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1、AP1000技术交流会专题报告技术交流会专题报告质量保证质量保证AP1000核电项目质量保证交流1.总体情况2.谈判解决问题3.合同执行过程中的关注要点4.合同主要内容主要内容AP1000核电项目质量保证交流1.1 谈判人员中方：q三门核电：金湘（质保处副处长，主谈） 彭瑞华(质保处采购科科长）q山东核电：张清川 李洪涛 西屋联队：q西屋公司：Mr. Ted Alexovich (AP1000项目质保经理）q绍尔公司：Mr. Joseph Green (项目经理）* Mr. Carl Watters（质保经理）* *：部分时间1. 总体情况AP1000核电项目质量保证交流1.2 谈判内容 负责
2、谈判： 1）附件6：质量保证 2）附件9：分包商 3）附件12 质保文件提交进度部分 参与谈判： 1）主合同第8章：质量保证和质量控制 1. 总体情况AP1000核电项目质量保证交流2.1 附件6 质量保证 1）应遵循的质量保证法规、标准n6B Project Quality Assurance/6B.1 General n双方分歧：中方：供方的质量保证体系必须按招标文件的要求，遵守HAF003及相应的导则，同时满足US 10CFR50 Appendix B 或ASME NQA-1的要求。WEC：WEC和SHAW的质量保证体系遵守US 10CFR50 Appendix B或ASME NQA-1
3、，并认为这两个法规/标准等效于HAF003。n解决方案：WEC接受中方的要求，修订如下：The Supplier shall establish and maintain a Supplier level Project Quality Assurance Program (PQAP) complying with PRC code HAF003 (1991) and associated safety guides, IAEA code 50-C/SG-Q (1996) and US NRC 10CFR 50, Appendix B or ASME NQA-1, and ISO9001:20
4、00. 2.谈判解决问题AP1000核电项目质量保证交流2.1 附件6 质量保证 2）供方质量保证大纲的组成n6B Project Quality Assurance/6B.1 Generaln双方分歧中方：层次和关系不清，应根据实际需要确定。WEC：有三个层次的质保大纲(西屋联队的PQAP、WEC和SHAW的项目质保大纲计划、两家公司各自的公司质保大纲），且上述大纲都提交买方审批。n解决方案：只保留联合体的PQAP和两公司的通用质保大纲，PQAP提交买方审批， WEC和SHAW各自的公司质保大纲及工程适用程序提交买方审查。（合同英文 略）2.谈判解决问题AP1000核电项目质量保证交流2.1
5、 附件6 质量保证 3）质量保证分级n6B.3 QA Grading6B.3 QA Gradingn双方分歧中方：应编制程序，规范质量保证分级原则和相应要求。买方及NNSA有权要求修改分级清单。WEC：未在本节明确规定AP1000质量保证分级的原则和要求。没有相应的管理程序，不同意对分级清单的调整。n解决方案：中方接受WEC提出的在DCD文件及USNRC NUREG0800中对分级原则和要求作出规定的答复，但应提交上述相关资料。同时WEC应将分级清单和原则提交买方及NNSA审批。（合同英文 略）2.谈判解决问题AP1000核电项目质量保证交流2.1 附件6 质量保证 4）适用文件清单的内容和提
6、交方式n6B.7 Document Control and Records 6B.7 Document Control and Records n双方分歧中方：要求适用文件清单的内容包括Codes and Standards Codes and Standards applicable to the Contract and Supplier instructions, applicable to the Contract and Supplier instructions, procedures, drawings, specifications and software applicabl
7、e procedures, drawings, specifications and software applicable to the Contract.to the Contract.合同签定后提交买方审查，后续修改也应提交买方。WEC：认为AP1000工程适用的文件已包括在DCD的设计技术部分和IMS中，不同意单独和定期提交；n解决方案：中方接受将适用文件清单保存在IMS中，WEC同意在IMS可用前每月向买方提交该清单，并接受买方对该清单应包括的内容的要求。（合同英文 略）2.谈判解决问题AP1000核电项目质量保证交流2.1 附件6 质量保证 5）不符合项分类n6B.6 Noncon
8、formance Control and Corrective Actions6B.6 Nonconformance Control and Corrective Actionsn双方分歧：中方：基于以往的工程经验，有必要对不符合项进行分类管理，但因为国内外现有法规标准对此都没有明确要求和具体的指南，国内各核电工程的做法也不一致，且WEC的供货范围限于NI设计和部分供货，所以没有充分的理由要求WEC接受我方的要求WEC：对不符合项没有分类要求，因此没有这方面的规定。n解决方案：对WEC供货范围的不符合项，没有提出明确的分类要求，只是提出必须提交买方审查批准的不符合项、提交审查的不符合项、随完工
9、文件提交的不符合项的类型和范围，来达到分类控制的目的。在NI主合同之外，业主有必要自己编制程序，规定整个工程（包括NI、CI及BOP）的不符合项分类原则和控制要求。2.谈判解决问题AP1000核电项目质量保证交流2.1 附件6 质量保证 6）完工报告内容n6C.2.5 Manufacturing Completion Acceptancen双方分歧：中方： QA Data package的内容必须不少于以往工程中EOMR （制造完工报告）的内容，并满足HAF003/06的适用要求。WEC：采用的QA Data package在内容和要求上等同于买方要求的EOMR。n解决方案：WEC同意买方的要
10、求，达成上述一致。（合同英文 略）2.谈判解决问题AP1000核电项目质量保证交流2.1 附件6 质量保证 7）A1类以外设备制造和施工中西屋责任和权利n6B.6.4 Non-conformances for Category A Type 2, Category A Type 3, Category B and Category C Equipment and for NI constructionn6D Purchasers Responsibility for NI scope of supply being performed by the Purchaser.n双方分歧：中方：认为W
11、EC供货范围之外的事情不适宜在NI合同和附件中出现西屋联队：WEC对NI及全厂的性能负责，所以有责任和权利对其供货范围以外、买方负责范围内的不符合项进行审查、参与买方负责的设备采购和施工的QA/QC活动n解决方案：考虑到WEC要求的合理性，同时买方也需要设计方在各环节承担责任，接受了WEC的要求，在上述两节中对WEC供货范围以外的不符合项进行审查、参与买方负责的设备采购和施工的QA/QC活动作出了规定。2.谈判解决问题AP1000核电项目质量保证交流2.1 附件6 质量保证 8）质量计划的管理n6C.2.4 Witness and Hold Pointsn双方分歧中方：坚持审批WEC：不同意将
12、设备制造质量计划提交买方审批n解决方案：考虑到买方审批质量计划的目的和意义也仅在于提出对质量计划内容和控制点设置的意见，不能强制要求制造厂进行修改，所以接受了上述规定，即审查，并要求供方对买方的意见进行响应。 The quality plans will be submitted to the Purchaser for review. The Supplier shall give full consideration and respond to any comments provided by the Purchaser regarding the quality plans.2.谈判解
13、决问题AP1000核电项目质量保证交流2.1 附件6 质量保证 9）ASME规范要求在NI核安全相关设备中的应用n6B.3 QA Gradingn双方分歧WEC要求: 在中国制造的和在中国外制造的但其中包含在中国按照ASME法规制造的部件和零件，但经授权检查机构（AIA）的授权和检查及ASEM钢印（即：N，NPT）要求例外。中方：A1类设备应满足ASME法规的所有要求。要求所有中国制造/建造承包商满足这一要求有利于确保质量，有利于促进国内制造/建造承包商的管理和技术水平与国际接轨。但A1类设备中仍有中国的分供方（例如主泵泵壳和钢制安全壳），而且这些分供方目前还没有取得没有N类钢印，中国大部分制
14、造/建造承包商短期内较难以取得ASME认证，这将会给国产化造成障碍。另外买方负责的A1类以外设备也由WEC设计，如果中方坚持A1设备完全满足ASME的要求的话，WEC会在设计和采购技术规格书中对中方采购的设备提出同样的要求，这样一来会对设备采购带来很多问题。2.谈判解决问题AP1000核电项目质量保证交流n解决方案：经领导和专家研究，双方均作出让步，达成如下共识：1) Components and parts manufactured outside of China meet all the ASME Code 1) Components and parts manufactured out
15、side of China meet all the ASME Code requirements including design, material, manufacturing, quality assurance, requirements including design, material, manufacturing, quality assurance, authorized nuclear inspection by an Authorized Inspection Agency (AIA) and ASME authorized nuclear inspection by
16、an Authorized Inspection Agency (AIA) and ASME Stamping.Stamping.2) Components and parts manufactured in China meet all the ASME Code requirements 2) Components and parts manufactured in China meet all the ASME Code requirements with the exception of authorized nuclear inspection by an AIA and ASME
17、Stamping with the exception of authorized nuclear inspection by an AIA and ASME Stamping (e.g. N, NPT).(e.g. N, NPT).3) Components and parts manufactured outside of China, but which contain parts 3) Components and parts manufactured outside of China, but which contain parts governed by the ASME Code
18、 that were manufactured in China and not ASME stamped governed by the ASME Code that were manufactured in China and not ASME stamped (per above) will meet the requirements of the ASME Code with the exception of (per above) will meet the requirements of the ASME Code with the exception of authorized
19、nuclear inspection by an AIA and ASME Stamping (e.g. N, NPT).authorized nuclear inspection by an AIA and ASME Stamping (e.g. N, NPT).4) Category A Type 2, Category A Type 3, Category B and Category C Components and 4) Category A Type 2, Category A Type 3, Category B and Category C Components and par
20、ts that are subject to the ASME Code and manufactured in China shall meet parts that are subject to the ASME Code and manufactured in China shall meet the applicable ASME Code requirements. The exception of authorized nuclear the applicable ASME Code requirements. The exception of authorized nuclear
21、 inspection by an AIA and ASME Stamping (e.g. N, NPT) will be at the inspection by an AIA and ASME Stamping (e.g. N, NPT) will be at the Purchasers option.Purchasers option.2.谈判解决问题AP1000核电项目质量保证交流2.1 附件6 质量保证 10）哪些不符合项必须提交买方审批n6B.6 Nonconformance Control and Corrective Actions/6B.6.2 Disposition an
22、d 6B.6 Nonconformance Control and Corrective Actions/6B.6.2 Disposition and ApprovalApprovaln双方分歧：WEC要求:不符合项处理方案审批的责任单位应是设计方，WEC为A1类设备的设计单位。对于违反WEC采购技术规格书要求并且建议的处理方案是修理或照用的不符合项，买方审批的目的和意见不明确，且该类不符合项（包括材料替代等）数量较多，如果全部提交买方审批则需较长的流转时间。中方：要求对该类不符合项进行审批。定为此类的不符合项应是不符合采购技术规格书，但未违反合同和买方批准的文件的不符合项。n解决方案：中方作
23、出让步，达成如下共识：Documentation for non-Documentation for non-conformances to procurement specifications shall be copied to the Purchaser conformances to procurement specifications shall be copied to the Purchaser for review within one week after it is submitted to the Supplier. Non-for review within one w
24、eek after it is submitted to the Supplier. Non-conformances to procurement specifications shall be dispostioned by the conformances to procurement specifications shall be dispostioned by the Supplier. The Purchaser will be provided a copy of nonconformance Supplier. The Purchaser will be provided a
25、copy of nonconformance documentation along with its disposition when it is transmitted to the sub-documentation along with its disposition when it is transmitted to the sub-supplier. The Supplier shall give full consideration and respond to supplier. The Supplier shall give full consideration and re
26、spond to Purchasers comments regarding the disposition of the nonconformance.Purchasers comments regarding the disposition of the nonconformance.2.谈判解决问题AP1000核电项目质量保证交流2.1 附件6 质量保证 11）不符合项文件向买方的提交n6B.6 Nonconformance Control and Corrective Actions/6B.6.3 Non-conformances 6B.6 Nonconformance Control
27、 and Corrective Actions/6B.6.3 Non-conformances for Category A, Type 1 Equipment for Category A, Type 1 Equipment n双方分歧：中方：坚持要求全部不符合项报告在质保文件包中提交买方WEC要求:对于不符合制造厂内部要求但符合WEC的采购文件要求的不符合项报告，供方也无权索要，所以不能承诺向买方提交。按法规的要求，分供方有责任在安全相关部件的寿期内保留不符合项报告。 n解决方案：WEC作出让步，达成如下共识：Completed nonconformance documents Compl
28、eted nonconformance documents that are approved by the Supplier or the Purchaser shall be included in the that are approved by the Supplier or the Purchaser shall be included in the quality assurance data package furnished with the equipment. For safety quality assurance data package furnished with
29、the equipment. For safety related components and parts and non-safety related components and parts related components and parts and non-safety related components and parts that are significant contributors to plant safety, the QA data package shall that are significant contributors to plant safety,
30、the QA data package shall also include the nonconformance reports that deviate from the sub-also include the nonconformance reports that deviate from the sub-suppliers technical requirements where the disposition is repair or use-suppliers technical requirements where the disposition is repair or us
31、e-as-is. as-is. 2.谈判解决问题AP1000核电项目质量保证交流2.1 附件6 质量保证 12）WEC对A1类以外设备不符合项的审查和计费n6B.6.4 Non-conformances for Category A Type 2, Category A Type 3, Category B 6B.6.4 Non-conformances for Category A Type 2, Category A Type 3, Category B and Category C Equipment and for NI constructionand Category C Equip
32、ment and for NI constructionn双方分歧：WEC要求:可以对A2、A3及B、C类设备及NI的不符合项进行审查，但另行收费。中方：WEC作为A2、A3及B、C类设备及NI的设计单位，应负责对上述设备制造和NI施工中出现的不符合项进行审查，且包括在供货范围内，不能另行收费。p解决方案：Nonconformance reports with proposed dispositions of repair or use-Nonconformance reports with proposed dispositions of repair or use-as-is for Ca
33、tegory A Type 2, Category A Type 3, Category B and Category C as-is for Category A Type 2, Category A Type 3, Category B and Category C equipment and NI construction to Supplier supplied design, procurement and equipment and NI construction to Supplier supplied design, procurement and construction d
34、ocuments will be submitted to the Supplier for review and construction documents will be submitted to the Supplier for review and approval. For Supplier activities which are required to evaluate non-approval. For Supplier activities which are required to evaluate non-conformances for Category A Type
35、 2, Category A Type 3, Category B, Category C conformances for Category A Type 2, Category A Type 3, Category B, Category C equipment and NI construction beyond the scope of the Suppliers supply as equipment and NI construction beyond the scope of the Suppliers supply as defined in Appendix 1, defin
36、ed in Appendix 1, the Supplier will be entitled to a variation order in the Supplier will be entitled to a variation order in accordance with Chapter 17.accordance with Chapter 17. Nonconformance reports submitted shall include Nonconformance reports submitted shall include recommended disposition a
37、nd technical justification. recommended disposition and technical justification. 2.谈判解决问题AP1000核电项目质量保证交流2.1 附件6 质量保证13）买方坚持对分包商的QA/QC活动中增加日常监督和驻厂监造n6C.2.3 Sub-suppliers Rights of Access6C.2.3 Sub-suppliers Rights of Accessn双方分歧：WECWEC要求要求:In cases where the Supplier incurs additional cost from :In
38、cases where the Supplier incurs additional cost from sub-suppliers due to Purchasers request to perform additional QA sub-suppliers due to Purchasers request to perform additional QA and QC activities beyond these activities, the Supplier shall be and QC activities beyond these activities, the Suppl
39、ier shall be entitled to a variation order in accordance with Chapter 17entitled to a variation order in accordance with Chapter 17中方：坚持这一权利(另见附件7)n解决方案：WEC作出让步，达成如下共识：The Purchaser has the right to The Purchaser has the right to participate in the Suppliers quality surveillance activities at partic
40、ipate in the Suppliers quality surveillance activities at the Sub-suppliers. the Sub-suppliers. 2.谈判解决问题AP1000核电项目质量保证交流2.1 附件6 质量保证 14）定期提交不符合项清单和质量趋势分析报告n6B.6.5 Nonconformance List and Quality Trend Analysis6B.6.5 Nonconformance List and Quality Trend Analysisn双方分歧：双方分歧：WECWEC要求要求: :同意通过同意通过IMSIMS
41、提交不符合项信息，不同意在提交不符合项信息，不同意在IMSIMS可用前提交月度清单。可用前提交月度清单。WECWEC认为认为投标书没有包含质量趋势分析的承诺。投标书没有包含质量趋势分析的承诺。WECWEC只进行公司范围的年度趋势分析，不针对项只进行公司范围的年度趋势分析，不针对项目分别实施趋势分析。如果买方要求，将导致供应范围增加。目分别实施趋势分析。如果买方要求，将导致供应范围增加。 。中方：这二条要求对项目的实体质量没有直接影响，如中方：这二条要求对项目的实体质量没有直接影响，如WECWEC坚持不提供，中方可自行编坚持不提供，中方可自行编制该清单，质量趋势分析报告可由制该清单，质量趋势分析
42、报告可由JPMOJPMO编制。编制。p解决方案：中方放弃定期提交不符合项清单的要求，解决方案：中方放弃定期提交不符合项清单的要求，Nonconformances from the Nonconformances from the Supplier and Sub-suppliers submitted to the Purchaser or the Supplier for Supplier and Sub-suppliers submitted to the Purchaser or the Supplier for review and approval will be entered a
43、nd tracked in IMS (Appendix review and approval will be entered and tracked in IMS (Appendix 22).Information will be identified in the IMS to identify the nonconformance 22).Information will be identified in the IMS to identify the nonconformance report, the affected component, the affected Sub-supp
44、lier, the disposition report, the affected component, the affected Sub-supplier, the disposition and status of the nonconformance including appropriate date information. and status of the nonconformance including appropriate date information. Quality trend analysis for the Project will be performed
45、annually as part of Quality trend analysis for the Project will be performed annually as part of annual management assessment. annual management assessment. 2.谈判解决问题AP1000核电项目质量保证交流2.2 附件9 分包商 1）合格潜在分包商清单n附件附件9.4 The suppliers listed in section 9.5 were proposed by the Supplier 9.4 The suppliers lis
46、ted in section 9.5 were proposed by the Supplier and pre-approved by the Purchaser. The Suppler will provide the evaluation and pre-approved by the Purchaser. The Suppler will provide the evaluation and qualification documents to the Purchaser for review prior to the and qualification documents to t
47、he Purchaser for review prior to the placement of subcontracts. placement of subcontracts. n双方分歧：WEC：附件清单包含的潜在分包商应是买方已经批准的，这是签定框架协议、开展一些长周期设备采购、并承诺合同进度的前提条件，不接受中方的批准（可能拒绝或更换），外方可以提供表中所列分包商的资格评价报告等资料供中方审查，后续清单之外新增分包商或分包商范围变更报买方审查、批准。 中方：所有分包商必须经买方审查、批准。n解决方案：中方同意审查附件清单所列44家潜在分包商，西屋联队提交了相关资料，并重点针对其中11
48、家进行审查，经过审查，删除4家不具备批准条件的分包商，清单数量为40家。经请示高层同意，予以批准，西屋公司在合同生效后补报相关审查和评价报告等。2.谈判解决问题AP1000核电项目质量保证交流2.2 附件9 分包商 2）国产化分包商满足HAF601取证要求n附件9.3: Sub-suppliers of safety-related components located in the 9.3: Sub-suppliers of safety-related components located in the PRC shall be licensed by the PRC NNSA as re
49、quired by the code PRC shall be licensed by the PRC NNSA as required by the code HAF601. The Supplier has the right to reject any Sub-suppliers of HAF601. The Supplier has the right to reject any Sub-suppliers of safety-related components located in the PRC without the required safety-related compon
50、ents located in the PRC without the required license. license. n双方分歧：中方：所有中国制造厂家必须遵守国家核安全法规导则规定。WEC：如果承担国产化的分包商未能取得NNSA认可和取证的,不承担责任。n解决方案：西屋同意在合同中承诺所有安全相关设备的国产化分包商满足HAF601取证要求，同时保留权力拒绝不能满足此要求的厂家。2.谈判解决问题AP1000核电项目质量保证交流1.尽快了解和熟悉AP1000工程中适用的美国质量保证法规和标准(NRC10CFR50 附录B和ASME NQA-1）。2.对比和研究国内以往核电工程QA和QC要
51、求与美国核电质量保证法规和标准要求，转变观念，顺应形势。3.不能盲从WEC的质保管理，结合中方的经验和了解的IAEA及其他国家的先进QA/QC实践敢于提出中方的要求。4.主合同相关内容、条款，仅对各方责任和权力进行约束，提出要求，执行过程中具体的操作并没全部明确。程序作为合同的完善、细化和支持，对于后续合同的执行也很重要，相关程序的编制，发送承包商审查、认可和执行，势在必行。5.美国质量管理中质量保证和质量控制的紧密结合与国内核电建设原有理念和体系存在差别，后续工程执行影响较大，需高度关注。6.合同谈判过程中SHAW和WEC关系，以及西屋联队、国核技和JPMO的质量保证体系和管理体系的架构尚未
52、明确。3. 合同执行过程中的关注要点AP1000核电项目质量保证交流4.1附件6 质量保证6A Introduction6B Project Quality Assurance6B.1 General6B.2 Quality Policy6B.3 QA Grading6B.4 Project Organization6B.5 Training and Qualification6B.6 Nonconformance Control and Corrective Actions6B.6.1 General6B.6.2 Disposition and Approval6B.6.3 Non-conf
53、ormances for Supplier Members or for Category A, Type 1 Equipment6B.6.4 Non-conformances for Category A Type 2, Category A Type 3, Category B and Category C Equipment4. 合同主要内容AP1000核电项目质量保证交流4.1附件6 质量保证6B.6.5 Nonconformance List and Quality Trend Analysis6B.7 Document Control and Records6B.8 Languag
54、e6C Performance6C.1 Design6C.2 Procurement6C.2.1 Sub-supplier Assessment6C.2.2 Sub-supplier Control for Category A, Type 1 Equipment6C.2.3 Sub-suppliers Rights of Access6C.2.4 Witness and Hold Points6C.2.5 Manufacturing Completion Acceptance6C.3 Suspension of Work6C.4 Right to Reject6D Purchasers Re
55、sponsibility for Procurement.6E Assessment 4. 合同主要内容AP1000核电项目质量保证交流4.2主合同第8章 质量保证和质量控制8.1Quality Assurance system and Codes & Standards requirements.8.2 Project Quality Assurance Program8.3 Quality Assurance procedures and documents8.4 Sub-contract 8.5 Submittal of Project Quality Assurance Program
56、8.6 QA grading8.7 An index of documents 8.8 QA for computer software 8.9 Documents and records 8.10 Sub-suppliers 8.11 Purchasers right of access 8.12 Purchasers participate in audits of the Supplier and Sub-suppliers 4. 合同主要内容AP1000核电项目质量保证交流8.13 PRC NNSA inspection and witness8.14 Rights of Purcha
57、ser access to Sub-supplier facilities8.15 Process control8.16 Non-conforming items 8.17 Suspend work8.18 QA records 8.19 Facilities provided for the Purchaser in the Supplier and sub-suppliers primes8.20 Purchasers QA and QC activities not alleviate or free the Supplier from its obligations and lega
58、l responsibilities under the Contract8.21 Responsibilities for QA and QC for A2, A3,B,C Equipment4. 合同主要内容AP1000核电项目质量保证交流4.3 附件9 分包商9.1 General 9.2 Quality Categories 9.3 Evaluation and Qualification of Sub-suppliers9.4 Purchasers Participation and Approval9.5 Potential Sub-supplier List and Quality Categories for Services and Categories A1 Equipment4. 合同主要内容AP1000核电项目质量保证交流介绍主题/Subject谢 谢 !Thank you !AP1000核电项目质量保证交流
