Management System Certification

Audit Summary Report

Organization: PT. SOCI MAS
Address: Jl. Pulau Irian, Kawasan Industri Medan, No. 2, Saentis, Percut Sei Tuan, Deli Serdang,
20371
Standard(s): ISO 14001:2015 Accreditation Body(s): UKAS
Representative: Ms. Netti Sumarta
Site(s) audited: Address as above Date(s) of Audit(s): 15-16 July 2020
18-19 November 2020
EAC Code: 12 NACE Code: 24.51 Technical Area EM15
Code:
Effective No. of 459 (totally) No. of Shifts: Completed Remote Audit
Personnel: 213 (non shift), 246 (on shift) Three Shifts for Production
(per June 2019) Normal Shift for Office
Lead auditor: Ferry J Sianipar Additional team Hartanto Nugroho
ferry.sianipar@sgs.com member(s):
Additional -N/A-
Attendees and
Roles:
This report is confidential, and distribution is limited to the audit team, audit attendees, client representative, the SGS
office and may be subject to Accreditation Body, Certification Scheme owners or any other Regulatory Body sampling in
line with our online Privacy Statement which can be accessed here

1. Audit objectives
The objectives of this audit were:
To determine conformity of the management system, or parts of it with audit criteria and its:

- ability to ensure applicable statutory, regulatory and contractual requirements are met,
- effectiveness to ensure the client can reasonably expect to achieve specified objectives, and
- ability to identify as applicable areas for potential improvement.

2. Scope of certification

Manufacture of Fatty Acid, Glycerine, and Soap Noodle

Has this scope been amended as a result of this audit? Yes No

This is a multi-site audit and an Appendix listing all relevant sites and/or remote Yes No
locations has been established (attached) and agreed with the client.

For integrated audits, confirm the current level of the client’s IMS integration: N/A Basic High

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3. Current audit findings and conclusions
The audit team conducted a process-based audit focusing on significant aspects/risks/objectives required
by the standard(s). A sampling process was used, based on the the information available at the time of the
audit. The audit methods used were interviews, observation of activities and review of documentation and
records.

This audit was conducted as Remote audit using Skype, WhatsApp and Email as ICT tools. The audit meets
the expected objectives and ICT tools were used effectively.

This audit is conducted as Partial Remote audit on 15-16 July 2020 and planned to have onsite visit within
next 3 months, however due to the pandemic of covid-19, this audit is continued as remote audit on 18-19
November 2020 and thus this audit is considered as Complete Remote audit.

All the documents shared, interviews conducted, and record of site visit are now deleted

The structure of the audit was in accordance with the audit plan included as an annexe to this summary
report.
The audit team concludes that the organization has has not established and maintained its
management system in line with the requirements of the standard and demonstrated the ability of the
system to systematically achieve agreed requirements for products or services within the scope and the
organization’s policy and objectives.

Number of nonconformities identified: 0 (Nil) Major 1 (One) Minor

Therefore the audit team recommends that, based on the results of this audit and the system’s
demonstrated state of development and maturity, management system certification be:
Granted / Continued / Withheld / Suspended until satisfactory corrective action is completed.

4. Previous Audit Results

The results of the last audit of this system have been reviewed, in particular to assure appropriate correction
and corrective action has been implemented to address any nonconformity identified. This review has
concluded that:
Any nonconformity identified during previous audits has been corrected and the corrective action
continues to be effective. (Refer to Section 6 for details)
The management system has not adequately addressed nonconformity identified during previous audit
activities and the specific issue has been re-defined in the nonconformity section of this report.

5. Audit Findings
The audit team conducted a process-based audit focusing on significant aspects/risks/objectives. The audit
methods used were interviews, observation of activities and review of documentation and records.

The management system documentation demonstrated conformity with the requirements Yes No
of the audit standard and provided sufficient structure to support implementation and
maintenance of the management system.
The organization has demonstrated effective implementation and maintenance / Yes No
improvement of its management system and is capable of achieving its policy objectives,
as well as the intended results of the respective management system(s).

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 The organization has demonstrated the establishment and tracking of appropriate key Yes No
performance objectives and targets and monitored progress towards their achievement.

The internal audit program has been fully implemented and demonstrates effectiveness Yes No
as a tool for maintaining and improving the management system.

The management review process demonstrated capability to ensure the continuing Yes No
suitability, adequacy and effectiveness of the management system.

Throughout the audit process, the management system demonstrated overall Yes No
conformance with the requirements of the audit standard.

Certification claims are accurate and in accordance with SGS guidance and the N/A Yes No
organization is effectively controlling the use of certification documents and
marks.

6. Significant Audit Trails Followed

The specific processes, activities and functions reviewed are detailed in the Audit Planning Matrix and the
Audit Plan. In performing the audit, various audit trails and linkages were developed, including the following
primary audit trails, followed throughout:

• Relating to Previous Audit Results: Observations from previous audit had been followed up by
organisation and found effectively implemented.

• Relating to this Audit; including any significant changes (eg: to key personnel, client activities,
management system, level of integration, etc.):

7. Nonconformities

NonConformity N° _01_ of _01_ Major Minor

Department / Workshop of Forklift Standard Clause 8.1

Function: Ref.:

Document Ref.: Chemical and Hazardous waste Issue / Rev. Rev 0

management Status:

Details of
During visual audit at workshop area was found that:
Nonconformity:
• Some drums of ‘Oil and Used oil’ storage without secondary containment,
improper roof, and not equipped with appropriate symbol

• There was a ditch at around the workshop. However, it’s not equipped with an oil
separator.

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Client Proposed Action to Address Minor Non-Conformances Raised at this Audit:
• See 3367-C3-V3A-CAR-Reply

Nonconformities detailed here shall be addressed through the organization’s corrective action process, in
accordance with the relevant corrective action requirements of the audit standard and shall include actions to
analyse the cause of the nonconformity and prevent recurrence, and complete records maintained.

Corrective actions to address identified major nonconformities shall be carried out immediately including a
cause analysis, and SGS notified of the actions taken within 30 days. An SGS auditor will perform a
follow up visit within 90 days to confirm the actions taken, evaluate their effectiveness, and determine
whether certification can be granted or continued.
Corrective actions to address identified major nonconformities shall be carried out immediately including a
cause analysis, and records with supporting evidence sent to the SGS auditor for close-out within 90
days.
Corrective Actions to address identified minor non conformities including a cause analysis, shall be
documented on a action plan and sent by the client to the auditor within 90 days for review. If the actions
are deemed to be satisfactory they will be followed up at the next scheduled visit.
Corrective Actions to address identified minor non-conformities including a cause analysis,have
been detailed on an action plan and the intended action reviewed by the Auditor, deemed to be
satisfactory and will be followed up at the next scheduled visit.
Appropriate cause analysis and immediate corrective and preventative action taken in response to each
non-conformance as required.
Note:- Initial, Re-certification and Extension audits – recommendation for certification cannot be made unless check box 4 is completed. For
re-certification audits the time scales indicated may need to be reduced in order to ensure re-certification prior to expiry of current
certification.
Note: At the next scheduled audit visit, the SGS audit team will follow up on all identified nonconformities to confirm the effectiveness of the
corrective actions taken.

8. General Observations & Opportunities for Improvement

1. This audit is conducted as Partial Remote audit on 15-16 July 2020 and planned to have onsite visit
within next 3 months, however due to the pandemic of covid-19, this audit is continued as remote audit
on 18-19 November 2020 and thus this audit is considered as Complete Remote audit. All planned
audit activities in both of this partial and completed remote audit could be completed and so the auditor
did not recommend additional time in the next stage of a split.
2. This audit was conducted as Remote audit using Skype, WhatsApp and Email as ICT tools. The audit
meets the expected objectives and ICT tools were used effectively.

In addition, some improvement have been given during this remote audit as points below:

Observation during audit on 15-16 July 2020

EHFS
1. Criteria for assessing risks could be improved to also covers opportunities
2. Condition of TPS #1 could be improved as currently many holes found at the partition board.
3. Compliance on P.5/MENLHK/SETJEN/KUM.1/2/2018 (re. Standard an sertifikasi kompetensi
penanggung jawab operasional pengolahan air limbah dan penanggung jawab pengendalian
pencemaran air) could be considered as performance evaluation criteria for external laboratory.

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 Emergency response team
4. When to coordinate or to shut down surrounding activity could be determined in procedure for handling
of emergency situation. Currently organisation has classified its emergency situation as 3 classes
however it is related to when to request external support.
HR
5. To provide recapitulation on execution of training plan 2019 and when necessary to carry on the
training that being delayed to forcast planning.
6. Method of evaluation after training could be improved. Whether the training is required to be evaluated
or not should be determined by the initiator instead of the trainer.

Observation during audit on 18-19 November 2020

Maintenance
7. To provide procedure for replacement of explosion proof light bulb refer to manufacturer standard or
other relevant standard, e.g.: NFPA

Plant-2
8. To review criteria for replacement of oxide adsorbent at H2 plant.

Warehouse – F/G
9. It will be beneficial if facility to charging of battery be made from non-metal.
10. Consideration could be given to ensure that “Daily Checklist Forklift” include oil leakage
11. Campaign of energy efficiency could be sticked closed with electrical switch
12. May have beneficially to determine the objective target regarding to reduction of wood pallet
Warehouse - Chemical
13. Care could be taken to provide hazardous waste bin at chemical warehouse
14. SDS could be available at point of use, e.g.:Therminol 66. Moreover, issued date / revision status,
always recorded at SDS. Example: Ammonium Solution.
15. Work Instruction of chemical spill handling and material stacking could be available at Chemical
warehouse
Tank farm – Loading
16. Standard of spill kit could be determined and inspected periodically or sealed to prevent unintended
use
Maintenance -- Workshop
17. May be beneficially to determine Gas storage compatibility matrix
18. To ensure that all of pressure gas tubes are equipped with safety cap

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