The CCC Factory Inspection

During the factory inspection, the auditors will use a checklist. The following checklist are the
most important points which will need to be implemented at your plant and controlled
regularly.

Checklist for Factory Inspection (Requirements)

1. Responsibilities and Resources

1.1 Responsibilities Employees/Disruptions/Quality Assurance
 The quality management of the manufacturer must meet the requirements of the Certification
and Accreditation Administration of the People’s Republic of China, or CNCA (Implementation
Rules, No. CNCA-C11-09:2014 interior trimming parts), and should be updated and checked
regularly.
 Open lines of communication between the employees working the manufacturing line, their
superiors and the quality control manager must be demonstrated.
 The communication chain should be followed in case of quality defects, disruptions or other
problems, and may be asked to be demonstrated during the audit.
 Quality defects, disruptions or other problems need to be reported immediately to the
responsible party and appropriate actions must be taken.
 The quality assurance staff must monitor the product quality continuously, have the
opportunity to engage in the production and if necessary stop production in case of product
quality deviation.

Documents required here:

 A document showing the qualifications and precise responsibilities of each employee
responsible for production and quality management
 An organizational chart of the plant showing the employee and their hierarchical relationships
(this chart must show the “CCC responsible person.” This should be the quality manager.)
 Manuals/Documentation protocols showing the tolerances allowed and the procedures for
maintaining tolerances as well as the procedures followed in case of deviations
 List of names of the responsible personnel with QMS or internal documents shown

1.2 CCC-Manager/Quality Control Manager

 You will need to appoint a CCC responsible person at your plant who is familiar with the CCC
certification process and guidelines. This requirement must be written in the job description,
organizational chart and must be defined in the procedural instructions.
 The job description of the Quality Control Manager should be shown as "Technical responsible
person for CCC certification," printed out and should contain the following text. Please copy
the text below exactly in the job description.

The Quality Control Manager shall ensure:

a) That the requirements of China's Implementation Rules for Compulsory Certification of Motor
Vehicle Products (for interior trim parts: CNCA-C11-09:2014) are fulfilled and that the
complete implementation is secured and adjusted periodically according to the given changes.
b) That the CCC certified products at all times comply with the Chinese product standard (for
interior trim parts: GB 8410-2006)
c) That a procedure exists that controls the labeling of the product with the CCC logo
 d) That a procedure exists which controls the marking of the CCC logo, and assures that it is not
applied on faulty or non-certified products. The procedure must also make sure that the logo
cannot be put on any products that have been modified after certification without an
adjustment of the certificate.
e) That a CoP Control Plan is created and implemented
f) That any relevant changes are announced to the Chinese Certification Authority before
production of marked CCC products is allowed.

Documents required here:

 Appointment of the Quality Control Manager as the “Technical responsible person for CCC
certification” in the job description, and the defined areas of responsibility including CCC
 Certificates/documents that demonstrate the professional qualifications of the Quality Control
Manager (e.g. certificate of training, other relevant certificates, etc.)

1.3 Resources
 The plant must provide evidence that the necessary production and testing facilities are
available to manufacture products in conformity with the GB standard.
 The work environment should provide and ensure production, inspection, storage and
verification of the product(s) without disruption.

Documents required here:

 List of production facilities and testing facilities as shown in the “Questionnaire for factory
inspection”
 Proof of qualification, training and certificates of all employees who perform work that affect
the product quality. Appropriate qualifications of employees must be ensured

2. Documents and Quality Reports

2.1 Preparation of Procedural Instructions and Documents

 Procedural instructions and documents must be implemented in order to ensure the effective
regulation of production and quality control. These documents must be regularly monitored.
The procedural instructions and documents should cover the following areas:
- Product quality
- Production process
- Internal audits
- Quality management
- Change management (based on technical details, production, critical components)
- The use of the CCC logo on the products.
 Control of the CCC labelling must be documented so that the CCC label is not attached to
products which have not undergone CCC certification or that have changed since the initial
certification. It is mandatory that appropriate procedures are present in the plant.
 Procedural instructions that ensure that all changes:
- To the product
- Core components
- The material
- The production process
- The organization
- The applicant
Changes must be communicated to the Chinese authorities, before they are implemented.
Any change must be documented internally.
 Procedural instructions, test reports and documents must include:
- Internal number
- Construction or modification date
- Responsible persons for the document (implementation, verification, release)
 The product must meet the requirements of CCC certification (GB Standard).
 There must be a procedural instruction that regulates the implementation of CoP Control Plan.
This procedural instruction will need to list all supporting documents and the exact
responsibilities of accountable person.
  According to the requirements of Chinese certification authorities, a CoP Control Plan needs
to be created for the CCC-certified products. This CoP Control Plan will need to be
implemented into the Quality Management System. It is necessary to use the draft of the
Chinese certification authority, other versions of the CoP plans will not be accepted.
 An annual report in regards to the execution of the CoP Control Plan will need to be submitted
to the Chinese certification authority (CoP Execution Report)
 The CNCA Implementation Rules will be a fixed part of the Quality Management System.
 The Detailed Implementation Rules of the Chinese certification authority will be a fixed part of
the Quality Management System

Documents required here:

 Quality Management Manuals

 Procedural instructions for the production process
 Procedural instructions for the quality management
 Procedural instructions for the internal audits
 Procedural instructions to the product quality
 Procedural instructions for change management
 Procedural instruction for use of the CCC logo
 Procedural instruction for dealing with changes of certified products
 General procedure for CCC certified products
 List of work instructions in the production of the product(s)
 CoP Control Plan (Draft of Chinese certification authority)
 Most recent CNCA Implementation Rules
 Most recent Implementation Rules of the Chinese certification authority
 Procedure of Ensuring the Conformity of Production (CoP) for CCC certification-EN-1
 CoP Execution Report (draft version of certification authority)

2.2 Monitoring and Updating of Procedural Instructions and Documents

 Procedural instruction and documents must be regularly monitored and updated.
 Authorized personnel must approve changes to the procedural instructions before they are
allowed to take effect.
 All procedural document changes must be recorded with dates and traceable.
 All quality management documents must be accessible at all times for the relevant authorized
personnel.
 Rules must exist for document flow and control. Standard forms should be available and
archived.

Documents required here:

 Procedure for document control and record management
 List of controlled documents
 Application and approval protocols for the amendment and modification of documents must be
available
 The release and modification mechanisms must be identified on the basis of the quality
management system

2.3 Quality Assurance Reports

 There must be procedural instructions which specifically mention the “CCC relevant
documents,” and which regulate the storage, storage manner, safekeeping period, retention
and protection of the quality protocols.
 Quality assurance reports which ensure and document that the conformity of the products are
in accordance with all relevant standards. The reports must be retained for a reasonable
period.

Documents required here:

 Documents of the management process regarding the quality assurance reports
  List of quality assurance reports which specifically mention the following CCC relevant
documents:
- CCC certificate
- Permission of Printing
- Audit reports
- Requalification test reports
- Implementation Rules
- Detailed Implementation Rules
- Record of changes on CCC certified products
- Records of CCC logos used in a certain period of time

 All CCC relevant documents should be integrated in the “list of quality records”, respectively in
the “list of controlled documents/procedures” or Retention List of Documents/Data. CCC-
relevant documents are the above mentioned documents, i.e. CCC certificate, Permission of
Printing, Test Reports, Application Documents, Audit Reports, etc.
 Retention periods of quality assurance reports depend on the lifetime of a product incl. service
part delivery.
 The new Implementation Rules require a safekeeping period of minimum 2 years. We
recommend at least 5 years since one CCC certificate is valid for 5 years (under the pre-
condition of regular follow-up inspections).
 Archive of quality assurance reports

3. Purchase and Control of Suppliers and Purchased Parts

3.1 Monitoring / Evaluation of Suppliers

 The factory must establish quality criteria by which suppliers are selected.
 The plant must maintain a register of the processes and criteria to which the selection,
evaluation, re-evaluation and routine monitoring of the suppliers are kept.
 The plant must implement ongoing monitoring of suppliers for quality consistency.
 There must be consistency between the applied supplier evaluation procedures.
 Supplier evaluation benchmarks and procedures must be maintained.
The procurement, supplier selection and evaluation (and corresponding criteria) must be
documented and appropriate procedural instructions must exist. Even if this is not done the plant
itself, the documents must be accessible and comprehensible.

Documents required here:

 Procedural instruction for procurement

 Procedural instruction for the selection, assessment, ongoing evaluation and management of
suppliers, relevant protocols (e.g., the ratification requirement of the product & execution
tracing, certificates of quality management system of suppliers, process chart, FMEA (Failure
Modes and Effects Analysis), technical requirements and work instructions, control plan,
Process Capability Index (PCI), analysis and similar data, which are considered in the
ratification of the suppliers for the manufacturing process
 If the selection and evaluation of suppliers is the responsibility of the parent company or the
central office, there must be a written document and/or proof stating this. Evaluation
procedural instructions must be visible all the time at the plant
 Documents that demonstrate the quality criteria which are applied to the selection of the
supplier
 Inspection certificate of raw materials.
 Quality agreement with the suppliers (e.g. test reports of raw materials, first piece release,
sampling test report)
 PPAP may be requested for all CCC relevant purchased key components/materials

3.2 Monitoring / Evaluation of Purchased Parts / Core Components

 The plant must demonstrate that procedural instructions are implemented to ensure that
critical purchase parts and materials are tested regularly.
 The plant must demonstrate adherence to quality standards.
  The procedural instruction must include the following points:
- Description of the critical purchase part or the core component
- Test method(s)
- Frequency of testing
- Evaluation model
 The review of critical purchased parts and materials can be performed by the plant or by the
supplier. If the verification is carried out by the supplier, the plant should define the monitoring
requirements of the products at the supplier.
 Plant reports regarding the testing of critical buying parts should be available, showing the
conformity of the products with the relevant standards and requirements.

Documents required here:

 Procedural instruction for the inspection and validation of key components and materials
 Procedural instruction for the regular inspection of key components and materials
 Procedural instructions and protocols for incoming goods inspection of key components and
materials
 Inspection reports of acceptance testing of key components and materials
 If the verification of components is performed by the supplier, a proof of the defined
requirements must be present. The test reports from the suppliers should be stored at the
plant

4. Control and Monitoring of the Production Process

4.1. Central Production Processes / Process Control

 Process control, process optimization and process capability must be available at the plant.
Regular production inspections must be carried out to ensure the effective use.
 The plant must list the critical production processes.
 The plant must be able to demonstrate the appropriate training and qualifications of the staff
responsible for the production process.
 The plant must create the appropriate procedural instructions to control the production
process.
 The most important production steps should be appropriately labeled in the production flow
chart.
 Implementation of a system for traceability of production to ensure the quality. The traceability
is determined by legal, organizational and customer-specified rules and should be available at
any time.

Documents required here:

 APQP (Advanced Product Quality Planning) and PPAP (Production Part Approval Process)
materials of certified products that are made on the control day (process chart, control plan,
FMEA (failure modes and effects analysis), technical requirements and work instructions
 Inspection schedule must be available
 Inspection agreements must be available
 Documents showing the production process must be available
 Inspection process and protocols must be available
 Documents regarding the educational background of the persons (workers) entrusted with the
core work process
 Work instructions to the core work process must be available
 Process capability index (PCI) research data of the core manufacturing process of the certified
products which are produced to the control day and documents for PCI analysis
 Technical validation
 Protocol for startup/shutting down of production, checklists before re-starting/shutting down
machines, spot check control of the facilities at the arrival of new materials or new material
wholesale supplies, reset or restart the of the facilities, shift change between operating teams,
change the project, modification of production equipment and tools, etc. must be available
  Proof of the usage of following process:
- Application of statistical process controlling (SPC)
- Process capability analysis
- Workflow (process) confirmation
- Review of engineering
- Production control plan
- Documented completion of the process of study
- Appropriate standards and maintenance instructions for the production
- Measurement and testing methods
 The production flow chart for each product certified or to be certified must be available in
English

4.2 Production Preparation

 Reviews of the pre-production:
- New materials or material batches
- Reset or restart of devices
- The shift operators
- Changes to the project (engineering)
- Changes of tools and special equipment
 Written operating instructions must be available to the person responsible

Documents required here:

 Documents for the initial inspection:

- Checklists
- Notes of the daily checks
- Change of shift documentation
 Procedural instruction for the preparation of production must be available in the plant and be
demonstrated by the responsible personnel

4.3 Recognition of Environmental Regulations

If environmental regulations must be met by the plant, the control process must reflect this.

Documents required here:

 Environmental regulations and related control protocols of the plant

 Documents showing that the production is in conformity with environmental regulations

4.4 Monitoring of the Production Process

 The plant must maintain evidence of the monitoring / control of all central production
processes.
 A constant monitoring of process parameters and product characteristics (corresponding to
the certified products) must be guaranteed and logged in the plant.
 The ongoing monitoring of the core production process must be guaranteed.

Documents required here:

 The rules and protocols of the process parameter controls of the certified products which are
produced to the record date must be available
 The rules and protocols for monitoring and control of product characteristics must be present
at the plant
 Work instructions for process verification

4.5 Management / Maintenance of Production Facilities, Production Tools

 System-management for tools, such as location, calibration, frequency of calibration,
methods/certification of calibration, notes, etc..
 Procedures for preventive maintenance of production equipment and their implementation
must be available.
  The company shall ensure that the basic servicing and maintenance of the facility and tools
are ongoing, scheduled and recorded.
 Spare parts for the production equipment and facilities in the plant must be available as well
as accurate procedural instruction for procurement of spare parts.
 Traceability and details of tooling and equipment status.
 Procedural instructions governing the maintenance and calibration of production equipment
and tools must be in place and implemented. Weighing and measuring equipment must be
calibrated accurately and necessary calibration certificates must be valid at the time of factory
inspection.
 Procedures regarding the labeling, packaging, storage and protection of the product must be
regulated at the plant.

Documents required here:

 Procedures for management of the production line and equipment:

- List of production equipment
- Testing and acceptance of the production line (beginning of each shift)
- Inspection intervals
- Protocols for use of the production line and equipment
 Maintenance schedule of the production line and corresponding protocols
 A documented spare parts management system for production machinery
 Documentation for calibration, certification and inspection of measuring instruments in
accordance with the relevant Bureau of Standards

4.6 Traceability of Products

 A system for tracing of goods/products must be implemented by the plant.
 Control and notes in the plant allowing traceability of the products in accordance with the
requirements of laws, regulations, the customer or the organization (plant) itself.
 Work processes and products in the individual production steps must be clearly marked.
(Traceability markings locally, e.g. individual batch numbers, etc.)
 Verifiable consistency must be ensured. This affects the accuracy of product structure,
product names, material names, part numbers, drawing numbers and suppliers.
Manufacturers are required to show documentation of how many products are marked with the
CCC logo (e.g. number of used stickers/labels, number of CCC-certified parts manufactured by a
machine)

Documents required here:

 Procedural instructions and protocols for traceability of certified products.

 Tracking logs (for example shown by SAP)
 Documentation about the consistency of the products to be certified must be demonstrated

4.7 Statistical Methods for Quality Assurance

 If statistical methods are used for quality assurance, the methods used should be described in
a procedural statement.
 The plant is familiar with the basic concepts of statistics, such as variance, variation, control
(stability), process capability and overdue adjustment.
List of applied applications / software used for statistical treatment (application of: SPC, DFMEA /
PFMEA / SFMEA, design DOE test statistic tolerance assay techniques, regression analysis,
reliability analysis, MSA measurement analysis).

Documents required here:

 SPC Applications (Statistical Process Control)

 Documentation relied on for statistical methods for quality assurance
 Evidence of the implementation of SPC Applications at the plant (for example in the supplier
selection)
5. Inspection During Production (Routine Tests), Acceptance Test (Verification Tests)

 Procedural instructions must be implemented to control the execution of regular routine and
acceptance tests (annual re-qualification, verification tests) and to ensure that the products
meet the standards and requirements (e.g., size, function, label, and packaging).
 The Procedural instructions must include the following:
- List of products that need to be tested
- The purpose of the tests
- Test methods
- Acceptance criteria
- Frequency of execution (1 time per year, 1 time per shift, etc.)
 The plant must be able to make ongoing tests, or use external test laboratories, to ensure that
the products is in constant compliance with the GB Standard.
 Process instructions must provide that the tests demonstrate that the product is in according
to GB standard at least once a year, and the test reports are archived at the plant.
 The plant must verify that the tests are conducted at regular intervals and at crucial steps
during the production.
 The test reports created (whether internal or external reports) and data are kept at the plant.
 The routine tests and acceptance tests must meet the requirements of the relevant GB
standards and the corresponding implementation rules. Appropriate protocols need to be
created referring specifically the appropriate GB standards (e.g. burning test classification
according to GB 8410-2006).
 The routine tests are performed on 100% of the parts produced after the completion of
production. Then no further action on this equipment should be performed except the marking
and packaging.
Acceptance tests are performed on randomly selected products to ensure continued compliance.
One example of an acceptance test: Burning test (Must be done at least once per year)

Documents required here:

 Procedural instructions for routine testing and acceptance tests

 Relevant protocols and inspection instructions or test reports
 Test reports
 Procedural instructions on the review of products according to GB standard
 For the audit all the necessary GB standards should be printed and available

6. Measuring and Test Equipment

 Regular monitoring of, and measuring of test equipment must be ensured by the plant.
 Procedural instructions which regulate the control of measuring and test equipment.
 The plant must ensure that the staff responsible for measuring and testing use the tools
correctly and understand the measurements.
 There must be a clear definition of what can be tested by the internal product testing
laboratory and which product tests must be performed externally.

Documents required here:

 Procedural instructions for the use of measuring and testing equipment and systems
 List of measuring and testing equipment and their locations within the plant
 Work instruction for the use of measuring and testing equipment and systems
 Evidence of regular monitoring of the measuring and test equipment (e.g. by inspection plan)

6.1 Calibration and Verification

 Periodic calibration and certification of measuring and test equipment will be carried out at set
intervals as defined by the equipment manufacturer to insure conformity.
 The plant must ensure that all measuring and test equipment used for calibration and
verification, conform to national and/or international standards.
  If the calibration takes place in the plant, there must be defined procedural instructions
regarding the method, acceptance criteria and calibration interval.
 The status of the verification and/or calibration of a measuring or test equipment must be
easily understandable for users and managers.
 The protocols for verification and calibration must be stored at the factory.

Documents required here:

 List of measuring and testing equipment and facilities

 Calibration or verification plan of measuring and testing equipment and facilities (test agent
monitoring)
 Calibration or verification reports of measuring and testing equipment and facilities must be
current/valid and available.
 Documentation of calibration method, testing and acceptance requirements and calibration
period must be readily available at the plant.

6.2 Measurement System Analysis

 Measurement System Analysis (MSA) take place in the plant in order to calculate the
deviation of the results of measuring and test equipment.
 Statistical analysis is performed to demonstrate variations in the test results.
 Where applicable, the measurement system analysis can on the basis of the results by
Repeatability and Reproducibility (R&R) tested and performed.

Documents required here:

 MSA plan (Measurement System Analysis) for measurement/testing equipment
 MSA instructions
 Results of the Repeatability and Reproducibility (R&R) of measuring and test equipment
 Reports of sample products to perform the analysis

6.3 Laboratory Equipment

 A laboratory in the plant should have the necessary equipment and capacity, to carry out the
relevant inspections, tests and calibrations (including chemical materials, reliability testing,
personnel, and equipment). The internal laboratory is not required to be certified to ISO / IEC
17025.
 External test laboratories must have appropriate equipment, which allows them to perform the
tests required. External laboratories must possess an accreditation (e.g. ISO / IEC 17025
certificate (with attachment)) or an equivalent qualification (e.g. accreditation to National or
International standards, evidence that the external test laboratory of the customer or the CCC
certification authority may be accepted).

Documents required here:

 Internal laboratory manual(s)

 Certificates by external laboratories (e.g. ISO 17025 certificate)

7. Management of Non-conforming Product

 Procedural instructions for management of non-conforming products.

These include:
- Identification method
- Removal of defective products
- Methods of disposal or re-work
- Preventive measures
 Procedural instructions for handling of parts in need of repair, and the methods used to re-
work them so that they meet all of the same tolerances and requirements as defined by quality
management.
 Products of unknown or uncertain quality status should be treated as defective products and
must be clearly marked, and treated as such.
  The documentation of the tests for all relevant components and products should be available
in the plant.
 Designated storage of the defective products in the plant, separated from good parts.

Documents required here:

 Procedures for management of non-conforming products

 Operating procedure for revision and postproduction of products
 Documentation of the method of identification of defective products including:
- Separation
- Re-working
- Disposal
- Records of the corrective actions and preventive measures
 Disposal protocols of waste products

8. Internal Audits

 Procedural documents showing methods used for internal audits. This is to ensure that the
quality management system works and products meet the underlying standards and
requirements.
 Documentation showing internal audits are performed at regular intervals to ensure that the
quality management system is functioning effectively.
 Regular monitoring of the product and the production process to ensure that the requirements
and standards are fulfilled (Implementation Rules and GB standard).
 Regular monitoring of the product and the production process to ensure the consistency
between certified products and Chinese standards as well as between the certified product
and the products tested.
 Procedural instructions (or audit plan) to monitor the CCC mark and change management with
certified parts in accordance with the Implementation Rules. Some auditors emphasize that
formulated tentative instructions must be available for the auditors during the initial audit, even
if the product is not approved for CCC marking.
 Establishment of a customer complaint system within the company that analyze and relay
pertinent product defect information directly to the Quality Control Manager at the factory and
or engineers to resolve the issue. The results from this analysis shall be incorporated into the
organization of internal audits.
 Records showing the results of internal audits archived at the plant.
 Implementation of change measures and preventive measures as a result of internal audits.
Appropriate protocols should be created and stored.
 Additions to the internal audit need to include the following statements:
- “Check consistency of certified products”
- “Customer satisfaction”
These points can be checked with a system, process or product audit. By “consistency of the
certified products” we mean the supervision of the changes that have taken place on the
certified products. Changes listed in the “procedure of change management of the CCC
products.” The internal audit will need to check if changes on the certified products are carried
out strictly in accordance to the stated procedures. Please add the sentence “check
consistency of the certified products” directly into your internal audit procedural document. The
factory will need to understand what “consistence of certified product means,” and refer to
“change management of certified product” when asked during the audit.

Documents required here:

 Procedural instructions for internal audits of the quality management system. Including:
- Consistency of the certified products
- Customer complaints
- Changes on certified products
- Schedule and interval of audits
- Audit reports
- Records of discrepancies
- Corrective actions
  In case a pre-audit was passed, it should be mentioned in the pan for internal audits. A
protocol and documented results should be available.
 Procedural instructions regarding the process audits, schedule, reports, protocols on
discrepancies and corrective actions
 Reports and results of the internal audits documentation
 The plant must demonstrate that the internal audits ensure compliance with the GB standards
 Proof that an effective “customer complaint” system is in place, and a detailed explanation on
the methods for analyzing, and dealing with such complaints

9. Consistency of Certified Products

 The plant must ensure that the products produced correspond directly to the products which
have passed the tests as part of the CCC certification.
 Thus, it can be ensured that the underlying GB Standard is continuously satisfied.
 Procedural instruction for control and documentation of changes to the product, core
components, materials and production processes, which can have impact in terms of the
performance of the GB standards.
All changes to the product, key components, materials and production process must be approved
by the Certifying Authority before they are implemented.

Documents required here:

 Procedural instructions for change management

 The protocols for consistency check
 Consistency check of the conditions in the plant
 Proof of the steps for release of documents and procedural instructions

10. Packaging, Storage and Transport

 The plant must ensure that packaging, storage, transport and environment have no effect on
the product quality or the relevant product standards.
 There must be regular monitoring of the correct storage of the products, to determine a
deterioration of the condition of the product in storage.
Procedural instructions if the storage management system is in accordance with the rule of FIFO
(First-In-First-Out), storage according to product norms, records of regular checks / inspections,
records of disposal of defective products (in addition to FIFO other practical methods such as
double-passages, S shape, Multi-tray, Declining tray, etc. are required).

Documents required here:

 Procedural instructions for packaging, transport and storage with regular monitoring
 Environmental regulations and related protocols
 Requirements for inventory control and appropriate protocols
 Regulations and protocols monitoring the product status