机动车整车生产一致性审查培训课件.ppt

机动车整车产品机动车整车产品生产一致性审查要求说明生产一致性审查要求说明Explanations on COP (Conformity of Production)Check Requirements for Motor Vehicles 背景背景 Background 国家认监委国家认监委20082008年年1 1号公告，发布了对汽车产品号公告，发布了对汽车产品强制认证实施规则进行修订和证书换版的要求，强制认证实施规则进行修订和证书换版的要求，规则编号变更为规则编号变更为CNCA-02C-023:2008CNCA-02C-023:2008The CNCA Announcement No.1 of year 2008 announced the revision of auto product compulsory certification implementation rules and the requirements of certificates update, the code of the rules change to CNCA-02C-023:2008背景背景 Background此次规则的修订主要包含以下四各方面的变化：此次规则的修订主要包含以下四各方面的变化： The revision mainly focus on following 4 aspectsØ技术参数技术参数 technical parameters Ø型式试验及依据标准型式试验及依据标准 type approval tests and corresponding standards Ø工厂审查工厂审查 factory inspectionØ车车辆辆一一致致性性证证书书 motor vehicle certificate of conformity 背景背景 Background新新规规则则规规定定的的工工厂厂审审查查需需在在20112011年年7 7月月1 1日日前前完完成。

成The factory inspection which according to the new CCC regulation must be finished before 1st Jul,2011. Ø工厂审查工厂审查 Factory InspectionØ生产一致性控制计划－文件化的规定生产一致性控制计划－文件化的规定 COP control plan－－Documented provisionsØ有关生产一致性控制计划的特殊说明有关生产一致性控制计划的特殊说明 Particular notes to COP control planØ生产一致性现场审查生产一致性现场审查 On-site COP auditingØ质量保证能力审查质量保证能力审查 Quality assurance capability checkØ生产一致性控制计划执行报告生产一致性控制计划执行报告 Executive report of COP control plan主要内容主要内容 Content工厂审查工厂审查Factory Inspection工厂审查工厂审查 FACTORY INSPECTION 0808版实施规则的工厂审查包括生产一致性审查和质量保证能版实施规则的工厂审查包括生产一致性审查和质量保证能力审查。

生产一致性审查包括生产一致性控制计划或生产一致力审查生产一致性审查包括生产一致性控制计划或生产一致性计划执行报告审查以及生产一致性现场审查而工厂质量质性计划执行报告审查以及生产一致性现场审查而工厂质量质量保证能力审查条款较原规则少了例行检验、确认检验和生产量保证能力审查条款较原规则少了例行检验、确认检验和生产一致性两个条款，这两项内容则要在生产一致性审查中体现一致性两个条款，这两项内容则要在生产一致性审查中体现 As specified in the Implementation Rules (version 08), factory inspection consists of COP check and quality assurance capability check. COP check comprises the auditing on COP control plan or executive report of COP plan, and the on-site COP auditing. Compared to the preceding version, two clauses (i.e., routine test and confirmative test) are eliminated as to the quality assurance capability check, which need to be embodied in the COP check. 生产一致性审查是通过生产一致性控制计划及其执行报告的审查和现场审生产一致性审查是通过生产一致性控制计划及其执行报告的审查和现场审查，确认批量生产的认证产品和型式试验样品的一致性，以及与认证标准的查，确认批量生产的认证产品和型式试验样品的一致性，以及与认证标准的符合性。

符合性 COP check is to, via the auditing on COP control plan and its executive report and the on-site auditing, verify the consistence of mass-produced certified products with both the type approval samples and the certification standards. 企业确认产品和样品相一致制定的流程，可以是抽样确认，也可以通过企业确认产品和样品相一致制定的流程，可以是抽样确认，也可以通过系统管理实现具体方法，企业自定，关键是企业要有一个确认保证系统系统管理实现具体方法，企业自定，关键是企业要有一个确认保证系统 To verify the consistence between products and samples, manufacturer may adopt either sampling or system management. The concrete approach is subject to manufacturer; provided, however, manufacturer shall set up and employ a system for the confirmation and assurance purposes. 工厂审查工厂审查 FACTORY INSPECTION 初始工厂审查时，首先进行生产一致性控制计划审查，然初始工厂审查时，首先进行生产一致性控制计划审查，然后进行现场审查；后进行现场审查； For initial factory inspection, the auditing on COP control plan shall be conducted firstly; then, the on-site auditing shall be unfolded; 获证后监督时，首先进行生产一致性控制计划执行报告审获证后监督时，首先进行生产一致性控制计划执行报告审查，然后进行现场审查。

查，然后进行现场审查 For follow-up inspection, the auditing on executive report of COP control plan shall be conducted firstly; then, the on-site auditing shall be unfolded.工厂审查工厂审查 FACTORY INSPECTION 工厂审查工厂审查 FACTORY INSPECTION生产一致性控制计划－文件化的规定生产一致性控制计划－文件化的规定COP control plan－－Documented provisions生产一致性控制计划－文件化的规定生产一致性控制计划－文件化的规定COP control plan－－Documented provisions . 生产一致性控制计划是制造商为保证批量生产的认证产品的生产一致性而形成生产一致性控制计划是制造商为保证批量生产的认证产品的生产一致性而形成的文件化的规定。

应包括的文件化的规定应包括在实施规则中与企业生产的产品相关的试验或相关检查的内在实施规则中与企业生产的产品相关的试验或相关检查的内容、方法、频次、偏差范围、结果分析、记录及保存的文件化的规定容、方法、频次、偏差范围、结果分析、记录及保存的文件化的规定 COP control plan represents the documented provisions established on the side of manufacturer for the purpose of assuring the COP of mass production. Such documented provisions shall involve the tests/inspections specified in the Implementation Rules which relate to manufacturer’s products, e.g., content, methods, frequency, deviation range, result analysis, recording and storage, etc. 生产一致性控制计划要按照车型系列进行编写，每个系列一个控制计划，控制计生产一致性控制计划要按照车型系列进行编写，每个系列一个控制计划，控制计划中相同部分可以互相引用。

划中相同部分可以互相引用 COP control plan shall be worked out per type range. One control plan shall be formulated for each type range. In the control plans, cross reference is allowed for identical portions. 1、首先要确定在实施规则中与本企业产品有关的标准是哪些，然、首先要确定在实施规则中与本企业产品有关的标准是哪些，然后以标准的技术要求为主线，确定影响标准符合性和产品一致性后以标准的技术要求为主线，确定影响标准符合性和产品一致性的的关键部件关键部件、关键工序以及、关键工序以及COP试验或检查的控制要求，并对试验或检查的控制要求，并对执行的结果进行分析，要有必要的记录和相应保存期限执行的结果进行分析，要有必要的记录和相应保存期限1. First, manufacture shall determine which standards set out in the Implementation Rules are related with its products; then, based on the technical specifications of the standards, determine the critical components and key process loops affecting the compliance with standards and product consistency, as well as the control requirements for COP tests or inspections; moreover, the execution results shall be analyzed, necessary recording shall be conducted, and corresponding storage time limits shall be specified. 生产一致性控制计划－文件化的规定生产一致性控制计划－文件化的规定COP control plan－－Documented provisions .  2 2、对于识别出的关键部件、材料、总成应首先区别为自制和外购，并分别提出控制要、对于识别出的关键部件、材料、总成应首先区别为自制和外购，并分别提出控制要求。

求l自制件：应控制材料选择、设计、加工工艺、成品检验等环节；自制件：应控制材料选择、设计、加工工艺、成品检验等环节；l外购件：应控制供应商选择、进货检验、标准符合性确认等环节；外购件：应控制供应商选择、进货检验、标准符合性确认等环节；l对已获得强制性产品认证或国家认监委发布的自愿性产品认证的零部件和系统，仅对已获得强制性产品认证或国家认监委发布的自愿性产品认证的零部件和系统，仅需确认装车的零部件规格型号与证书的一致性及该证书的有效性需确认装车的零部件规格型号与证书的一致性及该证书的有效性2 For the identified critical components, materials and assemblies, self-made ones shall be firstly differentiated from the outsourced ones, for which respective control requirements shall be put forward. lSelf-made components: Necessarily to have the following loops under control: material selection, design, processing technology, finished product testing, etc.; lOutsourced components: Necessarily to have the following loops under control: supplier selection, testing on received goods, compliance with standard, etc.; lAs for components and systems which have satisfactorily passed compulsory product certification or the CNCA-issued recommendatory product certification, it is necessary to verify the following only: the consistence of components mounted onboard vehicle with the certificate in view of model and specifications, and the validity of certificate. 生产一致性控制计划－文件化的规定生产一致性控制计划－文件化的规定COP control plan－－Documented provisions . 3 3、对上述识别出的关键部件，按照其对标准符合性的影响程度，识别并控制、对上述识别出的关键部件，按照其对标准符合性的影响程度，识别并控制其其关键制造过程关键制造过程、装配过程和检验过程。

关键制造过程、装配过程、检验过、装配过程和检验过程关键制造过程、装配过程、检验过程可参考程可参考CQCCQC的相关规定，控制要求包括关键工序操作规程、注意事项，设的相关规定，控制要求包括关键工序操作规程、注意事项，设备的检验及维修保养，人员的培训等备的检验及维修保养，人员的培训等3、As for the critical components identified above, it is to, based on the extent of impact it would bring on the compliance with standard, identify and control its critical manufacturing process, assembling process, and testing process. For the critical manufacturing, assembling and testing processes, related provisions of CQC may be consulted; control requirements involve the operational procedures of key process loop, precautions, equipment testing, maintenance and repair, staff training, etc. 生产一致性控制计划－文件化的规定生产一致性控制计划－文件化的规定COP control plan－－Documented provisions .  对于不在工厂现场进行的必要的试验或相关检查以及控制的关对于不在工厂现场进行的必要的试验或相关检查以及控制的关键部件、材料、总成和关键制造过程、装配过程、检验过程，键部件、材料、总成和关键制造过程、装配过程、检验过程，应在计划中特别列出，并说明控制的实际部门和所在地点。

应在计划中特别列出，并说明控制的实际部门和所在地点 As for the critical components / materials / assemblies or critical manufacturing / assembling / testing processes, of which necessary tests, or related inspections and controls are not conducted on the site of manufacturer’s factory, it shall be specifically listed in the plan, in addition to indicating the actual department exercising the control and its address. 生产一致性控制计划－文件化的规定生产一致性控制计划－文件化的规定COP control plan－－Documented provisions . 4 4、针对上述部件按照规定工艺装配完成后，仍可能对整车标准符合性造成的、针对上述部件按照规定工艺装配完成后，仍可能对整车标准符合性造成的影响，安排适当的整车影响，安排适当的整车COPCOP试验或检查试验或检查。

文件应包括试验文件应包括试验内容、方法、频次内容、方法、频次以及判定生产一致性时所规定的合理的允差；如果标准中有频次要求的可以以及判定生产一致性时所规定的合理的允差；如果标准中有频次要求的可以遵循标准，也可以加大频次，但不能低于标准要求；同样最大偏差不能超过遵循标准，也可以加大频次，但不能低于标准要求；同样最大偏差不能超过标准规定的一致性控制范围标准规定的一致性控制范围 4、Where, after completely assembled as per established process technology, the aforesaid components would still affect the compliance of complete vehicle with standards, proper complete vehicle COP test or inspection shall be arranged. The document shall involve test items, methods, frequency, and rational tolerance specified for the pass/fail decision of COP; frequency requirement set out in standard, if any, may be followed; alternatively, frequency may be increased, under the precondition that the standard requirement is satisfied; likewise, maximum deviation shall not fall outside the COP control scope specified in the standard. 生产一致性控制计划－文件化的规定生产一致性控制计划－文件化的规定COP control plan－－Documented provisions . 生产一致性控制计划的特殊说明生产一致性控制计划的特殊说明Particular notes to COP control plan有关生产一致性控制计划的特殊说明有关生产一致性控制计划的特殊说明Particular notes to COP control plan .1 1、对于生产非量产的改装车、特种作业车型、对于生产非量产的改装车、特种作业车型 的工厂的工厂…………（（规则第规则第4.34.3第第3 3段段）） For factory engaged in the manufacturing of non-mass-produced retrofitted vehicles or special-purpose vehicles …(the 3rd subparagraph, Article 4.3 of the Rules) 2 2、认证机构和制造商对生产一致性控制计划不能达成一致、认证机构和制造商对生产一致性控制计划不能达成一致…………（（规则第规则第4.4.2.34.4.2.3））Where no consensus could be reached between certification body and manufacturer as to the COP control plan …(Article 4.4.2.3 of the Rules) 生产一致性现场审查生产一致性现场审查 On-site COP auditing生产一致性现场审查生产一致性现场审查 On-site COP auditing 初始工厂审查中生产一致性现场审查是对制造商提出并经认证初始工厂审查中生产一致性现场审查是对制造商提出并经认证机构审查确认的生产一致性控制计划的执行情况的审查，以及机构审查确认的生产一致性控制计划的执行情况的审查，以及对产品的车辆结构及技术参数的一致性审查。

对产品的车辆结构及技术参数的一致性审查 As one portion of the initial factory inspection, on-site COP auditing is to examine the execution status of COP control plan (originally put forward by manufacturer and subsequently endorsed by certification body), in addition to the consistency examination concerning vehicle structure and technical parameters.生产一致性现场审查生产一致性现场审查 On-site COP auditing审查内容：审查内容：Items to be audited：1 1、、 确定制造商在一致性控制计划中所列的标准，所识别出的关确定制造商在一致性控制计划中所列的标准，所识别出的关键部件、关键工序以及其订制的键部件、关键工序以及其订制的COPCOP试验或检查要求对于其产试验或检查要求对于其产品而言是全面的、适当的。

品而言是全面的、适当的To determine that the following information included in manufacturer’s COP control plan is comprehensive and appropriate relative to its products: listed standards, identified critical components and process loops, as well as formulated COP test or inspection requirements.审查内容：审查内容：Items to be audited：2 2、、 确定制造商在一致性控制计划中所采取的控制方式，对于保确定制造商在一致性控制计划中所采取的控制方式，对于保证其产品的标准符合性和产品一致性而言是切实有效且可操证其产品的标准符合性和产品一致性而言是切实有效且可操作的 To determine that the control means adopted in manufacturer’s COP control plan is realistically effective and operative in assuring the compliance with standards and COP of its products. 生产一致性现场审查生产一致性现场审查 On-site COP auditing审查内容：审查内容：Items to be audited：3 3、确定工厂生产的产品与型式试验样品以及产品结构技术参数、确定工厂生产的产品与型式试验样品以及产品结构技术参数之间的一致性。

之间的一致性 To determine the consistence of products manufactured by the factory with both the type approval samples and the product structural, technical parameters. 生产一致性现场审查生产一致性现场审查 On-site COP auditing 工厂审查发现生产一致性控制计划的执行情况与申报并经审查工厂审查发现生产一致性控制计划的执行情况与申报并经审查批准的生产一致性控制计划存在严重偏差，或实际生产车辆的批准的生产一致性控制计划存在严重偏差，或实际生产车辆的结构及技术参数与型式试验样品一致性存在重大差异时，审查结构及技术参数与型式试验样品一致性存在重大差异时，审查结果不合格，终止本次审查结果不合格，终止本次审查 In case it is found, during factory inspection, that the execution of COP control plan largely deviates from the COP control plan (originally declared by manufacturer and subsequently endorsed by certification body) or that an apparent divergence exists in view of vehicle structural and technical parameters between the actually manufactured vehicles and the type approval samples, the auditing shall be deemed failed. In such case, the current auditing shall be ended. 生产一致性现场审查生产一致性现场审查 On-site COP auditing质量保证能力审查质量保证能力审查 Quality assurance capability check质量保证能力审查质量保证能力审查 Quality assurance capability check 审查内容：审查内容： Items to be checked： 确认工厂的质量保证体系是否在有效运行，以及是否能通确认工厂的质量保证体系是否在有效运行，以及是否能通过其质量体系的有效运行来保证生产一致性控制计划的顺过其质量体系的有效运行来保证生产一致性控制计划的顺利实施利实施。

To verify whether factory’s quality assurance system is under efficient operation, or whether the effective operation of its quality system could guarantee the satisfactory execution of the COP control plan.生产一致性控制计划执行报告生产一致性控制计划执行报告Executive report of COP control plan生产一致性控制计划执行报告生产一致性控制计划执行报告Executive report of COP control plan . 企业每年企业每年监督审查日期前一个月监督审查日期前一个月提交的文件，供获证后监督审查使用提交的文件，供获证后监督审查使用 Executive report shall be submitted one month prior to the start of yearly follow-up inspection, which is intended for the use in the follow-up inspection. 主要应说明生产一致性控制年度执行情况、重要变更以及生产不一致的情况主要应说明生产一致性控制年度执行情况、重要变更以及生产不一致的情况及其原因、处理、追溯、纠正、预防。

及其原因、处理、追溯、纠正、预防 Mainly speaking, the executive report shall depict the yearly execution status of COP control, the main changes made thereof, any non-conformity and its causes, treatment, retroaction, correction and prevention. 执行报告主要包括：执行报告主要包括：An executive report mainly consists of ：1 1、生产一致性控制计划各环节的执行情况；、生产一致性控制计划各环节的执行情况；Execution status of each loop of the COP control plan;2 2、、COPCOP试验或检查的样车情况、项目、结果、报告编号；试验或检查的样车情况、项目、结果、报告编号； Conditions of sample vehicles used for COP test/inspection, as well as the items, results, and report No.; 生产一致性控制计划执行报告生产一致性控制计划执行报告Executive report of COP control plan .3 3、、一一致致性性控控制制计计划划变变更更情情况况。

应应包包括括一一致致性性计计划划主主要要内内容容的的变变更更，，控控制制方方法法控控制制要要求求的的变变更更、、组组织织机机构构或或管管理理架架构构的的变变更更以以及及企企业对于这些变更影响生产一致性的分析说明等业对于这些变更影响生产一致性的分析说明等Changes of COP control plan. It shall include the changes of main content of the COP control plan, the changes of control methods and requirements, the changes of organizational structure or management architecture, manufacturer’s analysis and explanations as to the impacts of these changes on the COP, etc. 生产一致性控制计划执行报告生产一致性控制计划执行报告Executive report of COP control plan . 生产一致性计划的变更，除涉及生产一致性计划的变更，除涉及COPCOP试验或检查、关键件以及产品的一致性试验或检查、关键件以及产品的一致性性和与标准的符合性的项目需要事先向认证机构申报外，其他项目如：一些性和与标准的符合性的项目需要事先向认证机构申报外，其他项目如：一些关键过程控制方式的变更、人员和设备的变更、生产不一致追溯和处理措施关键过程控制方式的变更、人员和设备的变更、生产不一致追溯和处理措施的变更等，可在此执行报告中向认证机构每年提交一次说明。

凡生产一致性的变更等，可在此执行报告中向认证机构每年提交一次说明凡生产一致性控制计划发生变更的，除在执行报告中进行变化说明外，企业还应另提供一控制计划发生变更的，除在执行报告中进行变化说明外，企业还应另提供一份新版本的生产一致性控制计划份新版本的生产一致性控制计划 Any change of COP control plan, which concerns COP test/inspection, critical component, consistence of products, compliance with standards, etc., shall be declared to the certification body in advance. Other changes, e.g., concerning critical process control means, staff and equipment, non-conformity retroaction and treatment, etc., may be explained, in the executive report, to the certification body once per year. For any change made to the COP control plan, the detailed change shall be explained in the executive report; in addition, manufacturer shall furnish a renewed COP control plan. 生产一致性控制计划执行报告生产一致性控制计划执行报告Executive report of COP control plan .。