PPAP Process Training

(Production Part Approval Process)

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one of its subsidiaries. Any review, retransmission, dissemination or other use of, or taking of any action in reliance upon, this information by
persons or entities other than the intended recipient is prohibited unless authorized in writing. If you have received this document in error,
please contact the sender and delete the material from any system and destroy any copies.
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

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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

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 General Process Flow
PPAP Requisition PPAP Requisition:
• Screening to determine which PPAP requests merit resources allocation
PPAP Definition:
• Identifies a clear verification and validation requirements before ordering
PPAP Definition • Evaluate EHS risks and requirements
• Evaluate probability and consequence of failure risks

Supplier Supplier Acknowledgement:

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
Execution supplier to ensure that the part is made correctly.
• Validation actions conducted
Requirements Review:
Requirements • Verifies that the part works at Wabtec as intended in our product by subjecting it to any
Review required inspections or tests

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

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PPAP Process Steps
PPAP Process Steps
Phase
Supplier
Quality
Leader

Assign Team
(All CAT Levels)

Assign Validation Plan Approve Review Samples Approval

SQE

Link Supplier
Deliverables Review Deliverables (CAT 1, 2, or 3) (CAT 1, 2, or 3)
(CAT 1, 2, or 3)
(CAT 1, 2, or 3) (CAT 1 or 3) (CAT 1, 2, or 3)

SQL & PE Excluded

Engineer
Design

Validation from Team

Validation Plan
Review Approval for Law
(CAT 1 or 3)
(CAT 1 or 3) Risk PPAPs

Principal
Engineer
Principal

Engineer Review
(CAT 1)
Moderate & High
Risk ONLY
Buyer

Issue PO
(CAT 1 or 2)
Supplier

Supplier Execute Plan Ship Samples

Acknowledgement (CAT 1, 2, or 3) (CAT 1, 2, or 3)
(CAT 1, 2, or 3)

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CAT 0 (PPAP Not Required)
Process Steps
Process Step Deliverables Owner
Assign Team • Provide the request justification details Supplier Quality Leader
• Provide part information
• Provide Supplier information

Close PPAP Decision (Approved)

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CAT 1 PPAP (Engineering & Quality Approval)
Process Steps
Process Step Deliverables Owner
Assign Team • Assign PPAP Team Members Supplier Quality Leader
Assign Deliverables • Conduct General EHS Review Supplier Quality Engineer
• Conduct Risk Assessment
• Define Verification Requirements
Validation Plan • Review Risk Assessment Design Engineer
• Review Drawing, 3-D Model, Specifications
• Define Validation Requirements
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 Buyer

• Launch EHS Review (if applicable)
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 Supplier Quality Engineer
• 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

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CAT 2 PPAP (Quality Only)
Process Steps
Process Step Deliverables Owner
Assign Team • Assign PPAP Team Members Supplier Quality Leader
Assign Deliverables • Conduct General EHS Review Supplier Quality Engineer
• Conduct Risk Assessment
• Define Verification Requirements
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 Buyer
• Launch EHS Review (if applicable)
Execute Plan • Execute all Assigned Verification & Validation Requirements Suppler / 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 Supplier Quality Engineer
• Indicate Inspection Requirements (if applicable)
• Indicate Fit-up Results (if applicable)
Approval • Review PPAP Project Details and Provide PPAP Approval Decision Team
(SQL, SQE)
Close • PPAP Decision

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CAT 3 PPAP (Engineering Development)
Process Steps
Process Step Deliverables Owner
Assign Team • Assign PPAP Team Members Supplier Quality Leader
Assign Deliverables • Conduct General EHS Review Design Engineer
• Conduct Risk Assessment
• Define Verification Requirements
Validation Plan • Review Risk Assessment Design Engineer
• Review Drawing, 3-D Model, Specifications
• Define Validation Requirements
Validation Plan Review • Review Validation Plan Requirements Design 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 Buyer
• Launch EHS Review (if applicable)
Execute Plan • Execute all Assigned Verification & Validation Requirements Supplier / WABTEC
Approval Deliverables • Review and Provide Approval for Verification Requirements Design Engineer
Ship Samples • Provide Shipping Details Supplier
Review Samples • Indicate Receipt of Samples Design Engineer
• 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
(DE, PE)
Close • PPAP Decision

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Request Process Steps Explained
PPAP Request Process
Process Step Deliverables Owner

Initiate Request • Provide the request justification details Buyer, Commodity Leader,
• Provide part information Engineer, SQE, Supplier
• Provide Supplier information 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 Supplier Quality Leader
• Define PPAP Category Level based on request details provided

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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)

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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”

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 Responsibility:
Initiate Supplier PPAP Request Buyer
Commodity Leader

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

2. Click on the “Supplier PPAP Request –

Initiate” option

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Initiate Supplier PPAP Request Responsibility:
Buyer
(Continued) 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.

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Initiate Supplier PPAP Request Responsibility:
Buyer
(Continued) 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

IMPORTANT!
Indicate if supplier is on New Business
Hold.
Note: Refer to the link to NBH to see
Some fields will automatically be filled in
list.
once the supplier GSL has been selected

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Initiate Supplier PPAP Request Responsibility:
Buyer
(Continued) * Denotes a required field. All required fields Commodity Leader
Enter Part Number here 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.

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Initiate Supplier PPAP Request Responsibility:
Buyer
(Continued) 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

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Send forward for Sourcing Approval to Proceed

The Workflow Routing Bar is located at the top of every page of Phase Dialog –
every record. Use this bar to move between phases. Pops up when routed to next phase

• Red arrow = active phase

• Black print = available phase
• Gray print = unavailable phase (as you enter data and make
decisions new phases become available) Who is assigned to the
next phase?

NOT REQUIRED – Notify anyone

Failure to route to the next phase means who should be informed

your step is not complete since you did not

Include comments when routing
pass responsibility to the next person. backward

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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)

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Assignment Email Sent to Sourcing Leader
Wabtec Corporation
Wabtec Corporation

Click link to access PPAP Request

Directly from Email

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 Responsibility:
PPAP Request: Sourcing Approval 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

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Send forward to Review Board

The Workflow Routing Bar is located at the top of every page of Phase Dialog –
every record. Use this bar to move between phases. Pops up when routed to next phase

• Red arrow = active phase

• Black print = available phase
• Gray print = unavailable phase (as you enter data and make Assigned to all Review
Board members
decisions new phases become available)

Failure to route to the next phase means

your step is not complete since you did not Notify anyone who
should be informed
pass responsibility to the next person.
Include comments if desired

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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)

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Review Board Responsibility:
SQL/Review Board
Responsibility: SQL (with review board)

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

PPAP Not
PPAP Required Reject Request On-Hold
Required
• Select a • Typically used • Void request • Email the
category level for category • No action requestor
• Launch PPAP to parts that do required • Leave request
validate the not require open until a
change validation decision is
• Launch Cat 0 made
and push to
Final Approval

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Review Board Responsibility:
SQL/Review Board
Responsibility: SQL (with review board)

4. Make a decision during the Review Board meeting

➢ Select Category Level

➢ Save the request
➢ Launch PPAP

➢ Save the request

➢ Launch PPAP

➢ Save & Close

➢ Route to Void

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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
Critical part, NPI, or engineered system
▪ Cat 1: Engineering and Quality Approval Required
✓ Supplier Quality Leader (Moderate & High Risk Only)
✓ Primary/Secondary SQE
✓ Primary/Secondary DE Validated design, Low risk changes for
✓ Principal Engineer (Moderate & High Risk Only) an established part/supplier

▪ Cat 2: Quality Approval Only

✓ Supplier Quality Leader (Moderate & High Risk Only) Prototype Projects
✓ Primary/Secondary SQE

▪ Cat 3: Engineering Development

✓ Primary/Secondary DE

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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 CAT 1 CAT 2 CAT 3

• SQE Only • Primary & • Supplier Quality • Primary &

Secondary SQE Manager Secondary
• Primary & • Primary & Design Engineer
Secondary Secondary SQE • Principal
Design Engineer • Buyer Engineer
• Principal
Engineer
• Supplier Quality
Manager
• Buyer

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 Responsibility:
Assign Team 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

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 Responsibility:
Assign Deliverables 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

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

Click this link to launch the required

risk assessment

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

Ensure the location is set to “GET”

Then scroll down to complete the rest
of the questionnaire

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

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

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

Scroll up to route the

complete
questionnaire to the The “Save” and “Save and Close” buttons
next step using the should only be used to calculate a risk score;
routing bar or save the document to work on it later.

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

Define the PPAP Milestone Expected

Completion Dates

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

1. Select applicable verification

requirements & provide associated
information

2. Select the “Initiate Selected

Deliverables” action button to
create the required deliverables.

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

Below is a list of Verification

Requirements that may be selected
❑ 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

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

After a deliverable is initiated,

it will appear as a Blue link.

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

NOTE: The deliverable can not be

routed to “Send to Supplier” until Define Due Date, Responsibility
after the PPAP has been routed to & Add Requirement Comments
“Supplier Acknowledgement”. At this
time it is only necessary to click
“Save and Close”

Select Templates Attach applicable files

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

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

Route to next phase after

Deliverables have been Defined

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 Responsibility:
Validation Plan DE

Complete required fields

2. Select applicable validation

requirements

3. Select the “Initiate Selected

Engineering Documents” action
button to create validation
requirements.

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 Responsibility:
Validation Plan DE

Define Due Date, Responsibility &

Add Requirement Comments

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 Responsibility:
Validation Plan 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

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 Responsibility:
Principal Engineer Review PE (CAT 1&3)
Moderate & High Risk Only

Review:
1. Risk Assessment
2. Selected Deliverable
Requirements
3. Validation
Requirements

Provide PE Approval Decision

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 Responsibility:
Principal Engineer Review PE (CAT 1&3)
Moderate & High Risk Only

If Disapproved, If Approved,
Click Here Click Here

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 Responsibility:
Validation Plan Review SQE (CAT 1)

Review the Validation

Requirements

If no, Click Here If yes, Click Here

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 Responsibility:
Validation Plan Review SQE (CAT 1)

If No, If Yes,
Click Here Click Here

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 Responsibility:
Supplier Acknowledgement Supplier

Review:
1. Selected Deliverable
Requirements
2. Validation Requirements
(if applicable)

Provide Acknowledgement Decision

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 Responsibility:
Supplier Acknowledgement Supplier

If No, If Yes, Click

- Click Assign Deliverables to send to SQE Here
- Click Validation Plan to send to DE

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 Responsibility:
Link Supplier SQE (CAT 1&2)

Select Yes once

supplier is Linked in
Oracle, Click Here
Route to next step

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 Responsibility:
PPAP: Issue Sample PO Buyer

Once the supplier submits their acknowledgement

of Wabtec Corporation’s expectations, and the
SQE has linked the part to the supplier, an e-mail
Review all PPAP is sent to the buyer requesting issuance of a
Details sample PO.

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
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 Responsibility:
PPAP: Initiate EHS Review 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.
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 Responsibility:
EHS Review Supplier

Upload the proper EHS Document

Click here to route the EHS

Compliance to the next phase
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 Responsibility:
EHS Review (Conducted EHS Review) 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 If additional Review is NOT

required, route here required, route here

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 Responsibility:
EHS Review (Final Decision) EHS Team

If Rejected, fill in the required

comments section and route here

If Rejected, If Accepted,
route here route here

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 Responsibility:
EHS Review (Chemical Approval) EHS Team

Indicate Approval of Safety or

Technical Data Sheets

If Disapproved, If Approved,
Route here Route here

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 Responsibility:
PPAP: Issue Sample PO 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

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 Responsibility:
Execute Deliverables Supplier

1. Login through Supplier Chain Connect (SCC)

https://scc.wabtec.com/

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 Responsibility:
Execute Deliverables Supplier

Supplier clicks blue hyperlinks

to open PPAP requirements and
add their objective evidence

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 Responsibility:
Deliverables Supplier

Submit to Wabtec

After uploading the

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

Attach the completed deliverables

Deliverable templates may

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 Responsibility:
Execute Deliverables 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”

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 Responsibility:
Approve Deliverables 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

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

If the deliverable If approval is given,

is not acceptable, route to “Completed”
route to “Send to
Supplier” for
revision and
resubmission

Review the deliverable

Objective Evidence

Provide Approval
Decision
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 Responsibility:
Approve Deliverables SQE (CAT 1 & 2) /
DE (CAT 3)

If any deliverables are

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

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 Responsibility:
Ship Samples Supplier
Completely fill in all required fields:

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

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 Responsibility:
Review Samples SQE (CAT 1 & 2) /
DE (CAT 3)

1. Indicate if samples have been received and date received, if Yes

2. 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
required
4. Indicate if Sample fit-up is approved once complete, if required

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 Responsibility:
Fit-up Action SQE (CAT 1 & 2) /
DE (CAT 3)

After all required info is

provided the SQE sends
to MTA to schedule fit-up

1. SQE may indicate fit-up requirements in the “Comments” field

2. SQE assigns responsible MTA
3. SQE assigned responsible Quality Engineer
4. SQE assigned responsible Secondary SQE

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 Responsibility:
Fit-up Action SQE (CAT 1 & 2) /
DE (CAT 3)

After all required info is provided

the MTA sends to Quality
Engineer to conduct fit-up as
planned

MTA to schedules fit-up

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 Responsibility:
Fit-up Action SQE (CAT 1 & 2) /
DE (CAT 3)

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

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Fit-up Action

SQE may choose to send SQE sends to Completed

back to quality engineer to phase when final disposition
address identified issues. is provided

Supplier Quality Engineer

assesses fit-up details
and provides a fit-up
disposition decision

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 Responsibility:
Review Samples SQE (CAT 1 & 2) /
DE (CAT 3)

SQE sends to Validation

Review phase once all
inspections and fit-up
actions are completed

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 Responsibility:
Validation Review 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

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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)

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 Responsibility:
SQE (CAT 1 & 2)
Team Approval 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

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 Responsibility:
SQL, SQE, DE, PE
Team Approval

Disapproved requires a
reason to be entered

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

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 Responsibility:
SQL, SQE, DE, PE
Approved With Conditions
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 approval
2. 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

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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

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