PPAP

Production Part Approval Process (PPAP)
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Introduction
What is PPAP ?
 Production Part Approval Process
 “PPAP defines the requirements for production part approval,

including production and bulk materials”
 Standard used to formally reduce risks prior to product or

service release, in a team oriented manner using well
established tools and techniques.
What is PPAP ?
 Provides Proof of Capability
 Made up of Documents from APQP
PPAP is a mandatory requirement of

ISO TS 16949:2009
Element 7.3.6.3
so is Supplier PPAP requirements

7.3.6.3
History
 Initially developed by AIAG (Auto Industry Action Group) in 1993

with input from the Big 3 - Ford, Chrysler, and GM.
 AIAG’s 4th edition effective June 1, 2006 is the most recent

version.
 PPAP has now spread to many different industries beyond

automotive.
Applicability of PPAP
 PPAP applies to all internal and external suppliers of;
– bulk materials
– production materials
– production parts
– service parts
 For Bulk material PPAP is not required unless asked by the

customer.
Purpose of PPAP
A proactive, analytical, systematic technique
 To provide evidence that all customer engineering design

record and specification requirements are properly
understood by the organization.
 To demonstrate that the manufacturing process has the

potential to produce product that consistently meets all
requirements during an actual production run at the quoted
production rate
PPAP manages change and ensures product

conformance !
Why PPAP ?
 Mechanism to cause more paperwork for supplier ?

– NO
 Excuse to beat up supplier?

– NO
 Does it provide a baseline for problem solving?

– MAY BE
 Provide evidence of a process that insures a good part is

submitted to you customer ?
– YES
 Save someone’s life ?

– YES
When is PPAP Required ?
 A full Production Part Approval is always required before

shipment of the first production in the following situations:
– New part or product i.e. something not supplied before
– Engineering changes on a part or product
– Correction of discrepancy on a previously submitted product
– Sub-supplier or material source change
– Change in part processing
– Parts produced at a new or additional location
– Change in the test / inspection method - new technique

PPAP is required with any significant change to product or
process!
 Other instances when submission may be required:
– Tooling Inactive > 1 year
– An alternate construction method or material is now used
– When a tool is modified or completely replaced
– Refurbishment or re-arrangement of existing tooling

• Refurbishment -> the reconstruction or modification of a tool
or machine to increase capacity or change its existing
function
• Re-arrangement -> A deviation from the process described
in the process flow diagram
www.qualityaustriacentralasia.com - 10 -
 For bulk materials only
– New source of raw material with special characteristics from new

or existing subcontractor
– Change in product appearance attributes, where there is no

appearance specification
– Revised parameters in the same process
– Change outside of the DFMEA of the approved product
If there is any question concerning the need for PPAP -

contact the customer and obtain any agreement in writing !
Benefits of PPAP Submission
 Helps to maintain design integrity
 Identifies issues early for resolution
 Reduces warranty charges and prevents cost of poor quality
 Assists with managing supplier changes
 Prevents use of unapproved and nonconforming parts
 Identifies suppliers that need more development
 Improves the overall quality of the product & customer satisfaction
Scope of PPAP
 Production parts - generally 300 pieces.
 Includes internal and external sources for information.
 Submission required prior to first production shipment.
PPAP Guidelines
 Supplier is responsible for meeting all applicable specifications.
 Do not submit parts and documentation results if they are outside

specification.
 Take corrective action to meet all design record requirements.
 Contact customer if unable to meet all requirements
 Comply with customer developed material specifications and/or

approved source list.
 Suppliers are required to complete and maintain copies of all

documentation identified in “requirements for approval” regardless of
submission level.
 Records of PPAP are to be retained for the life of the part plus one
calendar year.
Requirements for PPAP
1. Design Records of Saleable Product

– for proprietary components / details
– for all other components / details
2. Engineering Change Documents, if any
3. Customer Engineering Approval, if required
4. Design FMEA
5. Process Flow Diagrams
6. Process FMEA
7. Dimensional Results
8. Material / Performance Test Results
9. Initial Process Study
10. Measurement System Analysis Studies
11. Qualified Laboratory Documentation

12. Control Plan
13. Part Submission Warrant (PSW)
14. Appearance Approval Report (AAR), if applicable
15. Bulk Material Requirements Checklist (for bulk material PPAP only)
16. Sample Product
17. Master Sample
18. Checking Aids
19. Records of Compliance with Customer Specific requirements
Design Records
 Part drawings, specifications, CAD data or any documents

referenced.
 If it is electronic format, hard copy to identify measurements taken.
 For bulk materials, design records may include:

– Raw material identification
– Formulations
– Processing steps & parameters
– Final product specifications & acceptance criteria
Any Authorized Engineering Change Document
 Authorized change documents provided by customer incorporated in

the part but not yet incorporated in the drawing.
Engineering Approval
 As required by design record, for bulk materials,

– signature of customer on bulk material approval check list or
– inclusion of supplier’s name in customer list of approved
materials.
Requirements of PPAP
Design FMEA
 If the supplier is design responsible, a Design FMEA must be

developed.
 For bulk materials, a design matrix shall be developed prior to

developing the Design FMEA
– Design FMEA ratings for SEV, OCC, DET specified in PPAP
manual can be used
Process Flow Diagram
 A process flow diagram defines the sequence

of operations utilised to manufacture a product
 As per APQP manual

– For bulk materials process flow description
satisfies the requirement
Process FMEA
 The process flow diagram should be the basis of commencing a

Process FMEA.
 Generic FMEA’s are acceptable if there is evidence of review and

approval that is part specific.
 Compliance to QS-9000 III edition requirements Process FMEA for

family of parts
– For bulk materials, Process FMEA rating for SEV, OCC, DET
specified in PPAP manual can be used
Dimensional Results
 Compliance to control plan & Design Record and all characteristics

(except ref. Dimensions)
 Dimensional results must reference part drawings and should

include cross sections, tracings and sketches as applicable
 The part number, change level, drawing date and supplier’s name
must be shown on all supplementary documents
 The supplier shall identify one of the measured parts as a Master

Sample
Material / Performance Test Results
 The organization shall perform tests for all parts and product
materials when chemical, physical, or metallurgical requirements
are specified by the design record or control plan.
 Material test results shall indicate and include:

• the design record change level of the parts tested;
• any authorized engineering change documents that have not yet
been incorporated in the design record;
• the number, date, and change level of the specifications to which the
part was tested;
• the date on which the testing took place;
• the quantity tested;
• the actual results;
• the material supplier‘s name and, when required by the customer, the
customer-assigned supplier/vendor code.
 Material / Performance Test Results
– The organization shall perform tests for all part(s) or product

material(s) when performance or functional requirements are
specified by the design record or Control Plan.
– The Performance test report must contain;

• design record change level, date, specification level
• Any authorised engineering change documents not yet incorporated
in the design record
• Date of testing
Initial Process Studies
 Prior to submission, acceptable level of initial process capability or

performance shall be determined with customer.
 MSA prior to initial process studies
 Cpk or Ppk can be as per customer agreement.
 Control charts are preferred, if X bar – R charts used, Min. 25 sub

groups, min 100 nos. from significant production run.
Initial Process Studies
Acceptance Criteria for Initial Study
Capability Index for stable process
Index > 1.67 1.33 ≤ Index ≤ 1.67 Index < 1.33
• the process currently • the process may be • the process does not
meets the acceptable currently meet the
acceptance criteria • contact the acceptance criteria
• after approval, begin authorized customer • contact the authorized
production and representative for a customer representative
follow control plan review of the study for a review of the study
results results
Quality Indices
 Use Cpk or Ppk

 Where historical data is available for similar parts of same process,
Cpk can be captured
– For chronically unstable processes (within specification) use Ppk
– For bulk material, customer agreement on usage of techniques
– Index value > 1.67, Else CA plan is required.
– For Unstable processes, notify customer & submit CA plan
– One sided specification or non normal data (E.g. F/O, R/O,
concentricity, twist, effort, surface finish, uniformity, etc.,)
 Alternate method of calculation & acceptance criteria with customer
agreement
– For bulk materials, if Ppk/ Cpk is not achieved 100% inspection of a
sample (s) from a continuous process or homogeneous batch, which
represents online production run.
Measurement System Analysis Studies
 For each measurement device, Measurement System Studies must

be conducted.
 Measurement System Studies include;

– Repeatability and Reproducibility Study
– Bias study
– Linearity study
– Stability study
 Compliance to TS 16949
Qualified Laboratory Documentation
 If in house laboratory is only used for testing / calibration.

– Add laboratory scope.
 If outside laboratory is used for testing / calibration.

– Add NABL certificate or equivalent of that laboratory.
– Add scope of accreditation of that lab
 If an independent lab conducts the testing, the supplier shall submit

the tests on the labs letterhead or the standard lab report format.
The name of the lab that completed the tests, date(s) of test(s) and
standards used shall be indicated.
Control Plan
 The control plan must include reference to all special characteristics

that are determined by the customer or supplier.
 Approval of the control plan may be required by the customer prior

to submission of PPAP documents
 As per APQP manual & TS 16949
Part Submission Warrant
 A document that is used to indicate the reason for submission, the

level of submission and the submission results.
 This document is signed off by a designated official within the

company, typically the Quality Manager.
 Separate PSW for each part no.
 Identify Mould / cavity / line no. in PSW
 Part weight shall be rounded off to four decimals derived out of 10

randomly selected part
 10 parts represent all moulds, cavities, lines as appropriate.

Appearance Approval Report
 As required in Design Record

 A report which identifies the disposition of a product in terms of
Appearance evaluation and colour evaluation
 This report must initially be approved by the customer’s
representative, typically the styling department, and then sent in
conjunction with the Part Submission warrant to the customer
Bulk Material Requirement Checklist
 Jointly agreed by customer during early stage of APQP

 Completion of all agreed activities unless indicated “Not Required”
on the checklist.
Sample Production Parts
 The organization shall provide sample products as specified by the

customer.
Master Sample
 A master sample is a part that has been already been verified (refer
dimensional results).
 Retain till new master sample is produced or as per design record
requirement for inspection criteria
 A master sample is required for each position of a multiple cavity,
die, tool, mould or pattern, line.
 Retention period can be waived or modified by customer
Checking Aids
 Inspection Fixtures, gages, models, templates, etc. specific to the

part - something that is used as a comparative reference.
 If more than one , prepare & refer the list in PSW including its
change level.
 Checking aids must reflect the latest engineering design level of the
product .
 Measurement System studies must be conducted on these checking

aids
Customer Specific Requirements
 The organization shall have records of compliance to all applicable

customer-specific requirements.
 For bulk materials, applicable customer-specific requirements shall

be documented on the Bulk Material Requirements Checklist.
PPAP Submission Levels
 The Submission Level just indicates what has to be submitted to

the customer.
 Submission levels are ranked from 1 to 5.
 The customer will identify the submission level.
 Level 3 is the default level if a customer has not yet defined a

submission level for your company.
 For bulk material suppliers the default level is Level 1.
 Different customers may assign different submission levels
 Levels are agreed and documented in the form of QSR.
PPAP Submission Levels
Production Warrant and Appearance Approval

Level 1
Report (if applicable) submitted to Customer
Production Warrant, product samples, and
Level 2
dimensional results submitted to Customer
Production Warrant, product samples, and
Level 3
complete supporting data submitted to Customer
Production Warrant and other requirements as

Level 4
defined by Customer
Production Warrant, product samples and
complete supporting data (a review will be
Level 5
conducted at the supplier's manufacturing
location)
Submission Levels & Retention
Requirements
Requirement Level 1 Level 2 Level 3 Level 4 Level 5
1 Design records of saleable product R S S * R
:for proprietary components/details R R S * R
: for all other components/details R S R * R
2 Engineering change docs. If any R S S * R
3 Cust Engineering approval, if rqd R R S * R
4 Design FMEA R R S * R
5 Process flow diagram R R S * R
6 Process FMEA R R S * R
7 Dimensional results R S S * R
8 Matl, performance test results R S S * R
9 Initial process study R R S * R
10 Measurement Systems Analysis R R S * R
11 Qualified lab. Documentation R S S * R
12 Control Plan R R S * R
13 Part Submission Warrant (PSW) S S S S R
14 Appearance Approval Report (AAR) S S S * R
15 Bulk Matls. Reqmnts. Checklist R R R * R
16 Sample product R S S * R
17 Master Sample R R R * R
18 Checking aids R R R * R
19 Records of Customer compliance R R S * R
S = Submit to customer & retain copy

R = Retain on site and make readily available to customer
* = Retain on site and submit to customer upon request
Submission Levels & Retention
Requirements
In the preceding table:
 S = Supplier shall submit to Customer & retain a copy of records or

documentation items at appropriate locations including
Manufacturing.
 R = Supplier shall retain at appropriate locations including

manufacturing and make readily available to Customer upon
request.
 * = Supplier shall retain at appropriate locations, and submit to

Customer upon request.
Part Submission Status
After everything is ready, it will be submitted to

the customer!
The customer will inspect everything and notify the

organization of the result using the Part Submission
Status.
 Suppliers will be notified by the customer as to the disposition of the

submission.
 Product is NOT to be shipped unless customer approval is received.

– Verbal approval is unacceptable.
 Upon approval of the submission, the organization shall assure that

future production continues to meet all customer requirements.
Production quantities may not be

shipped before Customer Approval
Part Submission Status:
“A” “B” “C”

Approved Interim Approval Rejected
 Full Approval
– This indicates that the part meets all of the customer
requirements. The supplier may then proceed to supply product
as required.
 Interim Approval
– This indicates that shipment of material may proceed for a
specified period of time or piece quantity.
– Interim approval is granted when a product does not meet all
customer requirements but the supplier has
• Clearly defined the root cause and
• has provided an interim action plan that is approved by the
customer. Re-submission is required
 Rejected
– This indicates that the product and/or associated documentation
does not meet customer requirements and therefore production
quantities are not permitted to be shipped until all issues are
resolved.
Record Retention
 PPAP records shall be retained for the length of time part is

active, including service requirements plus one year
 The supplier shall ensure that the appropriate PPAP records

from a superseded part PPAP file are included, or referenced
in the new part PPAP file
Auditing PPAP
1. Is the organization using PPAP rev 4?
2. How does the organization identify which level they are?
3. Is this level consistent with the PPAP they are supplying to their
customer(s) ?
4. Review several PPAPs to ensure all of the applicable 19

requirements are covered.
5. Review lab documentation and ensure the scope of accreditation

of the lab is consistent with the testing/inspection they are doing
for the organization.
6. How does the organization define compliance with customer

requirements ?
Auditing PPAP
7. Verify that the date of the PSW is before the initial delivery date to
the customer for production volumes.
8. Verify the contents of the PSW, ensure correct level, part number,
change level etc.
9. How does the organization deploy PPAP with its suppliers?
10. Take a sample of part numbers, obtain the BOM and verify that all
suppliers have submitted PPAP.
PPAP Process Summary
 Before delivering new or changed parts or changing the production

processes, the supplier has to document that he has successfully
finalized all activities of to ensure
– that the product will meet all requirements
– that the processes are under control and capable
 The documentation consist of the Part Submission Certificate and

the required attachments.
 According to his Submission Level the supplier has to submit

everything or just parts of it to the customer.
 The customer checks the documentation and sets the “Part

Submission Status”.
 Depending on that the supplier can start delivery or not.
Summary
 The Production Part Approval Process is an extensive

strict approval process for new or changed designs or
processes.
 It is very formalized, so it inevitably causes some administrative

work.
 But it doesn’t demand anything that makes no sense from

an engineer’s point of view!
 Later changes to the product or process can be expensive

and time-consuming!
Thank You !!!

PPAP

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PPAP

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Production Part Approval Process (PPAP)

 Production Part Approval Process

 “PPAP defines the requirements for production part approval,

 Standard used to formally reduce risks prior to product or

 Provides Proof of Capability

 Made up of Documents from APQP

PPAP is a mandatory requirement of

so is Supplier PPAP requirements

 Initially developed by AIAG (Auto Industry Action Group) in 1993

 AIAG’s 4th edition effective June 1, 2006 is the most recent

 PPAP has now spread to many different industries beyond

 PPAP applies to all internal and external suppliers of;

 For Bulk material PPAP is not required unless asked by the

A proactive, analytical, systematic technique

 To provide evidence that all customer engineering design

 To demonstrate that the manufacturing process has the

PPAP manages change and ensures product

 Mechanism to cause more paperwork for supplier ?

 Excuse to beat up supplier?

 Does it provide a baseline for problem solving?

 Provide evidence of a process that insures a good part is

 Save someone’s life ?

 A full Production Part Approval is always required before

– New part or product i.e. something not supplied before

– Engineering changes on a part or product

– Correction of discrepancy on a previously submitted product

– Sub-supplier or material source change

– Change in part processing

– Parts produced at a new or additional location

– Change in the test / inspection method - new technique

 Other instances when submission may be required:

– Tooling Inactive > 1 year

– An alternate construction method or material is now used

– When a tool is modified or completely replaced

– Refurbishment or re-arrangement of existing tooling

 For bulk materials only

– New source of raw material with special characteristics from new

– Change in product appearance attributes, where there is no

– Revised parameters in the same process

– Change outside of the DFMEA of the approved product

If there is any question concerning the need for PPAP -

 Helps to maintain design integrity

 Identifies issues early for resolution

 Reduces warranty charges and prevents cost of poor quality

 Assists with managing supplier changes

 Prevents use of unapproved and nonconforming parts

 Identifies suppliers that need more development

 Improves the overall quality of the product & customer satisfaction

 Production parts - generally 300 pieces.

 Includes internal and external sources for information.

 Submission required prior to first production shipment.

 Supplier is responsible for meeting all applicable specifications.

 Do not submit parts and documentation results if they are outside

 Take corrective action to meet all design record requirements.

 Contact customer if unable to meet all requirements

 Comply with customer developed material specifications and/or

 Suppliers are required to complete and maintain copies of all

1. Design Records of Saleable Product

11. Qualified Laboratory Documentation

 Part drawings, specifications, CAD data or any documents

 If it is electronic format, hard copy to identify measurements taken.

 For bulk materials, design records may include:

Any Authorized Engineering Change Document