PPAP/APQP Requirements Checklist

Form
Proprietary and Confidential

Revision
1

Release Date
2015-mm-dd

PS-PTP-FR-116-E

Rev 01

Concise Description of Changes

Initial Release

Prepared
Name:
Christine McQueen
Title/Role: Supplier
Supplier
Quality
Engineer
Title/Role:
Quality
Engineer

Released
Name:
Dawn Kinnamon
Title/Role: PS Supplier
Quality
Engineer
Title/Role:
BOS Document
Coordinator
Approvals

Name:
Jeff Jentsch
Title/Role: Director of Business Transformation PTP

Name:
Eric C. Liu
Title/Role: Dir Global Supplier Quality & Sustainability

Name:
Deng Value Stream Lead
Title/Role: Lily
Regional
Title/Role: Mgr
Supplier Development, China Purchasing
(Americas)

Name:
Peter Mokrzycki
Title/Role: Supv Quality Assurance

Name:
Muller
Title/Role: Fabien
Regional
Value Stream Lead
Title/Role: Quality
Supply Manager, Supplier Quality
(Americas)

Title/Role:

Title/Role:

Regional Value Stream Lead

(Americas)

Regional Value Stream Lead

Master files are stored electronically. Electronic copies valid without signature. Printed copies are for reference only.
(Americas)

This form is to identify what is required from a supplier for PPAP submission.

1.0 PURPOSE
2.0 SCOPE

Region/Country

Region(s) Included

US
x
Mexico
x
Brazil
x
Colombia
x
Europe
x
Middle East
India
China
x
Korea
x
Place an X in each applicable box. Attributes for scope definition may be customized as needed.

Included for:
Johnson Controls Power Solutions locations and majority-owned: Yes
Consolidated joint ventures and affiliates: Yes*
Unconsolidated joint ventures and affiliates: Recommended
*Excludes consolidated joint ventures and affiliates where JCI does not have management control.

3.0 RESPONSIBILTY

4.0

Supplier Quality Engineers (SQEs) are owners of this process. They are responsible for
1. Creating the PPAP Requirements Checklist.
2. Sending the PPAP Requirements Checklist to the supplier.

RECORDS/LOGS

Document Name
Supplier Part Approval

Document
Reference #
PS-PTP-PR-58-E

Record
Format
Electronic

Storage
SQE Team
Shared
Location
Drive

Responsible
Supplier
Quality
Department/Role
Engineer

* Note: All records/logs listed here are in compliance with the Records Retention Policy (PO-LE-RR-01-E) and PS Records Retention Schedule which specifies the
required retention period for each record.

5.0 REFERENCES

Document Type

Document Name

Reference Standard AIAG PPAP Reference Manual

6.0 DEFINITIONS
PS-PTP-FR-116-E Rev. 1

See Definitions Tab

Released:

Document Reference #
N/A

Instructions
1 Select the worksheet that applies - components or bulk materials.
2 Complete the yellow boxes.
The form will take the information you entered and determine the supplier PPAP requirements.
3 Take the worksheet you completed and save it as a separate file. Send that file to the supplier.

Supplier Part Approval Process Request

Supplier Name
Supplier Location
JCPS Material Number
Requested Submission Date
Submit to

Component

container

Commodity Name

Material Type
Reason for Submission
Design Responsible

Component

AIAG PPAP Section (These section numbers correspond with the AIAG reference booklets)
Section
No's

Deliverables
(click on cell corner for definition of item)

Component PPAP Requirements

Bulk PPAP Requirements

Component

2.2.1
2.2.2
2.2.3
2.2.4
2.2.5
2.2.6
2.2.7
2.2.8
2.2.9
2.2.10
2.2.11
2.2.12
2.2.13
2.2.14
2.2.15
2.2.16
2.2.17
2.2.18

Design Record
Authorized Engineering Change Documents
Customer Engineering Approval
Design Failure Mode and Effects Analysis (DFMEA)
Process Flow Diagram(s)
Process Failure Mode and Effects Analysis (PFMEA)
Control Plan
Measurement System Analysis Studies (MSA)
Dimensional Studies
Records of Material / Performance Test Results
Initial Process Studies
Qualified Laboratory Documentation
Appearance Approval Report (AAR)
Sample Production Parts
Master Sample
Checking Aids
Customer-Specific Requirements
Part Submission Warrant (PSW)

S
TBD
TBD
S
S
S
S
S
S
S
S
S
NR
S
R
S
S
S

Component

Issue

Actions

Responsible

Due

Choose column whose cell on left is highlighted in Green

S
TBD
TBD
NR
S
NR
S
S
NR
S
S
S
NR
S
R
S
S
S

APQP Section (These section numbers do not correspond to any reference manuals. They are only for this document)
Section
No's

Deliverables
(click on cell corner for definition of item)

PPAP or APQP Requirement

Deliverable due by

APQP-1 Design Verification Plan & Report

APQP

prior to DV

APQP-2 Product Validation Testing

APQP

prior to DV

APQP-3 Drawing & Specification Review

APQP-4 Design Review / Quality Objectives

APQP

prior to DV
prior to DV

APQP-5 Feasibility Commitment

APQP-6 Supplier Program Contacts

APQP

APQP-7 PPAP / APQP Kick-Off Meeting

APQP-8 Color & Appearance Masters

APQP

APQP-9 Subcontractor APQP Assessment

APQP-10 Equipment Design and Approval

APQP

APQP-11 Equipment and Fixture Build

APQP-12 Preventative Maintenance Plan

APQP

APQP-13 Tool Design and Approval

APQP-14 Prototype Tool Builds

APQP

APQP-15 Prototype Builds

APQP-16 Error & Mistake Proofing
APQP-17 Gage Build, Certification, and R&R

APQP

APQP-18 Operator Instructions

APQP-19 Production Tool Builds

APQP

APQP-20 Pre-Launch Control Plan / Containment Plan

APQP-21 Production Trial Plan

APQP

APQP-22 Tool Qualification

APQP-23 Packaging Specifications and Shipping Plan

APQP

APQP-24 SPSO: Documentation Review

APQP-25 SPSO: Supplier Process Sign-Off

APQP

Created by: Bob Langenohl

APQP
APQP
APQP
APQP
APQP
APQP
APQP
APQP
APQP
APQP
APQP
APQP

prior to DV
prior to DV
prior to DV
prior to DV
prior to DV
prior to DV
prior to DV
prior to DV
prior to DV
prior to DV
prior to DV
PRIOR TO PV
PRIOR TO PV
PRIOR TO PV
PRIOR TO PV
PRIOR TO PV
PRIOR TO PV
PRIOR TO PV
PRIOR TO PV
PRIOR TO PV
PRIOR TO PV

% Complete
(use "n/a" for not applicable)

Issue

Actions

Responsible

Due

AIAG PPAP 4th Edition Requirements

Level 1 Level 2 Level 3

2.2.1 Design Record
R
S
S
2.2.2 Authorized Engineering Change Documents
R
S
S
2.2.3 Customer Engineering Approval
R
R
S
2.2.4 Design Failure Mode and Effects Analysis (DFMER
R
S
2.2.5 Process Flow Diagram(s)
R
R
S
2.2.6 Process Failure Mode and Effects Analysis (PFM R
R
S
2.2.7 Control Plan
R
R
S
2.2.8 Measurement System Analysis Studies (MSA) R
R
S
2.2.9 Dimensional Studies
R
S
S
2.2.10 Records of Material / Performance Test Results R
S
S
2.2.11 Initial Process Studies
R
R
S
2.2.12 Qualified Laboratory Documentation
R
S
S
2.2.13 Appearance Approval Report (AAR)
S
S
S
2.2.14 Sample Production Parts
R
S
S
2.2.15 Master Sample
R
R
R
2.2.16 Checking Aids
R
R
R
2.2.17 Customer-Specific Requirements
R
R
S
2.2.18 Part Submission Warrant (PSW)
S
S
S
S
The organization shall submit to the customer and retain a copy of records or docume
R
The organization shall retain at appropriate locations and make available to the custo
*
The organization shall retain at appropriate locations and sumbit to the customer upo
REASON FOR SUBMISSION
1
Initial Submission
2
Engineering Change(s)
3
Tooling: Transfer, Replacement, Refurbishment, or Additional
4
Correction of Discrepency
5
Tooling Inactive > 1 year
6
Change to Optional Cunstruction or Material
7
Supplier or Material Source Change
8
Change in Part Processing
9
Parts Produced at Additional Location
10
Other - please specify

Level 4 Level 5
*
R
*
R
*
R
*
R
*
R
*
R
*
R
*
R
*
R
*
R
*
R
*
R
*
R
*
R
*
R
*
R
*
R
S
R
of records or documentation items at appropriate locations
vailable to the customer upon request
to the customer upon request

PPAP Level
Bulk
Level 1
Level 2
Level 3
Level 4a
Level 4b
Level 5

Customer Engineering Approval

Authorized Engineering Change Documents

SUBMISSION LEVELs Component Material

Design Record

JCPS Requirements

2.2.1
2.2.2
2.2.3
S
NR
NR
R
R
NR
S
S
NR
S
S
NR
S
R
NR
Select S, Select
R, or NR
S, R, or NR
NR
R
R
NR

Reason for Submission

Default PPAP Level
8 Change in Part Processing
Level 4a
6 Change to Optional Construction or Material
Level 4b
4 Correction of Discrepency
Level 4b
2 Engineering Change(s)
Level 4a
1 Initial Submission
Level 3
10 Other - please specify
Level 4b
9 Parts Produced at Additional Location
Level 3
7 Supplier or Material Source Change
Level 4a
5 Tooling Inactive > 1 year
Level 4a
3 Tooling: Transfer, Replacement, Refurbishment, Level 4a
Commodity Name
AGM Vent Seal
Bushings
Charge Eyes
Electronics-Lithium-Ion
Flame Arrestors

PPAP Material Classification

Component
Component
Component
Component
Component

Gaskets
Glasmat
Hot Stamp Foil
Labels
Lithium-Ion Cell Components
Mechanical-Lithium-Ion
Pasting Paper
Poly Components
Power Sport Batteries
Purchased Batteries
Scrim
Separator (AGM Optima)
Separator (AGM)
Separator (Li-Ion)
Separator (PE)
Shrink Bags

Component
Component
Component
Component
Component
Component
Component
Component
Component
Component
Component
Component
Component
Component
Component
Component

Acid
Barium Sulfate
Brown Flakes
Carbon Black
Caustic Soda
Chemicals-Lithium Ion
Colorant
Epoxy / Hot melt glue
Fiber
Humic Acid
Lead
Lead Oxide
Magnesium Hydroxide
Recycled Resin
Resin
Smelter Materials
Sodium Perborate
Sodium Sulfate
Vanisperse

Bulk
Bulk
Bulk
Bulk
Bulk
Bulk
Bulk
Bulk
Bulk
Bulk
Bulk
Bulk
Bulk
Bulk
Bulk
Bulk
Bulk
Bulk
Bulk

2.2. Design Record

2.2. Authorized Engineering Change Documents
2.2. Customer Engineering Approval
2.2. Design Failure Mode and Effects Analysis (DFMEA)
2.2. Process Flow Diagram(s)
2.2. Process Failure Mode and Effects Analysis (PFMEA)
2.2. Control Plan
SOP, Inspection Plan, Operator Work Instr
2.2. Measurement System Analysis Studies (MSA) Need to Discuss Variation ( Device, variat

2.2. Dimensional Studies

2.2. Records of Material / Performance Test Results
2.2. Initial Process Studies
2.2. Qualified Laboratory Documentation
2.2. Appearance Approval Report (AAR)
2.2. Sample Production Parts
2.2. Master Sample
2.2. Checking Aids
2.2. Customer-Specific Requirements
COA Format, ISO Cert, Packaging, Special
2.2. Part Submission Warrant (PSW)

Appearance Approval Report (AAR)

Qualified Laboratory Documentation

Initial Process Studies

Records of Material / Performance Test Results

Dimensional Studies

Control Plan

Process Flow Diagram(s)

Measurement System Analysis Studies (MSA)

Process Failure Mode and Effects Analysis (PFMEA)

Design Failure Mode and Effects Analysis (DFMEA)

ELs Component Material Types

2.2.4
2.2.5
2.2.6
2.2.7
2.2.8
2.2.9
2.2.10 2.2.11 2.2.12 2.2.13
NR
S
NR
S
NR
NR
S
NR
S
NR
R
R
R
R
R
R
R
R
R
NR
R
R
R
R
R
S
S
R
S
NR
S
S
S
S
S
S
S
S
S
NR
R
S
R
R
R
S
S
S
R
NR
Select S, Select
R, or NR
S, Select
R, or NR
S, Select
R, or NR
S, Select
R, or NR
S, Select
R, or NR
S, Select
R, or NR
S, Select
R, or NR
S, Select
R, or NR
S, R, or NR
NR
R
R
R
R
R
R
R
R
R
NR

S
R
NR

assification

The organization shall submit to the customer and retain a copy of records or documentation
The organization shall retain at appropriate locations and make available to the customer upo
The organization is not required to complete the element

Plan, Operator Work Instructions

Variation ( Device, variation of device)

Cert, Packaging, Special letter, Jpeg Pic, Quality Records, COC

Part Submission Warrant (PSW)

Customer-Specific Requirements

Checking Aids

Master Sample

Sample Production Parts

2.2.14 2.2.15 2.2.16 2.2.17 2.2.18

S
NR
NR
NR
S
R
R
R
R
S
S
R
R
R
S
S
R
R
S
S
S
R
R
R
S
Select S, Select
R, or NR
S, Select
R, or NR
S, Select
R, or NR
S, R, or NRS
R
R
R
R
R

cords or documentation items at appropriate locations

able to the customer upon request

Part Submission Warrant

Part Name

Customer Part Number

Shown on Drawing No.

Organization Part #

Engineering Change Level

Dated

Additional Engineering Change

Dated

Safety and/or Government Regulation

Yes

No

Checking Aid No.

Purchase Order No.

Weight (kg)

Checking Aid Engineering Change Level

ORGANIZATION MANUFACTURING INFORMATION

Dated

CUSTOMER SUBMITTAL INFORMATION

Organization Name & Supplier/Vendor Code

Customer Name/Division

Street Address

Buyer/Buyer Code

City

Region

Postal Code

Country

Application

MATERIALS REPORTING
Has customer-required Substances of Concern information been reported?

Yes

No

n/a

Yes

No

n/a

Submitted by IMDS or other customer format:

Are polymeric parts identified with appropriate ISO marking codes?
REASON FOR SUBMISSION (Check at least one)

Initial Submission
Engineering Change(s)
Tooling: Transfer, Replacement, Refurbishment, or
additional
Correction of Discrepancy

Change to Optional Construction or Material

Supplier or Material Source Change
Change in Part Processing

Tooling

Other

Parts

Inactive > than 1 year

Produced at Additional Location

- please specify below

REQUESTED SUBMISSION LEVEL (Check one)

Level 1 - Warrant only (and for designated appearance items, an Appearance Approval Report) submitted to
customer.
Level 2 - Warrant with product samples and limited supporting data submitted to customer.
Level 3 - Warrant with product samples and complete supporting data submitted to customer.
Level 4 - Warrant and other requirements as defined by
customer.
Level 5 - Warrant with product samples and complete supporting data reviewed at organization's manufacturing

location.
SUBMISSION RESULTS
dimensional
The results for
measurements

material
tests
These results meet all drawing and specification requirements:

and functional
Yes

NO

appearance
statistical
criteria
package
(If "NO" - Explanation Required)

process

Mold / Cavity / Production Process

DECLARATION
I hereby affirm that the samples represented by this warrant are representative of our parts which were made by a process that meets all Production Part
Approval Process Manual 4th Edition Requirements. I further affirm that these samples were produced at the production rate of

I also certify that documented evidence of such compliance is on file and available for review. I have noted any deviations from this declaration below.

EXPLANATION / COMMENTS:

Is each Customer Tool properly tagged and numbered?

Yes

No

n/a

Organization Authorized Signature

Date

Print Name

Phone No.

Title

FAX No.

E-mail
FOR CUSTOMER USE ONLY (IF APPLICABLE)

Part Warrant Disposition:

Approved

Rejected

Other

Customer Signature
Print Name
March 2006

Date
Customer Tracking Number (optional)

CFG-1001

hours.

Supplier Advanced Quality Planning Report

Deliverable

Explanations to FAQ

1 Supplier Program Contacts

List of suppliers names, titles, phone number(s) and email address(es)

2 APQP Kick-Off Meeting

Review of APQP report between supplier and responsible SQE

3 Feasibility Commitment

A commitment by the supplier that the design can be manufactured, assembled, tested,
packaged, and shipped in sufficient quantity at an acceptable cost, and on schedule

4 Drawing & Specification Review

Review of part drawing or material specification working towards an agreement between

parties.

5 Design FMEA

Typically not required. Meant for the original designer of a specific product

6 Design Review / Quality Objectives

Has supplier reviewed their process(s) to assure all the JCI quality requirements can be
achieved?

7 Floor Plan

Supplier provides a copy of the Process Flow Diagram for product going through PPAP
process. A copy of the floor plan where this product is being made is to be provided as
well..

8 Process FMEA

Supplier to provide a Process Failure Mode & Effects Analysis report. PFMEA must
identify required process control / Poke Yoke for special characteristics (CC/SCs).

Process Flow Chart & Manufacturing

9 Subcontractor APQP Assessment

Same APQP requirement cascaded down to subsupplier(s)

10 Design Verification Plan & Report

JCI DVP&R. This is a JCI input item

11 Tool Design and Approval

For mechanical components. Supplier submits Production tool design(s) to JCI

Engineering for approval

12 Prototype Tool Builds

For mechanical components. Status of Prototype tool build.

13 Production Tool Builds

For mechanical components. Status of Production tool build.

14 Gage Design & Approval

Supplier submits Production special gaging design(s) to JCI Engineering for approval

15 Gage Build, Certification, and R&R

Certification for gaging special to this program and Gage R&R for all gages used to
check CC and SC characteristics of this product.

16 Prototype Control Plan

Control Plan for Prototype stage of this product (if prototyping is required)

17 Prototype Builds

Status of providing prototype product (if prototyping is required)

18 Equipment Design and Approval

Supplier submits design of special equipment used to produce this material to JCI for
approval.

Packaging Specifications and Shipping

19 Plan
Supplier submits packaging method to JCI for approval.

20 Tool Qualification

Dimensional proof that tooling has made parts to JCI print design.

21 Material Certification / Material Testing Material physical and chemical test report from material or part supplier
22 Color & Appearance Masters

Master examples used for cosmetic reasons or other test reasons when either color or
appearance is required to determine composition. Safety concerns may also be a reason
for this requirement.

23 Preventative Maintenance Plan

JCI SQE to review supplier PM documentation for equipment used to make this product.

Pre-Launch Control Plan / Containment A written plan for someone other than production to sample review material prior to

24 Plan

shipment tom JCI.

25 Equipment and Fixture Build

Status for completion special fixturing and/or for installing special equipment

26 Production Control Plan

Status of Production Control Plan

27 Operator Instructions

Supplier submits operator instructions applying to this product

28 Production Trial Plan

Suppliers plan to achieve needed Run-At-Rate an JCI Quality requirements

29 Error & Mistake Proofing

Status of supplier review to Poke Yoke their process to produce this material

Preliminary (Short Term) Process

30 Capability Study

Process Capability studies up to and into completion of PPAP

31 Dimensional Studies

For mechanical components. Dimensional studies up to and into completion of PPAP

32 SPSO: Documentation Review

Review of Process Sign Off report with JCI SQE

33 SPSO: Supplier Process Sign-Off

Status of Process Sign Off from JCI SQE

34 Appearance Approval Report

Report for cosmetic reasons or other test reasons when either color or appearance is
required to determine composition. Safety concerns may also be a reason for this
requirement.

35 Product Validation Testing

Has suppliers product performed as expected during JCI Process Validation testing?
This is a JCI input item.

36 Part Submission Approval

PSW report to be supplied as part of PPAP

37 Master Samples

Master sample(s) of product to be retained at supplier.

PS-PTP-107-FR-E, Rev. 01

Johnson Controls - Saft

Page 16 of 17

38 Special Characteristics

PS-PTP-107-FR-E, Rev. 01

Special Characteristics (SC/CC) Review the customer special characteristics to ensure

DFMEA,PFMEA, Control Plan, Material Specfification, and/or Drawings meet specified
requirements.

Johnson Controls - Saft

Page 17 of 17