Initial Certification / Recertification: Audit Report

AUDIT REPORT
Client No.
15 & 16 October 2015
ID 352
Client Address
(Site audited)
BADAN PENANAMAN MODAL DAN PELAYANAN

TERPADU SATU PINTU KOTA TANGERANG
Clients Management
Representative
MRs job description
Type of Audit
Audit criteria
Other documents, if any
Audit Team Leader
Drs. H. Julias, MM
Initial Certification / Recertification

ISO 9001:2008
Audit Team Members
1. Mohamad Husen
Any other persons

(guides,
observers, translators)
accompanying,
with
Audit date/s
STATEMENT
CONFIDENTIALITY
Report Date
Onsite( Site1) 15 & Other Sites,if any(Site2/)

16
October 2015
OF
The contents of this report including any notes and checklists completed during the
Audit will be treated in the strictest confdence, and will not be disclosed to any
third party without written consent of the customer, except as required by the
Accreditation Authorities for their Assessment of the Transpacifc Certifcations
Limited Certifcation System.
AUDIT
OBJECTIVES
METHODOLOGY
&
This report summaries the results of the assessment carried out as per the details
identifed in the audit plan and audit notifcation letters already delivered and
accepted.
Stage 2 Audit Objectives
ISO/IEC 17021:2006 9.2.3.2 The purpose of the stage 2 audit is to evaluate the
implementation, including
efectiveness, of the clients management system. The stage 2 audit shall take place
at the
site(s) of the
a)
information
and evidence about conformity to all requirements of
the applicable normative
management
system
standard
or other normative
b)
performance
monitoring,
measuring,
reportingdocument;
and reviewing against
key performance objectives
and targets (consistent with the expectations in the applicable
management systems standard or other normative document);
c) the clients management system and performance as regards legal
compliance;
d) operational control of clients process;
e) internal audits and management review;
f) management responsibility for the clients policies;
Verifie
d&
Achieve
d (Y/N)
Ye
s
Ye
s
Ye
s
Ye
s
Ye
s
Ye
s
g) links between normative requirements, policy, performance, objectives

and targets. (Consistent with the expectations in the applicable
management systems standard or other normative document), any
applicable legal requirement, the responsibilities, competence of
personnel, operations, procedures, performance data and internal audit
findings and conclusions.
Recertification Audit Objectives:
ISO/IEC 17021:2006 9.4.2.1 The recertification audit shall include an on -site audit
that addresses the
following:
a) the efectiveness of the management system in its entirety in the
light of internal and external
changes and its continued relevance and applicability to the scope of
b) demonstrated commitment to maintain the efectiveness and
improvement of the management system in order to enhance overall
performance;
c) whether the operation of the certified management system contributes
to the achievement of the organizations policy and objectives.
Yes
Verifie
d
&
Achiev
ed NA
NA
NA
The audit Notifcation Letter and Audit Plan were sent in sufciently in advance for
allowing the client to make necessary arrangements and voice objection, if any, to
the inclusion of any team member. The audit methodology included observations,
interviews, examining records and documents. The areas of concerns identifed in
Stage 1/ past nonconformities as applicable were reviewed. Some of the
information and objective evidences about conformity to all requirement of the
management system were recorded, if any. The audit started with an opening
meeting and ended with the closing meeting
The audit team summarized the result of the audit and reported noncompliance
report/s raised, if any, during the closing meeting. The NCs were handed over and
acknowledged by the client. The corrective action on the NCR/s shall be submitted
to TCL within 30 days or as advised. The Audit Team informed the recommended
scope of certifcation and confrmed with the organization including any changes
from the scope of certifcation applied.
The Appeal Process was also
explained.
It should be noted that there are limitations to the sampling methodology and
some of the facts may not have come to the notice of the audit team. This does
not mean that the system is free from other non-conformities. To maintain the
management system is the responsibility of the client. Some other non-conformity
may also exist. This report and related documents are prepared only for TCL client
and for no other purpose. TCL does not accept or assure any responsibility, legal or
otherwise, or accept any liability for, or in connection with any other purpose.
It is to be noted that this report is subject to independent review and approval.
Should changes to the outcomes of this report be necessary as a result of the
review, a revised report will be issued and will
supersede
this
report.
Scope of Audit:
(local language)
Scope of Audit:
(in English)
Exclusion(s)
allowed & its
justification
No Need
PROVISION OF LEGAL PERMITS FOR TRANSPORT ROUTE,
BUSINESS LICENSE (SIUP), CERTIFICATE OF COMPANY
REGISTRATION (TDP), DISTURBANCE PERMIT (HO), IMB
HOUSE LIVE, DRUG STORES, PHARMACY AND PRACTICE
7.3
Auditor comments, if
scope is
diferent from
that
of
F-QMS-08
Rev05/20 Nov 14
Page 2 of 13
N/A
Transpacific Certifications Limited
Audit findings
1 Brief introduction of client introduction
City of Tangerang BPMPTSP organizational structure, consisting of:
1.1 Functional
a. head of the Agency
units/departments/sec
tions
b.
1.
2.
3.
Secretariat, in charge of:

Sub Division of General and Civil Service;
Sub Division of Finance
Sub Division of Planning
c. Investment Field Services, in charge of:

1. Licensing Services Sub-Sector Investment
2. Sub Sector Facilitation, Monitoring and Control of Investment
d. Field of Licensing Services Administration and Social Welfare, in
charge of:
1. Sub Division of Licensing Services Administration
2. Sub Division of Licensing Services for People's Welfare
e. Field of Licensing Services Development, in charge of:
1. Sub Field Services Building Permit
2. Sub Field Services Administration Building
f. Field of Data Management and Advocacy, in charge of:
1. Sub-Sector Data Management and Information Systems
2. Sub-Sector Complaints and Advocacy
1.2 Description of products Organizers One Stop Services (OSS) to implement organizing
activities permitting process management starting from the the
request until the stage of issuance of the document be integrated
in one the place.
1.3 Key processes
1.4 Major clients

2 Executive Summary
2.1 Overall efectiveness of
the
management system
2.2 Strengths of the
management system
more efcient use of resources

improved risk management, and
Increased customer satisfaction as services and products
consistently deliver
what they promise
Strengths:

Company has the long history in this business.
Fully commitment from all of organization level
Willingness to improve, during audit shown that company has

been changed
the organization structure, facilities,
personnel competen
2.3
Potentials of the
management system
The quality management system running properly and efectively
2.4
Quality Objectives and
performance indicators
quality objectives and performance indicators achieved
2.5
Continual improvement
and other key performance indicators
Continuous improvement is needed to improve the efectiveness of the quality
management system
3
Management commitment, objectives and targets
C
NC
OFI
3.1
Whether top management has determined and set quality policy and objectives?
Comments/evidence top management has determined and set policy and quality
objectives
3.2
Whether processes for communicating policies and objectives are in place?
Comments/evidence yes, the existence of banner quality policy as a form of

communication policy
3.3
Whether key performance objectives are monitored, measured, reported and reviewed
Comments/evidence Management Review cover all elements

as perManagement
standard Review clearly indicate inputs and outputs?
5.3 Does
Comments/evidence topics the Management Review has not
shown
anyoutput
indication of
input and
5.4 Is effectiveness of corrective/preventive actions reviewed during
Comments/evidence
yes, effectiveness of corrective/preventive
Management Review?
actionsManagement
reviewed
during
Review
6 Continual improvement processes
6.1 Has the organization assessed risks associated with achieving and
and has processes in place to manage such risks?
Comments/evidence
7 yes
Documents and records
used during audit (audit
Yes, using audit plans
plans, observation sheets,
audit history, audit trails)
8 Observations during site
yes
inspection
9
9.1
9.2
9.3
10
Compliance evaluation of legal, statutory, regulatory and other

communication
requirements; and
Has the organization identifed legal, statutory, regulatory and other
relevant
to operational processes?
requirements
Are these requirements communicated to the concerned
Is there is process of updating applicable legal, statutory, regulatory
and other
requirements?
Issues requiring further attention
N/A
NC
OFI
NC
OFI
Clause wise Audit check list for compliance

ISO9001
Clause
4.1
4.2
4.2.1
4.2.2
4.2.3
4.2.4
5
5.1
5.2
5.3
5.4
5.4.1
5.4.2
5.5
5.5.1
5.5.2
5.5.3
5.6
5.6.1
5.6.2
5.6.3
6.1
6.2
6.2.1
6.2.2
6.3
6.4
7
7.1
7.2
7.2.1
7.2.2
7.2.3
7.3
7.3.1
7.3.2
7.3.3
7.3.4
7.3.5
7.3.6
7.3.7
7.4
7.4.2
Requirement
C
General requirements
Documentation requirements
General
Quality Manual
Control of documents
Control of records
Management Responsibility
Management Commitment
Customer focus
Quality Policy
Planning
Quality Objectives
Quality Management System Planning
Responsibility, authority and
communicationand authority
Responsibility
Management Representative
Internal communication
Management Review
General
Review inputs
Review output
Provision of resources
Human resources
General
Competence, training and awareness
Infrastructure
Work environment
Product realization
Planning of realization process
Customer related processes
Determination of requirements
related to the product
Review of requirements related to the
product communication
Customer
Design and development
Design and development planning
Design and development inputs
Design and development outputs
Design and development review
Design and development verifcation
Design and development validation
Control of design and development
changes
Purchasing
Purchasing information
Statu
s
NC
OFI
ISO9001
Clause
7.4.3
7.5
7.5.1
7.5.2
7.5.3
7.5.4
7.5.5
7.6
8
8.1
8.2
8.2.1
8.2.2
8.2.3
8.2.4
8.3
8.4
8.5
8.5.1
8.5.2
8.5.3
Requirement
C
Verifcation of the purchased product
Production and service provision
Control of production and service provision
Validation of processes for production and
service
provision
Identifcation and traceability
Customer property
Preservation of product
Control of measuring and monitoring
devices
Measurement, Analysis and Improvement
General
Monitoring and Measurement
Customer satisfaction
Internal audit
Monitoring and measurement of processes
Monitoring and measurement of product
Control of nonconforming product
Analysis of data
Improvement
Continual improvement
Corrective action
Preventive action
Overall conclusion:
1
3
4
5
6
Signifcant changes afecting

management system,
N/A
if any, since the last audit took place (not
applicable for initial certifcation)
Changes to the audit objectives, audit
scope or
audit criteria, if any.
N/A
(For example, physical locations,
organizational units, activities and
processes)
Whether audit objectives have been met Yes
Whether activities of the organization are
within
the scope of certifcation, and
appropriateness
to the certifcation
Analysis,
understanding
and identifcation
of the
needs and expectations
of interested
Provisions/objectives
of the
management
system
for meeting requirements of interested
parties and of the processes needed to
Management
achieve
the expected outcomes leading to
efectiveness of
Yes
yes
Yes
Yes
Statu
s
NC
OFI
8
9
8
9
10
11
12
13
14
Availability of resources necessary to

support the
operation and
above
Monitoring
andmonitoring
controllingof
ofthe
defned
process characteristics
System of addressing complaints
Efectiveness of internal audits
Efectiveness of management reviews
Monitoring, measurement and continual
improvement of the
efectiveness of the
management
system
Risks (if applicable)
that may afect
conformity to management systems
requirements, statutory/regulatory
requirements and performance of the
organization's management system(s).
Whether access to appropriate persons,
locations or information was not
possible or denied. State instances, if
applicable.
Whether
organization is efectively
controlling the use of the certifcation
documents and marks.
Yes
Yes
Yes
Yes
Yes
Yes
N/A
N/A
Yes
Non-conformities
S.
No
1.
MR,
Processes
Minor/
Major
Minor
Bidang Pelayanan
Non
Conformities
Clause requirement:
8.3,4.2.4
No conformance detected:
Control of nonconformity services, has not
carried out such as: wrong input, misprint for
the issuance of permits Business License, TDP
Permits, Licenses disturbances / HO, or IMB,
It was found no record of nonconformities and
corrective actions taken
ISO 9001: 2008 clause 8.3, 4.2.4
Secretariat,
Bidang Pelayanan
Minor
Evidence:
Control of nonconformity services record
Clause requirement:
4.2.4
It was found the use of the original blank was
not
controlled. The absences of records use the
original blank. The absence of records for
blank damaged
Room Service
Minor
Evidence:
Control of record
Clause requirement:
6.4,6.3
Non-conformities
S.
No
.
Processes
Mino
r/
Majo
Non
Conformities
The facilities in the room service not meet
service standards, such as no Customer
service, lack of information about the
queue number, no service fow information.
The capacity of the room is not adequate
when compared with the number of
applicants.
Evidence:
OFIs - Opportunities for improvement (Identify weaknesses and processes that

need
toDescription
be improved)
S.
No.
Obs 1
1
Opportunities for improvement for controlling the use of the original Form by giving no
registration or
Barcode.
ISO 9001: 2008, clause 4.2.3
Obs 2
Opportunities for improvement to improving service to the community by

providing the SMS gateway service facilities with the aim to provide information
assurance service time.
ISO 9001: 2008 clause 6.3
Obs 3
3
Opportunities for improvement to improve services to the public need for service in the
Holidays with using
Mobile Services
ISO
2008, clause 6.3
Obs 9001:
4
Increase in HR competencies and additional human resources necessary for the

realization of service that prioritizes customer satisfaction.
ISO 9001: 2008, clause 6.2.2
F-QMS-08 Rev05/20 Nov 14
Transpacific Certifications Limited
Conclusion and Recommendation:
Recommended for certifcation as per ISO 9001:2008. Surveillance to be held before
completion of 6/12
months from the date of certifcation.
Recommended for certifcation as per ISO 9001:2008, subject to satisfactory

verifcation of evidence of corrective action before certifcation. Client to submit the
evidence of corrective action to TCL latest by
, Surveillance to be held before completion of 6/12 months from the date of
certifcation.
Recommended for Certifcation as per ISO 9001:2008, subject to follow-up for

satisfactory verifcation of corrective actions before certifcation. The client will intimate
TCL about the suitable time frame for follow-up (within 3 months of Stage 2 audit).
Follow up actions, if any
Mohamad
Husen
15 & 16 October
2015
Signature and Date of

Auditor
Signature and Date of Auditor
Document No.: F-GEN-21
TRANSPACIFIC CERTIFICATIONS LIMITE

Non Conformity Report
NCR
No. 1
Client:
Rev 01 / 20-Dec-2008
BADAN PENANAMAN MODAL DAN PELAYANAN TERPADU

SATU PINTU KOTA TANGERANG
Function/Area/Process
MR, Bidang Pelayanan
:
Site:
Office
Std. and Clause No(s): ISO 9001: 2008 clause 8.3, 4.2.4
Details of non-conformity (Description):
Minor
No conformance detected:
Control of nonconformity services, has not carried out such as: wrong input, misprint for the
issuance of permits
Business License, TDP Permits, Licenses disturbances / HO, or IMB.
It was found no record of nonconformities and corrective actions taken
ISO 9001: 2008 clause 8.3, 4.2.4
Auditor
:
Date:
Mohamad Husen
Auditee representative
Category:
15 & 16 October 2015
acknowledgement: Drs. H.
minor
Julias, MM
Auditee Proposed Action Plan
(Attach separate sheet if

required)
Root Cause analysis:
has not done nonconformity control services such as those found when the external audit
Corrective Action (to prevent recurrence) with completion dates:
immediately carried out repairs and provide training to relevant staff

Auditor review and acceptance of Corrective Action Plan:
Auditee
representative:
Drs. H. Julias, MM
Date: 15 & 16 October

2015
Details of Auditor verification of Auditee implementation of action plan

All quality objective should be documented well the achievement, Achievement of each department
should review by manager of
Departement and report to MR
NCR closed out by Auditor on (date):
Auditor/Team Leader name:
17 October 2015
Mohamad Husen

Rev 01 / 20-Dec-2008

NCR
No. 2
Client:

Sekretariat
:
Site:
Office
Std. and Clause No(s): 4.2.4

Minor
It was found the use of the original blank was not controlled. The absences of records use the
original blank. The
absence of records for blank damaged
ISO 9001: 2008, clause 4.2.4
Auditor
:
Date:
Mohamad Husen
Category:
15 & 16 October 2015
minor
Julias, MM

required)
there is no specific policy of the organization to control the original blank

immediately to control the use of the original blank and record usage
Auditee
representative:
Drs. H. Julias, MM

2015

17 October 2015
Mohamad Husen

NCR
No. 3
Client:
Rev 01 / 20-Dec-2008

Field Services
:
Site:
Office
Std. and Clause No(s): 6.4,6.3

Minor
The facilities in the room service not meet service standards, such as no Customer service,
lack of information about
the queue number, no service fow information. The capacity of the room is not adequate when
compared with the
number of applicants.
Auditor
:
Date:
Mohamad Husen
Category:
15 & 16 October 2015
minor
Julias, MM
required)
because the building services together with other agencies, so that there is limited space
that is used for licensing services
Tangerang city government has provided in respect of its own building for the Department
of BPMPTSP. immediately move the building is expected early 2016
Auditee
representative:
Drs. H. Julias, MM

2015

17 October 2015
Mohamad Husen

Initial Certification / Recertification: Audit Report

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AUDIT REPORT

15 & 16 October 2015

BADAN PENANAMAN MODAL DAN PELAYANAN