Doc.

No SOP-HSE-001
Reg. Date 1st July 2021
DOCUMENT AND RECORD CONTROL Rev. Date -
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REVISION HISTORY

Date Page – Point Changes Approved By

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TABLE OF CONTENT

VALIDATION ............................................................................................................................................. 1
REVISION HISTORY ................................................................................................................................. 2
TABLE OF CONTENT ............................................................................................................................... 3
1. Purpose ..................................................................................................................................................... 4
2. Scope ........................................................................................................................................................ 4
3. References ................................................................................................................................................ 4
4. Terms and Definitons ............................................................................................................................... 4
5. Procedure .............................................................................................................................................. 6
5.1. Document mapping ...................................................................................................................... 6
5.2. Document Controller. ................................................................................................................... 6
5.3. Document Identification ............................................................................................................... 7
5.4. Document Construction, Alteration, and Registration ................................................................. 8
5.5. Distribution and Document Control ............................................................................................. 9
5.6. Document Format and Identity Administration Format ............................................................. 10
5.7. Document Format ....................................................................................................................... 14
5.8. Document Control and Expired Document ................................................................................ 15
6. Relevant Documents........................................................................................................................... 16
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1. Purpose

Document Control Procedure is made with purpose of:

1.1. Ensure documents and records are well identified and controlled to facilitate ease of
document search and retrieval while preserving documents and records for specified time.
1.2. As a guideline in the process of construction, approval, distribution, and storage, revision,
and keeping of documents and records.
1.3. Ensure document are readable, easily identified, and well distributed.
1.4. Prevent use of outdated documents and records in the workplace.

2. Scope

2.1. This procedure covers activity of identification, construction, alteration, distribution,

provision, approval, availability, and control for documents and records
2.2. This procedure is valid for all documents and records, internal and external, issued and
used to support work activity in PT Ebara Turbomachinery Services Indonesia (ETSI)

3. References

3.1. ISO 14001:2018 clause 7.5 regarding Document and Information

3.2. ISO 9001:2015 clause 7.5.3 regarding Control of Document and Information

4. Terms and Definitons

4.1. Internal Document is a document which is issued and used for Company’s internal work
activity. Internal document includes: Manual (M), Work Procedure (SOP), Work
Instruction (IK), Flow Chart (FC), Form (FR) and other documents issued by Company.
4.2. External Document is document which is issued by parties outside scope of Company
and could be used in scope of Company as guidance, reference document, reference
standard, and regulation.
4.3. Quality Manual is a Level 1 document which contain core requirement and define scope
of Management System applied by PT Ebara Turbomachinery Services Indonesia (ETSI).
Quality Manual includes: Quality Plan, Policy, and Quality Objective.
4.4. Procedure / SOP is a Level 2 document which issued by each department to specify role,
relation, and responsibility on the implementation of procedure/SOP and explain routine
activity, method, and process control.
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4.5. Work Instruction is a Level 3 document which explain steps of specific activity with
details of specific practice.
4.6. Form is a Level 4 document in the form of defined format to be used repeatedly as a
record. Form that has been filled will become Record.
4.7. Internal Record is document which completes proof of conformity of activity held on
the scope of PT Ebara Turbomachinery Services Indonesia (ETSI).
4.8. External Record is document which completes proof of conformity of activity obtained
from government agency, contractor, or any other relevant agencies.
4.9. Electronic Record is all records in the form of electronic media.
4.10. Expired Document is all records which already pass assigned retention time.
4.11. Registration is a process to classify and register document before being reviewed for
ease of search and document keeping.
4.12. Document Maker is personnel of PT Ebara Turbomachinery Services Indonesia (ETSI)
or contractor who wrote or make document. Document maker acting as owner and person
in charge of document’s content. Document maker responsible for conformity of
document’s content, document relation with other document, control, and up to review of
each document they issue. Document maker commonly referred on the column “Created
by / Made by”
4.13. Document Reviewer is personnel who is appointed or requested to review document
before being approved by Document Approver. Document reviewer commonly referred
on the column “Approved by”
4.14. Document Reviewer is personnel who is appointed or requested to review document
before being approved by Document Approver. Document approver commonly referred
on the column “Reviewed by / Checked by”
4.15. Document Approver is personnel who is required to give approval on document.
Document approver commonly referred on the column “Approved by”
4.16. Document Controller is personnel appointed on each department who is responsible to
ensure all document circulating in their department is according to the requirement,
process, and procedure of Document Control
4.17. Controlled Document is a copy of document which changes when there is
revision/change and called as controlled document or controlled and marked by
“document controlled” stamp which intended for internal use.
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4.18. Uncontrolled Document is a copy of document which do not changes when there is
revision/change and marked with “Uncontrolled Document” stamp which intended for
external party and do not have to be retrieved when there is change on the document.
5. Procedure

5.1. Document mapping

Mapping of document type used in PT ETSI can be seen on Annex [1. SOP-HSE-001.
Procedure of Document Control].
5.2. Document Controller.
5.2.1. Internal Department Document Controller
Each Department must have document controller whom responsible for:
5.2.1.1. Record/ update document within their department
5.2.1.2. Identify appropriateness/ validity of document
5.2.1.3. Exterminate obsolete document
5.2.1.4. Submit document addition/ report of changes to ISO document controller
5.2.1.5. Distribute document according to requirement
5.2.1.6. Keep document and record on designated place and ensure the document
accessible to the related department (generally accessed document should
be stored in the server)
5.2.1.7. Provide identity (ISO number/ document number) on every document
managed
5.2.1.8. Responsible for content of document
5.2.1.9. Controller must ensure presence of other personnel in internal department
besides them who understand internal document management system
5.2.1.10. Renew list of internal documents stored within department
5.2.2. ISO Document Controller
ISO Document Controller is responsible for:
5.2.2.1. Record/ update document status within ISO/HSE department
5.2.2.2. Identify appropriateness/ validity of ISO/HSE documents
5.2.2.3. Exterminate obsolete ISO/HSE document
5.2.2.4. Provide ISO document number and renew document master list
5.2.2.5. Ensure submission of document addition from Internal document controller
conform to the document control requirement and procedure
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5.2.2.6. Distribute document accordingly to the needs

5.2.2.7. Keep documents and records in the assigned place and ensure that
documents could be accessed by related department
5.2.2.8. Provide identity (ISO number/ Document number) on every document
managed
5.2.2.9. Responsible for the content of document
5.2.2.10. Evaluate ISO/ HSE document
5.2.2.11. Ensure numbering system on the server could be used properly
5.2.2.12. Renew list of documents in internal server
5.3. Document Identification
All Department must identify their needs of internal and external document. Document
identification done in the following way:
5.3.1. Every Department identifies their document needs within each department. Internal
Document Controller perform data collection. If there is required document
recommended by ISO/ HSE department then ISO/ HSE document controller must
discuss it with relevant department.
5.3.2. Separate between internal and external document.
5.3.3. After document needs is identify, Internal Document Controller submit document
registration to the ISO/ HSE document controller (Further explanation on point 5.6)
5.3.4. Specific to the document record of ISO 9001:2015 and ISO 14001;2015, each internal
document controller must provide records that have been defined to the ISO/ HSE
document controller. ISO/ HSE document controller then will collect, review, and
decide where the record would be kept. Document record includes:
5.3.4.1. Identification result of Environmental aspect and impact assessment
5.3.4.2. List of government regulation and requirement
5.3.4.3. Quality and Environmental management program records
5.3.4.4. Personnel training records
5.3.4.5. Competence records.
5.3.4.6. Communication, participation and consultation records
5.3.4.7. Tools/ equipment calibration and verification records
5.3.4.8. Emergency tools, working tools, and processing tools inspection records
5.3.4.9. Monitoring and measurement result of Quality and Environment
performance records
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5.3.4.10. Implementation of Emergency Response Plan (ERP) records

5.3.4.11. Records of Internal and External audit
5.3.4.12. Records of management review
5.3.4.13. Other records necessary
5.4. Document Construction, Alteration, and Registration
Manual, SOP, Work Instruction (WI), and/ or Form could be submitted for revision or addition
(construction of new document). Below are the steps of construction/ alteration document up
to registration process
5.4.1. Document maker should identify information as follow:
5.4.1.1. Title of the Document
5.4.1.2. Implementation scope of the Document
5.4.1.3. Classification/type of the Document
5.4.2. Document maker shall follow standard format which has been defined (Discussed on
point 5.7)
5.4.3. Submission for construction and/ or alteration of Manual, SOP, WI, and/ or Form are
done using FR-HSE-002 Document Construction and Revision Submission Form
5.4.4. In doing submission for construction and/ or alteration of Manual, SOP, WI, and / or
Form, proposer shall enclose the draft of Manual, SOP, WI, and/ or Form according to
the proposed change and submit them to document controller
5.4.5. Internal document controller (or ISO/ HSE document controller) examinate and assess
on submitted alteration proposal of Manual, SOP, WI, and/ or Form.
5.4.6. If after examination and assessment of proposal found nonconformity in terms of
content and/ or format, document controller will return the submitted proposal sheet to
the proposer to do correction or rejection on the proposal.
5.4.7. If the proposal has met the terms, internal document controller will submit the proposal
to ISO/ HSE document controller. ISO/ HSE document controller then will fix the
format, add change history, and submit the proposed document to the Document
Approver for validation.
If the proposal is regarding internal department document, the flow of approval request
is carried out in accordance to the work instruction of the respective department.
5.4.8. To facilitate identification of document alteration, then on column “Document Revision
History” must be filled clearly by including point/ column/ paragraph altered
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5.4.9. If Document Approver has given approval, then ISO document controller will register
and provide document number (Further explanation on Point 5.6). Document that has
been given document number will be regarded as “Registered Document”
5.4.10. If there are changes before approval, then changes could be done immediately
5.4.11. New document that has not been approved will be marked as “DRAFT.00 (.00 is
revision number), either printed copy or distributed virtually
5.5. Distribution and Document Control
5.5.1. After document validation takes place, internal document controller is obliged to
duplicate and distribute validated document either in the form of hardcopy or softcopy
5.5.2. Internal document controller (or ISO document controller) is obliged to record the
recipient/ holder of the document either the original copy or duplicate copy. Document
handover is recorded on the Document Submission Proof Form
5.5.3. Manual, SOP, and WI documents of every department will be regarded as ISO
document, so that the original document will be managed by ISO document control.
While record, letter, and another department internal document will be kept by internal
document controller
5.5.4. Internal Department documents that are not recorded by the ISO/HSE dept. must be
managed under document control procedures in each department. The ISO department
has the authorization to check the document control system of each department.
5.5.5. Document Construction and Revision Submission Form and Document Submission
Proof Form will be kept by document controller
5.5.6. All manual, SOP, WI, Form, and Letter are kept both in the form of softcopy (editable
data) and hardcopy by internal and ISO document controller
5.5.7. While document softcopy (un-editable data, except the form documents) which could
be accessed by all employee will be stored in the server by internal document
controller. Document that is not available in the server could be obtained from related
department.
5.5.8. All ISO/ HSE document and letter must be registered. ISO document file list and letter
should be accessible in the server. All document should reflect their actual
implementation data
5.5.9. Confidential document MUST BE RECORDED by internal document controller.
5.5.10. Document is said to be uncontrolled if:
5.5.10.1. Document is not registered/ do not own a document number
5.5.10.2. Softcopy version (editable data)
5.5.10.3. Draft document, document without signature/ not yet validated.
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5.5.10.4. Printed document (without ORIGINAL document stamp, for internal

document)
5.6. Document Format and Identity Administration Format
5.6.1. Numbering Classification
5.6.1.1. Document Identity Number will be used to identify ISO document such as
Quality Manual (including Quality Plan, Policy, Quality Target, etc),
Procedure/ SOP, Work Instruction, and Form.
5.6.1.2. Letter Identity Number used to identify letters/ other document which do
not fall under ISO document categories. (Such as Cover Letter, Invitation,
report, Price Quotation, etc)
5.6.2. Numbering Format
5.6.2.1. ISO Document Numbering Format
Example: SOP-ENG-001

A B C - A B C - A B C

1 2 3

Explanation:
1. Document Type and Document Code
Bahasa Eng Code
Manual Mutu Quality Manual MM
Kebijakan Policy POL
Prosedur Kerja / SOP Procedur SOP
Instruksi Kerja Work Instuction IK
Formulir Form FR
Rekaman Record Rek
Sertifikat Certificate CR
Dokumen External External Document Ext

Table 5.6.2.1-1 Document Type and Document Code

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2. Department Code
Dept. Type
Factory General Manager FGM
Operational Super Vision OSV
Assemble-Disassemble ASSY
Field Service Engineering FSE
Quality Control/ Quality Assurance QC
Engineering ENG
PPC PPC
Health, Safety, Environment HSE
ISO ISO
Warehouse WH
Procurement PROC
Human Resources Department HR
Accounting ACC
Production PROD

Table 5.6.2.1-2 Department Code

3. Document Number
Document Number range from 001 to 999

5.6.2.2. Letter Numbering Format

Example: 1/WS/005/FGM/Jan/2021

Explanation:
1. Document Number
Document number range from 1 to 9999
2. Office of Document issued
Office is divided into Head Office in Jakarta (HO) or Workshop Office
(WS)
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3. Letter Type Code

Letter Type Code
Report 001
Outgoing Letter 002
Cost Estimation 003
Procedure / Manual / Standard004
Internal Regulation 005
Others 999

Table 5.6.2.2-3 Letter type code

4. Department Code
Department Code refer to the table 5.6.2.1-2 Department Code
5. And 6. Is Month and Year when the document is issued using mmm/yyyy
format
5.6.3. Document Numbering
5.6.3.1. ISO Document Numbering
a. Registration of ISO Document Number is done through server [share (\\
192.168.1.30)] – Document Number – “ISO Document List”. “ISO Document
List” file is encrypted and could only be edited by ISO/ HSE staff or authorized
department. Therefore, every department must register their documents through
ISO/ HSE staff.
b. After document is registered, document number could be applied.
5.6.3.2. Letter Numbering
a. Registration of Letter Number is done through server [share (\\ 192.168.1.30)] –
Document Number – “Letter - Document List WS” or “Letter - Document List
HO. “Letter - Document List WS” and “Letter - Document List HO” file is
encrypted and could only be edited by ISO/ HSE staff or authorized department.
Therefore, if there is a fault while inputting data, make sure do not save the
data and perform re-input. If the data already saved, notify HSE staff
b. If when accessing open excel document appear notification as below:
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Do not enter any data and chose “read-only” mode. Please notify the user that
currently opening the excel document and asked them to close the document
first. This document could not be accessed by different users at the same time.
c. Click Enable Editing. Click Enable Content.
d. Click Input Data.

e. Input document construction date on the ‘Date’ option

f. Choose dept./ position which issued
letter on ‘Dept./ Position’ option
g. Choose type of letter on ‘Letter Type’
option
h. Choose personnel whom construct the
document on ‘Prepared by’ option
i. Choose personnel whom gives
approval on ‘Approved by’ option.
Enter the name of authorizer with
highest position.
j. Enter document institution/ receiver
on the ‘Send to’ option
k. Enter document title on the ‘Title’ option. Title must explain the identity of
document especially if the document is issued repeatedly.
l. Click ‘Confirm’. Document number and other information will automatically
appear on the document list sheet.

m. Click ‘Save’. After exiting from excel document, ensure the document is saved
and not copied (not saved with title of ‘Copy of….’ or temporary format)
n. If there is a fault/ an error, please notify ISO personnel
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5.7. Document Format

5.7.1. ISO document construction format are as follows:
5.7.1.1. Document is written in ‘Times New Roman’ font with the letter size used in
the construction as follow:

Construction Part Size Alignment

EBARA Company Logo 2 x 1.92 Center
Title on the Header Column 14 pt, cetak tebal Center
Doc. No, registration date, revision
date, revision no., and page on the 9 pt Left
Header Column
Title on the Content 12 pt, cetak tebal x
Sub-Title on the Content 12 pt, x
Document Content 12 pt x

5.7.1.2. Document content is written in 1.15pt spacing

5.7.1.3. Document level setting used in the document construction as follow:
5.7.1.4. Up, Left, Right, and Down margin are 2, 2.5, 2, and 2 respectively.
5.7.1.5. Printed on A4 paper with colour-print for validation page
Tingkatan penomoran Penggunaan
1. Title
1.1. Sub Title
1.1.1. Sub-Sub Title
1.1.1.1. Sub-Sub-Sub Title (continue)
a. Sub-Sub-Sub Title (independent)
● Sub-Sub-Sub-Sub Title (independent )

5.7.1.6. Header Format

5.7.2. Provision of document content for Manual, SOP, and Work Instruction
a) Validation Page
b) Revision History
c) Table of Content
d) Purpose
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e) Scope
f) Reference
g) Definition
h) Content/ Description
i) Relevant Document
5.7.3. Document Validation
Every Document of Management System should be approved by Company
Management based on the matrix below:
Otorization
Level Document Type
Prepared by Reviewed by Approved by
I Manual, Policy ISO dept. OSV / FGM Top Management
II Procedure, SOP Staff ISO dept. OSV / FGM
III Work Instruction, WI Staff Manager Dept. OSV / FGM
IV Form Staff Manager Dept. / ISO dept. OSV / FGM

5.7.4. Re-Validation
Re-Validation is a process to review the validity of the implemented documents to
ensure that the implemented documents reflect the current process or meet the current
requirements. To support this process, documents must be reviewed periodically. This
procedure is reviewed again if there is a need for new documents, additional evidence
of implementation involving interactions between processes and management
decisions related to changes or additions to documents. These reviews and revisions
can be discussed in the management review meeting. The period given for documents
review is every 2 (two) years.
5.8. Document Control and Expired Document
5.8.1. Every year document control check/ verify the existence of copies for documents and
records.
5.8.2. The validity period of records is 2 (two) years after the date of use, while documents
remain valid as long as there is no change.
5.8.3. Documents and records that have expired are recorded and withdrawn by each
department to ensure that documents and records that have expired are not used again
which then reported to the unit document controller for management.
5.8.4. Obsolete documents and records can be stored for 1 (one) year if needed at any time.
If the shelf life has passed, the documents and records could be destroyed. All
destruction of documents and records is recorded in FR-HSE-001. Record Document
Destruction Evidence Form.
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5.8.5. Internal Department expired documents that are not recorded by the ISO/HSE dept.
must be managed under the document control procedures of each department.
6. Relevant Documents
6.1. FR-HSE-001. Record Document Destruction Evidence Form
6.2. FR-HSE-002. Proposal for Document Construction and Revision Form
6.3. FR-HSE-003. Document Submission Proof Form
6.4. SOP-HSE-001. Appendix 1. Document Control Procedure
6.5. 0. ISO Document list
6.6. 1. Letter-Document List WS
6.7. 2. Letter-Document List HO