Explanations

on

COP

(Conformity

of

Production)Check

Requirements

for

Motor

Vehicles國家認(rèn)監(jiān)委2008年1號公告，發(fā)布了對汽車產(chǎn)品強(qiáng)制認(rèn)證實施規(guī)則進(jìn)行修訂和證書換版的要求，規(guī)則編號變更為CNCA-02C-023:2008。The

CNCA

Announcement

No.1

of

year

2008

announced

therevision

of

auto

product

compulsory

certificationimplementation

rules

and

the

requirements

of

certificatesupdate,thecodeoftheruleschangetoCNCA-02C-023:2008此次規(guī)則的修訂主要包含以下四各方面的變化：Therevisionmainlyfocusonfollowing4aspects?技術(shù)參數(shù)

technicalparameters?型式試驗及依據(jù)標(biāo)準(zhǔn)typeapprovaltestsandcorrespondingstandards?工廠審查

factoryinspection?車輛一致性證書

motor

vehicle

certificate

of

conformity新規(guī)則規(guī)定的工廠審查需在2011年7月1日前完成。Thefactoryinspectionwhichaccording

tothenewCCCregulationmustbefinishedbefore1st

Jul,2011.?工廠審查?生產(chǎn)一致性控制計劃－文件化的規(guī)定?有關(guān)生產(chǎn)一致性控制計劃的特殊說明?生產(chǎn)一致性現(xiàn)場審查?質(zhì)量保證能力審查?生產(chǎn)一致性控制計劃執(zhí)行報告FACTORY

INSPECTION08版實施規(guī)則的工廠審查包括生產(chǎn)一致性審查和質(zhì)量保證能力審查。生產(chǎn)一致性審查包括生產(chǎn)一致性控制計劃或生產(chǎn)一致性計劃執(zhí)行報告審查以及生產(chǎn)一致性現(xiàn)場審查。而工廠質(zhì)量質(zhì)量保證能力審查條款較原規(guī)則少了例行檢驗、確認(rèn)檢驗和生產(chǎn)一致性兩個條款，這兩項內(nèi)容則要在生產(chǎn)一致性審查中體現(xiàn)。AsspecifiedintheImplementationRules(version08),factoryinspectionconsistsofCOPcheckandqualityassurancecapabilitycheck.COPcheckcomprisestheauditingonCOPcontrolplanorexecutivereportofCOPplan,andtheon-siteCOPauditing.Comparedtotheprecedingversion,twoclauses(i.e.,routinetestandconfirmativetest)

areeliminatedastothequalityassurancecapabilitycheck,whichneedtobeembodiedintheCOPcheck.FACTORY

INSPECTION生產(chǎn)一致性審查是通過生產(chǎn)一致性控制計劃及其執(zhí)行報告的審查和現(xiàn)場審查，確認(rèn)批量生產(chǎn)的認(rèn)證產(chǎn)品和型式試驗樣品的一致性，以及與認(rèn)證標(biāo)準(zhǔn)的符合性。COPcheckisto,viatheauditingonCOPcontrolplananditsexecutivereportandtheon-siteauditing,verifytheconsistenceofmass-producedcertifiedproductswithboththetypeapprovalsamplesandthecertificationstandards.企業(yè)確認(rèn)產(chǎn)品和樣品相一致制定的流程，可以是抽樣確認(rèn)，也可以通過系統(tǒng)管理實現(xiàn)。具體方法，企業(yè)自定，關(guān)鍵是企業(yè)要有一個確認(rèn)保證系統(tǒng)。Toverifytheconsistencebetweenproductsandsamples,manufacturermayadopteithersamplingorsystemmanagement.Theconcreteapproachissubjecttomanufacturer;provided,however,manufacturershallsetupandemployasystemfortheconfirmationandassurancepurposes.FACTORY

INSPECTION初始工廠審查時，首先進(jìn)行生產(chǎn)一致性控制計劃審查，然后進(jìn)行現(xiàn)場審查；Forinitialfactoryinspection,theauditingonCOPcontrolplanshallbeconductedfirstly;then,theon-siteauditingshallbeunfolded;獲證后監(jiān)督時，首先進(jìn)行生產(chǎn)一致性控制計劃執(zhí)行報告審查，然后進(jìn)行現(xiàn)場審查。Forfollow-upinspection,theauditingonexecutivereportofCOPcontrolplanshallbeconductedfirstly;then,theon-siteauditingshallbeunfolded.FACTORY

INSPECTIONCOP

control

plan－Documented

provisions生產(chǎn)一致性控制計劃是制造商為保證批量生產(chǎn)的認(rèn)證產(chǎn)品的生產(chǎn)一致性而形成的文件化的規(guī)定。應(yīng)包括在實施規(guī)則中與企業(yè)生產(chǎn)的產(chǎn)品相關(guān)的試驗或相關(guān)檢查的內(nèi)容、方法、頻次、偏差范圍、結(jié)果分析、記錄及保存的文件化的規(guī)定。COPcontrolplanrepresentsthedocumentedprovisionsestablishedonthesideofmanufacturerforthepurposeofassuringtheCOPofmassproduction.Suchdocumentedprovisionsshallinvolvethetests/inspectionsspecifiedintheImplementationRuleswhichrelatetomanufacturer’sproducts,e.g.,content,methods,frequency,deviationrange,resultanalysis,recordingandstorage,etc.生產(chǎn)一致性控制計劃要按照車型系列進(jìn)行編寫，每個系列一個控制計劃，控制計劃中相同部分可以互相引用。COPcontrolplanshallbeworkedoutpertyperange.Onecontrolplanshallbeformulatedforeachtyperange.Inthecontrolplans,crossreferenceisallowedfor1、首先要確定在實施規(guī)則中與本企業(yè)產(chǎn)品有關(guān)的標(biāo)準(zhǔn)是哪些，然后以標(biāo)準(zhǔn)的技術(shù)要求為主線，確定影響標(biāo)準(zhǔn)符合性和產(chǎn)品一致性的關(guān)鍵部件、關(guān)鍵工序以及COP試驗或檢查的控制要求，并對執(zhí)行的結(jié)果進(jìn)行分析，要有必要的記錄和相應(yīng)保存期限。1.

First,manufactureshalldeterminewhichstandardssetoutintheImplementationRulesarerelatedwithitsproducts;then,basedonthetechnicalspecificationsofthestandards,determinethe

critical

components

andkeyprocessloopsaffectingthecompliancewithstandardsandproductconsistency,aswellasthecontrolrequirementsforCOPtestsorinspections;moreover,theexecutionresultsshallbeanalyzed,necessaryrecordingshallbeconducted,andcorrespondingstoragetimelimitsshallbespecified.2、對于識別出的關(guān)鍵部件、材料、總成應(yīng)首先區(qū)別為自制和外購，并分別提出控制要求。自制件：應(yīng)控制材料選擇、設(shè)計、加工工藝、成品檢驗等環(huán)節(jié)；外購件：應(yīng)控制供應(yīng)商選擇、進(jìn)貨檢驗、標(biāo)準(zhǔn)符合性確認(rèn)等環(huán)節(jié)；對已獲得強(qiáng)制性產(chǎn)品認(rèn)證或國家認(rèn)監(jiān)委發(fā)布的自愿性產(chǎn)品認(rèn)證的零部件和系統(tǒng)，僅需確認(rèn)裝車的零部件規(guī)格型號與證書的一致性及該證書的有效性2

Fortheidentifiedcriticalcomponents,materialsandassemblies,self-madeonesshallbefirstlydifferentiatedfromtheoutsourcedones,forwhichrespectivecontrolrequirementsshallbeputforward.Self-madecomponents:Necessarilytohavethefollowingloopsundercontrol:materialselection,design,processingtechnology,finishedproducttesting,etc.;Outsourcedcomponents:Necessarilytohavethefollowingloopsundercontrol:supplierselection,testingonreceivedgoods,compliancewithstandard,etc.;AsforcomponentsandsystemswhichhavesatisfactorilypassedcompulsoryproductcertificationortheCNCA-issuedrecommendatoryproductcertification,itisnecessarytoverifythefollowingonly:

theconsistenceofcomponentsmountedonboardvehiclewiththecertificateinviewofmodelandspecifications,andthevalidityofcertificate.3、對上述識別出的關(guān)鍵部件，按照其對標(biāo)準(zhǔn)符合性的影響程度，識別并控制其關(guān)鍵制造過程、裝配過程和檢驗過程。關(guān)鍵制造過程、裝配過程、檢驗過程可參考CQC的相關(guān)規(guī)定，控制要求包括關(guān)鍵工序操作規(guī)程、注意事項，設(shè)備的檢驗及維修保養(yǎng)，人員的培訓(xùn)等。3、Asforthecriticalcomponentsidentifiedabove,itisto,basedontheextentofimpactitwouldbringonthecompliancewithstandard,identifyandcontrolitscritical

manufacturing

process,assemblingprocess,andtestingprocess.Forthecriticalmanufacturing,assemblingandtestingprocesses,relatedprovisionsofCQCmaybeconsulted;controlrequirementsinvolvetheoperationalproceduresofkeyprocessloop,precautions,equipmenttesting,maintenanceandrepair,stafftraining,etc.對于不在工廠現(xiàn)場進(jìn)行的必要的試驗或相關(guān)檢查以及控制的關(guān)鍵部件、材料、總成和關(guān)鍵制造過程、裝配過程、檢驗過程，應(yīng)在計劃中特別列出，并說明控制的實際部門和所在地點。Asforthecriticalcomponents/materials/assembliesorcriticalmanufacturing/assembling/testingprocesses,ofwhichnecessarytests,orrelatedinspectionsandcontrolsarenotconductedonthesiteofmanufacturer’sfactory,itshallbespecificallylistedintheplan,inadditiontoindicatingtheactualdepartmentexercisingthecontrolanditsaddress.4、針對上述部件按照規(guī)定工藝裝配完成后，仍可能對整車標(biāo)準(zhǔn)符合性造成的影響，安排適當(dāng)?shù)恼嘋OP試驗或檢查。文件應(yīng)包括試驗內(nèi)容、方法、頻次以及判定生產(chǎn)一致性時所規(guī)定的合理的允差；如果標(biāo)準(zhǔn)中有頻次要求的可以遵循標(biāo)準(zhǔn)，也可以加大頻次，但不能低于標(biāo)準(zhǔn)要求；同樣最大偏差不能超過標(biāo)準(zhǔn)規(guī)定的一致性控制范圍。4、Where,aftercompletelyassembledasperestablishedprocesstechnology,theaforesaidcomponentswouldstillaffectthecomplianceofcompletevehiclewithstandards,propercompletevehicle

COP

test

orinspection

shallbearranged.Thedocumentshallinvolvetestitems,methods,frequency,andrationaltolerancespecifiedforthepass/faildecisionofCOP;frequencyrequirementsetoutinstandard,ifany,maybefollowed;alternatively,frequencymaybeincreased,underthepreconditionthatthestandardrequirementissatisfied;likewise,maximumdeviationshallnotfalloutsidetheCOPcontrolscopespecifiedinthestandard.1、對于生產(chǎn)非量產(chǎn)的改裝車、特種作業(yè)車型

的工廠……（規(guī)則第4.3第3段）Forfactoryengagedinthemanufacturingofnon-mass-producedretrofittedvehiclesorspecial-purposevehicles

…(the

3rd

subparagraph,

Article

4.3

ofthe

Rules)WherenoconsensuscouldbereachedbetweencertificationbodyandmanufacturerastotheCOPcontrolplan

…(Article

of

the

Rules)On-site

COP

auditingOn-site

COP

auditing初始工廠審查中生產(chǎn)一致性現(xiàn)場審查是對制造商提出并經(jīng)認(rèn)證機(jī)構(gòu)審查確認(rèn)的生產(chǎn)一致性控制計劃的執(zhí)行情況的審查，以及對產(chǎn)品的車輛結(jié)構(gòu)及技術(shù)參數(shù)的一致性審查。Asoneportionoftheinitialfactoryinspection,on-site

COPauditingistoexaminetheexecutionstatusofCOPcontrolplan(originallyputforwardbymanufacturerandsubsequentlyendorsedbycertificationbody),inadditiontotheconsistencyexaminationconcerningvehiclestructureandtechnicalparameters.On-site

COP

auditing1、

確定制造商在一致性控制計劃中所列的標(biāo)準(zhǔn)，所識別出的關(guān)鍵部件、關(guān)鍵工序以及其訂制的COP試驗或檢查要求對于其產(chǎn)品而言是全面的、適當(dāng)?shù)?。Todeterminethatthefollowinginformationincludedinmanufacturer’sCOPcontrolplaniscomprehensiveandappropriaterelativetoitsproducts:listedstandards,identifiedcriticalcomponentsandprocessloops,aswellasformulatedCOPtestorinspectionrequirements.On-site

COP

auditing2、

確定制造商在一致性控制計劃中所采取的控制方式，對于保證其產(chǎn)品的標(biāo)準(zhǔn)符合性和產(chǎn)品一致性而言是切實有效且可操作的。Todeterminethatthecontrolmeansadoptedinmanufacturer’sCOPcontrolplanisrealisticallyeffectiveandoperativeinassuringthecompliancewithstandardsandCOPofitsproducts.On-site

COP

auditing3、確定工廠生產(chǎn)的產(chǎn)品與型式試驗樣品以及產(chǎn)品結(jié)構(gòu)技術(shù)參數(shù)之間的一致性。Todeterminetheconsistenceofproductsmanufacturedbythefactorywithboththetypeapprovalsamplesandtheproductstructural,technicalparameters.On-site

COP

auditing工廠審查發(fā)現(xiàn)生產(chǎn)一致性控制計劃的執(zhí)行情況與申報并經(jīng)審查批準(zhǔn)的生產(chǎn)一致性控制計劃存在嚴(yán)重偏差，或?qū)嶋H生產(chǎn)車輛的結(jié)構(gòu)及技術(shù)參數(shù)與型式試驗樣品一致性存在重大差異時，審查結(jié)果不合格，終止本次審查。Incaseitisfound,duringfactoryinspection,thattheexecutionofCOPcontrolplanlargelydeviatesfromtheCOPcontrolplan(originallydeclaredbymanufacturerandsubsequentlyendorsedbycertificationbody)orthatanapparentdivergenceexistsinviewofvehiclestructuralandtechnicalparametersbetweentheactuallymanufacturedvehiclesandthetypeapprovalsamples,theauditingshallbedeemedfailed.Insuchcase,thecurrentauditingshallbeended.質(zhì)量保證能力審查

Quality

assurance

capability

check確認(rèn)工廠的質(zhì)量保證體系是否在有效運行，以及是否能通過其質(zhì)量體系的有效運行來保證生產(chǎn)一致性控制計劃的順利實施。Toverifywhetherfactory’squalityassurancesystemisunderefficientoperation,orwhethertheeffectiveoperationofitsqualitysystemcouldguaranteethesatisfactoryexecutionoftheCOPcontrolplan.生產(chǎn)一致性控制計劃執(zhí)行報告生產(chǎn)一致性控制計劃執(zhí)行報告Executive

report

of

COP

control

plan.企業(yè)每年監(jiān)督審查日期前一個月提交的文件，供獲證后監(jiān)督審查使用。Executivereportshallbesubmittedonemonthpriortothestartofyearlyfollow-upinspection,whichisintendedfortheuseinthefollow-upinspection.主要應(yīng)說明生產(chǎn)一致性控制年度執(zhí)行情況、重要變更以及生產(chǎn)不一致的情況及其原因、處理、追溯、糾正、預(yù)防。Mainlyspeaking,theexecutivereportshalldepicttheyearlyexecutionstatusofCOPcontrol,themainchangesmadethereof,anynon-conformityanditscauses,treatment,retroaction,correctionandprevention.Executive

report

of

COP

control

plan.執(zhí)行報告主要包括：2、COP試驗或檢查的樣車情況、項目、結(jié)果、報告編號；生產(chǎn)一致性控制計劃執(zhí)行報告Executive

report

of

COP

control

plan.3、一致性控制計劃變更情況。應(yīng)包括一致性計劃主要內(nèi)容的變更，控制方法控制要求的變更、組織機(jī)構(gòu)或管理架構(gòu)的變更以及企業(yè)對于這些變更影響生產(chǎn)一致性的分析說明等。ChangesofCOPcontrolplan.Itshallincludethechangesof