PPAP/APQP Requirements Checklist

Form
Proprietary and Confidential PS-PTP-FR-116-E Rev 01

Revision Release Date Concise Description of Changes

1 2015-mm-dd Initial Release

Prepared Released
Name: Christine McQueen Name: Dawn Kinnamon
Title/Role: Supplier
Title/Role: Supplier Quality
Quality Engineer
Engineer Title/Role: PS Supplier
Title/Role: Quality
BOS Document Engineer
Coordinator

Approvals
Name: Jeff Jentsch Name: Eric C. Liu
Title/Role: Director of Business Transformation PTP Title/Role: Dir Global Supplier Quality & Sustainability

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

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

Title/Role: Regional Value Stream Lead

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

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

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 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.

4.0 RECORDS/LOGS
Document Reference Responsible
Document Name # Record Format Storage Location Department/Role
Supplier Part Approval PS-PTP-PR-58-E Electronic SQE Team Shared Supplier Quality Engineer
Drive
* 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 Document Reference #
Reference Standard AIAG PPAP Reference Manual N/A

6.0 DEFINITIONS See Definitions Tab

PS-PTP-FR-116-E Rev. 1 Released:

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 Commodity Name container

Material Type Component
Reason for Submission
Design Responsible

AIAG PPAP Section (These section numbers correspond with the AIAG reference booklets)

Section Deliverables
Component PPAP Requirements Bulk PPAP Requirements Issue Actions Responsible Due
No's (click on cell corner for definition of item)

Component Component Choose column whose cell on left is highlighted in Green

2.2.1 Design Record S S
2.2.2 Authorized Engineering Change Documents TBD TBD
2.2.3 Customer Engineering Approval TBD TBD
2.2.4 Design Failure Mode and Effects Analysis (DFMEA) S NR
2.2.5 Process Flow Diagram(s) S S
2.2.6 Process Failure Mode and Effects Analysis (PFMEA) S NR
2.2.7 Control Plan S S
2.2.8 Measurement System Analysis Studies (MSA) S S
2.2.9 Dimensional Studies S NR
2.2.10 Records of Material / Performance Test Results S S
2.2.11 Initial Process Studies S S
2.2.12 Qualified Laboratory Documentation S S
2.2.13 Appearance Approval Report (AAR) NR NR
2.2.14 Sample Production Parts S S
2.2.15 Master Sample R R
2.2.16 Checking Aids S S
2.2.17 Customer-Specific Requirements S S
2.2.18 Part Submission Warrant (PSW) S S

APQP Section (These section numbers do not correspond to any reference manuals. They are only for this document)
Section Deliverables % Complete
PPAP or APQP Requirement Deliverable due by Issue Actions Responsible Due
No's (click on cell corner for definition of item) (use "n/a" for not applicable)

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 prior to DV
APQP-4 Design Review / Quality Objectives APQP prior to DV
APQP-5 Feasibility Commitment APQP prior to DV
APQP-6 Supplier Program Contacts APQP prior to DV
APQP-7 PPAP / APQP Kick-Off Meeting APQP prior to DV
APQP-8 Color & Appearance Masters APQP prior to DV
APQP-9 Subcontractor APQP Assessment APQP prior to DV
APQP-10 Equipment Design and Approval APQP prior to DV
APQP-11 Equipment and Fixture Build APQP prior to DV
APQP-12 Preventative Maintenance Plan APQP prior to DV
APQP-13 Tool Design and Approval APQP prior to DV
APQP-14 Prototype Tool Builds APQP prior to DV
APQP-15 Prototype Builds APQP prior to DV
APQP-16 Error & Mistake Proofing APQP PRIOR TO PV
APQP-17 Gage Build, Certification, and R&R APQP PRIOR TO PV
APQP-18 Operator Instructions APQP PRIOR TO PV
APQP-19 Production Tool Builds APQP PRIOR TO PV
APQP-20 Pre-Launch Control Plan / Containment Plan APQP PRIOR TO PV
APQP-21 Production Trial Plan APQP PRIOR TO PV
APQP-22 Tool Qualification APQP PRIOR TO PV
APQP-23 Packaging Specifications and Shipping Plan APQP PRIOR TO PV
APQP-24 SPSO: Documentation Review APQP PRIOR TO PV
APQP-25 SPSO: Supplier Process Sign-Off APQP PRIOR TO PV

Created by: Bob Langenohl

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 (DFMEA) R R S
2.2.5 Process Flow Diagram(s) R R S
2.2.6 Process Failure Mode and Effects Analysis (PFMEA) 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 documentation items at appr
R The organization shall retain at appropriate locations and make available to the customer upon request
* The organization shall retain at appropriate locations and sumbit to the customer upon request

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
cumentation items at appropriate locations
customer upon request
r upon request
JCPS Requirements SUBMISSION LEVELs Component Material Types

Authorized Engineering Change Documents

Customer Engineering Approval

Design Record
PPAP Level 2.2.1 2.2.2 2.2.3
Bulk S NR NR
Level 1 R R NR
Level 2 S S NR
Level 3 S S NR
Level 4a S R NR
Level 4b Select S, R,Select
or NR S, R, or NR NR
Level 5 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, or Additio Level 4a

Commodity Name PPAP Material Classification

AGM Vent Seal Component
Bushings Component
Charge Eyes Component
Electronics-Lithium-Ion Component
Flame Arrestors Component
 Gaskets Component
Glasmat Component
Hot Stamp Foil Component
Labels Component
Lithium-Ion Cell Components Component
Mechanical-Lithium-Ion Component
Pasting Paper Component
Poly Components Component
Power Sport Batteries Component
Purchased Batteries Component
Scrim Component
Separator (AGM Optima) Component
Separator (AGM) Component
Separator (Li-Ion) Component
Separator (PE) Component
Shrink Bags Component

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

2.2.1Design Record
2.2.2Authorized Engineering Change Documents
2.2.3Customer Engineering Approval
2.2.4Design Failure Mode and Effects Analysis (DFMEA)
2.2.5Process Flow Diagram(s)
2.2.6Process Failure Mode and Effects Analysis (PFMEA)
2.2.7Control Plan SOP, Inspection Plan, Operator Work Instructions
2.2.8Measurement System Analysis Studies (MSA) Need to Discuss Variation ( Device, variation of devic
2.2.9Dimensional Studies
2.2.1Records of Material / Performance Test Results
2.2.1Initial Process Studies
2.2.1Qualified Laboratory Documentation
2.2.1Appearance Approval Report (AAR)
2.2.1Sample Production Parts
2.2.1Master Sample
2.2.1Checking Aids
2.2.1Customer-Specific Requirements COA Format, ISO Cert, Packaging, Special letter, Jpeg
2.2.1Part Submission Warrant (PSW)
s Component Material Types

Process Failure Mode and Effects Analysis (PFMEA)

Design Failure Mode and Effects Analysis (DFMEA)

Records of Material / Performance Test Results

Measurement System Analysis Studies (MSA)

Qualified Laboratory Documentation

Appearance Approval Report (AAR)

Process Flow Diagram(s)

Initial Process Studies

Dimensional Studies
Control Plan

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

S The organization shall submit to the customer and retain a copy of records or documentation items at appropriate lo
R The organization shall retain at appropriate locations and make available to the customer upon request
NR The organization is not required to complete the element
 , Operator Work Instructions
iation ( Device, variation of device)
rt, Packaging, Special letter, Jpeg Pic, Quality Records, COC
 Customer-Specific Requirements

Part Submission Warrant (PSW)

Sample Production Parts

Master Sample

Checking Aids

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

mentation items at appropriate locations

omer upon request
 Part Submission Warrant
Part Name Customer Part Number

Shown on Drawing No. Organization Part #

Engineering Change Level Dated

Additional Engineering Chang Dated

Safety and/or Government Regulation Yes No Purchase Order No. Weight (kg)

Checking Aid No. Checking Aid Engineering Change Level Dated

ORGANIZATION MANUFACTURING INFORMATION 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
Submitted by IMDS or other customer format:

Are polymeric parts identified with appropriate ISO marking codes?

Yes No n/a
REASON FOR SUBMISSION (Check at least one)

Initial Submission Change to Optional Construction or Material

Engineering Change(s) Supplier or Material Source Change
Tooling: Transfer, Replacement, Refurbishment, or additional Change in Part Processing
Correction of Discrepancy Parts Produced at Additional Location
Tooling Inactive > than 1 year Other - 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
material and functional appearance
The results for dimensional measurements statistical process package
tests criteria
These results meet all drawing and specification requirements: Yes NO (If "NO" - Explanation Required)
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 / hours.
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. FAX No.

Title E-mail

FOR CUSTOMER USE ONLY (IF APPLICABLE)

Part Warrant Disposition: Approved Rejected Other

Customer Signature Date

Print Name Customer Tracking Number (optional)

March 2006 CFG-1001

 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

A commitment by the supplier that the design can be manufactured, assembled, tested,
3 Feasibility Commitment
packaged, and shipped in sufficient quantity at an acceptable cost, and on schedule
Review of part drawing or material specification working towards an agreement
4 Drawing & Specification Review
between parties.

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

Has supplier reviewed their process(s) to assure all the JCI quality requirements can be
6 Design Review / Quality Objectives
achieved?
Supplier provides a copy of the Process Flow Diagram for product going through PPAP
Process Flow Chart & Manufacturing
7 Floor Plan process. A copy of the floor plan where this product is being made is to be provided as
well..
Supplier to provide a Process Failure Mode & Effects Analysis report. PFMEA must
8 Process FMEA
identify required process control / Poke Yoke for special characteristics (CC/SCs).

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

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

11 Tool Design and Approval
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

Certification for gaging special to this program and Gage R&R for all gages used to
15 Gage Build, Certification, and R&R
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)

Supplier submits design of special equipment used to produce this material to JCI for
18 Equipment Design and Approval
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

Master examples used for cosmetic reasons or other test reasons when either color or
22 Color & Appearance Masters appearance is required to determine composition. Safety concerns may also be a
reason for this requirement.
JCI SQE to review supplier PM documentation for equipment used to make this
23 Preventative Maintenance Plan
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
Report for cosmetic reasons or other test reasons when either color or appearance is
34 Appearance Approval Report required to determine composition. Safety concerns may also be a reason for this
requirement.
Has suppliers product performed as expected during JCI Process Validation testing?
35 Product Validation Testing
This is a JCI input item.

36 Part Submission Approval PSW report to be supplied as part of PPAP

PS-PTP-107-FR-E, Rev. 01 Johnson Controls - Saft Page 14 of 15

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

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

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

PS-PTP-107-FR-E, Rev. 01 Johnson Controls - Saft Page 15 of 15