ICGC MANAGEMENT CONSULTANTS

Production Part Approval Process

(PPAP)
What is PPAP?

•Production Part Approval Process

•Standard used to formally reduce risks prior
to product or service release, in a team oriented
manner using well established tools and techniques
•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
Purpose of PPAP

•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!
When is PPAP Required?

➢New part

➢Engineering change(s)

➢Tooling: transfer, replacement, refurbishment, or

additional

➢Correction of discrepancy

➢Tooling inactive > one year

➢Change to optional construction or material

➢Sub-supplier or material source change

➢Change in part processing

➢Parts produced at a new or additional location

PPAP is required with any significant

change to product or process!
Benefits of PPAP Submissions

•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 Run

•PPAP data must be submitted from a production run

using:
➢Production equipment and tooling

➢Production employees

➢Production rate

➢Production process

All data reflects the actual production

process to be used at start-up!
Significant Production Run

Products for PPAP shall be taken from a significant production run

This production run shall be from one hour to eight hours of
production, and with the specific production quantity to total a
minimum of 300 consecutive parts, unless otherwise specified by
the authorized customer representative
This significant production run shall be conducted at the
production, at the production rate, using the production tooling,
production gaging, production process, production materials, and
production operators.
Parts from each unique production process, e.g. duplicate
assembly line and/or work cell, each position of a multiple cavity
die, mold, tool or pattern, shall be measured and representative
parts tested
PPAP Requirements

The supplier shall meet all specified requirements as listed in the manual
and all customer-specific requirements.

Production parts shall meet all customer engineering design record and
specification requirements including safety and regulatory requirements

If any part specification cannot be met, the organization shall document their
problem solving efforts and shall contact the authorized customer
representative for concurrence in determination of appropriate corrective
action.
 Official PPAP Requirements

1. Design Records
2. Authorized Engineering Change Documents
3. Customer Engineering Approval, if required
4. Design Failure Modes and Effects Analysis (DFMEA) applied in special situations
5. Process Flow Diagram
6. Process Failure Modes and Effects Analysis (PFMEA)
7. Control Plan
8. Measurement Systems Analysis (MSA)
9. Dimensional Results
10. Records of Material / Performance Test Results
11. Initial Process Studies
12. Qualified Laboratory Documentation
13. Appearance Approval Report (AAR)
14. Sample Production Parts
15. Master Sample
16. Checking Aids
17. Customer-Specific Requirements
18. Part Submission Warrant (PSW)
 Official PPAP Requirements

Customer Notification and Submission Requirements:

Customer Notification

The organization shall notify the authorized customer representative of any planned changes to
the design, process or site .

Upon notification and approval of the proposed change by the authorized customer
representative, and after change implementation, PPAP submission is required unless
otherwise specified

Submission to Customer

The organization shall submit for PPAP approval prior to the first production shipment in the
unless the authorized customer representative has waived
this requirement.
The organization shall review and update all applicable items in the PPAP file to
reflect the production process, regardless of whether or not the customer requests a formal
submission.
The PPAP file shall contain the name of the authorized customer representative
granting the waiver and the date.
 Customer Notification Required

•1. use of other construction or material than was used in the previously
approved part or product
2. production from new or modified tools (except perishable tools), dies, molds,
patterns, etc., including additional or replacement tooling
3. production following refurbishment or rearrangement of existing tooling or
equipment
4. production from tooling and equipment transferred to a different plant
location or from a additional plant location.
5. change of subcontractor for parts, non-equivalent materials or services (e.g.:
heat-treating, plating) that affect customer fit, form, function, durability, or
performance requirements
6. product produced after tooling has been inactive for volume production for
twelve months or more
7. product and process changes that impact fit, form, function, performance, and/or durability of the
salable product
Submission to Customer

1. a new part or product (i.e.: a specific part, material, or color not

previously supplied to this specific customer)

2. correction of a discrepancy on a previously submitted part

3. engineering changes to design records, specifications, or

materials for production product/part number(s)

4. bulk material only: process technology new to the supplier, not previously used for this product
Submission Levels

1.There are five Submission Levels:

2.Level 1 : warrant only (and if applicable an Appearance Approval Report)

3.Level 2 : warrant with product samples and limited supporting data

4.Level 3 : warrant with product samples and complete supporting data

5.Level 4 : warrant with other requirements as defined by the customer

Level 5 : warrant with product samples and complete supporting data available
for review at the organization’s manufacturing location
Submission Levels
submit upon request

S = submit

R = retain at
appropriate locations
(including manufacturing)

* retain at
appropriate locations

submit upon request

 Submission Levels

1. LEVEL 3 IS THE “STANDARD LEVEL“

IT SHALL BE USED FOR ALL SUBMISSIONS UNLES SPECIFIED OTHERWISE BY THE

RESPONSIPLE CUSTOMER PRODUCT APPROVAL AUTHORITY

Level 1 = just warrant

and (if applicable) Appearance Approval Report
Level 2 = standard minus process description and background information

Level 3 = standard

Level 4 = warrant, other requirements as defined by the customer

Level 5 = the complete list, and everything will be checked at the supplier´s site!
 Part Submission Status:

“A” “B” “C”

Approved Interim Approval Rejected

Part Submission Status “A” = Approved

indicates that the part or material meets all customer specifications

and requirements
the organization therefore is authorized to ship production quantities
of the product subject to releases from the customer scheduling activity
Part Submission Status “B” = Interim Approval
Permits shipment of material for production requirements
on a limited time or piece quantity basis. Interim Approval
will only be granted when the organization has:
z clearly defined the non-compliances preventing approval; and,
z prepared an interim approval action plan agreed upon by the customer
The organization is responsible for implementing containment
actions to ensure that only acceptable material is beeing shipped to
the customer.

Part Submission Status “C” = Rejected

Means that the PPAP submission does not meet the customer
requirements, based on
z the production lot from which it was taken,
z and/or accompanying documentation
In such cases, the submission and/or process (as appropriate)
shall be corrected to meet the customer requirements.
The submission shall be approved before production quantities may be shipped.
 Record Retention

1.
PPAP records, regardless of submission level,

shall be maintained for the length of the time the part is active

(in production or service) plus one calendar year

.
4.1 Design Records
.
All design records for the saleable product e.g.
component drawings
CAD/CAM Data
part drawings
specifications

the design record specifies the

interface and performance requirements

The organization shall provide evidence that the
Material/Substance Composition reporting has been completed
and that reported data complies with all requirements
z Reporting and requirements as prescribed by the customer
z Reporting may be entered into International Materials Data System
(IMDS), www.mdsystem.com/index.jsp
4.1 Design Records / …

Where applicable, the Organization shall identify polymeric parts

with the ISO symbols
z for plastics: ≥ 100g, see ISO 11469 / 1043-1
z for elastomers: ≥ 100g, see ISO 11469 /1629
4.2 Authorized Engineering Change Documents
all authorized engineering change documents, which are
not yet recorded in the design record
but incorporated in the product, part or tooling

4.3 Customer Engineering Approval

where specified by the customer, the

organization shall have evidence of customer
engineering approval
4.4 Design-FMEA

If the supplier is design responsible a Design-FMEA

is required
according to the customer-specific requirements

(Potential Failure Mode and Effect Analysis)

4.5 Process Flow Diagrams

4.6 Process-FMEA

according to the customer-specific requirements

(Potential Failure Mode and Effect Analysis)

4.7 Control Plan

QM-Plan
The Organization shall have control plan that according to
defines all controls used for process TS 16949
control and complies with the customer-
specified requirements, “APQP”
control plans for “families” of similar parts are
acceptable if the new parts have been reviewed for
commonality
4.8 Measurement
System Analysis
Studies
the organization shall have applicable Measurement System
Analysis Studies (e.g. Gage R & R…) for all new or modified
gages, measurement, and test equipmen
“MSA” (Measurement System Analysis reference manual.

4.9 Dimensional Results

The organization shall provide evidence that
dimensional verifications required by die design record
and the Control Plan have been completed and
results indicate compliance with specified
requirements.
The organization shall have dirnensional results for each unique
manufacturing process, e.g. cells or production limes and all
cavities, molds, patterns or dies
T
 z
zz

4.10 Records of Material/Performance Test Results

The organization shall have records of test results for

material tests
performance tests
for tests specified
in the design record
in the control plan
4.10.1 Material 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

NOTE: Material test results may be presented in any convenient

format. An example is shown in Appendix D.

z
zz
4.10.1 Material Test Results / …
For products with customer-developed material specifications and
a customer-approved supplier list, the organization shall procure materials and/or
services (e.g., painting, plating, heat-treating, welding) from suppliers on that list.

4.10.2 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.
Performance test results shall indicate and include:
die design record change level of the parts tested;
NOTE:
Performance test results may be presented in any convenient
format.
 z
zz

4.11 Initial Process Studies

4.11.1 General
4.11.2 Quality Indices
4.11.3 Acceptance Criteria for Initial Study
4.11.4 Unstable Processes
4.11.6
4.11.5 Processes With One-Sided Specifications
or Non-Normal Distributions
Actions To Be Taken When Acceptance Criteria Are Not Satisfied
4.11.1 General
the level of initial process capability or
performance shall be determined to be
acceptable prior to submission for all
special characteristics designated by the
customer or the organization (sc,cc)
the organization shall perform measurement analysis
to understand how measurement error is affecting
the study measurements

Turning

Standard Deviation s
Mean Value x Point

Normal Distribution
Definitions “Process under Control” / “Capable Process”
not capable capable

not under
control
control
under

Process
Example Comment
The Capable Process Capability
Index

Cp = Process Capability Index No capability

High amount of scrap
Shows proportion of the permissible No capability

tolerance interval to the scatter If centered pretty exact, just

about no scrap

Scatter is measured in multiples of Very good capability

the standard deviation s Statistically no scrap

No capability

If the scatter is with +/- 3 s within the tolerance, Not centered

Scrap

Index then Cp=1 Good capability

Cpk = Critical Process Capability

Process is centered
enough
Little scrap
Process adjusted exactly
Example 1 to 3
to center of tolerance
t interval
4.11.2 Quality Indices

Initial process studies shall be summarized with capability or

performance indices, if applicable.
NOTE 1: The initial process study results are dependent on the
purpose of the study, method of data acquisition, sampling,
amount of data, demonstration of statistical control. etc.

See the Statistical Process Control reference manual

for additional information in understanding the basic principles of
statistical stability and process measures (indices).
Purpose of Initial Process Studies

The purpose of the initial process study is to understand the

process variation, not just to achieve a specific index value.

Examination of the stability

(Process control)

process seems stable process seems instable

examine capability Process may not meet

continue with 4.11.3 customer requirements
continue with 4.11.4
4.11.3 Acceptance Criteria for Initial Study
Capability Index for stable process

Index > 1.67 1.33 ≤ Index ≤ 1.67 Index < 1.33

z the process currently z the process may be z the process does not
meets the acceptance acceptable currently meet the acceptance
criteria z contact the authorized criteria
z after approval, begin customer representative for z contact the authorized customer
production and a review of the study representative for a review of the
follow control plan results study results

4.11.4 Unstable Processes

Depending on the nature of the instability, an unstable process
may not meet customer requirements.
The organization shall identify, evaluate and, wherever possible,
eliminate special causes of variation prior to PPAP submission.
The organization shall notify the authorized customer
representative of any unstable processes that exist and shall
submit a corrective action plan to the customer prior to any
submission.
4.12 Qualified Laboratory Documentation
Inspection and testing for PPAP shall be
performed by a qualified laboratory as defined
by customer requirements
shall have a laboratory scope and documentation showing that the
laboratory is qualified for the type of measurements or tests
conducted. (e.g., an accredited laboratory).
When an external/commercial laboratory is used, the organization
shall submit the test results on the laboratory letterhead or the
normal laboratory report format.

4.13 Appearance Approval Report (AAR)

AAR = approval report for the appearance of
appearance items concerning requirements
on color, structure, or surface
For completion of AAR, see instruction in “PPAP”, appendix B
A separate AAR shall be completed for each part or series of parts
for which a submission is required if the product/part has
appearance requirements on the design record
Upon satisfactory completion of all required criteria, the supplier
shall record the information on the AAR
4.13 Appearance Approval Report (AAR) / …
The completed AAR and representative
production products/parts shall be submitted to the location specified by your
customer to receive disposition
AARs (complete with part disposition and customer signature)
shall then accompany the PSW at the time of final submission based upon the
submission level requested
4.14 Sample Production Parts
The organization shall provide sample products as
specified by the customer.

4.15 Master Sample

The organization shall retain a master sample for
the same period as the production part approval records, or
a) until a new master sample is produced for the same customer part
number for customer approval, or
b) where a master sample is required by the design record, Control Plan
or inspection criteria. as a reference or standard.
The organization shall retain a master sample for each position of a multiple cavity
die, mold, tool or pattern, or production process unless otherwise specified by the
customer.
4.16 Checking Aids
If requested by the customer, the organization
shall submit with the PPAP submission any
part-specific assembly or component checking aid.
The organization shall provide for preventive maintenance of any
checking aids for the life of the part.
measurement system analysis studies, e.g. gage R&R, accuracy, bias,
linearity, stability studies, shall be conducted in compliance with the
customer requirements. See “MSA” (Measurement Systems
Analysis reference manual).

4.17 Customer-Specific Requirements

The organization shall have records of compliance to all applicable
customer-specific requirements.
For bulk materials, applicable customer-specific requi rements
shall be documented on the Bulk Material Requirements Checklist.
4.18. Production Part Submission Warrant
Upon completion of all PPAP requirements, Warrant
the organization shall complete the
Part Submission Warrant (PSW).
If production parts will be produced from more than one cavity, mold,
tool, die, pattern, or production process. e.g., line or cell, the
organization shall complete a dimensional evaluation on one part
from each.
The specific cavities, molds, line, etc., shall then be identified in the
“Mold/Cavity/Production Process“ line on a PSW, or in a PSW attachment.

4.18. Production Part Submission Warrant/…

The organization shall verify that all of the Warrant
measurement and test results show conformance with customer
requirements and that all required documentation is available.

A responsible official of the organization shall approve the PSW

and provide contact information.
Detail of Part Submission Warrant
Dimension Results / Part Weight (Mass)
The organization shall record on the PSW the part weight
of the part as shipped, measured and expressed in
kilograms to four decimal places (0.0000) unless otherwise
specified by the customer.

At least one part shall be measured from each cavity, tool, line or process
to be used in product realization.
NOTE: This weight is used for vehicle weight analysis only and does not
affect the approval process. Where there is no production or service
requirement for at least ten parts, the organization should use the required
number for calculation of the average part weight.