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PPAP Manual

Last Revised March 19, 2013

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Table of Contents

Preamble………………………………………………… 4

Applicability……………………………….…………… 5

When is a PPAP Submission Required?................. 6

Submission Procedure (PQR)……………….……… 8

Process/Product Change Request Workbook

Instructions

(PCR)………………………………………….…………. 9

18 Elements of PPAP……………………………..….. 12

PPAP Submission Levels………………………….… 29

Electronic Submission Requirements………….….. 30

Significant Production Run…………………….……. 31

Part Submission Status……………………………..… 32

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Table of Contents (cont)

Completing the PSW…………………………………… 34

PPAP

Training………….………………………………………… 36

Additional Reading………….…………………………… 37

Acronyms Reference……………………………………. 38

Acknowledgements….………………………………….. 39

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Preamble

Effective June 2006, PPAP 4th Edition replaced PPAP 3rd Edition manual

– Polaris PPAP requirements are based on the PPAP 4th Edition

To understand the PPAP process you must obtain a copy of the AIAG 4th Edition PPAP manual from either www.aiag.org or [email protected] (when contacting Plexus say you are purchasing for Polaris)

– Production Part Approval Process (PPAP) is updated to the 4th edition to incorporate the customer focused process approach associated with ISO/TS 16949:2002 and other changes

PPAPs purpose continues to be to provide the evidence that all customer engineering design record and specification requirements are properly understood by the organization and that the manufacturing process has the potential to produce product consistently meeting these requirements during an actual production run at the quoted production rate using production tooling and production personnel.

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http://www.aiag.org/

mailto:[email protected]

Applicability

PPAP shall apply to supplier internal and external organization sites (Tier I, II, etc) supplying production parts, service parts, production materials or bulk materials to Polaris – Service parts, standard catalog production or service parts,

production materials or bulk material requirements will be at the sole discretion of the Polaris QA representative

The word “shall” indicates mandatory requirements

The word “should” indicates a recommendation

Note:

– At the sole discretion of the Polaris QE (SQE in MTY) when requested, PPAP submissions are required as a condition of doing business with Polaris Industries

• Only the QE (SQE in MTY) can define and disposition a PPAP

– Polaris does not pay for PPAPs

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When is a PPAP Submission Required?

The organization shall obtain approval from a Polaris QE, SQE, SDE or authorized representative for:

1. A new part or product

2. Correction of a discrepancy on a previously submitted part

3. Any changes to process or materials used in the previously approved part or product

4. Production from new or modified tools (except perishable tools), dies, molds, patterns, etc. including additional or replacement tooling

5. Production following upgrade or rearrangement of existing tooling or equipment

6. Production from tooling and equipment transferred to a different plant site or from an additional plant site

7. Change in the supplier for parts, non-equivalent materials or services (e.g., heat treating, plating)

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When is a PPAP Submission Required? (continued)

8. Product produced after the tooling has been inactive for volume production for twelve months or more

9. Product and process changes related to components of the production product manufactured internally (supplier) or manufactured externally (Tier I)

10. Change in test/inspection method – new technique (no effect on acceptance criteria)

11. New source of raw material from new or existing supplier

12. Change in product appearance attributes

The key words are “new” or “change” – Check with the QE or SQE if in doubt

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Submission Procedure (PQR)

For Polaris initiated changes a PQR will be created and defined in the Polaris PQR system by a Polaris authorized QA representative

– The PQR is the vehicle used by Polaris to control quality submissions including PPAP

• A FAIR by definition, First Article Inspection Report, cannot be PPAPd since it is not part of a production run as defined on page 31

The Part Qualification Request (PQR), as defined by the Polaris Supplier Quality Assurance Manual, will be communicated to the supplier QA representative as designated by the supplier

PPAP requirements will be defined in the PQR with regard to submission levels and due dates as well as the QE (SQE in MTY) contact for electronic submissions

Supplier initiated changes will be submitted to their SQE/SDE by way of a PCR

An approved PCR will define the PPAP requirements which will then be entered into the PQR system

– See the Polaris PQR Training Aid for more information about PQR

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Process/Product Change Request Workbook Instructions (PCR)

Polaris Industries, Inc. must control the products and services provided by our supply base based on approved and validated products and processes. Polaris requires notification and right of approval of any proposed changes BEFORE implementing such change. Notification is achieved by completing and submitting, to the assigned Polaris Supplier Quality Engineer, a completed Process/Product Change Request (PCR) spreadsheet.

ANY CHANGE such as but not limited to: material, location of production, new or modified non-perishable tools, method of manufacture, subcontractor, services, drawings (revisions), testing, inspection, or processing will require approval by Polaris Industries, Inc. Changes are not to take place without prior PCR approval.

PCR‟s shall be submitted through the supplier‟s assigned Polaris Supplier Quality Engineer (SQE) or Supplier Development Engineer (SDE). To avoid delays in reviewing and approving include supporting documentation such as timelines, drawings, photos, etc. the PCR should be as complete as possible when submitted.

Approved PCRs may require a Production Part Approval Process (PPAP) submission subject to the requirements noted on the approved PCR. When submitting PPAP‟s based on PCR approvals please include the approved PCR in element 2: Engineering Change Documents within your PPAP submission.

In the event this procedure is not properly followed Polaris will take appropriate actions needed to recover any costs associated with complications caused by unapproved changes to the products and services provided by suppliers. This will include, but not limited to, scrap, rework, production downtime, warranty, etc.

If you have any questions feel free to contact your Polaris SQE or SDE. We appreciate your attention to this important matter.

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PCR

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Supplier completes

white fields, Polaris

completes grayed

area of the cover

sheet

If approved PPAP

requirements will be

defined here by

Polaris

PCR

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Subsequent tabs are used by

the supplier to support the

change request. The more

complete the data the faster

the request is reviewed.

The last tab “Polaris Notes” is

where Polaris responses will

be noted including email

content from reviewers.

The PCR is only for changes that are permanent in nature and is not a replacement

for DCRs and Deviation Requests. Proposed process/product changes will

continue to comply with the current Design Record

18 Elements of PPAP

1. Design Record

2. Engineering Change Documents, if any

3. Customer Engineering Approval, if required

4. Design FMEA

5. Process Flow Diagrams

6. Process FMEA

7. Control Plan

8. Measurement System Analysis Studies

9. Dimensional Results

10. Material, Performance Test Results

11. Initial Process studies

12. Qualified Laboratory Documentation

13. Appearance Approval Report (AAR), if applicable

14. Sample Product

15. Master Sample

16. Checking Aids

17. Records of Compliance

1. With Customer-Specific Requirements

18. Part Submission Warrant (PSW)

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18 Elements of PPAP (cont)

1 - Design Record

– The Design Record is what the supplier has contracted to provide per the Polaris Purchase Order (PO)

– Examples would include, but not limited to:

• Polaris prints (as defined by a unique Polaris part number) to the latest ECL (Rev level) as defined on the PO

• Engineering specifications

• Special notes added to the PO (e.g., paint it black or special packaging)

– The print portion of the Design Record is often used to provide a ballooned drawing when submitting Element 9 – Dimensioned Results (as required in the Polaris Supplier Quality Assurance Manual)

– Supplier prints, if defined on the Polaris print or PO, would also be part of the Design Record but only if defined

Polaris purchases to Polaris prints

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2 – Engineering Change Documents

– For changes not yet recorded in the design record but incorporated in the product, part or tooling

– Examples would be:

• Approved DCR

– Compliant PPAPs can be approved with approved DCRs

• Approved Deviations

– Compliant PPAPs can be conditionally approved with approved Deviations

» See details about conditional approvals on slide 32

• Approved PCR

– Polaris approved PCR can be retained with the PPAP submission

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3 – Customer Engineering Approval

– Where specified by Polaris, the supplier shall have evidence of customer engineering approval

• Note on Emails: – Emails can only clarify requirements, not define them

– Emails cannot re-define a requirement in lieu of a print change

4 – Design Failure Mode and Effects Analysis

(DFMEA)

– When requested the product design-responsible organization shall develop a Design FMEA in accordance with, and compliant to, Polaris-specified requirements

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5 – Process Flow Diagrams

– Suppliers shall have a Process Flow Diagram in an organization-specified format that clearly describes the production process steps and sequence, as appropriate, and meets the specified customer needs, requirements and expectations

• Process Flow Diagrams for „families‟ of similar parts are acceptable if the new parts have been reviewed for commonality by the supplier and/or Polaris

6 – Process Failure Mode and Effects analysis (Process FMEA)

– Suppliers shall develop a PFMEA in accordance with, and compliant to, Polaris-specified requirements

• A single Process FMEA may be applied to a process manufacturing a family of similar parts or materials if reviewed for commonality by the supplier and/or Polaris

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7 – Control Plan

– Suppliers shall have a Control Plan that defines all methods used for process control and complies with Polaris-specified requirements

• Control Plans for “families” of parts are acceptable if the new parts have been reviewed for commonality by the supplier and/or Polaris

8 – Measurement System Analysis Studies

– Suppliers shall have applicable Measurement System Analysis studies, e.g., gage R&R, bias, linearity, stability, for all new or modified gages, measurement, and test equipment

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9- Dimensional Results

– Suppliers shall provide evidence that dimensional verifications required by the Design Record and Control Plan have been completed and results indicate compliance with specified requirements

– Suppliers shall record, with actual results: all dimensions (except reference dimensions), characteristics and specifications as noted on the Design Record and Control Plan

– Suppliers shall indicate the date of the Design Record, ECL and any authorized engineering change document not yet incorporated in the Design Record (element 2) to which the part was made

– This information will also be included with all auxiliary documents (e.g., supplementary layout results sheets, sketches, tracings, cross sections, CMM inspection point results, scanning, GD&T sheets or other auxiliary drawings used in conjunction with the part drawing)

– Per the Polaris Supplier Quality Assurance Manual ballooned drawings corresponding to the dimension results will also be provided

– Suppliers shall identify one of the parts measured as the Master Sample if applicable

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10 – Material, Performance Test Results

– Suppliers shall have records of material and/or performance test results for tests specified on the Design Record or Control Plan

– Suppliers 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 ECL of the specifications to which the part was tested

• The actual results

• The material supplier‟s name

• For products with Polaris-developed material specifications and a Polaris-approved supplier list, the supplier shall procure materials and/or services (e.g., painting, plating, heat-treating, welding) from suppliers on that list

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– Performance 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 ECL of the specifications to which the part

was tested

• The date on which the testing took place

• The quantity tested

• The actual results

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11 – Initial Process Studies

– The level of initial process capability or performance shall be determined to be acceptable prior to submission for all Special Characteristics (KPC) designated by Polaris

• KPCs require a Cpk value of 1.33 or better

– Suppliers shall perform measurement system analysis to understand how measurement error affects the study measurements

– Where no KPCs have been identified, Polaris reserves the right to require demonstration of initial process capability on other characteristics

– The purpose of this requirement is to determine if the production process is likely to produce product that will meet Polaris requirements

– The initial process study is focused on variables not attribute data

• Assembly errors, test failures, surface defects are examples of attribute data, which is important to understand, but is not covered in this initial study

• To understand the performance of characteristics monitored by attribute data will require more data collected over time. Unless approved by a Polaris authorized QA, attribute data are not acceptable for PPAP submissions

Cpk – the capability index for a stable process

Ppk – the performance index

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12 – Qualified Laboratory Documentation

– Inspection and testing for PPAP shall be performed by a qualified laboratory as defined by Polaris requirements (e.g., an accredited laboratory)

– The qualified laboratory (internal or external to the supplier) shall have a laboratory scope and documentation, traceable to N.I.S.T., showing that the laboratory is qualified for the type of measurements or tests conducted

– When an external/commercial laboratory is used, the supplier shall submit the test results on the laboratory letterhead or the normal laboratory report format.

• The name of the laboratory that performed the tests, date(s) of the tests and the standards used to run the tests shall be identified

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13 – Appearance Approval Report (AAR)

– A separate AAR shall be completed for each part or series of parts if the product/part has appearance requirements in the Design Record

– Upon satisfactory completion of all required criteria, the organization shall record the required information on the AAR

– The completed AAR and representative production products/parts shall be submitted to the location specified on the PQR to receive disposition

– AARs (complete with part disposition and Polaris QA representative signature) shall then accompany the PSW at the time of final submission based upon submission level requested

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14 – Sample Production Parts – Significant production runs should contain at least 50 parts

– Sample sizes for PPAP reporting purposes should be of at least 5 parts

– Samples provided for Polaris approval can be a minimum of 1 part

– Ship sample part(s) to the attention of the responsible QE (SQE in MTY) and to the location noted below the QA contact name in the PQR

– Include method of shipment and the shipper‟s tracking number in the PQR

– Sample parts are to be shipped shortly after the electronic data is submitted to the QE (SQE in MTY)

– The Sample Part Label (found in the Polaris Supplier Quality Assurance Manual) must be fixed to the shipping containers

– Samples are to be shipped free of charge

– Do not send sample parts with inventory/production shipments – samples must be separate

– Do not ship the sample(s) against any purchase order

– The bill of lading, invoice or packing slip must clearly state the parts are “sample” at no cost to Polaris

– If samples are shipped against a purchase order they will be received into inventory and will not be considered as PPAP samples – subject to an RMO

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15 – Master Sample – The supplier shall retain a master sample for the same

period as the production part approval records or:

• Until a new master sample is produced for the same Polaris P/N for Polaris approval

• Where a master sample is required by the Design Record, Control Plan or inspection criteria, as a reference of standard

– The master sample shall be identified as such, and shall show the Polaris approval date on the sample

– The supplier shall retain a master sample for each position of a multiple cavity die, mold, tool or pattern, or production process unless otherwise specified by Polaris

– Master samples are sometimes referred to as “golden parts”

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16 – Checking Aids – If requested by Polaris, the supplier shall submit with the

PPAP submission any part-specific assembly or component checking aid

– The supplier shall certify that all aspects of the checking aid agree with part dimensional requirements

– The supplier shall document all released engineering design changes that have been incorporated in the checking aid at the time of submission

– The supplier 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 Polaris requirements

– Checking aids can include fixtures, variable and attribute gages, models, templates, mylars specific to product being submitted

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17 – Customer-Specific Requirements – The supplier shall have records of compliance to all

applicable Polaris-specific requirements

– Examples may be:

• Tooling information form

• Packaging form

• Inspection plan

• PDI checklist

• Supplier PPAP worksheet

– This would be defined, if defined, by an authorized Polaris QA representative

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18 – Part Submission Warrant (PSW) – Upon completion of all PPAP requirements, the supplier shall

complete the PSW

– A separate PSW shall be completed for each Polaris P/N unless otherwise agreed to by an authorized Polaris QA representative

– The specific cavities, molds, line, etc. reported in the Dimensional Results shall be identified in the “Mold/Cavity/Production Process” line on a PSW, or in a PSW attachment

– The supplier shall verify that all of the measurement and test results show conformance with Polaris requirements and that all required documentation is available and included in the submission as appropriate

– A responsible official of the supplier shall approve the PSW and provide contact information

Note: Polaris will not be signing nor returning submitted PSWs

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PPAP Submission Levels

Level 1

– Elements 13 (if applicable) and 18 submitted to Polaris

• Used when seeking a PSW and Appearance Approval Report only or a current supplier who has provided acceptable quality and an ECL „opens up‟ a previous requirement

Level 2

– Elements 1, 2, 9, 10, 12, 13, 14 and 18 where applicable submitted to Polaris

• Typically ECL (Rev changes) to a current supplier for the same product or low to medium risk products/services

Level 3

– Elements 1, 2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 17 and 18 where applicable submitted to Polaris

• Should be used on high risk parts or new suppliers

Level 4

– Elements 1, 18 and other elements defined by Polaris in the PQR

• If not defined in the PQR then refer to the default Level 4 requirements defined in the Polaris Supplier Quality Assurance Manual

• Used when custom requirements are best suited

Level 5

– Same as Level 4 with PSW, product samples and supporting data is reviewed at the organization‟s manufacturing location

• Used when on site approval is the best option

Note:

– Submission levels, individual requirements and purposes are at the sole discretion of the Polaris QE (SQE in MTY)to ensure design intent, a controlled process and mitigated risk

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Electronic Submission Requirements

Suppliers must submit PPAP documents electronically to the QE (SQE in MTY) listed in the PQR system

Suppliers shall send only one email for each PQR with the PQR number and Part Number in the subject line of the email

– Failure to do so will delay review of the submission and the submission might be counted as late

Suppliers shall send all electronic data (.xls, .pdf or .doc format) to the QE email link on the PQR

If the files are „zipped‟ suppliers must make sure that „polaris‟ is included in the name of the .zip file or the file will be quarantined by the Polaris firewall

Suppliers shall send sample parts to the address listed in the PQR shortly after the electronic data is sent

When suppliers send electronic data and sample parts they shall list the Shipper Name, Tracking Number and Date/Content/Method/to Whom electronic data was sent in the Supplier Information section of the PQR

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Significant Production Run

Only production parts can be PPAPd

For production parts, product for PPAP shall be randomly taken from a significant production run

This significant production run shall be from one to eight hours of production, and with the specific production quantity to total a minimum of 50 consecutive parts, unless otherwise specified by the authorized Polaris QA representative

The significant production run shall be conducted at the production site, at the production rate agreed upon on the Polaris PO (delivery), using 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

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Part Submission Status – PPAP submissions will be reviewed by the QE (SQE in MTY) and location

noted on the PQR

– PPAP dispositions carry over for all of Polaris, not just the business unit dispositioning the PQR

Approved

– Approved indicates that the part of material, including all sub-components, meets all customer requirements

– The supplier is therefore authorized to ship production quantities of the product, subject to releases from the customer scheduling activity

Conditional Approval (Interim Approval)

– Conditional Approval permits shipment of material for production requirements on a limited time or piece quantity basis

– Conditional Approval will only be granted when the supplier has:

• Clearly defined the non-compliances preventing approval; and,

• Prepared an action plan agreed upon by the customer

• PPAP re-submission is required to obtain a status of “approved.”

– Material covered by Conditional Approval that fails to meet the agreed-upon action plan, either by the expiration date or the shipment of the authorized quantity, will be rejected

– No additional shipments are authorized unless an extension of the conditional approval is granted

– (continued on next slide)

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– In situations where production parts are needed prior to the supplier‟s ability to meet all of the conditions of PPAP (use of temporary tooling, not run at rate, etc.) the Polaris QE may grant Conditional Approval to allow the supplier to ship product allowing the supplier to resubmit the PPAP when all aspects of the PPAP are compliant

• The rule of limited time or piece quantity basis still applies as with all of the conditions of Conditional Approval

Rejected

– Rejected means that the PPAP submission does not meet the customer requirements, based on the production lot from which it was taken and/or accompanying documentation

– In such cases, the submission and/or process, as appropriate, shall be corrected to meet Polaris requirements

– The submission shall be approved before production quantities may be shipped

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Part Submission Status

Completing the PSW The two most common reasons for rejections upon receipt are:

– Improperly completed PSW

– Failure to submit the requested documentation and/or sample parts

PSW (minimum requirements)

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Include the P/N

and Rev Level

found on the

Released

production

drawing (not a

WIP or

Prerelease

drawing) and

Production PO

beginning with a P

(not a PIL or PE)

Note:

Non-Production

orders may

require a FAIR

Completing the PSW (Cont)

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Be sure to select at

least one box for

each section –

Reason for

Submission,

Requested

Submission Level

and Submission

Results

PPAP Training

Through Plexus International Polaris will be offering

supplier based PPAP training at a reduced cost

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Learn the skills needed to complete the production part approval process smoothly, efficiently and

effectively. Realism is enhanced as teams develop flow charts, process instructions and control plans for

the product and carry them through the PPAP submission.

Training will be offered as determined by Polaris Industries

Additional Reading

AIAG Reference Manuals

– Advanced Product Quality Planning & Control Plan (APQP)

– Potential Failure Modes and Effects Analysis (PFMEA)

– Measurement System Analysis (MSA)

– Statistical Process Control (SPC)

These publications will provide greater detail

regarding each subject

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“Blue Books” (PPAP-4, APQP-2, SPC-3, FMEA-4, MSA-4, TS Rules-3)

which are used by Polaris Industries can be purchased at:

www.aiag.org if you are an AIAG member or:

Plexus International

612-238-1214 (direct)

www.plexusintl.com

if you are not an AIAG member (identify yourself as part of Polaris)

Available in Chinese, Japanese,

Korean, Portuguese, Russian,

Spanish & German

http://www.aiag.org/

mailto:[email protected]

Acronyms Reference

DCR – Drawing Change Request

ECL – Engineering Change Level

FAIR – First Article Inspection Report

KPC – Key Product Characteristics

MTY – Monterrey, Mexico

N.I.S.T. – National Institute of Standards & Technology

PCR – Product/Process Change Request

PQR – Part Qualification Request

QA – Quality Assurance

QE – Quality Engineer

SDE – Supplier Development Engineer

SQE – Supplier Quality Engineer

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Acknowledgements

AIAG Automotive Industry Action Group

– 4th Edition Production Part Approval Process (PPAP)

Polaris Supplier Quality Assurance Manual

Polaris PQR/PPAP Guide

Polaris Process/Product Change Request (PCR)

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