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PPAP Process Training(Production Part Approval Process)

2Confidential & Proprietary

Training Objectives

• Define PPAP

• Define the General Process

• Define the PPAP Process (by Category Type)

• Identify PPAP Verification Requirements

• Identify PPAP Validation Requirements

• Define Process Requirements


What is PPAP?

The Production Part Approval Process (PPAP) is the process Wabtec Corporation uses for qualifying suppliers to produce new or existing electrical components, mechanical components, and systems for the following reasons:

• Deflation• Drawing/Design Change• Dual Source Initiative • Engineering Productivity • Farm-Out• First Sourcing Qualification for NPI • New Supplier• Process Change at Current Supplier• Productivity • Quality or Reliability Concerns• Supplier Facility Relocation • Other general reasons specified by Wabtec Corporation


General Process Flow

PPAP Requisition

PPAP Definition

Supplier Acknowledgement

Execution

Requirements Review

Project Approval

PPAP Requisition:• Screening to determine which PPAP requests merit resources allocation

PPAP Definition:• Identifies a clear verification and validation requirements before ordering• Evaluate EHS risks and requirements• Evaluate probability and consequence of failure risks

Supplier Acknowledgement:• Assures supplier agrees to all planned verification and validation requirements before ordering

Execution:• Verifies that the supplier has a good plan for making the part and inspects the part at the

supplier to ensure that the part is made correctly. • Validation actions conducted

Requirements Review: • Verifies that the part works at Wabtec as intended in our product by subjecting it to any

required inspections or tests

Project Approval:• Review project requirements• Provides project approval decision (Approval, Disapproval, Conditional Approval)


PPAP Process StepsPPAP Process Steps

Phase

Supplie

r

Qualit

y

Leader

SQ

ED

esi

gn

Engin

eer

Princi

pal

Engin

eer

Buyer

Supplie

r

Assign Team (All CAT Levels)

Assign Deliverables

(CAT 1, 2, or 3)

Validation Plan Review

(CAT 1 or 3)

Validation Plan (CAT 1 or 3)

Principal Engineer Review

(CAT 1) Moderate & High

Risk ONLY

Link Supplier(CAT 1, 2, or 3)

Approve Deliverables

(CAT 1, 2, or 3)

Review Samples(CAT 1, 2, or 3)

Validation Review

(CAT 1 or 3)

Issue PO(CAT 1 or 2)

SupplierAcknowledgement(CAT 1, 2, or 3)

Execute Plan(CAT 1, 2, or 3)

Ship Samples(CAT 1, 2, or 3)

Approval(CAT 1, 2, or 3)

SQL & PE Excluded from Team

Approval for Law Risk PPAPs


CAT 0 (PPAP Not Required)Process Steps

Process Step Deliverables Owner

Assign Team • Provide the request justification details• Provide part information• Provide Supplier information

Supplier Quality Leader

Close PPAP Decision (Approved)


CAT 1 PPAP (Engineering & Quality Approval)Process StepsProcess Step Deliverables Owner

Assign Team • Assign PPAP Team Members Supplier Quality Leader

Assign Deliverables • Conduct General EHS Review• Conduct Risk Assessment• Define Verification Requirements

Supplier Quality Engineer

Validation Plan • Review Risk Assessment • Review Drawing, 3-D Model, Specifications• Define Validation Requirements

Design Engineer

Principal Engineer Review • Review Verification & Validation Requirements Principal Engineer

Validation Plan Review • Review Validation Plan Requirements Supplier Quality Engineer

Supplier Acknowledgement • Provide Acknowledgement Decision of Planned Requirements Supplier

Link Supplier • Link Supplier in ERP System to Permit Sample PO Placement Supplier Quality Engineer

Issue Sample PO • Issue Sample PO• Launch EHS Review (if applicable)

Buyer

Execute Plan • Execute all Assigned Verification & Validation Requirements Supplier / WABTEC

Approve Deliverables • Review and Provide Approval for Verification Requirements Supplier Quality Engineer

Ship Samples • Provide Shipping Details Supplier

Review Samples • Indicate Receipt of Samples • Indicate Inspection Requirements (if applicable)• Indicate Fit-up Results (if applicable)


Validation Review • Review and Provide Approval for Validation Requirements Design Engineer

Approval • Review PPAP Project Details and Provide PPAP Approval Decision Team(SQL, SQE, DE, PE)

Close • PPAP Decision


CAT 2 PPAP (Quality Only)Process Steps



Assign Deliverables • Conduct General EHS Review • Conduct Risk Assessment• Define Verification Requirements





Buyer

Execute Plan • Execute all Assigned Verification & Validation Requirements Suppler / WABTEC

Approve Deliverables • Review and Provide Approval for Verification Requirements Supplier Quality Engineer


Review Samples • Indicate Receipt of Samples • Indicate Inspection Requirements (if applicable)• Indicate Fit-up Results (if applicable)


Approval • Review PPAP Project Details and Provide PPAP Approval Decision Team(SQL, SQE)



CAT 3 PPAP (Engineering Development)Process Steps



Assign Deliverables • Conduct General EHS Review • Conduct Risk Assessment• Define Verification Requirements

Design Engineer

Validation Plan • Review Risk Assessment • Review Drawing, 3-D Model, Specifications • Define Validation Requirements

Design Engineer

Validation Plan Review • Review Validation Plan Requirements Design Engineer




Buyer

Execute Plan • Execute all Assigned Verification & Validation Requirements Supplier / WABTEC

Approval Deliverables • Review and Provide Approval for Verification Requirements Design Engineer


Review Samples • Indicate Receipt of Samples• Indicate Inspection Requirements (if applicable)• Indicate Fit-up Results (if applicable)

Design Engineer

Validation Review • Review and Provide Approval for Validation Requirements Design Engineer

Approval • Review PPAP Project Details and Provide PPAP Approval Decision Team(DE, PE)


Request Process Steps Explained


PPAP Request Process


Initiate Request • Provide the request justification details• Provide part information • Provide Supplier information

Buyer, Commodity Leader, Engineer, SQE, Supplier Quality Leader

Sourcing Approval • Review project details and provide PPAP project request approval decision Commodity Leader

Review Board • Review project details and provide PPAP project request approval decision • Define PPAP Category Level based on request details provided

Supplier Quality Leader


Initiate Request

Typically, requests are generated by either a buyer or commodity leader.

The purpose of this process step is to provide the following details related to the requisition:• Request reason & justification details • Part information• Supplier information • Project numbers (if applicable)


Accessing the PPAP Tool

Wabtec Users can access Reliance by using URL: https://reliance.wabtec.com/reliance/reliance

Open the PPAP module by clicking on the PPAP button

Don’t see the PPAP App? Make sure the view is set to “Buyer”

https://reliance.wabtec.com/reliance/reliance


Initiate Supplier PPAP Request Responsibility:

BuyerCommodity Leader

1. Click on the “New Document” tab to view the Drop-Down menu

2. Click on the “Supplier PPAP Request –Initiate” option


Initiate Supplier PPAP Request (Continued)

Responsibility: Buyer

Commodity Leader

Provide reason and justification Details * Denotes a required field. All required fields must be completed before routing the request

NOTE: A PPAP Request will remain open until it is decided that a PPAP is not required or the PPAP is closed

Additional details can be added as a file.




Commodity Leader

Select the supplier by either entering the 6-digit GSL in the field or by using the look-up icon to search the supplier list

Some fields will automatically be filled in once the supplier GSL has been selected

IMPORTANT! Indicate if supplier is on New Business Hold. Note: Refer to the link to NBH to see list.




Commodity Leader

Enter Part Number here

* Denotes a required field. All required fields must be completed before routing the request

Assure correct buyer’s name is listed!

Click here to add additional parts to PPAP request

Is the component regulated by the AAR? Several types of components (axles and wheels, for example) MUST come from manufacturers who are certified to the AAR (Association of American Railroads) M-1003 standard. Requestors should click AAR Commodity List to view those components requiring such certification and select Yes or No as appropriate in the AAR Part field. If the component DOES require AAR certification, an electronic copy of the prospective supplier’s current M-1003 certification must be obtained and uploaded to the system.




Commodity Leader

Click here to add Nucleus Project Number to PPAP record

Enter Commodity Leader Name

Enter program name or use look-up icon to find program name


Send forward for Sourcing Approval to Proceed

Phase Dialog –Pops up when routed to next phase

The Workflow Routing Bar is located at the top of every page of every record. Use this bar to move between phases.

• Red arrow = active phase • Black print = available phase • Gray print = unavailable phase (as you enter data and make

decisions new phases become available)

Failure to route to the next phase means your step is not complete since you did not pass responsibility to the next person. Include comments when routing

backward

Who is assigned to the next phase?

NOT REQUIRED – Notify anyone who should be informed


Sourcing Approval

The purpose of this process step is to:

• Provide the PPAP request details • Add or revise Nucleus project information (if applicable)• Provide a sourcing approval decision (Required)


Assignment Email Sent to Sourcing Leader Wabtec Corporation

Wabtec Corporation

Click link to access PPAP Request Directly from Email


PPAP Request: Sourcing Approval Responsibility:

Commodity Leader

Review Request Details

Select “Yes” to approve request to proceed- OR -- Select “No” to disapprove request to proceed

If Yes, move to Review Board phase If No, route back to initiate or VOID with comments


Send forward to Review Board

Phase Dialog –Pops up when routed to next phase

The Workflow Routing Bar is located at the top of every page of every record. Use this bar to move between phases.

• Red arrow = active phase • Black print = available phase • Gray print = unavailable phase (as you enter data and make

decisions new phases become available)

Failure to route to the next phase means your step is not complete since you did not pass responsibility to the next person.

Include comments if desired

Assigned to all Review Board members

Notify anyone who should be informed


Review Board

The purpose of this process step is to:

• Engineering & Quality review project details • Supplier Quality Leader records PPAP project request approval decision on behalf of the Review Board• Define PPAP Category Level (based on request details provided)


Review Board Responsibility: SQL (with review board)

Responsibility:SQL/Review Board

The Review Board has 4 options when reviewing a PPAP request:

PPAP Required

• Select a category level

• Launch PPAP to validate the change

PPAP Not Required

• Typically used for category parts that do not require validation

• Launch Cat 0 and push to Final Approval

Reject Request

• Void request

• No action required

On-Hold

• Email the requestor

• Leave request open until a decision is made


Review Board Responsibility: SQL (with review board)

Responsibility:SQL/Review Board

4. Make a decision during the Review Board meeting

➢ Save & Close➢ Route to Void

➢ Select Category Level

➢ Save the request

➢ Launch PPAP

➢ Save the request

➢ Launch PPAP


Who is Responsible?

If PPAP is required, the Review Board selects a category level based on who should be involved in the validation

▪ Cat 0: PPAP NOT Required✓ Primary SQE

▪ Cat 1: Engineering and Quality Approval Required✓ Supplier Quality Leader (Moderate & High Risk Only)✓ Primary/Secondary SQE✓ Primary/Secondary DE✓ Principal Engineer (Moderate & High Risk Only)

▪ Cat 2: Quality Approval Only✓ Supplier Quality Leader (Moderate & High Risk Only)✓ Primary/Secondary SQE

▪ Cat 3: Engineering Development✓ Primary/Secondary DE

Critical part, NPI, or engineered system

Validated design, Low risk changes for an established part/supplier

Prototype Projects

PPAP Process Steps Explained


Assign Team

The purpose of this process step is to :

• Assign the team members required to complete the PPAP project actions per the defined PPAP Category requirements.

CAT 0

• SQE Only

CAT 1

• Primary & Secondary SQE

• Primary & Secondary Design Engineer

• Principal Engineer

• Supplier Quality Manager

• Buyer

CAT 2

• Supplier Quality Manager

• Primary & Secondary SQE

• Buyer

CAT 3

• Primary & Secondary Design Engineer

• Principal Engineer


Assign Team Responsibility:SQL/Review Board

NOTE: Each PPAP will require a different blend of team members based on its category

Begin typing a name and then select from the Drop-Down list

Users can also be searched for by clicking on the directory button

Use the routing bar at the top of the page to route the PPAP to the next step


Assign Deliverables Responsibility:SQE (CAT 1 & 2) / DE (CAT 3)

EHS Questionnaire Required

*Denotes required fields. Answer all the required EHS questions

* The answers to the EHS questionnaire determine if an EHS Compliance Review is needed



Click this link to launch the required risk assessment


Risk Assessment Responsibility:SQE (CAT 1 & 2) / DE (CAT 3)

Ensure the location is set to “GET”Then scroll down to complete the rest of the questionnaire



Select one of the responses from the drop-down list that best answers the question

Risk levels will be calculated from the selected responses after the Risk Assessment has been saved

Consequences will also require responses



To save a Risk Assessment, use this button at the top of the screen

Scroll up to route the complete questionnaire to the next step using the routing bar

The “Save” and “Save and Close” buttons should only be used to calculate a risk score; or save the document to work on it later.



Define the PPAP Milestone Expected Completion Dates



1. Select applicable verification requirements & provide associated information

2. Select the “Initiate Selected Deliverables” action button to create the required deliverables.



❑ Samples ❑ Material Performance Testing

❑ Process Flow Diagram (PFD) ❑ Non-Destructive Testing (NDT)

❑ Process Failure Mode Effects Analysis (PFMEA) ❑ Paint & Coatings Qualification

❑ Characteristic Control Plan (CCP) ❑ Quality Certifications

❑ Measurement System Analysis / Gage R&R (MSA) ❑ Qualified Laboratory Documentation

❑ First Article Inspection (FAI) ❑ Records of Compliance

❑ Blower Checklist ❑ Reduction Ratio

❑ Electrical Properties ❑ TPG Audit

❑ Engineer Change Documents ❑ Training Records

❑ Gear Root Steps ❑ Verification of Coupon Size Location

❑ Heat Treat Records ❑ Weld Qualification

❑ Initial Process Capability Study ❑ X-Ray Required

❑ Manufacturing Instructions ❑ Other (Defined in Comments)

❑ Packaging & Cleanliness

Below is a list of Verification Requirements that may be selected



After a deliverable is initiated, it will appear as a Blue link.


Assign DeliverablesResponsibility:

SQE (CAT 1 & 2) / DE (CAT 3)

NOTE: The deliverable can not be routed to “Send to Supplier” until after the PPAP has been routed to “Supplier Acknowledgement”. At this time it is only necessary to click “Save and Close”

Select Templates Attach applicable files

Define Due Date, Responsibility & Add Requirement Comments



Route to next phase after Deliverables have been Defined

Note: • CAT 1 & 3 – Next phase is Validation Plan• CAT 2 – Next phase is Supplier Acknowledgement


Validation PlanResponsibility:

DE

Complete required fields

2. Select applicable validation requirements

3. Select the “Initiate Selected Engineering Documents” action button to create validation requirements.



DE

Define Due Date, Responsibility & Add Requirement Comments



DE

Note: • CAT 1 & 3 – Next phase is PE Review Moderate and High Risk, Otherwise

skip to Validation Plan Review

Route to next phase after Deliverables have been Defined


Principal Engineer ReviewResponsibility:PE (CAT 1&3)

Moderate & High Risk Only

Review: 1. Risk Assessment2. Selected Deliverable

Requirements3. Validation

Requirements

Provide PE Approval Decision


Principal Engineer ReviewResponsibility:PE (CAT 1&3)

Moderate & High Risk Only

If Disapproved, Click Here

If Approved, Click Here


Validation Plan ReviewResponsibility:

SQE (CAT 1)

Review the Validation Requirements

If no, Click Here If yes, Click Here


Validation Plan ReviewResponsibility:

SQE (CAT 1)

If No, Click Here

If Yes, Click Here


Supplier AcknowledgementResponsibility:

Supplier

Review:1. Selected Deliverable

Requirements2. Validation Requirements

(if applicable)

Provide Acknowledgement Decision


Supplier AcknowledgementResponsibility:

Supplier

If No,- Click Assign Deliverables to send to SQE- Click Validation Plan to send to DE

If Yes, Click Here


Link SupplierResponsibility:

SQE (CAT 1&2)

Select Yes once supplier is Linked in Oracle, Click Here

Route to next step


PPAP: Issue Sample POResponsibility:

Buyer

Review all PPAP Details

Button will display if EHS Review is Required. –Left Click action button to launch

Enter Sample PO Number ! PCB must approve all sample QTY changes

Once the supplier submits their acknowledgement of Wabtec Corporation’s expectations, and the SQE has linked the part to the supplier, an e-mail is sent to the buyer requesting issuance of a sample PO.


PPAP: Initiate EHS ReviewResponsibility:

Buyer

Review the material, then route the EHS Review to “Assign Supplier”

After routing the EHS Review, be sure to return to the PPAP and route it as well.


EHS ReviewResponsibility:

Supplier

Click here to route the EHS Compliance to the next phase

Upload the proper EHS Document


EHS Review (Conducted EHS Review)Responsibility:

EHS Team

Scroll to the bottom of the page, then decide if additional EHS Review is necessary

If additional EHS Review is required, fill in the Sourcing Specialist field

If additional Review IS required, route here

If additional Review is NOT required, route here


EHS Review (Final Decision)Responsibility:

EHS Team

If Rejected, fill in the required comments section and route here

If Rejected, route here

If Accepted, route here


EHS Review (Chemical Approval)Responsibility:

EHS Team

Indicate Approval of Safety or Technical Data Sheets

If Disapproved, Route here

If Approved, Route here


PPAP: Issue Sample POResponsibility:

Buyer

Send to Supplier to Execute PPAP Requirements after Sample PO is created

Buyer may send back to SQE if there is an issue with requirements or ERP linkage


Execute DeliverablesResponsibility:

Supplier

1. Login through Supplier Chain Connect (SCC)https://scc.wabtec.com/

https://scc.wabtec.com/



Supplier

Supplier clicks blue hyperlinks to open PPAP requirements and add their objective evidence


DeliverablesResponsibility:

Supplier

After uploading the required deliverables route the deliverable to “Submit to WABTEC” so the deliverables can be reviewed

Submit to Wabtec

Attach the completed deliverables

Deliverable templates may be provided or referenced for use



Supplier

Submit to Wabtec

Submit to Wabtec

Add any additional comments

After submitting all deliverables use the routing bar at the top of the page to route the PPAP to “Approve Deliverables”


Approve DeliverablesResponsibility:

SQE (CAT 1 & 2) / DE (CAT 3)

Click the link to open, review and approve each deliverable

After deciding if the deliverables are acceptable or not, the decision will appear on the link


Approving DeliverablesResponsibility:

SQE (CAT 1 & 2) / DE (CAT 3)

If approval is given, route to “Completed”

If the deliverable is not acceptable, route to “Send to Supplier” for revision and resubmission

Review the deliverable Objective Evidence

Provide Approval Decision


Approve DeliverablesResponsibility:

SQE (CAT 1 & 2) / DE (CAT 3)

If any deliverables are unacceptable or incomplete, SQE may add comments and route back to Execute Deliverables phase.

If any deliverables are acceptable route the PPAP to Ship Samples phase


Ship SamplesResponsibility:

Supplier

Attachment may be used to attach documents such as final inspection results or bill of lading

Send to Review Samples phase after shipping information has been provided

Completely fill in all required fields:


Review SamplesResponsibility:

SQE (CAT 1 & 2) /DE (CAT 3)

1. Indicate if samples have been received and date received, if Yes2. Indicate if inspection is required, if Yes indicate if they passed inspection 3. SQE may decide to assign fit-up actions using the “Assign Fit-Up” action button, if

required4. Indicate if Sample fit-up is approved once complete, if required


Fit-up ActionResponsibility:


1. SQE may indicate fit-up requirements in the “Comments” field2. SQE assigns responsible MTA3. SQE assigned responsible Quality Engineer4. SQE assigned responsible Secondary SQE

After all required info is provided the SQE sends to MTA to schedule fit-up




After all required info is provided the MTA sends to Quality Engineer to conduct fit-up as planned

MTA to schedules fit-up




After all required info is provided the Quality Engineer sends to Supplier Quality Engineer to disposition fit-up

Quality Engineer performs fit-up and indicates PASS or FAIL and may attach objective evidence


Fit-up Action

SQE may choose to send back to quality engineer to address identified issues.

SQE sends to Completed phase when final disposition is provided

Supplier Quality Engineer assesses fit-up details and provides a fit-up disposition decision


Review SamplesResponsibility:


SQE sends to Validation Review phase once all inspections and fit-up actions are completed


Validation ReviewResponsibility:

DE (CAT 1 & 3)

Review the Validation Records and make an approval decision

Use the routing bar at the top of the page to send the PPAP to the next stage


Approval Types

Full Approval

• All PPAP requirements are complete, change is approved and product is released.

Disapproval

• Product cannot be shipped

• Change cannot be cut-in

Approved with Conditions

• Define all conditions that apply

• Required to set expiration date / maximum quantity (optional)


Team ApprovalResponsibility:

SQE (CAT 1 & 2) DE (CAT 1 & 3)

PE (CAT 1, except Low risk)SQL (CAT 1 & 2, except Low risk)

Each team member will provide an approval decision & the system records who provided approval decision


Team ApprovalResponsibility:

SQL, SQE, DE, PE

If “Approved with Conditions” is selected, Condition Details and Expiration Date is Required

Disapproved requires a reason to be entered


Approved With ConditionsResponsibility:

SQL, SQE, DE, PE

A PPAP will remain in the Approved with Conditions phase until: 1. The conditions are met and the PPAP gets routed back to “Team Approval” for

final approval2. It becomes clear that the conditions can not be met and the PPAP gets routed to

VOID

Conditions can be seen by clicking on the “Approval” tab


Closed Closed PPAPs are kept on file for future reference, the fields are not editable and no additional action needs to be taken.

Use the tabs to help find information you are looking for