GL-OED-5.1.4-001 OE Self Assessment Guide Rev.7.0

Saudi Aramco
Operational Excellence
Self- Assessment Guide

April 2021
Saudi Aramco: Company General Use

Table of Contents
1 Preface ............................................................................................................................... 3
2 Introduction ....................................................................................................................... 4
2.1 Overview of OE ................................................................................................................ 4
2.2 OE Self-Assessment Overview ......................................................................................... 4
2.3 Objectives, Principles and Success Factors in Assessment .............................................. 6
3 Assessment Methodology ................................................................................................... 8

3.1 Overview .......................................................................................................................... 8
3.2 Assessment Methodology for Implementation Status (Enabling
Elements) ......................................................................................................................... 8
3.3 Assessment Methodology for OE Performance Status (Focus Areas) ........................... 11
3.4 Methodology for Calculating Final Scores ..................................................................... 11
4 Self-Assessment Processes ................................................................................................ 15

4.1 Overview ........................................................................................................................ 15
4.2 Objectives and Deliverables........................................................................................... 15
4.3 Assessment Process Steps ............................................................................................. 16
5 Assessment Resources ...................................................................................................... 23

5.1 Assessment Scheduling .................................................................................................. 23
5.2 OE Self-Assessment Team Composition ........................................................................ 23
5.3 Assessment Entity Roles and Responsibilities ............................................................... 24
Page | 2 Saudi Aramco: Company General Use GL-OED-5.1.4-001 Rev.7

1 Preface
Purpose
The purpose of this document is to communicate methods, practice, process, roles and responsibilities in Self-
Assessment of Operational Excellence (OE).
References
Reference should be made to the following documents, which provide background information for OE System
implementation:
• CP-46 - Operational Excellence Policy
• GI 0450_001 - Operational Excellence Implementation and Assessment
• GL-OED-1.3-001 - OE Implementation Guide / OE Implementation Guide Appendix I
• MOD-OED-1.3-001 - OE Model
• GL-OED-5.1.2-002 - OE Corporate Assessment Protocol
• HAN-OED-5.1.3-001 - OE Local Governance Handbook
• HAN-OED-5.1.3-002 - OE Corporate Governance Handbook
•
Attachments
Attachment 1: OE Assessment Scoring Guide, Weights & Score sheet
Attachment 2: OE Self-Assessment report template
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2 Introduction
2.1 Overview of OE
The Saudi Aramco OE System is a set of integrated and aligned processes, practices, methods, tools,
technologies, and organizational capabilities by which the Company achieves industry-leading performance in
selected performance Focus Areas. Complete detail of OE System is provided in the Saudi Aramco Operational
Excellence Model.
FIGURE 1 - OE Model
2.2 OE Self-Assessment Overview

2.2.1 Purpose of Assessment
OE Assessment is one of the OE System’s three components:

• Governance: the organization(s) and processes by which the OE System is developed, implemented,
monitored and improved
• Implementation: how OE is achieved
• Assessment: a holistic check of all Saudi Aramco operating and service organizations at AA and
department level.
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FIGURE 2 - OE SYSTEM CYCLE
2.2.2 Assessment Types
There are two types of assessments;

• OE Self-Assessment: to be conducted yearly unless OE corporate assessment conducted in that year
• OE Corporate Assessments: to be conducted once every 3 years for asset based departments and once
every 4 years for non-asset based departments.
2.2.3 Scope of Assessment
Assessment will be applied to all Saudi Aramco operational units and support functions. Assessment will
identify whether each organization is:
• Sustaining leading performance through excellence in each of the applicable Enabling Elements
• Achieving leading performance in Focus Areas
2.2.4 Self-Assessment Scoring Approach
Each department is scored on each of the OE Process and Focus Area on a scale of 0 to 4. These individual
scores are converted to an overall OE score. Refer OE Assessment Scoring Guide & Score sheet for details.
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2.3 Objectives, Principles and Success Factors in Assessment
2.3.1 Self-Assessment Objectives
The objectives of Assessment are to identify the following, in each department:

1. The implementation status of the OE System:
• Assessment of implementation status addresses Enabling Elements.
• Whether the OE System (Department OE Manual, other manuals e.g. SMS, procedures,
instructions) is ready, customized and documented
• Whether the OE System has been implemented across the divisions and is being regularly
improved
2. The performance of the OE System:
• Whether the OE System has achieved its intended results in Focus Areas
• How well the OE System has performed in comparison to benchmark organizations (from external
and internal sources)
• Whether improvement action has been implemented and has achieved its planned objectives
Above objectives are mapped to OE System implementation stages (“Plan”, “Do”, “Check” and “Adjust”).
FIGURE 3: OE ASSESSMENT
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2.3.2 Self-Assessment Principles
OE System Assessment will be conducted according to the following ethical principles:

1. Integrity
• Assessors will score and report areas for improvement impartially and honestly.
2. Conflict of Interest
• Assessors will avoid conflict of interest.
3. Judgment
• Assessors will use objectivity when collecting evidence (information & data), and will use
their best professional judgment in reporting strengths, areas for improvement and scores
4. Confidentiality
• Assessors will ensure that sensitive information acquired during OE Assessments is kept
confidential.
2.3.3 Success Factors in Self-Assessment
The factors below have been identified as critical to the success of OE System Assessment, and have
been addressed in the design of the OE Assessment program:
1. Independent assessment
• An Assessment shall provide a neutral evaluation of organization performance, free from
bias.
2. Continual assessments
• Assessments should be conducted continually at regularly scheduled intervals
3. Action-oriented recommendations
• An Assessment shall produce clear action-oriented recommendations to fill observed gaps
4. Appropriately staffed
• OE Assessment team consists of adequate number of multidiscipline and experienced
assessors
5. Efficient use of resources
• The assessment should be efficient in utilization of resources and minimize duplication of
efforts by integrating relevant existing OE assessments
6. Authorized, organized and credible
• A lead assessor is made in-charge to ensure Assessment is well organized and results
produced are credible
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3 Assessment Methodology
3.1 Overview
Self-Assessment assesses departments against defined criteria, summarized in Table 1, below.
Table 1 Self-Assessment Criteria
Assessment Implementati Assessment Criteria Applies to
Target on Stage
OE System Plan The extent to which processes: Enabling

Implementation • Have been identified and documented Elements
Status
• Include required capabilities and resources
• Roles, responsibilities and accountabilities are clearly defined
• Include KPIs, plans and targets as laid out in Implementation
Guide
• Compare with Saudi Aramco and industry best practices
Do The extent to which the processes that are defined in the
Department OE Manual are actually followed on the ground
Check The extent to which:
• Process level KPIs are monitored
• Accountabilities are assigned to achieve targets
• Performance dialogues are held
• Gaps in processes, capabilities and other resources are
identified
Adjust The extent to which processes, capabilities and other resources
are regularly adjusted
Performance of The extent to which: Focus Areas
OE System • Performance against targets tracked & reviewed regularly
• Targets are set based on trend or benchmark data
• Performance sustained positive trend above target
• Performance measures (KPIs) aligns with the Enabling Elements
• Performance compares to best-in-class performance (internal and external
benchmarks)
3.2 Assessment Methodology for Implementation Status (Enabling Elements)

3.2.1 Overview
OE System implementation status is the extent to which departments have met implementation criteria
for Enabling Elements in each of the four implementation stages (“Plan”, “Do”, “Check” and “Adjust”).
For details of performance critical processes implementation for each Enabling Element, refer
Implementation Guide

3.2.2 Assessing OE Implementation Stages
1. “Plan”
• Self-Assessment checks whether or not departments have completed satisfactory the plan for
OE implementation. Plans should include Department OE Manual development (processes),
resource plans (people and systems) and Performance Measures for processes. In addition,
Assessment checks whether department plans reflect best practices and Best-in-Class targets.
2. “Do”
• To check whether or not departments have implemented processes identified in the “Plan”
stage.
3. “Check”
• Verifies whether Performance Measures and targets are monitored and how effectively the
department identifies the causes effecting the results.
4. “Adjust”
• This Assessment identifies how departments improve processes, systems and capabilities.
3.2.3 Implementation Status Assessment Criteria
“Plan” Stage
Criteria Description
Process identification All Required specific processes are identified in EE5 : Process Management
Justification on EE4 : Asset Management if not selected
Process documentation Required processes are documented
Roles and Responsibilities and accountabilities for each process are clearly assigned to department roles
responsibilities
Performance measures Performance metrics and targets for each process are clearly defined and logically derived from
and targets process performance criteria
Capabilities The capabilities (numbers of people and necessary competencies) necessary to carrying out
processes to the standard required are clearly documented
Best practices Processes are consistent with Saudi Aramco and industry best practices
“Do” Stage
Depth of The extent to which processes that are defined in the “Plan” stage are actually followed on the
implementation ground i.e. across the department. In addition, other departments follow these processes as
best practices.

“ Check” Stage
Effectiveness of tracking • Process level Performance measures are tracked effectively.
results for process level • The performance dialogue process (dialogue between leadership and accountable person on
Performance measures the performance achieved against the target) is effective.
Learning from • Processes: Processes are regularly reviewed and improvement opportunities are identified
performance • Capabilities: Required vs. available capabilities (number and competencies of people) are
regularly reviewed and improvement opportunities are identified
• Other resources: Required vs. available resources (e.g., IT systems, financial resources) are
regularly reviewed and improvement opportunities are identified
“ Adjust” Stage
Processes Processes are regularly updated to reflect opportunities for improvement identified in the
“Check” stage
Capabilities Capabilities (number and competencies of people) are regularly updated to reflect opportunities
of improvement identified in the “Check” stage
Other resources Other resources (e.g., IT systems, financial resources) are regularly updated to reflect
opportunities of improvement identified in the “Check” stage
Refer OE Assessment Scoring Guide & Score sheet for details.

3.3 Assessment Methodology for OE Performance Status (Focus Areas)
3.3.1 Overview
The Assessment of OE System performance status evaluates the department’s achievement of

performance metrics in the four Focus Areas:
• Health, Safety, and Environment (HSE)
• Reliability
• Efficiency
• Cost-Effectiveness and Profitability
3.3.2 Implementation Status Assessment Criteria
Table 11 Assessment Criteria for OE System Performance

KPIs and targets KPIs and targets for each Focus Area are clearly defined and logical. The target set based
on trend or benchmarking data
Performance vs. Plan The organization track the KPIs against set targets
Trend Results demonstrate a positive trend (for complete years)
Comparison to internal and The organization’s performance compares favorably to best-in-class values (internal and
external benchmarks external)
Alignment with enabling Performance metrics are aligned with appropriate enabling elements
elements
Refer OE Assessment Scoring Guide & Score sheet for details.
3.4 Methodology for Calculating Final Scores

3.4.1 Calculating Scores for Enabling Elements and Focus Areas
Departments receive scores for each OE Process and each Focus Area. OE Processes and Focus Areas are
weighted before final scores are calculated.
3.4.2 Weightings
Departments receive scores between 0 and 4 for each of the OE Processes and Focus Areas. Each OE
Process and Focus Area has different weight which depends on the importance of the OE Process and
also the applicability of the process to the department.

Weightings for Enabling Elements Implementation
Enabling Element No. OE Process Title Plan Do Check Adjust Weight
Leadership and 1.1 0-4 0-4 0-4 0-4 2.5%

Vision, Mission & Strategies
Accountability
1.2 Commitment to Operational Excellence (OE) and 0-4 0-4 0-4 0-4 2.5%
OE Culture
Customer Focus 2.1 Identify Customers, Needs, and Measure 0-4 0-4 0-4 0-4 7.0%
Satisfaction
Human Resources 3.1 Employee selection 0-4 0-4 0-4 0-4 3.0%
3.2 Employee Development 0-4 0-4 0-4 0-4 7.5%
3.3 Managing Employee Performance 0-4 0-4 0-4 0-4 1.5%
3.4 Employee Engagement 0-4 0-4 0-4 0-4 1.5%
Asset 4.1 Design, Procurement and Construction 0-4 0-4 0-4 0-4 4.0%
Management
4.2 Safe, Reliable and Efficient Operations and 0-4 0-4 0-4 0-4 7.0%
Maintenance.
4.3 Turnaround & Inspection (T&I) 0-4 0-4 0-4 0-4 4.0%
Process 5.1 0-4 0-4 0-4 0-4 1.0%
Process Management
Management
5.X.X Specific Processes 0-4 0-4 0-4 0-4 12.5%
5.2 Environmental Protection 0-4 0-4 0-4 0-4 2.5%

5.3 Energy Efficiency 0-4 0-4 0-4 0-4 2.5%
Financial 6.1 0-4 0-4 0-4 0-4 5.0%
Efficient Resource Utilization
Resources
External Services 7.1 Services Contract Procurement Administration 0-4 0-4 0-4 0-4 3.0%
7.2 Materials Procurement and Administration 0-4 0-4 0-4 0-4 2.5%
Policies and 8.1 0-4 0-4 0-4 0-4 2.5%
Maintain Internal Controls
Strategies
Information and 9.1 Communication of Information 0-4 0-4 0-4 0-4 2.5%
Documentation
9.2 Data Protection Program 0-4 0-4 0-4 0-4 5.0%
Management
Change 10.2 0-4 0-4 0-4 0-4 2.5%
Management of Change
Management
Risk Management 11.1 Risk Management 0-4 0-4 0-4 0-4 2.5%
11.2 Business continuity management(contingency) 0-4 0-4 0-4 0-4 2.5%
11.3 Emergency Preparedness 0-4 0-4 0-4 0-4 2.5%
Innovation, 12.1 Innovation and Technology Deployment 0-4 0-4 0-4 0-4 1.0%
Learning,
Continuous 12.2 Root Cause Analysis 0-4 0-4 0-4 0-4 1.0%
Improvement 12.3 Benchmarking 0-4 0-4 0-4 0-4 1.0%

Enabling Element No. OE Process Title Plan Do Check Adjust Weight
12.4 Performance Monitoring 0-4 0-4 0-4 0-4 1.0%

12.5 Knowledge Management 0-4 0-4 0-4 0-4 1.0%
12.6 Continuous Improvement 0-4 0-4 0-4 0-4 2.0%
12.7 Knowledge Transfer 0-4 0-4 0-4 0-4 1.0%
Corporate Social 13.1 0-4 0-4 0-4 0-4 2.5%
Corp Social Responsibility
Responsibility
Total 0-4 0-4 0-4 0-4 100%
Weightings vary across Plan, Do, Check and adjust as follows:

• “Plan” is assigned a weighting of 20%
• “Do” is assigned a weighting of 40%. This is the highest weighting, to reflect the importance of
actually implementing the processes
• “Check” is assigned a weighting of 20%
• “Adjust” is assigned a weighting of 20%
These weightings emphasize the importance of implementation and continuous improvement. In
addition, weight of the process depends on the applicability of the process for the department, and it is
redistributed as follows:
• Case 1: if any of 4.1, 4.2, 4.3, 5.2, 5.3, 7.1, 7.2 & 13.1 is not applicable to a department, the weight of
the process will be added to the specific processes weight and distributed evenly among them.
• Case 2: if any other process is not applicable to the department, the weight of that process will be
distributed evenly on the other applicable processes.
Weightings for the Focus Area performance
Each Focus Area has been given weighting to emphasize the importance of each Focus Area in driving a
department’s Result. There are as shown in the below table.
Table 14 Weightings to be Allocated to Focus Areas
Focus Areas Score Weight
Health 0-4 5
Safety 0-4 25
Environment 0-4 10
Reliability 0-4 20
Efficiency 0-4 20
Cost/Profitability 0-4 20
Total 0-4 100
The weight of the Focus Area also depends on the applicability of the focus area to the department, and
it is redistributed as follows:

• If health or environment is not applicable to a department, the weight of those focus areas will be
distributed evenly among rest of the Focus Areas.
3.4.3 Calculating Final Scores
A department’s final score = (50% of Implementation Status score of Enabling Elements + 50% of
Performance scores of focus Area).
This score is out of maximum score of 4.

4 Self-Assessment Processes
4.1 Overview
The Self-Assessment cycle has four processes. They are shown in figure.4 which are described briefly
below.
Follow-up of Pre-
action items Assessment
(Duration: (Duration:
Until closure) 1 Week)
Assessment Cycle
Post Assessment Onsite Assessment

(Duration: (Duration:
1 Week) 1 Week)
FIGURE.4 SELF-ASSESSMENT CYCLE
Note: These durations are indicative, may change significantly between different departments,
according to the size, complexity and risk of the department and the number of OE Assessors available
internally.
4.2 Objectives and Deliverables

4.2.1 Pre-Assessment
• To assess and prepare draft report of “Strength” and “Area for Improvement” on the extent of
implementation of “Plan” “Check” and “Adjust” stages.
• Finalize the requirements for the Onsite Assessment Phase (items to be verified on site, reviewed
interview schedule, etc.)
4.2.2 Onsite-Assessment
• Verify all the strengths and AFIs identified during the Pre-Assessment Phase; Emphasis on “Do” Phase.
• Share strengths, AFIs and recommendations with Process owners and Management team.
• Request feedback on findings from management team for Strength and AFIs.

4.2.3 Post-Assessment
• Conduct consensus meeting and finalize score

• Review the feedback from the department and prepare draft report
• Send Draft Report to OED for preliminary review and feedback
• Compile and document lessons learned and best practices identified during the Assessment
• Incorporate OED feedback and revise the score if recommended by OED
• Distribute final report and send copies to AA and OED.
4.2.4 Follow up Action items
• Develop action plan to address opportunities for improvement identified in the self-assessment,
specifying responsibility and completion target date for each action item per the recommendation of
the assessment.
• Review action plan regularly (on a monthly basis at least).
• Self-assessment action items to address improvement opportunities from self-assessment need to be
closed per the completion date established in the action plan.
4.3 Assessment Process Steps

4.3.1 Pre-Assessment Processes
Pre-Assessment Process
Process Responsible Task Schedule
1 Form Team Department Define number of people required for Assessment, depending on: One month
OE • Size, complexity of department and other factors prior to
Representati Assessment
• Number of competent assessors available full time
ve and / or
• Ensure that Team members have required training on assessment
AA OE
representati • Team members can execute assessment in an unbiased manner
ve • Assign Lead Assessor; must be certified in assessment by OED and
have in depth knowledge of OE System and implementation.
• Priority should be given to build team from out of department but in
same Admin Area
•
2 Conduct Lead • Chair opening meeting (meeting includes department manager, First day of
opening Assessor Assessment Team and division heads in department) Assessment
meeting • Provide overview of Assessment objectives and scoring criteria
• Provide Assessment timeline and propose date and time of closing
meeting
• Assign portion to be assessed by individual assessors
3 Plan Lead • Plan Assessment to review implementation of all processes mentioned

Assessment Assessor in the department OE manual
of processes and • Schedule interview with Process owner/SME/division head as needed
Assessors to clarify & verify “do” part of implementation
• Plan for facility visit for asset based department

Pre-Assessment Process
4 Review Lead • Identify the required documents from the list of documents in the OE 1 week
documents Assessor Assessment Protocol
and data and • Department OE manual
Assessors
• Status of action items from last self and OE corporate Assessments
o Verify that major AFIs identified in previous OE Corporate
Assessments have been closed. If these have not been closed, an
AFI under OE Process 1.2 mentioning the lack of major AFI closing
must be included in the report and the score must be adjusted
accordingly.
• Performance in Focus Areas
• Identify key strengths and weaknesses of department and form
preliminary Assessment report
• Follow consensus reaching process, if required, to achieve consensus
between Assessors concerning strengths and AFIs
• Consult with OED OE Specialist as required
• Prepare draft OE assessment report
• End of the day review of assessment progress and capture lessons
learned and best practice sharing on assessment
4.3.2 Onsite Assessment Process
Onsite Assessment Process

1 Morning Lead • Lead Assessor meets Assessors to update Assessment plan and review 1 week
meeting Assessor day's main objectives, activities, interviews and other matters
and • Each Assessor reviews and updates his plan of activities for
Assessors Assessment, and follows plan each day
• Each Assessor, within his responsibility, resolves and clarifies
questions arising from review of OE manual and other documentation
• Each Assessor maintains list of issues that need clarification and
regularly updates
• Consult with OED OE Specialist as needed for any clarification.
2 Activity Assessors Each Assessor, within his responsibility, assesses alignment of processes
During the (along with supporting procedures, capabilities and resources) contained
Day in department manual with actual practice on ground through:
• Touring the facility
• Interviewing process owner/division management
• Interviewing random personnel on ground
• Capture and validate Strength and Area for Improvement
3 Evening Lead • Sit together to discuss progress and key issues of day
meeting Assessor • Reach consensus (on strengths, areas for improvement and scores)
and where overlaps exist between scopes of different Assessors
Assessors
• Capture lessons learned and best practice sharing on assessment

Onsite Assessment Process
4 End of Lead • Prepare draft summary OE Assessment report with strengths, areas
execution Assessor for improvement and OE status in department
activity • Consult external SMEs or OED OE Specialist as required
•
5 Closing Lead • Share key strengths, and areas for improvement with Department
meeting Assessor Manager & division heads
• Request feedback and include it in Assessment report, as required
• NOTE: Assessment scores are not shared at this time.
4.3.3 Post Assessment Processes
Table 1 Post Assessment Process, Responsibilities and Schedule

1 Conduct Lead Convene consensus meeting with Team, to: Within one
consensus Assessor • Finalize strengths and areas for improvement week after
meeting on-site
• Finalize scores for implementation status of Enabling Elements and
assessment
performance in Focus Areas
Prepare final copy of report, consisting of:
• Specific strengths and areas for improvement for department (where
applicable of divisions) and action items
• OE score
•
2 Review and Lead • Prepare draft report

approve final Assessor / • Review with Department OE Representative
report Department
• Submit report to respective OED GL for review and comments
OE Rep.
OED GL • Provide feedback / comments on the report to the Lead Assessor /
Department OE rep.
3 Assessment Lead • Incorporate feedback from review of Self-Assessment report by OED
Feedback Assessor / and submit the revised report to OED for archiving.
Department • Obtain approval from Department Manager
OE Rep.
4 Report Department • Distribute report copies to AA & OED GL
distribution manager

4.3.4 Action Item Follow-up Processes
Action Item Follow-up Process

1 Action plan Department • Assign team to develop detailed action plan and schedule on the Within in 1-
meeting Manager recommendation 2 weeks of
• Include initiatives out of assessment process in business plan and distribution
operating plan for department to allocate resources of report
• Review progress regularly and provide required support to close action
items
2 Track & Department • Review status of actions taken by assigned owners Every three
review action OE Rep. • Close out action items after consulting relevant experts months
items
• Provide recommendations to divisions on closing out action items or
escalate action items to department manager as necessary
• Regularly provide status update to department manager on action
items and prepare report for OE performance dialogue
4.3.5 Interview Guidelines
The table below provides guidelines for effective on-site assessment interviews.
On-site Assessment Interview Guidelines
Meeting Stage Purpose of this Activity in this Stage
Stage
1 Identify the Create a list of site • Create list of site visit issues Discuss with other Assessors, if required,
objectives of visit issues whether further clarifications or information/data are required from
the interview Highlight any issues interview
that needs to be • Create final list of site visit issues
verified and/or • Ensure the assessment team fully understand the proponents’
validated by the organization before conducting the interviews (i.e. functions of the
interviewee divisions, business goals, etc.)
2 Identify the Create list of people • Create list of potential people to interview
key people to to interview • Ensure around 10% of the total population of the department are
interview Prepare schedule interviewed during the assessment – a smaller sample size may not be
for interviews representative of the current performance
during pre- • Discuss interview list of people with department OE rep. and adjust list
assessment stage depending on availability and appropriateness of person
• Finalize list of people to interview
• Notify people about interview
• Schedule interviews as early as possible
• Do not interview people together, if they have different ranks in the
organization (For example, an employee together with his supervisor) –
this is not a good practice, since the employee will be inhibited to speak
up

On-site Assessment Interview Guidelines
Meeting Stage Purpose of this Activity in this Stage
Stage
3 Prepare the Create a • Ensure safety orientation before interview(if not already done)
interview comprehensive • Ensure enough time is allocated in the morning and the afternoon for the
schedule and schedule for all the assessment team meeting (30 min is recommended for these meetings)
site visits activities that will
• Evaluate how much time is required for each interview based on the
plan take place during
number of questions that need to be covered.
the onsite
assessment (and • Conduct the interview as per the schedule – if more time is required,
when required, the agree with the interviewee another time
pre-assessment • Include, as part of the interview schedule, enough time to work on the
phase) report and capture the outcome of the interviews
• Include the validation process in the interview schedule
• Ensure there is enough time allocated to review all the KPIs (Including
Focus Areas) with the relevant people. For example, in some departments,
the Planning Unit is responsible to collect the data for all the KPIs and
prepare the performance dialogues – in these cases, allocate enough time
to interview key personnel in this unit
• Recommended Interview in the sequence should be SMEs, process
owners, Division heads and then Manager
4 Conduct the Conduct the • Convey the objective of the interview to the interviewee
interviews interview and • Conduct the interview in a non-confrontational manner
obtain the required
• Take meeting notes / minutes
information
• Follow up meeting and request for any additional data as agreed in
(Collection of
interview
information,
validation of • Combine open and close questions during the interview
findings is the aim • Always keep in mind the scope of the assessment to avoid getting into an
and not to provide audit mode
opinion of • Listen to the interviewee – this is not an audit and to evaluate
interviewer) performance it is vital to have an open dialogue with the proponent
• Thank the interviewee for his (her) time
5 Synthesize Synthesize the • Review the notes from the interview to ensure no information is lost
the outcome information from • Convert notes into strengths, areas for improvement and scores
of the interview immediately
interview
• Contact other Assessors and/or SMEs if required
6 Validation of To ensure • Ensure the AFIs and Strengths are properly validated (Agreed and
Strengths understanding and understood) by the management team of the proponent and the
and AFIs agreement on AFIs recommendations provided are clear
and Strengths
identified during
the assessment

4.3.6 Consensus Reaching Process
Overview
The consensus reaching process is used when consensus needs to be achieved between
Assessors when identifying strengths, areas for improvement and scores for the Assessment
report. This usually occurs where there are overlaps between Assessor scopes.
Note: Consensus may apply to strengths, areas for improvement, and scores. If score
variance is less than 0.5, an average score is taken.
It is essential that one set of strengths, areas for improvement and scores be agreed before
the preliminary report can be drafted. Thus, the consensus reaching process is applied at
every stage of the assessment process, as required.
Process Steps
1. Assessors meet to discuss issues / areas of disagreement:
•During the day, Assessors meet semi-formally to discuss strengths, areas for improvement
and scores.
• If possible, it is desirable that consensus be achieved at this time, rather than escalating
matters to Lead Assessor
• Assessors compare their views on strengths, areas for improvement and scores. Where
differences are minor, they should be able to achieve consensus. Where differences are
significant, they may need to escalate to Lead Assessor.
2. Lead Assessor arranges meeting:
•During document review, the Lead Assessor obtains feedback from Assessors and
identifies possible conflicts between Assessors’ strengths, areas for improvement and
scores.
• If required, the Lead Assessor calls a meeting of the Assessors for the purpose of reaching
consensus, or uses evening meetings for this purpose.
• The Lead Assessor invites the Assessors concerned to the meeting, not the entire
Assessment Team.
3. Lead Assessor Chairs the consensus meeting:
• Identifies the issues requiring agreement.
• Invites comments from Assessors.
• Recommends consensus, where possible.
a. If consensus is reached, the process ends here, and the preliminary draft report can be
prepared.
b. If consensus cannot be reached at this point, it continues to the next step.
4. Lead Assessor invites external SMEs to assist:
a. Depending on the issue under discussion, external SMEs may be invited to assist in
reaching consensus. The role of the SME in this case is to:
• Clarify technical and other matters within the SME’s scope of expertise.

• Provide insights from the SME’s own experience (with the department /
discipline).
b. SMEs provide input.
5. Lead Assessor makes final decision
a. Whether or not consensus can be achieved by Assessors, with or without the aid of
external SMEs, Lead Assessor is responsible for taking the final decision.
b. Lead Assessor communicates his decision to other Assessors, who amend strengths /
areas for improvement and score accordingly.
4.3.7 Writing the Statements in the Assessment Report
• The statements should be concise and clear to make the point – add evidence when
appropriate.
• The statements should be aligned with the scoring criteria to enable the readers to
understand the score given.
• The impact, or so what, should be summarized in the executive summary when
compiling the themes of strengths and AFIs (Where appropriate, when obvious, omit it).
Lead assessor
documents the
outcome of the
decision in the
final report

5 Assessment Resources
5.1 Assessment Scheduling
5.1.1 Assessment Frequency
Self-Assessments should be conducted once a year. OED will propose the annual self-assessment
schedule to the departments on an annual basis and the departments should confirm the schedule.
Noncompliance to conduct self-assessment will be escalated accordingly. Policy CP-46 mandates that all
organizations will periodically assess the performance against OE objectives and compliance
requirements.
Note: The annual OE Self-Assessment is not mandatory for departments if Corporate OE assessment is
conducted in that year.
5.1.2 Assessment Duration
It is recommended that three weeks be budgeted for Assessments to include:

• Pre-assessment: one week
• Onsite assessment: One week
• Post assessment: One week
This duration may change significantly between different departments, according to the size, complexity
and risk of the department and the number of OE Assessors available internally.
5.2 OE Self-Assessment Team Composition

5.2.1 Overview
Assessment teams will comprise the following roles:

• Lead Assessor & Assessors
5.2.2 OE Self-Assessment Team Profiles
Role profiles for Assessment team members are summarized below.

Criteria Lead Assessor Assessors (OE and SME’s)
Objective Leads OE Self-Assessment Team. Ensure that Key working members of Assessment Team.
Assessment objectives are met. Provide technical expertise to assess processes
and their implementation
Typical profile • Must be certified in OE Assessment by • Should be Subject Matter

OED. Expert.
• Should have participated in OE Self- • Preferably certified in OE
Assessment. assessment.
• Available full time during the Self- • Available full time during the
Assessment period. Self-Assessment period.

5.3 Assessment Entity Roles and Responsibilities
5.3.1 Department OE Representative
Department OE Representative is primarily responsible for Self-Assessment and coordination of follow

up of action items.
Department OE Representative Responsibilities
Responsibilities Description
Schedule OE • Confirm the OE Self-Assessment schedule proposed by OED and ensure that planned frequency of
Assessment Self-Assessments is maintained.
• Provide detailed Self-Assessment schedule to OED OE Specialist
Source and • Ensure that regular communication with divisions is maintained for sourcing Assessors
train Assessors • Ensure that OE Assessment training is provided to Assessors as required
Track action • Overall responsible for tracking action items that were assigned to owners and ensuring they are
items closed out on time
Facilitate Self- • Coordinate and Support Lead Assessor on Self-Assessment
Assessment • Ensure that all logistics are planned, and required permits are obtained
•
Communication • Ensure that all relevant stakeholders are informed of OE Assessment results
with • Coordinate to incorporate OE feedback in the Self-Assessment report.
stakeholders
• Distribution of final OE Self-Assessment report.
Escalate action • Ensure that action items that have not been completed are escalated appropriately to the
items Department Manager
Aid conflict • Ensure that any conflict arising during Assessments are resolved if they are not resolved by Lead
resolution Assessor
5.3.2 Lead Assessor
Lead Assessor heads Assessment Team, and coordinate with Department OE Representative.
Lead Assessor Responsibilities
Assess • Assess OE department manual to ensure alignment with OE and assess implementation on ground
• Assess performance in Focus Areas.
• Make sure that all corporate programs (e.g. SMS, EMS, AIMS, TPRM etc.) are being assessed during
the self-assessment.
Ensure quality • Ensure high quality (verifiable and consistent results) of Assessment.
of Assessment • Provide feedback to assessors to ensure continuous improvement of assessment capabilities.
• Discuss and incorporate the feedback from OED on the quality of assessment and publish a revised
final report.
Planning • Plan and schedule the Self-Assessment
• Coordinate with OED OE Specialist for self-assessment refresher/awareness if needed.
• Manage the assessment team and adhere to the assessment process
• Coordinate with Department OE Rep. to arrange all logistics and permits for the assessment.

Lead Assessor Responsibilities
Conflict • Ensure that any conflict arising during Assessments are resolved before being escalated to
resolution Department OE Representative
5.3.3 Assessors
Assessors are primarily responsible for assessing the department and closing/escalating action items.
Assessor Responsibilities
Assess • Assess OE department manual to ensure alignment with OE and assess implementation on ground
• Assess performance in Focus Areas
• Support Lead assessor for report preparation
5.3.4 RASCI for Self-Assessment Processes
RASCI elements for Self-Assessments is represented in a tabular form below.

Department OE
Representative
Representative
Representative
Lead Assessor
Department
Action Item
No. Processes and Activity
Assessors
Manager
Owners
AA OE
OED
1 Assessment Schedule
Prepare schedule for Self-Assessment A R
• Identify planned turnarounds, projects or A R

initiatives in plant
• Prepare annual self-assessment schedule C A R I
• Syndicate with department manager and A R

adjust schedule as required
Resource and train Assessors A R
• Identify potential Assessors in department A R

• Communicate with potential Assessors and A R
relevant department managers
• Plan Assessment training for Assessors A R S
• Brief assessors on Self-Assessment A R
methodology
2 Pre-Assessment
Ensure Full Time Assessment Team in place S S A/R
• Notify Assessors before Assessment S A/R

Department OE
Representative
Representative
Representative
Lead Assessor
Department
Action Item
Assessors
Manager
Owners
AA OE
OED
• Check presence of identified Assessors for S A/R
Assessment
• Identify back-up Assessors if required S A/R
Conduct opening meeting S A R
• Prepare agenda for meeting S A R

• Invite key stakeholders for meeting S A R
• Ensure minutes of meeting captured and S A R
communicated
Review manual and data A/R R

• Divide responsibilities between different A/R S
Assessors
• Evaluate documentation/data within A/R R
responsibility
• Identify key strengths and weaknesses. A/R R
Ensure plan in place for Assessment S A R S
• Identify gaps or areas that Assessment Team S A R S

should focus on
• Identify responsibilities of different Team S A R S
members
• Identify key people in target Department S A R S
that Assessment Team should
meet/interview
3 Onsite Assessment
Ensure quality of Assessment S A R S
• Execute assessment plan S A R S
• Conduct regular meetings with S A R S

Assessors/sub-Teams
• Review progress with sub-Teams regularly S A R S
Conduct closing meeting S A R
• Prepare agenda for the meeting S A R S

• Invite key stakeholders for meeting S A R
• Ensure minutes captured and communicated S A R
Ensure support from divisions available S A R

• Identify support required for Assessment S A R

Department OE
Representative
Representative
Representative
Lead Assessor
Department
Action Item
Assessors
Manager
Owners
AA OE
OED
• Inform department manager of requirement S A R
• Check regularly with Assessors to confirm S A R
that required support is available
4 Post Assessment
Ensure quality of report A R S
• Ensure scores on each element capture A R S
notes from all relevant Assessors
• Ensure all strengths and areas for A R S
improvement are very clear
• Ensure all areas for improvement have clear A R S
close-out owners assigned
Conduct consensus meeting A R S

• Invite all Assessors to meeting (follow A R S
consensus reaching process as required)
• Review all strengths, areas for improvement A R S
and scores for each element with Team
• Finalize report A R S
Quality feedback from OED

• Submit Self-Assessment report to OED A R S
• Incorporate OED feedback in the Self- S R R I
Assessment report (including revised scores)
5 Follow-up of Action Items

Track action items I A/R
• Every 3 months generate report on action I A/R
items open for divisions
• Request divisions for update on action items I A/R
• Update database with areas for I A/R
improvement on each division
Address action items A I R
• Review action items to close areas for A I R

improvement
• Communicate with division heads to ensure A I R
action items being addressed
Close out action items I A R C

• Receive update on action items from I A R C
divisions

Department OE
Representative
Representative
Representative
Lead Assessor
Department
Action Item
Assessors
Manager
Owners
AA OE
OED
• Contact relevant Assessor of action item I A R C
• Close out action item or provide feedback I A R C
depending on feedback from Assessor
Inform department manager of status I A R

• Update action item list of department every I A R
3 months
• Communicate updated list to department I A R
manager
Escalate action items as necessary A R C

• Review action items at deadlines for A R C
divisions
• Escalate action items as required A R C
R = Responsible
A = Accountable
S = Supports
C = Consulted
I = Informed
Attachment 1 Terms, Definitions and Abbreviations

Table 2 Terms, Definitions and Abbreviations
Term / Abbreviation Definition
AAs Administrative Areas
Assessment The systematic collection, review, and discussion of data and information
gathered from multiple sources in order to develop a deep understanding of the
level of OE System implementation and performance in the assessed organization
for the purpose of continuously monitoring and improving the progress being
made towards achieving OE.
Best Practice The description of a suggested approach or method, adopted and proven by
others, to most effectively achieve superior results for a given objective.
B/L Business Line
Efficiency The proportion of products or services delivered (e.g. yield) in relation to units of
resource inputs e.g. material volume, labor, time, financial operating
expenditure, capital etc. Examples: Average man-hours used to do mechanical
equipment repair versus targeted man-hours. Actual time to process purchase
order versus targeted cycle time. Di Glycol Amine (DGA) consumed in processing
gas versus targeted consumption. Actual man-hours used to complete inspection
versus targeted man-hours. Average recruiting cycle time versus targeted cycle

Table 2 Terms, Definitions and Abbreviations
time.
Enabling Elements The themes grouping the general organizational, individual, and transactional
attributes or aspects necessary for sustaining leading performance. The Enabling
Elements encompass collections of Expectations arranged under common
subjects or business attributes.
OE Assessment Assessment of a department conducted by personnel (Assessors) from another
department or departments
Areas for improvement Areas for improvement are items in OE and Self-Assessment reports that
constitute gaps observed by Assessors. Action items to close gaps are assigned to
department personnel in the Assessment report
Focus Areas The fundamental domains identified by SA where achieving and sustaining
leading performance exemplifies OE.
OE Self-Assessment Assessment of a department conducted by the department’s OE implementation
team
Operational Excellence (OE) The status of achieving and sustaining leading performance.
OE Objectives The business goals achieved from pursuing OE.
OE System The collection of processes, practices, methods, tools, technologies, and
organizational capabilities by which organizations consistently and systematically
achieve Operational Excellence.
OE System Governance The organizational setup and processes by which the OE system development,
implementation, and performance will be managed.
Reliability (support/service type The proportion of services delivered to specified requirements (e.g., within
organizations) customer specified standards for quality and timeliness) in relation to total
volume or number of services delivered. Examples: Percent design packages
reviewed on time versus total design review requests received. Percent of
positions filled on time versus total placement requests received. Percent
inspection completed on time versus total inspection requests received. Percent
mechanical equipment repairs completed without rework versus total
mechanical equipment repairs received. Percent invoices issued without rework
versus total invoices received. Percent on-time departure of flights versus total
number of departed flights. Percent exit/re-entry visas processed without rework
versus total visas issued. Percent surgeries completed without medical errors
versus total surgeries completed. Percent surgeries completed as per the
schedule versus total surgeries scheduled.
TPRM Total plant reliability maintenance

Revision Control Purpose Only (Do not Print)
Current Revision:
Document No: GL-OED-5.1.4-001

Revision Date: Approval:
Revision:07
4/6/2021 OED Manager
Change History:
Rev. no. Date Revision Details
00 09/10/14 Original Document
01 04/21/15 Comprehensive Revision
02 06/22/15 Minor Updates
Comprehensive Revision – MOC-DOC-OED-17-

03 01/12/17
002
As per SAP- MOC-CRM 4041597783:
• Page 16: Added bullet point 5&6 for OED

review of draft report and feedback,
• Page 18: Table for Post Assessment Process
04 9/13/2017 – steps 2/3 added wording for draft and
final report,
• Page 24: Revised Lead Assessor and
Assessors Profile,
• Page 28: Revised RASCI table.
MOC-CRM- 4041597783
The below changes were made. See changes

highlighted in “Yellow”:
• Update the lead assessor responsibilities in

05 10/1/2018
to include the coverage of other programs
(SMS, AIMS, TPRM etc.)
• Update the assessment duration Update
the Enabling Elements weight
• Several editorial changes
06 02/27/2020 Minor changes highlighted in “Yellow”
Comprehensive revision in line with MOC

07 4/6/2021
CRM4043451296

GL-OED-5.1.4-001 OE Self Assessment Guide Rev.7.0

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Saudi Aramco

Self- Assessment Guide

Saudi Aramco: Company General Use

3 Assessment Methodology ................................................................................................... 8

4 Self-Assessment Processes ................................................................................................ 15

5 Assessment Resources ...................................................................................................... 23

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Saudi Aramco: Company General Use

Saudi Aramco: Company General Use

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2.2 OE Self-Assessment Overview

OE Assessment is one of the OE System’s three components:

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2.2.2 Assessment Types

There are two types of assessments;

2.2.3 Scope of Assessment

2.2.4 Self-Assessment Scoring Approach

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The objectives of Assessment are to identify the following, in each department:

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OE System Assessment will be conducted according to the following ethical principles:

2.3.3 Success Factors in Self-Assessment

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OE System Plan The extent to which processes: Enabling

3.2 Assessment Methodology for Implementation Status (Enabling Elements)

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3.2.3 Implementation Status Assessment Criteria

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Refer OE Assessment Scoring Guide & Score sheet for details.

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The Assessment of OE System performance status evaluates the department’s achievement of

3.3.2 Implementation Status Assessment Criteria

Table 11 Assessment Criteria for OE System Performance

Refer OE Assessment Scoring Guide & Score sheet for details.

3.4 Methodology for Calculating Final Scores

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Enabling Element No. OE Process Title Plan Do Check Adjust Weight

Leadership and 1.1 0-4 0-4 0-4 0-4 2.5%

5.2 Environmental Protection 0-4 0-4 0-4 0-4 2.5%

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12.4 Performance Monitoring 0-4 0-4 0-4 0-4 1.0%

Weightings vary across Plan, Do, Check and adjust as follows:

Weightings for the Focus Area performance

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3.4.3 Calculating Final Scores

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Post Assessment Onsite Assessment

FIGURE.4 SELF-ASSESSMENT CYCLE

4.2 Objectives and Deliverables

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• Conduct consensus meeting and finalize score