PPAP CONTENTS

1. Appearance Approval Report.

The Appearance Approval Report demonstrates conformance to specifications for appearance items.

1. For parts requiring surface treatment (paint, plating, etc.) an Appearance Approval Report form shall be submitted.

2. A photograph of the part showing all markings (e.g. part number, E/C level, decals, logos, 1E0198 CAT part branding,
etc.) shall be provided.

2. Control Plan.

A Process Control Plan shall be developed for each process step. The Control Plan shall identify all actions and
reactions necessary to ensure that product and process variables are being controlled.

1.The Reaction Plan section shall provide detailed methods of handling nonconforming products. References to
work instructions by document number are preferred.

2.Confirm that all fields of the Control Plan are completed and that there is agreement between the information
entered in the Control Methods, Machine/Device/Jigs/Tools, Evaluation/Measurement Technique, Sample Size and
Frequency columns.

3.Ensure that inspection points that are identified in the Process Flow Diagram are referenced in the Control Plan.

4.Confirm that Special Characteristics from DFMEA and PFMEA are identified on the Control Plan.

5.Verify that Material / Performance Test requirements are identified and that these tests are conducted
periodically.

6.Each entry in the Control Plan must identify the relevant manufacturing equipment.

7.Ensure that either Statistical Process Control (SPC) charts, or 100% inspection, or poka-yoke methods are
identified as the control methods for special characteristics.

8.If a supplier references a procedure, Work Instructions, specification, etc. as a method of control, a copy shall be
made available upon request.

9.Reaction plan matches Scrap/Rework loop in the Process Flow Diagram.

3. Customer Engineering Approval

PPAP submissions which require approval from engineering personnel are flagged within the PPAP system. The
actual approval is accomplished using the software functionality of the PPAP system. The documentation that is
submitted in this section is only an acknowledgement of the software functionality.

1. A general document which contains a statement indicating that engineering approval is required shall be
submitted in this section of the PPAP.

4. Design FMEA
 If Caterpillar has design control for the product, the supplier is not required to submit a DFMEA.

1.If the supplier has design control for the product, the supplier will attach the Design FMEA of saleable part
number and components.

2.Ensure that all Special Characteristics that are identified in the DFMEA are also listed on the drawing.

5. Design Records of Saleable Product

The Design Record provides confirmation that all requirements have been communicated to the supplier and that
the supplier will manufacture the correct part.

1.A copy of the Caterpillar drawing submitted which shows the correct part number and Engineering Change level
must be submitted.

2.Ensure that the list of 1E specifications supporting the production of this part is accurate and complete (e.g. no
mismatch between the material of the part and the material referenced by the 1E specification; no missing paint
specifications for painted parts; 1E0198 must be referenced for CAT-branded parts).

3.If the drawing contains any symbols for special characteristics, confirm that 1E2966A is referenced in the list of
requirements in the title block of the drawing. If the drawing does not contain special characteristics, confirm that
1E2966B is referenced in the list of requirements.

6. Dimensional Results
The Dimensional Results confirm that the parts have the correct form and will assemble correctly with mating
parts.

1.Confirm that all of the dimensional results are within specification limits.

2.Ensure that the dimensions in the Dimensional Results document match the dimensions that are shown on the
Caterpillar print. Dimensional results should reference the identifiers from the ballooned Caterpillar drawing (bubble
print) or the print location of the dimension if the drawing is not ballooned.

3.Confirm that the correct number of parts have been inspected. Typically, dimensional results for five (5) parts
are required unless otherwise directed by the PCE. For higher volume parts, the number of units that were inspected
should correspond to the number of units specified in the Control Plan.

4.Special characteristics must be denoted on the dimensional report.

5.Ensure that the dimensional results are reported in the same measurement units as shown on the Caterpillar
drawing.

Parts inspected with a Coordinate Measuring Machine (CMM) may require the following additional requirements.

1.CMM report is required for all dimensional inspections

2.3D ‘.igs’ file is required in addition to CMM report if “VPC” is on purchase order

3.Serialize the CMM report and ‘.igs’ file to the corresponding part

4.Name the 3D .igs file according to the part number_change level_serial number (example: 1234567_00_01)
7. Initial Process Study
Process Capability studies compare the acceptable variation of the product (product tolerance) to the variation of
the manufacturing process which produces that product. Process Capability provides insight into the likelihood that the
process will produce products which meet specifications.

1.Capability studies shall be performed for all special characteristics.

2.Characteristics or manufacturing process parameters identified as Special Characteristics will require proven
process capability with a minimum of Cpk value of 1.33.

3.If process capability is not proven above Cpk 1.33 for Special Characteristics, 100% inspection is required for that
feature. The PPAP will be Interim Approved until the 100% inspection yields enough data to demonstrate that the
process is in control and meets the Cpk value of 1.33. Or else, the PPAP can be Approved if the 100% inspection
becomes a permanent part of the process and is documented in the Control Plan and PFMEA.

4.Confirm that production tooling, gages and fixturing were in place for the study. Verify by cross-referencing the
tool numbers that are identified in the Control Plan with the tool numbers that were used to obtain data for the
capability study.

Cpk data is only valid for processes that are in a state of control. The supplier shall include the statistical process
control (SPC) chart to confirm that the process is in control.

5.Verify that the data for the process capability study is normally distributed. If the data is not normally distributed,
the Cpk value is invalid and 100% inspection is required for that feature. The PPAP will be Interim Approved until the
100% inspection yields enough data to demonstrate that the process output is normally distributed. Or else, the PPAP
can be Approved if the 100% inspection becomes a permanent part of the process and is documented in the Control
Plan and PFMEA.

6.Confirm that the data was obtained from the current production process operating at the production rate stated
in the Part Submission Warrant.

Unilateral Tolerances

For requirements that have a unilateral tolerance, the data that is collected is often non-normal. It is only valid to
use the following criteria for features with unilateral tolerances:

1.Process performance studies shall be performed for all special characteristics.

2.Characteristics or manufacturing process parameters identified as Special Characteristics will require proven
process performance with a minimum of Ppk value of 1.33.

3.If process performance is not proven above Ppk 1.33 for Special Characteristics, 100% inspection is required for
that feature. The PPAP will be Interim Approved until the 100% inspection yields enough data to demonstrate that the
process is in control and meets the Ppk value of 1.33. Or else, the PPAP can be Approved if the 100% inspection
becomes a permanent part of the process and is documented in the Control Plan and PFMEA.

4.Confirm that production tooling, gages and fixturing were in place for the study. Verify by cross-referencing the
tool numbers that are identified in the Control Plan with the tool numbers that were used to obtain data for the
capability study.
 5.Ppk data is only valid for processes that are in a state of control. The supplier shall include the statistical process
control (SPC) chart to confirm that the process is in control. The I-MR chart for the Capability Six-pack in Minitab may be
used as long as the appropriate distribution is selected.

6.Verify the shape of the distribution which best fits the process data. This is achieved by comparing Goodness of
Fit tests for several different distributions and selecting the non-normal distribution that has the highest p value (p
value must be greater than 0.25) and also has an Anderson-Darling value less than 0.3. The selected distribution shall
be used to calculate the Ppk data. Johnson Transformation and Box-Cox Transformation shall not be used. Suppliers
shall submit a copy of the Goodness of Fit Test results.

7.Confirm that the data was obtained from the current production process operating at the production rate stated
in the Part Submission Warrant.

8. Material, Performance Test Results

Records of Material and/or Performance Test Results provide confirmation that all material and performance
specifications have been met.

Material Test Results

Examples of material for which test results are provided include steel, aluminum, plastics, etc.

1.Ensure that the requirements of the relevant 1E specifications for this material are met.

2.The submission must include:

a.correct part and engineering change level

b.specification numbers, date and change level

c.test date

d.quantity tested

e.the material supplier’s name and, when required by the customer, the customer-assigned vendor code

f.special requirements for approved steel, heat treatment, plating, etc.

g.other relevant information specifically required by the customer

3.Confirm that the number of units tested or quantity of material tested aligns with the quantity that is specified
in the Control Plan.

Performance Test Results

Examples of parameters for which performance test results are provided include torque, flow, pressure,
endurance, packaging, etc.

1.Test results must be provided to demonstrate conformance for any purchase order requirement and/or any
note, 1E specification, or requirement listed in the Design Record.

2.The submission must include:

a.correct part and engineering change level

b.specification numbers, date and change level

 c.test date

d.quantity tested

3.Verify that all Special characteristics from the drawing (and drawing notes) are identified in the test results.

9. Measurement System Analysis Studies

A Measurement System Analysis study is used to confirm that the quality of the measurement data from the
supplier’s process is acceptable. MSA is typically reported as a Gage Repeatability & Reproducibility (Gage R&R) study.
Linearity, bias, or stability studies can also be included.

1.MSA must be performed for all special characteristics.

2.All MSAs must refer to the correct part number and/or gage family

3.The target value for GR&R with respect to tolerance is < 10% for special characteristics

4.GR&R w.r.t. tolerance is < 30% for non-special characteristics.

5.For Gage R&R study, confirm that the Number of Distinct Categories (ndc) >1

6.For Gage R&R study, ndc > 4 for data that is used in the control charts for the Initial Process Studies section.

7.For manually created Gage R&R studies, ensure that K1, K2, and K3 scaling factors match the number of trials,
appraisers, and parts, respectively.

8. Bias, linearity, and/or stability studies shall be provided upon request.

10. Part Submission Warrant

The Part Submission Warrant provides confirmation by authorized personnel at the supplier’s facility that the
manufacturing process and resulting product meet all requirements. No parts shall be received by Caterpillar unless an
approved PSW is in place.

1.If submission is for Interim Approval, verify that the PSW is properly designated as requesting “Interim Approval”
with deficiencies noted, clearly defined action plan and timeline for resubmission.

2.Signature must be dated and must be accompanied by the signatory’s name and job title written in typeface in
order to provide traceability in the event that the signature is illegible.

3.Unit weight listed in kg.

4.Production rate information is completed.

11. Process Flow Diagrams

The Process Flow Diagram provides an overview of the manufacturing process and clearly identifies the supplier’s
quality control measures.

1.The Process Flow Diagram must identify all inspection steps and manufacturing steps beginning with receiving
operations and ending with packaging and shipping operations.
 2.Method of handling rework and scrap shall be clearly illustrated.

3.Confirm that process step numbers match those that are in the Control Plan and PFMEA.

4.Processes which impact Special Characteristics are identified with the appropriate special characteristic symbol.

12. Process FMEA

The PFMEA demonstrates the suppliers understanding of customer risk and their ability to mitigate that risk.

1.Confirm that Special Characteristics (Design, Process, Required) that are referenced in the Design Record are
identified by the appropriate symbol in the PFMEA.

2.Ensure that top Severity & Occurrence items are addressed with recommended actions. No recommended
actions for high Severity failure modes should have a completion date past the date of the production trial run.

3.Confirm that controls are in place for the process to meet the requirements that are listed on the Design Record
and detailed in the 1E Specifications.

4.Ensure that Inspection points that were identified in the Process Flow Diagram are accounted for in the PFMEA
and Control Plan. Ensure that there is agreement between the controls that are identified in the PFMEA and the Control
Plan.

5.For Engineering Change revisions, review rejection data for the part number and ensure that the failure modes
for the rejections are addressed in the PFMEA.

6.Ensure that RPN values are accurate. Compare against AIAG standards. For Engineering Change revisions,
compare Occurrence values with rejection data.

13. Qualified Laboratory Documentation

For tests that are not performed as part of the supplier’s normal manufacturing process, the supplier will provide
Qualified Laboratory Documentation of the test results.

1.Verify that the laboratory’s certification to perform the tests is current by reviewing a signed and dated
certificate from an accredited certifying body.

2.Confirm that the laboratory tests are identified in the PFMEA and Control Plan. Confirm that the quantity that
was tested matches the quantity that is referenced in the Control Plan.

3.Results shall be reported on the letterhead of the laboratory which performed the tests.

4.Confirm that the appropriate specification is referenced in the laboratory test results. Either the 1E specification
or an industry-standard specification should be referenced. If the industry-standard is referenced in the laboratory
results, confirm that it is the same standard that is referenced in the 1E specification.

5.Ensure that all testing results are less than one (1) year old.

14. Records of Compliance

Customer specific requirements can be communicated within the purchase order. Compliance with
customer-specific requirements shall be demonstrated by the customary PPAP documents which demonstrate
compliance (e.g. Material/Performance Test Results, Appearance Approval Report, etc.).
 1.A copy of the purchase order that triggered the PPAP shall be submitted in this section. The portion of the
purchase order that contains the customer-specific requirements shall be clearly indicated. If there are no
customer-specific requirements, a copy of the purchase order shall still be submitted as confirmation that no
customer-specific requirements were communicated to the supplier.

2.Packaging requirements can vary among receiving facilities. If applicable, relevant documentation pertaining to
customer-specific packaging requirements for the receiving facility (e.g. photos, dimensional drawings, packaging
instructions, etc.) shall be submitted.