operations.
Review pre-job meeting records; verify attendees, agenda, risk review, and sign-off are included.
C / NC / N/A
☐
WS.2
Field supervisors are qualified and have documented authority to make quality decisions on-site.
Verify supervisor qualification records; check authority matrix for field quality decisions.
C / NC / N/A
☐
WS.3
Real-time job monitoring data is recorded and retained (e.g., pressure logs, pumping records, cement logs).
Sample job data records; verify real-time data is captured and stored per retention requirements.
C / NC / N/A
☐
WS.4
Post-job reports are completed, reviewed, and submitted to the customer within the defined timeframe.
Check post-job report template; review samples for completeness, accuracy, and timely submission.
C / NC / N/A
☐
WS.5
Lessons learned from well site operations are captured and fed into the QMS improvement process.
Review lessons-learned database; confirm field feedback is analyzed and actions tracked.
C / NC / N/A
Audit Summary and Closing Meeting Record
AUDIT SCORING SUMMARY
Category
# Items
# Conforming (C)
# Non-Conforming (NC)
Section 4 — Context
Section 5 — Leadership
Section 6 — Planning
Section 7 — Support
Section 8 — Operation
Section 9 — Performance
Section 10 — Improvement
API Q2 Specific Req.
TOTAL
FINDINGS REGISTER
No.
Ref. Clause
Finding Description
Classification (Major NC / Minor NC / OFI)
1
2
3
4
5
6
CLOSING MEETING SIGN-OFF
Lead Auditor Name & Signature:
Date:
Auditee Representative (Name & Title):
Signature:
Audit Result: ☐ Pass ☐ Conditional Pass ☐ Fail
Next Audit Due Date:
— END OF API SPEC Q2 SERVICE QUALITY MANAGEMENT SYSTEM AUDIT CHECKLIST —