Saep 1149

Engineering Procedure
SAEP-1149 28 November 2012

Assessment of Service Providers
Document Responsibility: Inspection Engineering Standards Committee
Saudi Aramco DeskTop Standards

Table of Contents
1 Scope…..…………………………….…………… 2
2 Purpose…………………………………….…….. 2
3 Applicable Documents...................................... 2
4 Abbreviations…………..…….………………...… 3
5 Definitions......................................................... 4
6 General.…………………………………….…….. 4
7 Instructions………………………….……………. 5
8 Responsibilities................................................. 8
Appendix A - Service Provider Assessment Flowchart..... 10

Appendix B - Corrective Action Request………..…...…… 11
Appendix C - Definition of Assessment Findings…..……. 12
Previous Issue: New Next Planned Update: 28 November 2017

Page 1 of 12
Primary contact: Kakpovbia, Anthony Eyankwiere on 966-3-8801772
Copyright©Saudi Aramco 2012. All rights reserved.

Document Responsibility: Inspection Engineering Standards Committee SAEP-1149
Issue Date: 28 November 2012
Next Planned Update: 28 November 2017 Assessment of Service Providers
1 Scope
1.1 This procedure defines the service providers’ assessment activities performed by
Inspection Assessment Unit (IAU) in planning, preparation, scheduling,
performing, reporting, and maintaining assessments for new and existing
inspection service providers.
1.2 It is applicable for the service providers having an inspection service contract
with Inspection Department.
1.3 Assessment of other service providers shall be requested in writing from the
Inspection Department Manager at least three (3) months before the assessment
required date. The request shall be supported by business need.
2 Purpose
The purpose of this SAEP is to:

a) Implement a consistent method for assessing service providers.
b) Ensure roles and responsibilities for service provider assessment team are well
defined and auditable.
c) Ensure effective implementation of Quality Management System in accordance
with ISO 9001 or equivalent.
d) Verify service providers’ compliance with the contractual requirements.
3 Applicable Documents
The service provider assessment shall comply with the latest edition of the references
listed below, unless otherwise noted.
3.1 Saudi Aramco References

7.0-WI-24-OID/NDTU Evaluation and Approval of NDT Service
Providers
7.5-WI-PID-BP&CTU-01 Batch / Precast Plant and Civil Testing
Laboratories Inspection Coverage
7.0-WI-01-OID/CIU Approval and Assessment of Elevating and Lifting
Equipment Inspection Service Providers
7.0-WI-02-OID/CIU Approval Requirements of Elevating and Lifting
Equipment Inspection Service Providers
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3.2 Industry Code and Standards

ISO 9000:2005 Fundamentals and Vocabulary
ISO 9001:2008 Quality Management System Requirements
ISO 17025:205 General Requirements for the Competence of
Testing and Calibration Laboratories
ISO 19011:2011 Guidelines for Auditing Management Systems
3.3 Saudi Aramco Standard Contracts

Schedule A - General Terms and Conditions
Schedule B - Job Specification
Schedule C - Contract Price and Payment Provisions
Schedule E - Settlement of Disputes, Arbitration, and Choice of Law
Schedule F - Taxes, Duties, and Related Obligations
Schedule G - Materials, Tools and Equipment
Schedule H - Special Terms and Conditions
Schedule Q - Project Quality Requirements
4 Abbreviations
ID Inspection Department
IAU Inspection Assessment Unit
BP Batch Plant
CAR Corrective Action Request
CTL Civil Testing Lab
E&LE Elevating & Lifting Equipment
GIS General Inspection Service
NDT Nondestructive Testing
OFI Opportunity for Improvement
QMS Quality Management System
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5 Definitions
Corrective Action: An action taken to eliminate the causes of any existing

nonconformity or other undesirable situation in order to prevent recurrence.
Finding: Results of the evaluation of the collected audit evidence against audit criteria.
Audit findings can indicate either conformity, nonconformity, or opportunities for
improvement.
Nonconformance: A nonfulfillment of specified requirements.
Opportunity For Improvement: An audit situation which does not rise to the level of
nonconformity but could result in a future nonconformance.
Quality Assessor: The individual responsible for leading the assessment team.
The quality assessor prepares the assessment plan, conducts the meetings, and submits
the formal assessment report.
Quality Manual: The document consisting of, or referring to the recorded quality
system procedure (s) intended for the overall planning and administration of activities
which impact the quality within an organization.
Quality Plan: The document setting out specific project organizations, interactions,
quality practices, resources and sequence of activities relevant to the contract.
Team: Saudi Aramco quality and technical assessors that participate in the service
provider assessment.
Technical Assessor: The individual responsible for the technical part of the
assessment. The technical assessor (Nondestructive Testing, Elevators and Lifting
Equipment, Civil Testing Lab, Batch Plants, General Inspection Services) mostly joins
the quality assessor to conduct the assessment.
6 General
6.1 Service providers’ assessments are yearly scheduled or may be prompted by

significant deficiencies or major changes in the service provider’s quality system.
6.2 Periodical assessments are performed once every year on approved service
providers to verify that the service provider maintains and continuously improve
an effective QMS.
6.3 Approved service providers list are maintained by IAU.
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6.4 Service Provider Types:

a) Batch Plants (BP): A manufacturing facility for producing paving
materials or ready mix concrete.
b) Elevators and Lifting Equipment (E&LE): A service provider to provide
inspection for any or all types of required elevators and lifting equipment.
c) General Inspection Services (GIS): A service provider to provide
inspection and assessment services for Saudi Aramco Capital Projects
during Design, Procurement and Construction.
d) Nondestructive Testing (NDT): A service provider to perform
conventional or advance nondestructive testing for Saudi Aramco Projects.
e) Civil Testing Lab (CTL): A service provider as certified to ISO 17025 to
perform civil material testing & calibration for Saudi Aramco projects.
7 Instructions
7.1 IAU shall nominate and assign the service provider(s) to qualified and
competent assessor to conduct the assessment. Quality Assessor should have
successfully completed a 5-days quality management system lead auditor course
from an accredited training service provider and passed the examination.
7.2 The quality assessor is responsible for leading, planning, coordinating, evaluating,
reporting and follow-up throughout the assessment. Quality Assessor shall be
placed as single point of contact. Additional assessors may be assigned to the
assessment team depending on the assessment objective. The following six
assessment phases should be followed:
a) Initiating the assessment
b) Conducting the document review
c) Preparing for the on-site assessment
d) Conducting on-site assessment
e) Reporting assessment results
f) Conducting follow-up activities
7.3 Planning, Preparation, and Scheduling Assessment
7.3.1 IAU shall establish and maintain the schedule of the annual service
providers’ assessment.
7.3.2 The Quality Assessor shall prepare an assessment plan and coordinate
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with the other team members participating in the assessment regarding

their area of responsibilities and other activities as required.
7.3.3 The Quality Assessor shall notify the service providers for the
assessment in writing far enough in advance prior to the scheduled
assessments but not less than two weeks.
7.3.4 The Quality Assessor will receive and review the Service Provider’s
QMS documentation in order to become thoroughly familiar with the
service provider QMS prior to the assessment.
7.3.5 For all evaluations, other than new service provider, the quality assessor
shall review the service provider’s records from previous evaluations.
7.4 Conducting Service Provider Assessment
7.4.1 The Quality Assessor will act as a team leader and be responsible for
coordinating the team evaluation activities at the service provider’s
location.
7.4.2 Upon arrival at the site, the Quality Assessor shall conduct an opening
meeting. The purpose of the opening meeting is to:
a) Introduce the members of the assessment team.
b) Review the scope and the objectives of the assessment.
c) Provide a short summary of the methods and procedures to be used
to conduct the assessment.
d) Establish the official communication links between the assessment
team and the assessed party.
e) Confirm that the resources and facilities needed by the assessment
team are available.
f) Confirm the time and date for the closing meeting and any interim
meetings of assessment team and the assessed party management.
7.4.3 The recommended method to carryout ISO 9001 assessment is to use the
process approach, checklist; however, a combination of process approach
and checklist can also be used.
7.4.4 Objective evidence shall be collected through interviews, examination of

documents and observations of activities in the area of concern. Areas
suggesting non-conformities should be further investigated and
documented.
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7.4.5 Prior to the closing meeting with the service providers, the Quality
Assessor coordinates with the team members to review and categorize
the evaluation outcome (Nonconformance or OFI) and agree on the
content of the preliminary verbal briefing to the vendor’s management
representatives in the closing meeting.
7.4.6 The assessment team shall hold a closing meeting with the assessed
party's management and those responsible for the functions concerned.
Name of the attendees shall be logged.
7.4.7 The main purpose of this meeting is to present the assessment findings to
the assessed party's management to ensure that assessment findings are
clearly understood. The findings shall be classified per Appendix C.
7.4.8 The time frame of submitting corrective action and implementation shall
be agreed upon and doucmentedd during the closing meeting with the
auditee.
7.4.9 The assessment team is not allowed to inform the service provider with
regards the approval/disapproval decision.
7.5 Reporting Service Provider Assessment
7.5.1 The Quality Assessor shall consolidate the team members’ assessment
inputs and other feedbacks and submit the assessment report to the
IAU Supervisor for approval and dissemination. As a minimum, the
assessment report shall include the following information:
a) Executive summary.
b) Assessment dates.
c) Assessment purpose.
d) Assessment scope
e) Persons contacted during the assessment.
f) Details of assessment findings
g) Corrective actions and the agreed on time frame.
7.5.2 Requests for corrective action shall be documented on CAR form

(Appendix B) and attached to the Assessment Report.
7.5.3 Copies of all assessment reports and CARs shall be maintained by IAU
in the ID shared folder for up to five years.
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7.6 Follow-Up Assessment
7.6.1 When corrective action is required by the service provider, the action
taken by the service provider shall be documented on the CAR
(Appendix B) and returned to the Quality Assessor within the agreed
time frame.
7.6.2 Depending on the magnitude of the assessment findings, follow-up visits

may be required upon receipt and review of the contractor's corrective
action.
7.7 Assessment Conclusion
7.7.1 The decision shall be made to “continue the service” or “put on hold” a
Saudi Aramco approved service provider as established in the work
instructions referenced in Section 3.
7.7.2 The decision shall be made to accept the new service provider and
provide proper guidance for them to succeed or reject there request and
provide proper advice as established in the work instructions referenced
in Section 3.
8 Responsibilities
8.1 IAU Supervisor responsibilities are as follows:

a) Receive service providers’ evaluation requests and assign it to the
Assessment Group Leader.
b) Continuously monitoring the status of all service providers’ assessments
assigned to the IAU unit.
c) Authorize any schedule deviations in the service providers’ yearly schedule.
d) Approve the final assessment report prior to release.
8.2 Assessment Group Leader responsibilities are as follows:

a) Administer and coordinate the service providers’ assessments.
b) Prepare and maintains the list of assessments scheduled during a calendar
year.
c) Form assessment team which consists of Quality Assessor and technical
assessor(s).
d) Coordinate changes and/or additions to the assessments with Quality
Assessors.
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e) Identify service providers that are due for assessments.

f) Review and finalize service providers assessment reports.
g) Follow up on closure of the issued CARs and provide weekly and monthly
status reports.
8.3 Quality Assessor responsibilities are as follows:

a) The Quality Assessor is responsible for all phases of the assessment and
has the authority to make final decisions regarding the conduct of the
assessment and any findings. He represents the assessment team with
service providers’ management.
b) The Quality Assessor defines the assessment requirements for team
members, prepares the assessment plan, briefs the assessment team, reports
critical nonconformities to the assessed party immediately, reports any
major obstacles encountered during the assessment and reports on the
assessment results upon completion of the assessment.
c) The Quality Assessor is responsible for coordinating with the technical
assessor(s) for assessment.
d) Submit the assessment report and CARs within two weeks of completion
of the assessment to the Assessment Group Leader.
8.4 Assessment Team responsibilities are as follows:

a) The assigned assessors shall familiarize themselves with the assessment
requirements and prepare appropriate working documents and checklists
within their area of responsibility to meet the assessment objectives.
b) Each assessor shall prepare a list of findings and appropriate CAR for his
area of responsibility and forward them to the Quality Assessor.
Revision Summary
28 November 2012 New Saudi Aramco Engineering Procedure.
Page 9 of 12
Appendix A - Service Provider Assessment Flowchart
Evaluaiton Request Received
Plan Service Providers

Assessment
By Assessment Group Leader
Receive Service Providers Send Technical

Documentation or CARs Documentation or CARs
Send Assessment By Quality Assessor To Technical Assessor
Report with
Request for
Review Service Providers
Correctiv Action Review Service
QMS Documentation or
QMS CARs Providers Technical
By Quality Assessor Documentation or
Technical CARs
By Technical Assessor
Conduct Team Assessment
or Follow-Up
Evaluation
No
Satisfactory
Yes
Send Assessment report /

Closure Letter
Assessment Completed
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Appendix B - Corrective Action Request
Saudi Aramco Inspection Department

CORRECTIVE ACTION REQUEST
8.5-F-01-ID (12/12)
Organization: Assessment Report Number:
Location: CAR Number:
Process Audited: Assessment Date(s):
Quality Manager / QMR : Assessment Team Leader:
Nonconformity:
Requirement:
Agreed Implementation Date:
Issued by: Date Signature:
Acknowledged by: Date: Signature:
PROPOSED ACTIONS
Correction:
Root Cause:
Action to prevent re-occurrence :
Implementation Date:
Quality Manager / QMR : Date: Signature:
IAU FOLLOW-UP ACTIONS

Are Actions Taken □ Yes □ No
Acceptable? …………………………………………………………………………………………
…………………………………………………………………………………………
………………………………………………………………………………………….
Verified by: Date: Signature:
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Appendix C - Definition of Assessment Findings
Category of Assessment Findings Description
1. Non Conformance (NC): Examples of Nonconformance:
a. Critical NC: Non-fulfilled Multiple 1. Violation of mandatory international

requirements, service deviation from standard.
the requirements, total breakdown of
the QMS that put the quality and 2. Violation of company quality manual.
integrity of the service provider at
risk. 3. Violation of company procedures and
work instructions.
b. Major NC: Non-fulfilled some
requirements, significant deviation 4. Violation of customer standards.
from the requirements that reduce the 5. Violation of project specific specification.
usability of the service for its
intended purpose. 6. Violation of approved drawings.
c. Minor NC: A small gap in the 7. Violation of contractual Requirements.
requirements that do not significantly
impact the usability of service. 8. Violation of safety requirements, …etc.
2. Opportunity for Improvement (OFI): Examples of OFI:
An item of evidence found that does not 1. Best practices

rise to the level of nonconformity but
which, if left alone, could result in a 2. Lesson learns
future non-conformance.
3. Quality alerts …etc.
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Engineering Procedure

SAEP-1149 28 November 2012

Saudi Aramco DeskTop Standards

Appendix A - Service Provider Assessment Flowchart..... 10

Previous Issue: New Next Planned Update: 28 November 2017

Copyright©Saudi Aramco 2012. All rights reserved.

The purpose of this SAEP is to:

3.1 Saudi Aramco References

3.2 Industry Code and Standards

3.3 Saudi Aramco Standard Contracts

Corrective Action: An action taken to eliminate the causes of any existing

Nonconformance: A nonfulfillment of specified requirements.

6.1 Service providers’ assessments are yearly scheduled or may be prompted by

6.3 Approved service providers list are maintained by IAU.

6.4 Service Provider Types:

7.3 Planning, Preparation, and Scheduling Assessment

with the other team members participating in the assessment regarding

7.4 Conducting Service Provider Assessment

7.4.4 Objective evidence shall be collected through interviews, examination of

7.5 Reporting Service Provider Assessment

7.5.2 Requests for corrective action shall be documented on CAR form

7.6 Follow-Up Assessment

7.6.2 Depending on the magnitude of the assessment findings, follow-up visits

7.7 Assessment Conclusion

8.1 IAU Supervisor responsibilities are as follows:

8.2 Assessment Group Leader responsibilities are as follows:

e) Identify service providers that are due for assessments.

8.3 Quality Assessor responsibilities are as follows:

8.4 Assessment Team responsibilities are as follows:

Appendix A - Service Provider Assessment Flowchart

Evaluaiton Request Received

Plan Service Providers

Receive Service Providers Send Technical

Send Assessment report /

Appendix B - Corrective Action Request

Saudi Aramco Inspection Department

Agreed Implementation Date:

Issued by: Date Signature:

Acknowledged by: Date: Signature:

Action to prevent re-occurrence :

Quality Manager / QMR : Date: Signature:

IAU FOLLOW-UP ACTIONS

Appendix C - Definition of Assessment Findings

Category of Assessment Findings Description

1. Non Conformance (NC): Examples of Nonconformance:

a. Critical NC: Non-fulfilled Multiple 1. Violation of mandatory international

2. Opportunity for Improvement (OFI): Examples of OFI:

An item of evidence found that does not 1. Best practices

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