PPAP Process in Manufacturing: 18 Elements and 5 Submission Levels

Key Takeaways

• PPAP gives the customer documented evidence that a supplier understands the part requirements and can produce conforming parts consistently.

• A new part, design or process change, tooling change, manufacturing-location change, or customer request may trigger a PPAP submission or resubmission.

• A full PPAP framework contains 18 elements, while the five submission levels determine what the customer receives or reviews.

• The customer defines the required submission level and customer-specific requirements, then reviews the supplier’s package and assigns its disposition.

What Is PPAP?

The Production Part Approval Process (PPAP) is AIAG’s automotive supplier-to-customer approval framework for demonstrating that engineering design-record and specification requirements can be consistently met during an actual production run at production rates. AIAG currently publishes PPAP as the 4th Edition, 2nd Printing. This guide explains when PPAP is required, the 18 PPAP elements, the five submission levels, and how the package moves from supplier preparation to customer approval.

How Production Part Approval Process (PPAP) Works

PPAP is a standardized process in the manufacturing industry that maintains the appropriate measures to produce high-quality parts consistently. It's designed to minimize risks in the production process and ensure that all parts produced meet customer specifications and requirements.

PPAP is rooted in automotive supplier quality, and AIAG PPAP is not a universal manufacturing standard. Other sectors may use different or sector-specific approval frameworks. Aviation, space, and defense organizations, for example, may use IAQG/SAE 9145 for APQP and PPAP and AS9102 for first article inspection, depending on contractual and customer requirements.

At its core, PPAP serves as a communication tool between suppliers and customers. It provides an established process for suppliers to communicate the key characteristics of a product or part and provides a structure for customers to evaluate and confirm whether parts meet their specific requirements.

When is PPAP Required?

Customers commonly require a PPAP submission or resubmission when a new part or a significant change could affect product or process conformity. The governing PPAP manual and the customer’s specific requirements determine the exact trigger, submission level, timing, and supporting records. Common triggers include:

• New Part Introduction: When a new part is being introduced into production, PPAP ensures that all design and process specifications are met before mass production begins.
• New Supplier: When a company sources parts from a new supplier, PPAP is used to validate the supplier’s production process and ensure that it can produce parts that meet the customer’s specifications.
• Engineering Changes: If there are any changes to the part design, material, or production process. This includes engineering change notice on design specifications, materials used, or alterations in the manufacturing process.
• Production Location Change: When manufacturing moves to a new location, PPAP checks that the new facility can produce parts that meet the required quality standards.
• Tooling Changes: Significant changes to production tooling, such as new or modified dies, molds, or fixtures.
• Process Changes: If there are significant changes to the manufacturing process, such as changes in the method of production, equipment upgrades, or automation changes.
• Material Changes: Changes in the raw materials or suppliers of the materials used in production.
• Significant Volume Changes: A substantial change in production volume may prompt PPAP resubmission when it changes the approved process, tooling, capacity, or production conditions, or when the customer specifically requires it.
• Customer-Specific Requirements: Some customers may have specific triggers for PPAP submission based on their internal quality control procedures and standards.
• Recurring Quality Issues: Repeated nonconformities or corrective-action findings may lead the customer to request PPAP resubmission or additional validation of the affected process.

Before building the package, confirm the submission reason, required level, due date, customer-specific forms, and any records the customer expects you to submit rather than retain.

The Importance of PPAP in Manufacturing

PPAP is important because it gives the customer documented evidence that the supplier understands the applicable requirements and that the production process can consistently produce parts that meet them. Here are more reasons why the PPAP process is important in production and manufacturing processes.

• Supports Product and Process Conformity: Brings together applicable design, process, measurement, testing, and capability evidence so the customer can evaluate whether the part and production process meet its requirements.
  
• Reduces Quality Risks: Early identification allows for prompt control and preventive measures against quality risks to reduce potential for defects and failure, effectively minimizing costly recalls, rework, and warranty claims.
• Enhances Customer Confidence: Demonstrates the production processes’ ability to meet customer requirements to build strong long-term partnerships.
• Improves Efficiency: Standardizing the approval process ensures all necessary steps are completed before production, significantly reducing production disruptions to meet production schedules.
• Supports Quality Requirements: PPAP documents product and process evidence that can support customer requirements and an organization’s quality management system. PPAP approval does not by itself establish ISO certification or regulatory compliance.
  
• Encourages Continuous Improvement: Promotes a culture of continuous improvement within the manufacturing organization by regularly reviewing and validating production processes to identify areas for improvement and implement best practices.
• Standardizes Communication: Provides a standardized framework for communication between suppliers and customers to ensure that all necessary information is documented and shared, reducing the likelihood of misunderstandings and miscommunications.
• Supports Global Manufacturing: Offers a consistent and reliable method for validating parts, regardless of where they are produced. This consistency is crucial for maintaining quality across global supply chains and ensuring that all parts meet the same high standards.
• Minimizes Waste: Contributes to sustainable manufacturing practices by reducing defects and rework to save time and resources, helping manufacturers reduce their environmental impact and operate more sustainably.
• Enhances Problem-Solving: Allows manufacturers to create data-driven solutions through detailed analysis and documentation to implement effective actions, which improves overall process reliability and product quality.

The 18 PPAP Elements

The Production Part Approval Process includes 18 elements that collectively document the part requirements, production process, measurement evidence, test results, and supplier declaration. Applicability can depend on design responsibility, the part, the submission level, and customer-specific requirements.

1. Design Record

Design documentation includes all necessary drawings, specifications, and electronic files that define the part. This documentation ensures that the part is manufactured according to the agreed-upon design and meets all required standards. It serves as the foundation for the PPAP process, providing the basis for all subsequent evaluations and validations.

2. Authorized Engineering Change Documents

Any changes made to the part design must be thoroughly documented. Engineering change documentation records all modifications, including the reason for the change, the approval process, and the impact on the part. This ensures that all changes are tracked and validated to maintain part integrity and quality.

3. Customer Engineering Approval

When customer engineering approval is required, the PPAP package includes evidence that the customer has approved the applicable design or trial parts. The required approval and supporting record depend on the customer and the part.

4. Design Failure Mode and Effects Analysis (DFMEA)

DFMEA is a systematic approach to identifying potential failure modes in the part design and assessing their effects. This analysis helps in identifying and mitigating risks associated with design flaws, ensuring that potential issues are addressed before production begins. A supplier typically provides the DFMEA when it has design responsibility or when the customer specifically requires the record.

5. Process Flow Diagram

A process flow diagram is a visual representation of the entire production process, from raw material to finished product. It outlines each step in the manufacturing process, providing a clear understanding of how the part is produced. This diagram is essential for identifying potential bottlenecks and areas for improvement.

6. Process Failure Mode and Effects Analysis (PFMEA)

PFMEA is similar to DFMEA but focuses on the manufacturing process instead of the design. It identifies potential failure modes in the production process and evaluates their impact on part quality. This analysis helps in implementing preventive measures to avoid process-related issues.

7. Control Plan

A control plan documents how specified product and process characteristics will be controlled, including the applicable measurement or evaluation methods, monitoring or sampling requirements, and reaction plans when control criteria are not met. Statistical process control may be one control method, but it is not required for every characteristic. The control plan should remain aligned with the process flow and PFMEA.

8. Measurement System Analysis Studies

Measurement system analysis (MSA) evaluates the accuracy and reliability of the measurement systems used in the production process. This study ensures that the measurement tools and methods provide consistent and accurate results, which is critical for maintaining part quality.

9. Dimensional Results

Dimensional results record the required characteristics from the design record and show the measured result for each applicable requirement. These results confirm that the part meets the specified design dimensions and tolerances. Accurate dimensional results are essential for ensuring that the part fits and functions as intended.

10. Records of Material/Performance Tests

Material and performance tests validate that the materials used and the part’s performance meet the required specifications. These tests include mechanical, chemical, and environmental evaluations to ensure the part’s durability and reliability in its intended application.

11. Initial Process Studies

Initial process studies assess the capability and stability of the production process. These studies involve statistical analysis to determine if the process can consistently produce parts within specified limits. Successful initial process studies indicate that the process is under control and capable of meeting quality standards.

12. Qualified Laboratory Documentation

Qualified laboratory documentation identifies the laboratory, its scope, and its ability to perform the required inspection or testing. Accreditation should be stated only when the applicable standard or customer requirement calls for it.

13. Appearance Approval Report

The appearance approval report confirms that the part’s visual attributes meet customer requirements. This report includes evaluations of color, texture, finish, and other visual aspects to ensure that the part is aesthetically acceptable.

14. Sample Production Parts

Sample production parts are representative parts produced during the initial production run. These samples are evaluated to ensure that the production process can consistently produce parts that meet the required specifications and quality standards.

15. Master Sample

A master sample is a part that has been thoroughly inspected and approved as the standard for future production. This sample is kept for reference and comparison to ensure that all future parts meet the same quality standards.

16. Checking Aids

Checking aids include gauges, fixtures, and other tools used to inspect parts during production. These aids ensure that parts are consistently measured and evaluated against the specified requirements.

17. Customer Specific Requirements

Customer specific requirements include any additional conditions or specifications mandated by the customer. These requirements are unique to each customer and must be met in addition to the standard PPAP elements.

18. Part Submission Warrant (PSW)

The Part Submission Warrant (PSW) summarizes the PPAP submission and records the supplier’s declaration that the part and supporting evidence meet the applicable requirements. It identifies details such as the part, revision, submission reason, submission level, and results. The supplier submits the PSW, but the customer determines the submission disposition, which may be approved, interim approved, or rejected under the applicable process.

The Five PPAP Submission Levels

The five PPAP submission levels define what the supplier sends to the customer or makes available for review. They do not replace the 18 PPAP elements, and the customer’s instructions control the final requirement.

• Level 1: Part Submission Warrant (PSW) only, with an Appearance Approval Report when applicable.

• Level 2: PSW with product samples and limited supporting data.

• Level 3: PSW with product samples and complete supporting data.

• Level 4: PSW and other requirements defined by the customer.

• Level 5: PSW with product samples and complete supporting data available for review at the supplier’s manufacturing location.

The submission level determines what the customer expects to receive or review. It does not mean that unrelated PPAP records can be ignored. Confirm element applicability, retention requirements, and customer-specific instructions before submission.

PPAP Submission and Approval Process

A PPAP submission starts before the final documents are assembled. Use the following workflow to keep the technical records aligned and give the customer a package it can review efficiently:

1. Confirm the submission trigger, required level, due date, and customer-specific requirements.

2. Assign owners for the design, process, quality, measurement, testing, and submission records that apply.

3. Align the process flow, PFMEA, and control plan so each process step, risk, control, and reaction plan is consistent.

4. Validate the measurement systems and complete the required significant production run, dimensional checks, material or performance tests, and initial process studies. For production parts, AIAG PPAP 4th Edition defines the default significant production run as one to eight hours and at least 300 consecutive parts, unless otherwise specified by the authorized customer representative; the run uses the production site, rate, tooling, gaging, process, materials, and operators.

5. Assemble the applicable records and complete the PSW after the supporting evidence is final.

6. Perform an internal consistency review, then submit the required package to the customer or its designated representative.

7. Address the customer’s disposition and any requested corrections before relying on the approval for production release.

8. Maintain the approved records and process controls, and review later changes for possible resubmission.

The flow below shows how these steps connect from requirements and evidence development through submission and customer disposition, including where the required submission level fits in the process.

Roles and Responsibilities

Each stakeholder involved in the PPAP process has specific roles and responsibilities. These include:

Clear communication between all stakeholders is essential to ensure an efficient and timely approval process.

PPAP Submission Dispositions

After reviewing the package, the customer assigns a submission disposition under the applicable PPAP process:

• Approved: The submission meets the applicable customer requirements.

• Interim approved: The customer permits limited use or shipment for a defined period or quantity while specified issues are resolved.

• Rejected: The submission does not meet the applicable requirements and must be corrected before approval.

Follow the customer’s written disposition, restrictions, and resubmission instructions before production release or shipment.

How PPAP Relates to APQP

APQP plans how the product and production process will be developed, validated, and launched. PPAP is the documented customer-approval output that shows the relevant planning and validation work has been completed for the part and process.

The connection is visible across the core records. The process flow defines the manufacturing sequence, the PFMEA evaluates risk at those process steps, and the control plan identifies the controls and reaction plans used during production. Measurement system analysis supports confidence in the inspection data, while dimensional results, test records, and initial process studies provide evidence from the production process. The PSW then summarizes the completed submission for customer review.

 

Best Practices for Effective PPAP Process Implementation

Now that we have a good understanding of the PPAP process, let's explore some best practices for implementing it effectively.

• Start early and involve all stakeholders: It's crucial to start the PPAP process as early as possible and involve all relevant stakeholders, including suppliers and customers. This allows for a smooth and efficient approval process and ensures that everyone is aligned with the quality standards and documentation requirements.

• Communicate effectively: Clear and open communication is essential for a successful PPAP implementation. Ensure that all stakeholders understand their roles and responsibilities, and facilitate communication channels to address any issues or concerns promptly.

• Prioritize documentation: Comprehensive documentation is a crucial aspect of the PPAP process. Make sure you have a clear understanding of the documentation requirements and prioritize organizing and submitting all the necessary documentation.

• Control revisions and ownership: Assign an owner to each required record and confirm that the part number, drawing revision, engineering change level, process revision, and submission reason remain consistent across the package.

• Review linked records together: Compare the process flow, PFMEA, control plan, dimensional and test results, and PSW before submission. A complete package can still require rework when those records describe different revisions, process steps, or controls.

• Incorporate PPAP into existing processes: The PPAP process should be integrated into an organization's existing quality management system. This not only streamlines the process but also enhances the overall efficiency of the organization's production procedures.

• Embrace continuous improvement: Continuous improvement is essential for maximizing the benefits of the PPAP process. Regularly review and analyze the complete supporting data from PPAP to identify areas for improvement and implement changes that enhance the quality and reliability of the production process.

In manufacturing work, I have seen how a package can look complete and still need another review when linked records do not match. A drawing revision, process step, control, result, or PSW entry that points to a different version can undermine confidence in the full submission. 

Continuous Improvement and PPAP

At its core, PPAP provides evidence that the manufacturing process can produce parts that meet the customer’s engineering and quality requirements. Embracing continuous improvement within the PPAP quality framework allows organizations to learn more about critical processes and optimize them. 

By collecting data on every aspect of the PPAP process, from documentation to approval to final product quality, organizations can identify areas for improvement and take actionable steps to enhance their procedures. Establishing ongoing PPAP requirements, such as the number of submissions approved on the first try, the time to complete the process, and the percentage meeting customer requirements, helps track progress and identify trends and areas for improvement.

These are internal performance indicators, not required PPAP submission elements. Each organization should select measures that help it identify delays, recurring corrections, and process-control weaknesses without confusing those measures with customer approval criteria.

Continuous improvement also relies on a culture of collaboration, communication, and commitment to training and education. Successful organizations encourage cross-functional teams to share knowledge and expertise, fostering new ideas and more effective problem-solving. Investing in employee skills and knowledge through ongoing training and development ensures that teams are equipped to tackle new challenges and leverage emerging opportunities. This commitment to continuous improvement enhances the assembly process and overall manufacturing quality, keeping organizations competitive and innovative.

FAQs

What is the PPAP process validation?

PPAP is not a standalone process-validation standard. It uses evidence such as measurement-system studies, dimensional and test results, initial process studies, and the control plan to demonstrate that the production process can meet applicable customer requirements.

Who approves PPAP?

PPAP is approved by the customer, who reviews the submitted documentation and production samples to ensure compliance with their requirements.

When must PPAP be resubmitted?

PPAP may need to be resubmitted after a new or changed part, process, material, tool, supplier, or manufacturing location, or after another event identified by the customer. The governing PPAP manual and customer-specific requirements determine the actual trigger, submission level, timing, and supporting records.

Who is responsible for PPAP?

The supplier is responsible for completing and submitting the PPAP documentation and samples for customer approval.

Why is PPAP necessary?

PPAP is used to provide documented evidence that the part and production process meet applicable customer requirements and can consistently produce conforming product. It can support evidence related to regulatory requirements when those requirements apply to the product, but PPAP approval does not by itself establish regulatory compliance.

What documentation is required for PPAP?

A full PPAP framework contains 18 elements, including design records, engineering changes, process flow, FMEAs, a control plan, measurement-system evidence, dimensional and test results, initial process studies, samples, and the PSW. The customer-assigned submission level determines what must be sent or made available for review, while element applicability and customer-specific requirements determine the final package.

What are the five PPAP submission levels?

Level 1 is the PSW only; Level 2 adds product samples and limited supporting data; Level 3 adds product samples and complete supporting data; Level 4 follows requirements defined by the customer; and Level 5 makes product samples and complete supporting data available for review at the supplier’s manufacturing location. The customer’s instructions determine the required level and any additional submission details.

How is PPAP different from APQP?

APQP is the broader planning framework used to develop and validate a product and its production process. PPAP is the documented submission used to show the customer that the applicable planning and validation outputs support consistent production of conforming parts.

How does the PPAP submission and approval process work?

The supplier confirms the customer’s requirements, prepares and validates the applicable PPAP evidence, completes the PSW, checks the package for consistency, and submits the required records and samples to the customer. The customer reviews the submission and assigns its disposition, after which the supplier addresses any conditions or corrections and maintains the approved process and records.

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