Nonconformity and Corrective Action Log

CAR No. Raised Date NC Type Process Ower Details of Nonconformity Root Cause Analysis Corrective Action Taken Person In Charge Deadline Status Actual Closed Date Remark

-The Scope of QMS is determined in DPNV_SC-QA-SOP-001 and this manual is effective on 15

July 2024.
-Internal Issues are analyzed in Appendix A.3 as SWOT Analysis and maintained as controlled
document. During the interview, Auditee said that SWOT analysis will be updated in September
- SWOT Analysis is reviewed and update and PESTLE Analysis will be
10-Jul-25 Internal Audit Management 2025 for DPNV business grow purpose after WTP and Packaging Line Modification which will be HSC 30-Sep-25 Open
implemented.
executed at the end of July 2025.
-PESTLE Analysis is determined in DPNV_SC-QA-SOP-001, however this Analysis is not
considered yet as controlled document. Management will start to work on PESTLE Analysis and
maintain it as a controlled document in September 2025 after Modification Done.

- Quality Policy Statement is written in DPNV_SC-QA-SOP-001 on Section 5.2.3. Auditee also

showed DPNV Policy Statement, GHPs and HACCP Policy in Khmer Version (DPNV_SC-QA-REC- -Policy Statements will be updated soon in one way for both Version
10-Jul-25 Internal Audit Management HSC 30-Sep-25 Open
020). However, the meaning of both documents is not the same. Auditee said that the meaning (English and Khmer)
of Policy Statements will be updated soon in one way for both Version (English and Khmer).

- Quality Objectives are set in the Management Review Meeting and Monthly Business Review.
Customer Complaint, Quality Complaint, Zero particles, Customer Satisfaction KPI are on put on
-Quality Objectives such as Management Review Output and Internal or
Monthly Business Review Presentation Slide of Supply Chain. The Management Review Meeting
External Audit Report will be put on Monthly Supply Chain Business Review
10-Jul-25 Internal Audit Management will be held on Saturday 12th July 2025 as auditee said. Also, 2 Quality Objectives such as HSC 30-Sep-25 Open
Presentation Side to show to Top Management team and are discussed for
Management Review Output and Internal or External Audit Report will be put on Monthly
making any decision.
Supply Chain Business Review Presentation Side to show to Top Management team and are
discussed for making any decision.

- There is procedure for Assemble QMS and FSMS team DPNV_SC-QA-PRO-013. List for QMS
and FSMS team is determined in DPNV_SC-QA-FRM-084. Auditee said that all members have
10-Jul-25 Internal Audit QA/QC Request training with outside QAM 31-Dec-25 Open
been trained for QMS and GHPs/HACCP, Mrs. Seanghong is also member of QMS and FSMS
however she has not been trained yet.

- Product and Intended Use are descripted in DPNV_SC-QA-FRM-063. The Specification of

10-Jul-25 Internal Audit QA/QC - Update follow new QC plan and specification QAM 30-Aug-25 Open
Mn< 0.02 mg/L and Fe<0.02 mg/L is not updated after CCP Change in March 2025.

10-Jul-25 Internal Audit QA/QC - Master list is not updated for new procedure DPNV_SC-QA-FRM-018 -Update follow all new document update and create QAM 30-Jul-25 Open

- Personal Hygiene is monitored by QA and Pest Control, Waste Management are

responsible by GA.
10-Jul-25 Internal Audit QA/QC -Review and update new responsible QAM 15-Sep-25 Open
- In section 7.11 of Procedure DPNV_SC-QA-PRO-010 the verification is performed weekly
but in practice form DPNV_SC-QA-FRM-053 is performed monthly.

- The output is clarified for Hold-on, Quarantine, Release and Reject tag with different color
however, tags are not applied properly in Warehouse. -Apply tag for Hold-on, Quarantine, Release and Reject from internal audit
10-Jul-25 Internal Audit QA/QC QAM 30-Jul-25 Open
- In Form PNV_SC-QA-FRM-004, there is not mentioned on parameters for release and complete
parameters for Prerequisite Program for Cleaning and Sanitizing.

10-Jul-25 Internal Audit QA/QC - Request signature of training attendance -Request signature of training attendance QAM 30-Jul-25 Open

10-Jul-25 Internal Audit QA/QC - Send balance to calibration with external lab and update calibration plan -Send balance to calibration with external lab and update calibration plan QAM 15-Aug-25 Open

10-Jul-25 Internal Audit QA/QC - Root cause analysis to close corrective action -Root cause analysis to close corrective action QAM 15-Aug-25 Open

- There is Planned Maintenance Program in place, however, the implementation of this

- Implementation of Planned Maintenance is executed properly after Head
program is not performed well. During Site Visit, there are broken wall, floor, Light Traps, UFO
10-Jul-25 Internal Audit Production & Engineering Count of prouction team is fullfiled in July. P&EM 30-Sep-25 Open
Lamps...etc.
- Y Strainer wiil be put in Preventive Program.
- Y Strainers which are located at Filling Room, are not added in Preventive Program.

10-Jul-25 Internal Audit Production & Engineering - In the instrument calibration record, data deviation is not shown in that form (accuracy). - Calibration Form Report will be revised after Modification. P&EM 15-Aug-25 Open

10-Jul-25 Internal Audit Production & Engineering -During the factory site visit the door of chemical storage location is not logged. - Instruct to Area Owner to lock key everytime. P&EM 15-Jul-25 Open

- During Site Visit, People do not obey Site Rule strictly, there are electronic devices are
- Site Rule and 5S Training will be provided to everyone.
10-Jul-25 Internal Audit General Administration charging in Warehouse, motorbike is not in parking area, no medical pills in cabinet battery P&EM 30-Jul-25 Open
- Medical pills will be checked everyweek.
water is stored near production area, cabinet is in front of firefighting hose cabinets…etc.

- The Pest Control Program is in place, however, the implementation is not performed well
according to plan.
- Insect Light Traps are not in good condition. - Pest Control Program will be reviewed and implemented properly.
10-Jul-25 Internal Audit General Administration P&EM 30-Jul-25 Open
- Mouse Traps are missing tags and are not in proper condition. Training will be provided.
- A person who performs insect spray is not capable of explaining how to use chemicals.
- During the site visit, there is a snake in the preform basket which is located in warehouse.

- There is Waste Management Procedure in place and the training is provided, nevertheless
10-Jul-25 Internal Audit General Administration - Waste Management Training will be provided again for this year. P&EM 15-Aug-25 Open
there is some rubbish which is not in bins.

10-Jul-25 Internal Audit General Administration - The refresh training for GHPs/HACCP is not in the training program - Training Program will added into the Training Plan. P&EM 15-Aug-25 Open

- No safety protocol - To train safety culture for forklift drivers and warehousing team
10-Jul-25 Internal Audit Warehouse & Logistics - No maintain program - Set up maintain program for forklift and electric truck W&LM 15/08/2025 Open
- No Maintenance checklist - Maintain daily inspection of electric truck
 - - Establish product handing work instruction.
- No product handling instruction
- Establish a check list program to ensure that finish goods and raw material
- In the procedure explained role of manager will be review keeping area compliance with
keeping are compliance with ISO
ISO 9001:2015, GHPs/HACCP, but there is no evidence (program and checklist) to ensure
- Establish a check list program to ensure all raw material keep prevent
housekeeping are compliance with ISO GHPs and HACCP.
10-Jul-25 Internal Audit Warehouse & Logistics from contamination W&LM 15-Sep-25 Open
- No evidence of RM keeping preventing contamination
- Establish a check list program for when truck arrival to ensure that all
- There is no evidence of truck check before loading and condition of finished product
trucks are clean & compliance with ISO
before release to sale.
- will order temperature control equipment and checklist to ensure that all
- No temperature control equipment and checklists are never used in Warehouse location.
locations in WH are welly control properly temperature.

- In the procedure had explain role of manager will be review keeping area compliance with
- Establish a check list program to ensure that finish goods and raw
10-Jul-25 Internal Audit Warehouse & Logistics ISO 9001:2015, GHPs/HACCP, but there is no evidence (program and checklist) to ensure W&LM 15-Aug-25 Open
material keeping are compliance with ISO
housekeeping are compliance with ISO GHPs and HACCP

- Establish a process for identifying and evaluating potential suppliers.

10-Jul-25 Internal Audit Warehouse & Logistics - No evidence of supplier evaluation (Delivery Truck). - Implement a yearly schedule for ongoing supplier evaluations to ensure W&LM 15-Sep-25 Open
continuous monitoring of quality and performance.

- Auditee is not capable of explaining well the procedure and operation of Warehouse and - I am going to spend more time to read all SOP to be ensured I am welly
10-Jul-25 Internal Audit Warehouse & Logistics W&LM 15-Sep-25 Open
Logistics according to GHPs/HACCP, ISO 9001:2015 requirement. understood.

- The result of the audit SOP showed Supplier Approval List but actual there is no supplier
10-Jul-25 Internal Audit Procurement -Establish supplier approval list with sign approval PRM Executive 13-Oct-25 Open
list approval with sign which not conformed to the ISO 9001:2015 requirement no. 8.4

- The result of the audit SOP showed Supplier Selection but actual there is no supplier
10-Jul-25 Internal Audit Procurement selection approval with sign which not conformed to the ISO 9001:2015 requirement clause no. - Establish supplier selection with sign approval PRM Executive 13-Oct-25 Open
8.4

- The result of the audit SOP showed there was a supplier survey but actual no actual survey
10-Jul-25 Internal Audit Procurement - Establish a process for identifying and supplier survey PRM Executive 13-Oct-25 Open
evidence which not conformed to the ISO 9001:2015 requirement clause no. 8.4

- During the auditing before purchasing material, material needs to be reviewed and
10-Jul-25 Internal Audit Procurement approval sign of specification by QC but actual there is no evidence approval by QC which - Establish a process for review and specification approval from QC PRM Executive 13-Oct-25 Open
classified as the non-conformity referring requirement clause no. 7.4

- The result of the audit SOP showed there is a supplier survey but no actual survey evidence
10-Jul-25 Internal Audit Procurement - Establish a process for identifying and supplier survey PRM Executive 13-Oct-25 Open
which conformed to the ISO 9001:2015 requirement clause no. 9.1.3

- The result of the audit SOP showed there is a supplier score OTIF but no actual score
10-Jul-25 Internal Audit Procurement - Establish a process for OTIF evaluation & survey score PRM Executive 13-Oct-25 Open
evaluation which conformed to the ISO 9001:2015 requirement clause no. 8.2.3

- In SOP mentioned yearly supplier evaluation basic but there is actual evaluation/review the
10-Jul-25 Internal Audit Procurement - Establish a process for supplier evaluation. PRM Executive 13-Oct-25 Open
score which conformed to the ISO 9001:2015 requirement clause no. 8.2.3

10-Jul-25 Internal Audit Sale & Marketing Open

Count of CAR No. Status
Process Ower NC Type Open Total Result
General Administration
Internal Audit
Management
Internal Audit
Procurement
Internal Audit
Production & Engineering
Internal Audit
QA/QC
Internal Audit
Sale & Marketing
Internal Audit
Warehouse & Logistics
Internal Audit
Total Result
NC Type Process Owner
Internal Audit QA/QC
External Audit Production & Engineering
Supplier Complaint Warehouse & Logistics
Customer Complant Sale & Marketing
On-hold Product Procurement
Management
General Administration
Person In Charge Status
QAM Open
P&EM In-Progress
W&LM Closed
SOM Cancelled
PRM Executive
HSC
GAS