Especificaciones Seguridad MSRP-J09

Association of American Railroads
SAFETY AND OPERATIONS
MANUAL OF STANDARDS
AND
RECOMMENDED PRACTICES
SECTION J
SPECIFICATION FOR QUALITY ASSURANCE

SPECIFICATION M-1003
ORIGINAL PUBLICATION 1985

Reissued August 2009
Compiled under the direction of the Committees responsible for the subjects shown herein.
Published by
The Association of American Railroads

425 Third Street, SW., Washington, D.C. 20024
© Copyright Association of American Railroads
Printed in U.S.A.
Copyright © 2009 by the Association of American Railroads (AAR)
Safety and Operations
425 Third Street, SW.
Washington, D.C. 20024
All rights reserved, including the right to reproduce this book in any form. It is the AAR’s intention that this publica-
tion be used to promote the objectives of the AAR and its members for the safe, efficient, and uniform interchange of
rail equipment in North America. To this end, only excerpts of a rule or specification may be reproduced by the pur-
chaser for their own use in promoting this objective. No portion of this publication may be displayed or otherwise
made available to multiple users through any electronic distribution media including but not limited to a local area net-
work or the Internet. No portion may be sold or used for advertisement or gain by any entity other than the AAR and
its authorized distributor(s) without written permission from the AAR.
AAR Manual of Standards and Recommended Practices
Specification for Quality Assurance
ORDERING INFORMATION
Copies of the various sections of this manual can be obtained as follows:
ORDERS FOR Publications Department

PUBLICATIONS Transportation Technology Center, Inc.
P.O. Box 11130
55500 DOT Road
Pueblo, CO 81001
Email: pubs@aar.com
Phone: Toll-free 877-999-8824, Direct 719-584-0538
Fax: 719-584-7157
TTCI Web page: http://www.ttci.aar.com
Online ordering: http://www.aarpublications.com/
CIRCULAR Subscriptions to Circular Letters of the AAR Safety and Operations’ Technical Services are available in
LETTER hardcopy or electronic format (online access via AAR’s Web page at www.aar.org). Circulars are issued
SUBSCRIPTIONS at least monthly and include industry letter ballots and results, arbitration decisions, notification of rules
and standards revisions, industry early warning and maintenance advisories, and other information related
to mechanical rules and standards. Annual subscriptions commence on July 1 and terminate on June 30
of each year.
For ordering information, contact the following:
Phone: Toll-free 877-999-8824, Direct 719-584-0538
Fax: 719-584-7157
Email: pubs@aar.com
AAR Web page: http://www.aar.org
TTCI Web page: http://www.ttci.aar.com
MSRP-A1 MSRP-A1 is an inclusive index of all MSRP specifications, standards, and recommended practices. It is
INDEX available online at http://www.aar.com/aar_standards-publications.htm This easy-to-access document is
a convenient way to quickly identify in which manual a specific document resides. The index is updated
weekly, enabling the user to see in "real-time" which documents have been updated via circular letter.
TECHNICAL For technical questions regarding this manual, contact the following:
QUESTIONS Quality Assurance Department
Transportation Technology Center, Inc.
P.O. Box 11130
55500 DOT Road
Pueblo, CO 81001
Email: qa@ttci.aar.com
Phone: 719-584-0715
Fax: 719-585-1895
08/2009 J–i
THIS PAGE LEFT BLANK INTENTIONALLY
J–ii 08/2009
TO THE USER
Section J—Specification for Quality Assurance, is Specification M-1003 and covers require-
ments for AAR approval of materials, products, and services. These can be new, reconditioned, or
secondhand. The AAR approval designation will be effective up to three years. The goal is cost ef-
fectiveness with primary attention to safety and interchangeability. Contractors are required to
submit copies of their quality assurance manuals, which are reviewed by the AAR staff or designat-
ed agent. Contractor facilities are then inspected by AAR auditors to ensure that specified controls
are in place.
There are seven chapters:
• Chapter 1. Administrative Provisions
• Chapter 2. Quality Assurance Program Requirements
• Chapter 3. Procedure for Certification Application and Maintenance
• Chapter 4. Procedures for the Certification and Recertification of Auditors
• Chapter 5. Quality Audit Standard
• Chapter 6. Quality Assurance Committee
• Chapter 7. Quality Assurance Nonconformance Reporting
USER’S GUIDE
Section J contains one specification. It consists of the following:
• Preface: A listing of the subjects covered in the individual sections making up this Man-
ual. This Preface is part of each section.
• Table of Contents: Identification of the seven chapters in numerical sequence.
• Specification M-1003: The body of this volume is a single specification setting forth
mandatory requirements for a contractor’s quality assurance program, applicable to new,
reconditioned, and secondhand materials and products.
RESPONSIBILITY
The coverage of Section J, Specification for Quality Assurance, is the responsibility of the
Safety and Operations Quality Assurance Committee.
08/2009 J–iii
PREFACE
The Manual of Standards and Recommended Practices of the Safety and Operations Depart-
ment, Association of American Railroads, is issued by authority of the Management Committee of
the Division and includes all regularly adopted specifications, standards, and recommended prac-
tices of the Association of American Railroads.
The manual is composed of the following sections:
• Section A—Table of Contents, Alphabetical and Numerical Index of Sections B through S
inclusive (this is available as a free download at http://www.aar.com/aar_standards-publications.htm)
• Section B—Couplers and Freight Car Draft Components (100 Series)
• Section C—Car Construction—Fundamentals and Details (200 and 2000 Series)
• Section C, Part II—Design, Fabrication, and Construction of Freight Cars, M-1001
• Section C, Part III—Specifications for Tank Cars, M-1002
• Section D—Trucks and Truck Details (300 and 3000 Series)
• Section E—Brakes and Brake Equipment (300, 400, and 4000 Series)
• Section E, Part II—Electronically Controlled Brake Systems
• Section F—Sensors
• Section G—Wheels and Axles (600 Series)
• Section G, Part II—Wheel and Axle (Shop) Manual (600 Series)
• Section H—Journal Bearings and Lubrication (700 Series)
• Section H, Part II—Roller Bearing (Shop) Manual (700 Series)
• Section H, Part III—Lubrication (Shop) Manual (700 Series)
• Section I—Intermodal Equipment Manual
• Section J—Specification for Quality Assurance, M-1003
• Section K—Railway Electronics (5700 Series)
• Section K, Part II—Railway Electronics (5800 Series)
• Section K, Part III—Railway Electronics (5900 Series)
• Section L—Lettering and Marking of Cars (900 Series)
• Section M—Locomotives and Locomotive Interchange Equipment
• Section N—Multi-Level Manual
• Section S—Casting Details
• Section S, Part II—Truck Details and Casting Codes
• Section S, Part III—Coupler and Yoke Details
Specifications are designated with an “M” prefix (e.g., M-900). Standards are prefixed “S” (e.g.,
S-900). Recommended Practices carry the prefix “RP”( e.g., RP-900).
J–iv 08/2009
08/2009
TABLE OF CONTENTS
Chapter 1. Administrative Provisions
1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–1
1.2 Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–1
1.3 Applicability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–1
1.4 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–2
1.5 Objective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–4
1.6 Certification Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–4
1.7 Quality Assurance Program Requirements and Reciprocity . . . . . . . . . . . . . . . . . . J–5
1.8 Application Procedure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–5
1.9 Auditors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–5
1.10 Approval of Auditors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–6
1.11 Audit Procedure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–6
1.12 Withdrawal of Certification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–6
1.13 Right of Appeal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–6
Fig. 1.1 Receiving and maintaining certification under the AAR Quality Assurance
Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–7
Fig. 1.1 Receiving and maintaining certification under the AAR Quality Assurance
Program (completed) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–8
Chapter 2. Quality Assurance Program Requirements

2.1 Objective of Quality Assurance Program. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–9
2.2 Applicability and Scope. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–9
2.3 Quality Assurance Program and Manual Requirements . . . . . . . . . . . . . . . . . . . . . J–9
2.4 Management Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–10
2.5 Production, Inspection, and Test Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–11
2.6 Left Blank Intentionally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–11
2.7 Document Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–11
2.8 Measuring and Testing Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–12
2.9 Purchasing/Contracting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–13
2.10 Incoming Inspection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–14
2.11 In-Process Inspection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–14
2.12 Final Inspection. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–14
2.13 Inspection Status. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–14
2.14 Identification and Traceability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–15
2.15 Process Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–15
2.16 Preservation, Packaging, and Shipping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–16
2.17 Quality Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–16
2.18 Nonconformance Control and Quality Program Improvement. . . . . . . . . . . . . . . . . J–17
2.19 Quality Program Review and Manual Revision . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–18
2.20 Process Capability/Statistical Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–18
2.21 Internal Quality Audits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–18
08/2009 J–v
08/2009
2.22 Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–19

2.23 Contract Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–19
2.24 Design Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–20
Chapter 3. Procedure for Certification Application and Maintenance

3.1 Application. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–23
3.2 Application Status Report. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–23
3.3 Advisory Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–23
3.4 Review of the Quality Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–23
3.5 In-Plant Audit for Initial Certification and Recertification . . . . . . . . . . . . . . . . . . . J–24
3.6 Certification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–24
3.7 Rejection of Certification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–24
3.8 Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–24
3.9 Confidentiality of Quality Assurance Information . . . . . . . . . . . . . . . . . . . . . . . . . . J–25
Fig. 3.1 Application for certification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–26
Fig. 3.2 Application instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–27
Fig. 3.3 Block diagram for M-1003 certification maintenance cycle . . . . . . . . . . . . . . . . . . . J–28
Chapter 4. Procedures for the Certification and Recertification of Auditors

4.1 Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–29
4.2 Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–29
4.3 Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–29
4.4 Qualification Point Requirement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–30
4.5 Certification Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–31
4.6 Recertification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–31
4.7 Termination of Certification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–31
4.8 Right of Appeal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–32
Fig. 4.1 AAR Auditor Certification Application Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–33
Fig. 4.2 Instructions for completing Auditor Certification Application Form . . . . . . . . . . . . J–34
Fig. 4.3 Audit log. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–35
Chapter 5. Quality Audit Standard

5.1 Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–37
5.2 Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–37
5.3 Requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–37
5.4 Product Audit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–39
5.5 Confidentiality. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–39
J–vi 08/2009
08/2009
Chapter 6. Quality Assurance Committee

6.1 Quality Assurance Program Objective. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–41
6.2 Quality Assurance Committee Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–41
6.3 Membership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–41
Chapter 7. Quality Assurance Nonconformance Reporting

7.1 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–43
7.2 Objective of Nonconformance Reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–43
7.3 Reporting Form for Nonconformance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–43
7.4 Distribution of Reporting Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–44
7.5 Review of Reporting Forms. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–44
7.6 Reporting Form for Nonconformance Response . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–44
7.7 Verification of Responses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–45
Fig. 7.1 Quality Assurance Nonconformance Report (NCR) . . . . . . . . . . . . . . . . . . . . . . . . . J–47
Fig. 7.2 Quality Assurance Nonconformance Response Report . . . . . . . . . . . . . . . . . . . . . . . J–48
Fig. 7.3 Quality Assurance Nonconformance Response Evaluation Form . . . . . . . . . . . . . . J–49
Fig. 7.4 Process map for nonconformance reporting. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–50
Appendix A Reference Guide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–51

Appendix B MSRP Compliance Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–57
08/2009 J–vii
08/2009
J–viii 08/2009
08/2009
M-1003 CHAPTER 1
Chapter 1
CHAPTER 1. ADMINISTRATIVE PROVISIONS

1.1 Introduction
The railroad industry is characterized by advancing technology and correspondingly increasing
concerns about safety, interchangeability, and cost. In this environment, it is essential that the
products and services be designed and processed so as to conform to the requirements of the AAR
and that the processing be effected as economically as practicable.
In recent years, new concepts and disciplines have emerged to facilitate the achievement of these
objectives. These concepts and techniques are collectively identified as quality assurance.
Modern quality assurance is based on the premise of the following two relatively simple concepts:
1.1.1 The quality of processed products depends on the contractor's control over the design, pro-
cess, test, and inspection. Unless a product is properly designed and processed, it will not meet the
requirements of the user. Accordingly, contractors must be prepared to institute such control of
quality as is necessary to ensure that their products conform to AAR standards.
1.1.2 Contractors should be prepared not only to deliver products on schedule, but also to sub-
stantiate by objective evidence that they have maintained control over the design, development,
and processing operations, and have performed test inspections that demonstrate the acceptability
of the products.
To receive AAR quality assurance certification, a contractor is required to submit a copy of the con-
tractor's quality assurance manual, in English. The manual is reviewed for adequacy and the facil-
ity is audited by authorized AAR representatives. Upon approval of the quality assurance manual
and after a demonstration to the auditors at the time of the audit that controls specified in the
contractor's manual are effectively in place, certification is granted. This certification will be in
effect for a period of up to three years. M-1003 is a continuing requirement; failure to meet
requirements may result in withdrawal of the certification.
1.1.3 An AAR official representative shall have free entry at all times to all parts of the contrac-
tor's works that concern the processing, test, and inspection of materials for use in interchange
service. This access is for the purpose of providing assurance that industry standards are being
maintained. The contractor shall afford the AAR representative all reasonable facilities to ensure
that materials are being furnished in accordance with the specification.
1.2 Scope
This specification establishes requirements for a contractor's quality assurance program. It identi-
fies the elements of a system to be established and maintained by the contractor for the purpose of
ensuring that materials, products, and services conform to specified requirements. This specifica-
tion applies to new, reconditioned, repaired, requalified, and secondhand materials and products.
It also describes the procedures that will be used by the AAR to audit and approve the contractor’s
quality assurance program.
1.3 Applicability
The provisions of this specification are mandatory when referenced in the Field Manual of the
AAR Interchange Rules or AAR Circular Letter or in the AAR standard describing the require-
ments of the product or service being supplied (see Appendix A for current listing).
08/2009 J [M-1003] 1
08/2009
CHAPTER 1 M-1003
1.4 Definitions
1.4.1 Audit A documented evaluation process aimed at verifying by
examination that the applicable elements of the quality program
have been established, documented, and effectively implemented
in accordance with specified requirements.
1.4.2 Audit Activity Those activities by which information is obtained to verify
conformance to the applicable standards (e.g., interviews,
observations, examination of evidence, tests).
1.4.3 Audit Finding The determination (or observation) and recording of adequacy or
inadequacy of conformance of a product, process, or procedure
characteristic to the specified standard.
1.4.4 Audit Team The group of individuals conducting an audit under the direction
of a team leader.
1.4.5 Auditee The organization being audited.
1.4.6 Auditor A person qualified to plan and conduct audits in accordance with
this specification.
1.4.7 Calibration Comparison of an instrument or device to a measurement
standard or instrument of known accuracy to detect, correlate,
report, or eliminate by adjustment unacceptable variation in the
accuracy of the item being calibrated; or confirmation that the
instrument or device conforms to a specified standard.
1.4.8 Certification The formal act by the AAR of confirming that a contractor has
met the requirements of the AAR Quality Assurance Program.
1.4.9 Characteristic Any distinct property or attribute of an item, process, or service
that can be described and measured to determine conformance
or nonconformance to specified requirements.
1.4.10 Compliance The state of meeting specified requirements, whether in a
specification, regulation, contract, or standard.
1.4.11 Compliance Audit A quality program audit conducted by an accredited auditor
during the three-year term of the certification to verify
continuing compliance with requirements.
1.4.12 Confirmation Representations (verbal or written) that are in accordance with
data or findings obtained from different sources.
1.4.13 Conformance The state of meeting specified requirements whether in a
specification, regulation, contract, or standard.
1.4.14 Contractor A manufacturer, supplier, or reconditioner of a material,
product, or service who requests certification in the AAR Quality
Assurance Program.
1.4.15 Customer- Portions of a product provided by the customer to be incorporat-
Supplied Parts ed into the final product.
1.4.16 Documented Recorded in writing, signed, dated, and retained (examples
include plans, corrective action reports, minutes of meetings,
correspondence, etc.).
1.4.17 Facility A fixed geographical location built or established to perform man-
ufacturing, reconditioning, repair, or servicing of products within
the scope of AAR M-1003 program requirements.
J [M-1003] 2 08/2009
08/2009
M-1003 CHAPTER 1
1.4.18 Independence Freedom from bias and external influence (for example, an
auditor would not be considered independent if performing an
audit of a former employer).
1.4.19 Noncompliance The deficiency of an activity, document, or characteristic that is
required for an applicable standard.
1.4.20 Nonconformance The deficiency of an activity, document, or characteristic that is
required for an applicable standard.
1.4.21 Nonconformance A uniform system as defined in Chapter 7 for the periodic
Reporting reporting of material furnished by contractors approved under
this specification and rejected due to nonconformance with
applicable AAR product specifications.
1.4.22 Physical Audit Those activities by which information is obtained to verify the
Activities auditee's compliance with the applicable standards (e.g.,
interviews, observations, examination of evidence,
measurements, tests).
1.4.23 Positive Recall The system whereby an item is released for further processing
pending completion of quality verification(s). The system
ensures that the item released can be removed or repaired if
found nonconforming at a later stage of processing.
1.4.24 Procedure A document that states the purpose and scope of an activity and
specifies how it shall be performed.
1.4.25 Product Audit The quantitative evaluation of product conformity to required
characteristics/specifications.
1.4.26 QA Program The AAR’s designated Quality Assurance Program coordinator.
Coordinator Communication can be addressed to QA Program Coordinator,
Transportation Technology Center, Inc., P.O. Box 11130, 55500
DOT Road, Pueblo, CO 81001.
1.4.27 Quality Assurance A standing committee of the Association of American Railroads’
Committee Safety and Operations—Technical Services section.
1.4.28 Quality Assurance An Association of American Railroads program for the
Program examination of contractors' quality programs and the
(The Program) effectiveness of their implementation followed by certification.
Its objective is to provide confidence that a contractor meets the
requirements of the applicable quality program standard.
1.4.29 Quality Audit A systematic examination of acts and decisions with respect to
quality in order to independently verify or evaluate compliance
with the operational requirements of the quality program or the
specification requirements of the product or service.
1.4.30 Quality Program The plans and activities that have actually been implemented by
a contractor to achieve the purpose of the Quality Assurance
Program.
1.4.31 Quality Program The documented activity performed to verify, by examination
Audit and evaluation of objective evidence, that applicable elements of
the quality program have been developed, documented, and
effectively implemented in accordance with specified
requirements.
1.4.32 Servicing Regular maintenance or preventative maintenance of a product
while it is in use.
08/2009 J [M-1003] 3
08/2009
CHAPTER 1 M-1003
1.4.33 Special Processes Processes in which the characteristics of the resulting output
cannot be fully or practically verified, thus necessitating a pro-
cess controlled by qualified personnel, approved procedures and
controlled equipment.
1.4.34 Subcontractor The concern to whom a contract has been awarded by the
contractor to perform services or provide products as related to
the product or service for which the application is being made.
1.4.35 Technical Individuals utilized on an audit team to provide the special
Specialists understanding of technical matters needed for the auditors to
evaluate the implementation of controls over technical activities.
1.4.36 Verification Confirmation that an activity, condition, or control conforms to
requirements specified in documents such as contracts, codes,
standards, drawings, specifications, system function
descriptions, and procedures and technical procedures.
1.4.37 Working Papers All documents required by the auditor or audit team to plan and
implement the audit. They include audit schedules, auditor
assignments, plans and reporting forms used by the auditor,
meeting agenda and minutes, etc.
1.5 Objective
The Association of American Railroads' Quality Assurance Program is an approach for the exami-
nation of contractors' quality management programs and the effectiveness of their implementa-
tion. The examination is followed by certification. Compliance audits and/or product audits are
conducted to maintain the certification. Its objective is to provide confidence that a contractor
meets the AAR Quality Assurance Program requirements.
1.6 Certification Procedure
The steps necessary to receive certification under the AAR Quality Assurance Program are shown
in Fig. 1.1. The process includes the following:
1.6.1 Review of contractor's application.
1.6.2 Request for contractor's quality assurance manual.
1.6.3 Review of contractor's manual.
1.6.4 Preparation for an audit.
1.6.5 Conducting an audit.
1.6.6 Granting of certification, if contractor conforms to requirements.
J [M-1003] 4 08/2009
08/2009
M-1003 CHAPTER 1
1.7 Quality Assurance Program Requirements and Reciprocity

The AAR Quality Assurance Program requirements are specified in Chapter 2, Chapter 7, and
Appendix B. The contractor's quality assurance manual and in-plant procedures must reflect these
requirements to be eligible for certification.
1.7.1 Any contractor requesting or having been granted M-1003 certification on a reciprocal basis
vis-à-vis an alternative quality standard shall provide a copy of the alternative quality standard
and a completed Quality Assurance System Evaluation (QASE) Checklist showing where in the
alternative quality standard each requirement of Specification M-1003 is addressed. The
alternative standard must be the equivalent of M-1003 to be considered. At a minimum, the
contents of Chapter 2, Chapter 4, Chapter 7, Appendix B, and annual audits must be required in
the alternative standard.
1.7.2 Provided the alternative standard is the equivalent of M-1003, the Quality Assurance
Committee may allow the alternative standard audit to take the place of an M-1003 audit, with
proper documentation ensuring continued compliance, provided annually. Upon approval by the
Quality Assurance Committee, the contractor shall continue to demonstrate compliance with all
governing technical specifications in addition to all provisions of this specification and applicable
provisions of the AAR Field Manual of Interchange Rules.
1.7.3 In the event such contractor is cited for serious noncompliances as a result of audit or
inspection and/or substantive incidents of Nonconformance Reports and/or inadequacy of informa-
tion submitted to the QA Committee, it will become subject to further audit/inspection at the dis-
cretion of the QA Committee. Failure of the contractor to provide the annual reports/assessments
and fees noted above will result in the reciprocal certification arrangement being placed in jeop-
ardy, with the contractor being so notified. The contractor will be afforded an additional 90 days in
which to provide the required information. Failure to do so will result in termination of the recipro-
cal certification arrangement. Reinstatement of certification will require an M-1003 Program
audit conducted by AAR accredited auditors, with related costs borne by the contractor.
1.7.4 Where M-1003 certification is granted via reciprocity with an alternative quality standard,
the certification period shall not extend beyond the certification period of the respective alterna-
tive quality standard registration.
1.8 Application Procedure
1.8.1 The procedures for filing an application and the fees for certification are described in Chap-
ter 3. A block diagram is shown in Fig. 1.1.
1.8.2 Separate applications are required for each separate facility manufacturing and/or recondi-
tioning covered components, regardless of common ownership or control of those facilities. Applica-
tions must be accompanied by an organization chart depicting the quality assurance function,
company quality policy statement, brief description of the quality assurance program, a statement
describing the scope of the products/services provided, and a statement regarding any pending
technical approvals.
1.9 Auditors
The AAR will employ auditors to confirm that the contractor's operations conform to procedures
described in the contractor's manual. Fully accredited AAR auditors will be used in this capacity.
The procedures for the accreditation of AAR auditors and M-1003 Qualified Auditors are described
in Chapter 4. The AAR reserves the right to assign technical specialists and auditors-in-training
as part of the audit team.
08/2009 J [M-1003] 5
08/2009
CHAPTER 1 M-1003
1.10 Approval of Auditors

The QA Program Coordinator, or agent, will confirm the audit team membership with each con-
tractor prior to carrying out the audit, except as specified in paragraph 3.6.2. Audits of all contrac-
tors under this program must be assigned and authorized by the AAR. The contractor will have
the opportunity to question for cause the inclusion of any auditor. For the purposes of this para-
graph, “cause” is defined as any likelihood of bias or conflict of interest.
1.11 Audit Procedure
Audits by the AAR will be conducted in a systematic and uniform manner. The procedures that
will be followed are in accordance with the Canadian Standards Association Quality Audit Stan-
dard, CSA-Q395-81, reprinted in modified form in Chapter 5.
1.12 Withdrawal of Certification
The Quality Assurance Committee may act in conjunction with the AAR technical committee
responsible for approvals in applicable product specifications/standards, or the Quality Assurance
Committee may act under terms in this specification to withhold certification/recertification or to
withdraw certification. When formal notification is made to the contractor by the AAR that certifi-
cation is to be withheld or withdrawn, the rights of appeal described in paragraph 1.13 will apply.
1.13 Right of Appeal
If certification is withheld or withdrawn, the contractor may request the Quality Assurance Com-
mittee to reconsider the decision on the basis of the audit report and any other relevant material
or argument presented by the contractor. If, upon consideration, the Quality Assurance Committee
reaffirms the decision, the contractor may obtain review of the decision by an impartial arbitration
panel. The decisions of the arbitration panel will be final and binding. The arbitration panel will
be composed of three members, each a representative from the American National Standards
Institute (ANSI), Quality Management Institute (QMI), American Society of Mechanical Engi-
neers (ASME), or the American Society for Quality Control (ASQC). One member of the panel
shall be selected by the applicant, one member shall be selected by the Quality Assurance Commit-
tee and the remaining member shall be selected by these panel members. The cost of the arbitra-
tion procedure shall be borne by the losing party.
J [M-1003] 6 08/2009
08/2009
M-1003 CHAPTER 1
AAR receives completed application form and

Application determines if request is within the scope of AAR
Block 1 Specification M-1003 Program
(see paragraph 3.1)
If not within scope, AAR informs
contractor stating reasons for decision
AAR assigns file number and auditing agency and
Block 2
then sends acknowledgement to contractor
Status Report AAR maintains application status report

Block 3 (see paragraphs 3.2 to 3.2.2)
Request quality assurance manual from contractor.

Block 4 Manual evaluation checklist sent to applicant
(see paragraph 3.4.1)
AAR or agent receives and reviews contractor’s

Manual Review manual. Acquires additional information if necessary.
Block 5 Results of contractor’s manual review retained on file
(see paragraphs 3.4.2 and 3.4.3) If not acceptable, contractor to revise
manual until it is acceptable to AAR or
Audit AAR or agent obtains statement from contractor that agent (see paragraphs 3.4.4 and 3.4.5)
Preparation system is ready for audit. Include proposed dates
Block 6 (see paragraphs 3.5.1 and 3.8.1)
AAR or agent determines team members, schedules

Block 7 audit, prepares plan and checklist
AAR or agent advises contractor of team members,

Block 8
dates, and request for payment If not acceptable with contractor, discuss
with contractor and adjust as necessary
Block 9 Hold pre-audit team meeting (see paragraph 5.3.1.2)
Conduct pre-audit team/contractor meeting

Block 10
(see paragraph 5.3.5.2)
Conduct audit, develop audit observations by audit

Block 11 team
To Block 12
Fig. 1.1 Receiving and maintaining certification under the AAR Quality Assurance Program
08/2009 J [M-1003] 7
08/2009
CHAPTER 1 M-1003
From Block 11
Hold post-audit team meeting concerning

Block 12
observation and nonconformance items
Conduct post-audit team/contractor meeting

Block 13
Audit report sent to contractor identifying required

Block 14 actions
(see paragraphs 5.3.6.1.1 through 5.3.6.2)
Contractor response and correction of

Block 15 nonconformance items received by the aar or agent
(see paragraph 5.3.7 )
If necessary, audit the implementation of
corrected nonconformance
AAR or agent acceptance of corrected
Block 16 nonconformance items
Audit complete
Block 17
(see paragraphs 5.3.9 and 5.5)
Quality assurance committee review of audit report

Registration and corrected nonconformance items and approval
Block 18 by the Quality Assurance Committee
(see paragraph 3.6.1) In event approval is withheld, contractor
is advised of right to appeal (see
AAR forwards certification to the contractor after any paragraph 1.13)
Block 19 required technical approvals are in place (see
Appendix A)
Block 20 Reconciliation of fees
Block 21 Compliance audits
Recertification procedure
Block 22
(see paragraph 3.6)
Fig. 1.1 Receiving and maintaining certification under the AAR Quality Assurance Program (completed)
J [M-1003] 8 08/2009
08/2009
M-1003 CHAPTER 2
Chapter 2
CHAPTER 2. QUALITY ASSURANCE PROGRAM REQUIREMENTS

2.1 Objective of Quality Assurance Program
2.1.1 This specification establishes the requirements for a contractor's quality assurance pro-
gram. It identifies each of the elements of the program to be established and maintained by the
contractor for the purpose of ensuring that materials, products, and services conform to contract
requirements.
2.1.2 The principal objectives of a quality program shall be as follows:
2.1.2.1 The fulfillment of specified requirements.
2.1.2.2 The prevention, early detection, and disposition of nonconforming items.
2.1.2.3 The continuous improvement of items and the processes producing them.
2.1.3 The requirements affecting quality in activities covered by this specification shall be
documented in order to verify that materials, products, and services meet contract, statutory, and
regulatory requirements.
2.2 Applicability and Scope
2.2.1 The contractor's quality assurance program shall apply throughout all areas of contract
performance including, as appropriate, the procurement, identification, stocking, inspection, and
issuing of material; the entire process of manufacture including design control, fabrication, pro-
cessing, inspection, and assembly; the packaging, storing, and shipping of material; and the main-
tenance of equipment that affects quality.
2.2.2 The program shall require that measures be implemented to plan work and prevent defects.
In addition, the program shall identify nonconformances and initiate corrective action to eliminate
their causes and potential for reoccurrence as early in the process as possible.
2.3 Quality Assurance Program and Manual Requirements
2.3.1 The contractor shall establish, implement, and maintain a quality assurance program
according to the requirements of this specification.
2.3.2 The contractor shall prepare a quality assurance manual covering the requirements of this
specification. The quality manual shall do the following:
2.3.2.1 Include or make reference to the quality program’s procedures.
2.3.2.2 Outline the structure of the documentation used in the quality program to plan and per-
form work so that nonconformities are prevented and those that do occur are detected and
resolved.
2.3.2.3 Provide the means for effectively implementing and continuously improving the quality
program.
2.3.3 A senior management official shall approve this manual and the approval shall be docu-
mented.
2.3.4 The quality assurance manual shall contain, but need not be limited to, the following:
2.3.4.1 A description of the organization.
2.3.4.2 An inspection and test plan.
2.3.4.3 A statement for reviewing and updating the manual.
08/2009 J [M-1003] 9
08/2009
CHAPTER 2 M-1003
2.3.4.4 System functions are detailed in paragraphs 2.7 through 2.24. The contractor shall docu-
ment each function description, including purpose, scope, and an outline of what shall be done.
2.3.5 The contractor shall maintain a current subscription to AAR Circular Letters or demon-
strate a system that provides access to current AAR Circular Letter information as it pertains to
the contractor’s operations.
2.4 Management Responsibility
2.4.1 Policy and Objectives
The contractor shall do the following:
2.4.1.1 Define and document the organization's policy for quality, including objectives for quality
and its commitment to quality.
2.4.1.2 Ensure that this policy is understood, implemented, and maintained at all levels of the
organization.
2.4.1.3 Ensure that quality assurance requirements are not subordinated to manufacturing or
construction.
2.4.1.4 Define the responsibility, authority, and interrelationship of personnel who manage, per-
form, and verify work affecting quality. The relationship will be shown on organization charts or
clearly described in writing.
2.4.2 Responsibility and Authority
The contractor shall appoint a management representative who, irrespective of other responsibili-
ties, shall have the responsibility, organizational freedom, and authority to do the following:
2.4.2.1 Ensure that a quality program is established, implemented, and maintained in accor-
dance with this specification.
2.4.2.2 Periodically review the performance of the quality program with senior management as a
basis for improvement of the program.
2.4.2.3 Initiate action to prevent the occurrence of any nonconformity relating to product, pro-
cess, and quality program.
2.4.2.4 Identify and record any problems relating to the product, process, and quality program.
2.4.2.5 Initiate or recommend solutions to problems through designated channels.
2.4.2.6 Verify the implementation of solutions.
2.4.2.7 Control further processing, delivery, or installation of nonconforming product until the
deficiency or unsatisfactory condition has been corrected.
2.4.3 Resources
The organization shall ensure that adequate resources are identified and provided, including the
assignment of trained personnel for the following:
2.4.3.1 Management
2.4.3.2 Performance of work
2.4.3.3 Verification activities, including internal quality audits
2.4.3.4 Training
2.4.4 Management Review
The contractor’s management holding executive responsibility shall do the following:
J [M-1003] 10 08/2009
08/2009
M-1003 CHAPTER 2
2.4.4.1 Define and document its policy for quality, including objectives for quality and its commit-
ment to quality.
2.4.4.2 Review the quality program at least annually to ensure its continuing suitability and
effectiveness in satisfying the requirements of this specification and the contractor's quality policy
and objectives, including but not limited to a review of quality performance data including noncon-
formance reports, material nonconformance reports (reference Chapter 7), corrective and preven-
tive actions, and customer complaints. This review shall include assessing changes needed for
quality program improvement.
2.4.4.3 Maintain records of such reviews.
2.5 Production, Inspection, and Test Planning
2.5.1 The contractor shall do the following:
2.5.1.1 Plan the production activities.
2.5.1.2 Plan the inspection and test activities.
2.5.1.3 Develop an inspection and test plan in accordance with paragraph 2.5.2.
2.5.1.4 Update the plan to reflect inspection and test revision.
2.5.2 The inspection and test plan may be of any format to suit the contractor’s program. This
includes flow charts, as long as all criteria from incoming inspection through packaging and ship-
ping are addressed. It shall, however, do at least the following:
2.5.2.1 Indicate each inspection and test point and its relative location in the processing cycle,
including incoming inspection, preservation of items, packaging, and site inspection and testing.
The contractor may include additional in-process inspection points for its own evaluation of qual-
ity.
2.5.2.2 Identify the characteristics to be inspected, examined, and tested at each point and spec-
ify acceptance criteria to be used.
2.5.2.3 Identify inspection and test points where measurement and test records are maintained
so that assessments required by paragraph 2.8.7 can be met.
2.5.2.4 Indicate mandatory hold points that require witnessing or verification of selected charac-
teristics of an item or process and that beyond which the work shall not proceed.
2.5.2.5 Define or refer to sampling plans and statistical process control, including the criteria for
selection, if proposed, and indicate where they will be used.
2.5.2.6 Define or refer to how verification of compliance to process procedures will be
accomplished and documented.
2.5.2.7 Where applicable, specify where lots or batches will be used.
2.5.2.8 Indicate where subcontractor services will be employed and identify how the quality of
those products or services provided by the subcontractor will be verified.
2.6 Left Blank Intentionally
2.7 Document Control
2.7.1 The contractor shall establish and maintain documented procedures to control all docu-
ments affecting quality, including, to the extent applicable, documents of external origin such as
standards and customer drawings.
08/2009 J [M-1003] 11
08/2009
CHAPTER 2 M-1003
2.7.2 The contractor shall establish and maintain a master list or equivalent document-control
procedure identifying the current revision status of documents. This list or procedure must be
available to preclude the use of invalid and/or obsolete documents.
2.7.3 Authorized personnel shall review documents and approve them for adequacy prior to use.
2.7.4 Established controls shall ensure the following:
2.7.4.1 The applicable issues of appropriate and understandable documents are available at all
functional areas and inspection and test points where operations essential to the effective func-
tioning of the quality program are performed.
2.7.4.2 Applicable standards, internal procedures, and forms necessary to demonstrate
compliance with this specification and any related technical requirements must be maintained in
English, as well as the appropriate language for the user.
2.7.4.3 Invalid and/or obsolete documents are promptly removed from all points of issue or use or
otherwise assured against unintended use.
2.7.4.4 Any obsolete documents retained for legal and/or reference purposes shall be suitably
identified and assured against unintended use.
2.7.5 When changes are made to documents, the contractor shall do the following:
2.7.5.1 Ensure that changes to documents receive the same authorization as the original docu-
ments.
2.7.5.2 Process all changes in writing so they are acted on promptly at the specified locations.
2.7.5.3 Maintain a record of changes and, where practical, identify the nature of the changes.
2.7.6 Written notes on documents are acceptable provided they are made by authorized persons
according to established procedures.
2.7.7 The contractor shall revise and reissue documents after a practical number of changes have
been issued.
2.8 Measuring and Testing Equipment
2.8.1 Establish and maintain documented procedures to control, calibrate, and maintain all mea-
suring and test equipment and devices used to verify item quality and to monitor special pro-
cesses.
2.8.2 At prescribed intervals or prior to use, calibrate and adjust measurement and test equip-
ment against certified equipment having a known valid relationship to nationally recognized stan-
dards.
2.8.3 Where no national standard exists, document the basis employed for calibration. This can
include industry or user standards.
2.8.4 Maintain calibration documents that include equipment type, identification number, loca-
tion, frequency of checks, description of check method, acceptance criteria, and action to take when
results are unsatisfactory.
2.8.5 Identify measuring and testing equipment with a tag, sticker, or other suitable indicator to
show the calibration status.
2.8.6 Maintain calibration records for measuring and test equipment.
2.8.7 Assess and document the validity of previous inspection and test results when measuring
and test equipment are found to be out of calibration.
J [M-1003] 12 08/2009
08/2009
M-1003 CHAPTER 2
2.8.8 Ensure that environmental conditions are suitable for calibrations being carried out.
2.8.9 Ensure that the handling, storage, and preservation of measuring and testing equipment is
such that the accuracy and fitness for use are maintained.
2.8.10 Safeguard all measuring and testing equipment from adjustments that would invalidate
the calibration setting.
2.9 Purchasing/Contracting
2.9.1.1 Identify products to be purchased or subcontracted.
2.9.1.2 Determine for those subcontracted and purchased products an appropriate method of
verifying that the products/services conform to specified requirements. Typical methods include
but are not limited to
• inspection by subcontractor
• source inspection by contractor
• incoming inspection
• objective evidence, such as certificates of compliance
• surveillance of subcontractor
2.9.1.3 Evaluate and select subcontractors based on documented assessments of their ability to
meet contract and quality requirements.
2.9.1.4 Survey and audit subcontractor's verification of quality at the subcontractor's plant or the
site of processing as and when required.
2.9.1.5 Maintain quality records of acceptable subcontractors.
2.9.2 Purchasing documents shall contain data clearly describing the items ordered, including
the following, where applicable:
2.9.2.1 The type, class, grade, or other precise identification, including AAR specification, draw-
ings, or other technical specifications.
2.9.2.2 The title or other positive identification—and applicable issues—of specifications, draw-
ings, process requirements, inspection instructions, and other relevant technical data, including
requirements for approval or qualification of items, procedures, process equipment, and personnel.
2.9.2.3 The title, number, and issue of the quality standard to be used.
2.9.2.4 The verification arrangements and method of product release.
2.9.3 The contractor shall review and approve purchasing documents for adequacy of the
specified requirements prior to release.
2.9.4 When specified in the contract, the contractor’s customers shall be afforded the right to
verify at the subcontractor’s plant and on the contractor’s premises that subcontracted items
conform to specified requirements. Verification by the customer shall not absolve the contractor of
the responsibility to provide acceptable service, nor shall it preclude subsequent rejection by the
customer.
08/2009 J [M-1003] 13
08/2009
CHAPTER 2 M-1003
2.10 Incoming Inspection

2.10.1 Inspect, test, and identify incoming items as required by the inspection and test plans.
2.10.2 Check the objective evidence provided by subcontractors and suppliers as a means of
determining that adequate quality verifications were exercised.
2.10.3 Hold incoming items until the required inspection and tests are completed or the neces-
sary inspection and test reports are received and verified (except when items are released under
positive recall).
2.11 In-Process Inspection
2.11.1 Inspect, test, and identify items as required by the inspection and test plan.
2.11.2 Monitor process methods where inspection is not feasible.
2.11.3 Hold items until the required inspections and tests are complete or necessary reports are
received and verified (except when items are released under positive recall). Release under posi-
tive recall shall not preclude inspection, testing, and identification as required under paragraph
above.
2.11.4 Identify nonconforming items.
2.11.5 Maintain documented procedures for the verification, storage, and preservation of the cus-
tomer-supplied parts.
2.11.6 Record and report to the customer any customer-supplied parts that are lost, damaged,
nonconforming, or otherwise unsuitable for use. This verification of the customer-supplied part by
the contractor does not absolve the customer of the responsibility to provide acceptable parts.
2.12 Final Inspection
2.12.1 Inspect, test, and identify the final items as required by the inspection and test plan.
2.12.2 Review all inspection and test records and verify that the item has been inspected at all
points shown in the inspection and test plan and that these records are complete.
2.12.3 Retain all inspection records as specified in paragraph 2.17.
2.13 Inspection Status
2.13.1 Provide means for ensuring that required inspections and tests are performed and that
the acceptability of items with regard to inspections and tests performed is known throughout pro-
cessing.
2.13.2 Establish and maintain a system for tags or stamped impressions on the item or its con-
tainer—or other physical means—that indicates final acceptance of items. Final-acceptance indi-
cators, in-process indicators, and incoming-inspection indicators must not be identical.
2.13.3 Show the identity of the contractor and its inspector on any inspection stamps used.
2.13.4 Provide measures for controlling status indicators, including the authority for application
and removal of tags, stamps, or other physical means of indicating the inspection status.
J [M-1003] 14 08/2009
08/2009
M-1003 CHAPTER 2
2.14 Identification and Traceability

2.14.1 Establish and maintain systems, where appropriate, that identify each item (lot, compo-
nent, or part) to the applicable drawing, specification, or other technical document, from receipt
through processing and shipping.
2.14.2 Where traceability is specified, establish and maintain systems that provide a unique
identification assigned to each item that shall distinguish those items that are otherwise identical
but that have been processed in separate batches. Contractor shall record this identification on all
process, inspection, and test records.
2.15 Process Control
The contractor shall identify and plan the production, installation, and servicing processes that
directly affect quality and ensure that these processes are conducted under controlled conditions.
Controlled conditions may include but not be limited to the following:
2.15.1 Adhering to documented procedures defining the work process where the absence of such
procedures could adversely affect quality.
2.15.2 Employing suitable process equipment in a suitable working environment.
2.15.3 Complying with applicable codes, standards, specifications, documented procedures, and/
or inspection and test plans (paragraph 2.5).
2.15.4 Monitoring and controlling applicable process parameters and product characteristics.
2.15.5 Approving procedures, processes, and equipment.
2.15.6 Establishing workmanship criteria in the clearest appropriate manner (e.g., written stan-
dards, reference standards, pictures, etc.)
2.15.7 Maintaining equipment to ensure continuing conformity to product requirements.
2.15.8 Ensuring that special processes (including but not limited to welding, heat treating, plat-
ing, and nondestructive testing) are performed under controlled conditions in accordance with
applicable codes, standards, specifications, and governmental and contractual requirements by
qualified personnel using qualified equipment and procedures.
2.15.9 Ensuring that the qualification of personnel, procedures, and equipment complies with the
requirements of applicable codes, standards, and specifications.
2.15.10 Ensuring that documentation for currently qualified personnel, processes, or equipment
is maintained in accordance with the requirements of pertinent codes, standards, and specifica-
tions.
2.15.11 Defining those special processes not covered by applicable codes, standards, or specifica-
tions. Where item quality requirements exceed the requirements of established codes, standards,
and specifications, describe the necessary qualifications of personnel, procedures, and equipment.
2.15.12 Ensuring that any required AAR or other technical requirements have been obtained and
understood and are maintained. Applicable AAR technical checklists defined in Appendix A shall
be completed at least annually and be available for review during the audits of the contractor’s
quality program, including verification that the requirements of applicable AAR technical stan-
dards, specifications, recommended practices, and technical checklists are being met.
08/2009 J [M-1003] 15
08/2009
CHAPTER 2 M-1003
2.16 Preservation, Packaging, and Shipping

2.16.1 Establish and maintain documented procedures for handling, storage, preservation, and
delivery of product.
2.16.2 Provide methods of handling and storing product that prevent damage.
2.16.3 Control packing, packaging, and marking processes (including materials used) to the
extent necessary to ensure conformance to specified requirements.
2.16.4 Apply appropriate methods for preservation and segregation of product when the product
is under contractor control.
2.16.5 Arrange for the protection of the quality of the product after final inspection and test.
Where contractually specified, this protection shall be extended to include delivery to destination.
2.17 Quality Records
2.17.1 The contractor shall maintain quality records as evidence of the following:
2.17.1.1 The item or material meets this specification and contractual requirements.
2.17.1.2 Personnel, procedures, and equipment for special processes are qualified as required by
paragraph 2.15.10.
2.17.1.3 Selection and surveillance of subcontractors are met as required by paragraph 2.9.1.
2.17.2 The contractor shall include in paragraph 2.17.1 inspection and test records that identify
the following:
2.17.2.1 Either the reference drawing number and revision number or part number of the item.
2.17.2.2 Applicable requirements.
2.17.2.3 Specific inspections performed and results obtained. If measurements are not required,
the contractor shall include the basis of acceptance.
2.17.2.4 Nonconformance reports (see paragraph 2.18.4).
2.17.2.5 The date of inspection or test.
2.17.2.6 The identity of the inspector or data recorder.
2.17.3.1 Make quality records available for analysis and review.
2.17.3.2 Identify, index, and file quality records for easy retrieval.
2.17.3.3 Retain quality records for the time required by law where applicable and as specified in
the contract.
2.17.3.4 Provide a suitable environment for records to minimize deterioration or damage and to
prevent loss. If electronic records are utilized, the contractor shall also address, at a minimum, fre-
quency of backups, type of media to be used for backups, and storage requirements.
J [M-1003] 16 08/2009
08/2009
M-1003 CHAPTER 2
2.18 Nonconformance Control and Quality Program Improvement

2.18.1 The contractor shall control nonconforming conditions and continuously improve the effec-
tiveness of the quality program through the use of corrective action, preventive action, internal
audit results (refer to 2.21) and actions resulting from management reviews (refer to 2.4.4).
2.18.2 To control nonconforming items, the contractor shall establish and maintain measures
that do the following:
2.18.2.1 Define the responsibility and authority of those who dispose of nonconforming items.
2.18.2.2 Detect and record nonconformance.
2.18.2.3 Identify and hold nonconforming items for evaluation.
2.18.2.4 Develop a disposition that has the concurrence of all responsible parties.
2.18.2.5 Implement accepted disposition.
2.18.2.6 Provide requirements for reinspecting and retesting repaired and reworked items.
2.18.2.7 Advise the reporting company, the AAR, and affected customer purchasing and mechan-
ical department heads in writing of the final disposition of returned/recalled materials identified
as nonconforming to preclude unauthorized use, as per Chapter 7.
2.18.3 The contractor shall provide holding areas or methods for segregating nonconforming
items to prevent unauthorized use, shipment, or mixing with conforming items. However, where
physical segregation is not practical, tagging, marking, or other positive means of identification is
acceptable.
2.18.4 The contractor shall maintain records identifying nonconforming items, the nature and
extent of nonconformance, its disposition, and objective evidence that repaired and reworked items
have been reinspected or retested according to applicable documented procedures.
2.18.5 The contractor shall implement procedures for corrective action that include the following:
2.18.5.1 Handling of customer complaints and reports of product/service nonconformance.
2.18.5.2 Investigation of the root cause of the nonconformity relating to product, process, and
quality program and recording of the results of the investigation.
2.18.5.3 Determination of the corrective action needed to permanently eliminate the root cause of
the nonconformity.
2.18.5.4 Documented assignment of responsibility to ensure corrective actions are implemented.
2.18.5.5 Assignment and tracking of expected completion dates for corrective actions.
2.18.5.6 Application of controls to ensure that corrective action is taken and is effective.
2.18.6 The contractor shall implement procedures for preventive action that include the follow-
ing:
2.18.6.1 The use of appropriate sources of information, such as process and work operations, that
affect product quality, concessions, audit results, quality records, service reports, and customer
complaints to detect, analyze, and eliminate causes of potential nonconformity.
2.18.6.2 Initiation of preventive action and application of controls to ensure that the procedure is
effective.
2.18.6.3 Confirmation that relevant information on actions taken is submitted for management
review.
08/2009 J [M-1003] 17
08/2009
CHAPTER 2 M-1003
2.19 Quality Program Review and Manual Revision

2.19.1 The contractor shall review the quality assurance program and manual at least annually.
2.19.2 Following this review, the contractor shall update the quality assurance program and
manual accordingly to reflect current quality assurance practices and submit the revisions to the
AAR QA Program Coordinator or agent.
Submitted revisions may be subject to verification at the time of the next compliance audit. The
contractor shall prepare and submit more frequent upgrades in procedures and clarity in accor-
dance with these specifications when deficiencies are identified and documented by the Quality
Assurance Committee.
2.20 Process Capability/Statistical Methods
2.20.1 If statistical methods are used, contractors are required to identify where statistical meth-
ods are used to evaluate and control the variability of processes that may include rework/repair
operations.
2.20.2 If statistical methods are used, contractors are also required to identify where statistical
methods are used for control and continuing improvement of key product/process characteristics.
Suppliers shall then identify and classify product, process, and service characteristics for which
statistical techniques will be used as a basis for the assurance and control of quality and accep-
tance or rejection of lots.
2.20.3 The contractor shall identify the need for the application of statistical methods to accom-
plish the following:
2.20.3.1 Evaluate and control the variability of processes.
2.20.3.2 Control key product/process characteristics for continuous improvement.
2.20.3.3 Measure key performance indicators of the quality program.
2.20.4 The contractor shall maintain documented procedures to implement and control the appli-
cation of the statistical methods identified in paragraph 2.20.3.
2.21 Internal Quality Audits
2.21.1 The contractor shall carry out internal quality audits to verify compliance with Specifica-
tion M-1003 and the contractor’s current quality assurance practices.
2.21.2 The contractor shall schedule audits as follows:
2.21.2.1 On the basis of the status and importance of the activity;
2.21.2.2 Such that they occur minimally once per year;
2.21.2.3 Such that they encompass a review of all 24 elements contained in Chapter 2 of this
specification within a 12-month period
2.21.3 The audits shall be performed in accordance with documented procedures (using appropri-
ate checklists) by trained personnel who have the organizational freedom to record results and
deficiencies.
2.21.4 Audit results shall be recorded and include objective evidence of conformance and/or non-
conformance of a product, process, or procedure, to specified requirements.
2.21.5 The results of the audits shall be documented and brought to the attention of the person-
nel having responsibility in the area audited.
2.21.6 The management personnel responsible for the areas with noted nonconformances shall
take timely corrective action on the deficiencies per paragraph 2.18.5.
J [M-1003] 18 08/2009
08/2009
M-1003 CHAPTER 2
2.21.7 Follow-up activities shall verify and record the implementation and effectiveness of the
action taken.
2.22 Training
2.22.1 Establish and maintain approved procedures for identifying training needs, providing the
training, and evaluating the effectiveness of that training for all personnel involved in activities
affecting quality.
2.22.2 Job descriptions must be created and maintained. Basic job responsibilities and qualifica-
tion requirements must be defined.
2.22.3 Personnel involved in special or key processes (welding, heat treating, painting, pressure
treating, product inspection, internal quality auditing, etc.) must have both function-specific train-
ing and applicable work experience to be considered qualified.
2.22.4 Training records must be maintained for qualified personnel as long as they remain quali-
fied or as required by other regulatory requirements.
2.22.5 Define the measures to ensure that personnel are aware and knowledgeable of their spe-
cific responsibilities for quality.
2.22.6 Provide the necessary instruction and means whereby those personnel can develop,
achieve, and maintain proficiency.
2.23 Contract Review
2.23.1 The contractor shall establish and maintain documented procedures for contract review
such that, before submission of an offer by the contractor or at the acceptance of a contract or order
(statement of requirement), the offer, contract, or order shall be reviewed by the contractor to
ensure the following:
2.23.1.1 The requirements are adequately defined and documented. Where no written statement
of requirement is available for an order received by verbal means, the contractor shall ensure that
the order requirements are agreed to before their acceptance.
2.23.1.2 Any differences between the contract or accepted order requirements and those in the
offer are resolved.
2.23.1.3 The contractor has the capability to meet the contract or accepted order requirements.
2.23.2 When servicing is specified in the contract or order, the contractor shall establish and
maintain documented procedures for performing, verifying, and reporting that the servicing meets
the specified requirements.
2.23.3 The contractor shall identify how an amendment to a contract is made and correctly trans-
ferred to the responsible personnel within the contractor's organization.
2.23.4 The contractor shall maintain records of contract reviews.
08/2009 J [M-1003] 19
08/2009
CHAPTER 2 M-1003
2.24 Design Control

2.24.1 The contractor shall establish and maintain documented procedures to control and verify
the design and development planning of the product in order to ensure that the specified require-
ments are met. Where product design, redesign, or modifications are not usually performed, the
design procedures must address these design control requirements inasmuch as the procedures
must describe how adherence to existing design criteria is maintained.
2.24.2 The contractor shall prepare plans for each design and development activity. The plans
shall include the review, verification, and validation requirements that are appropriate to each
design and development activity. The plans shall describe or reference these activities and define
responsibility for their implementation. The design and development activities shall be assigned to
qualified personnel equipped with adequate resources. The plans shall be updated as the design
evolves.
2.24.3 The contractor shall define organizational and technical interfaces between different
groups who contribute to the design process and shall document, transmit, and regularly review
the necessary information. The contractor shall manage the interfaces between the different
groups to ensure effective communication and clear assignment of responsibility.
2.24.4 The contractor shall identify and document design and development input requirements
relating to the product, including applicable statutory and regulatory requirements, functional
and performance requirements, and, where applicable, information derived from previous similar
designs and other requirements essential for design and development. The contractor also shall
review their selection for adequacy. Incomplete, ambiguous, or conflicting requirements shall be
resolved with those responsible for imposing these requirements. Design input shall take into con-
sideration the results of any contract review activities. Planning output shall be updated, as
appropriate, as the design and development activity progresses.
2.24.5 The contractor shall document the design and development output and express it in terms
that can be verified against design-input requirements and validated (see paragraph 2.24.9).
Design and development output shall do the following:
2.24.5.1 Meet the design and development input requirements.
2.24.5.2 Contain or make reference to acceptance criteria.
2.24.5.3 Identify those characteristics of the design that are crucial to the safe and proper func-
tioning of the product (e.g., operating, storage, handling, maintenance, and disposal require-
ments).
2.24.5.4 Provide appropriate information for purchasing, production, and servicing provision.
2.24.6 The contractor shall review design and development output documents before their
release.
2.24.7 At appropriate stages of design, formal reviews of the design and development results
shall be planned and conducted to evaluate the ability of the results to meet design and develop-
ment input requirements. The review shall identify any problems and shall propose appropriate
resolution actions. Participants at each design review shall include representatives of functions
concerned with the design and development stage(s) being reviewed. Records of such reviews shall
be maintained and necessary actions shall be documented.
2.24.8 At appropriate stages of design, design verification shall be performed to ensure that the
design and development output meets the design and development input requirements. The
design and development verification measures and any necessary actions shall be recorded.
J [M-1003] 20 08/2009
M-1003 CHAPTER 2
2.24.9 The contractor shall perform design and development validation to ensure that product
conforms to defined user needs and/or requirements and to ensure that the resulting product is
capable of meeting the requirements for the specified application or intended use, where known. In
this regard, the contractor shall do the following:
2.24.9.1 Complete validation prior to the delivery or implementation of the product, wherever
practicable.
2.24.9.2 Maintain records of the results of validation and any necessary actions.
2.24.10 All design and development changes and modifications shall be identified, documented,
reviewed, verified, and validated as appropriate and then approved by authorized personnel.
2.24.10.1 The review of design and development changes shall include evaluation of the effect of
the changes on constituent parts and product already delivered.
2.24.10.2 The contractor shall maintain records of the review of changes and any necessary
actions.
08/2009 J [M-1003] 21
CHAPTER 2 M-1003
J [M-1003] 22 08/2009
08/2009
M-1003 CHAPTER 3
Chapter 3
CHAPTER 3. PROCEDURE FOR CERTIFICATION APPLICATION AND

MAINTENANCE
3.1 Application
Application forms are required for initial certifications only.
3.1.1 Application information and forms can be found in Figs. 3.1 and 3.2.
3.1.2 The completed application form, along with the requested information, should be sent to the
following address:
QA Program Coordinator
P.O. Box 11130
55500 DOT Road
Pueblo, CO 81001
3.1.3 Before submitting the application, the contractor should ensure that all required informa-
tion is provided as required in Chapter 1 and Chapter 2 of this specification and that the applica-
tion is signed by an authorized officer of the company.
3.1.4 Any change in scope for a certification requires written notification to the QA Program
Coordinator prior to audit.
3.2 Application Status Report
3.2.1 The AAR QA Program Coordinator prepares a status report that summarizes the following:
3.2.1.1 Documentation provided by the contractor to support the application (e.g., annual reports,
scope of products or services offered, audit, or similar reports by others).
3.2.1.2 Discussions with contractor representatives to ensure that the requirements of the AAR
certification program are understood.
3.2.2 Following review of the status report, an audit team leader will be assigned by the AAR QA
Program Coordinator or agent.
3.3 Advisory Service
AAR offers access to “advisory services” to enable applicants to develop, implement, and maintain
a quality assurance program in accordance with Chapter 2 requirements. The service entails
training regarding quality manual development, program implementation, and program mainte-
nance. All costs for the service will be borne by the applicant. Requests should be directed to the
QA Program Coordinator.
3.4 Review of the Quality Manual
3.4.1 After the status report is reviewed, the AAR QA Program Coordinator or agent will request
that the contractor furnish a quality manual.
3.4.2 When the quality manual is received, it will be reviewed by the AAR QA Program Coordina-
tor or agent and by the Quality Assurance Committee, if necessary.
3.4.3 The AAR QA Program Coordinator may request that the contractor furnish additional
information.
3.4.4 Contractor will be advised, with reasons, if the quality manual is not adequate.
3.4.5 Discussions with the contractor concerning the quality manual will continue until the man-
ual is acceptable in accordance with this specification and before an in-plant audit can be consid-
ered.
08/2009 J [M-1003] 23
08/2009
CHAPTER 3 M-1003
3.5 In-Plant Audit for Initial Certification and Recertification

3.5.1 When the quality manual has been accepted and the contractor has advised the AAR that
its program is fully implemented, arrangements will be made for an audit. The audit schedule will
be developed in conjunction with the contractor to minimize any possible disruption to contractor
operations.
3.5.2 An audit team will be assigned by the AAR QA Program Coordinator and an audit will be
performed in accordance with Chapter 5 of this specification.
3.6 Certification
3.6.1 If the audit report is acceptable to the Quality Assurance Committee and any required tech-
nical approval has been acquired and any open QA 7-1’s have been resolved, certification will be
granted and the contractor's name will be added to the registry published by AAR Circular Letter.
3.6.1.1 Each certification is in effect for a period of 3 years subject to annual compliance audits
as required. Compliance audits may address all or selected program requirements stated in Chap-
ter 2 of this specification. Product audits may be conducted in lieu of or in conjunction with compli-
ance audits at the discretion of the Quality Assurance Committee. Renewal of certification each 3-
year period will be based on past performance and having had all noncompliances resolved. The
Quality Assurance Committee may increase the frequency of compliance audits based upon docu-
mented quality performance of the previously certified company. Examples of this documented
quality performance include, but are not limited to, such items as previous audit findings, noncon-
formance reports, product audits, and results of industry inspections. Renewal of certification is
not automatic and can be denied if the contractor has demonstrated an inability or unwillingness
to resolve noncompliances. The appeal procedures described in paragraph 1.13 may be imple-
mented in the event certification is not renewed.
3.6.1.2 Any contractor that decides not to renew certification may operate under its existing cer-
tification until expiration so long as a period of no more than 15 months has elapsed since the com-
pletion of the previous compliance audit. Any contractor that permits its certification to expire
shall be precluded from providing goods and/or services for use in interchange service until an
application to renew certification has been received by the AAR, a certification audit is completed,
any resulting noncompliances are resolved, and a new certification is approved by the Quality
Assurance Committee. This requirement is in addition to any technical approvals that may have
been obtained or maintained by the contractor.
3.6.2 If the Quality Assurance Committee decides that further work is necessary, the AAR QA
Program Coordinator will inform the contractor so that the required steps can be taken. In serious
cases, it may be necessary to schedule a formal appearance with the contractor before the Quality
Assurance Committee, or a representative(s) thereof, after which unannounced audits may be per-
formed with audit costs reimbursed by the contractor.
3.6.3 The maintenance cycle for M-1003 certification consists of continuous audits and approvals.
After initial certification, there is a minimum of two annual compliance audits followed by a recer-
tification audit at the end of the third year of certification. Fig. 3.3 illustrates the certification
maintenance process.
3.7 Rejection of Certification
When noncompliances cannot be resolved, the Quality Assurance Committee may elect to decline
approval or withdraw certification and notify the contractor with a statement of reasons for rejec-
tion.
3.8 Fees
3.8.1 Auditing costs will be billed directly, in advance, by the AAR agent. When not pre-billed,
such actual costs will be billed to the contractor. Failure to satisfy cost obligations may result in
withholding/withdrawing certification until such time as those obligations are met.
J [M-1003] 24 08/2009
08/2009
M-1003 CHAPTER 3
3.9 Confidentiality of Quality Assurance Information

In order to ensure confidentiality, dissemination of applicant's quality assurance information,
including quality assurance manuals and audit reports, will be restricted to AAR’s quality assur-
ance staff, Program Coordinator, audit team, and the Quality Assurance Committee unless prior
written consent is obtained from the applicant. When specifically requested by the applicant, a
standard nondisclosure agreement will be provided by the AAR.
08/2009 J [M-1003] 25
08/2009
CHAPTER 3 M-1003
Rev.
8/1/07 APPLICATION FOR CERTIFICATION
AAR QUALITY ASSURANCE PROGRAM
IT IS INTENDED THAT AAR QUALITY ASSURANCE CERTIFICATION BE APPLICABLE TO MANUFACTURERS/

SUPPLIERS THAT HAVE, OR ARE IN THE PROCESS OF OBTAINING, AAR APPROVAL OF THEIR PRODUCTS/SER-
VICES UNDER AN EXISTING TECHNICAL STANDARD OR SPECIFICATION WHEN TECHNICAL APPROVAL IS RE-
QUIRED BY THE SPECIFICATION.
1. Application for: Initial Certification or Recertification

2. Company Name:______________________________________________________________________
Address: _____________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
Phone: ___________________________________ Fax: ______________________________________
Telex: ____________________________________ E-mail: ___________________________________
3. Product/service to be certified: New Reconditioned Secondhand

Product Applicable AAR Specification
4. Name of primary contact for QA certification:
Title: _____________________ Phone: _____________ Email: _______________________________
5. The following attachments are to be submitted with, and become part of, this applica- 3
tion:
a. a. Organization chart depicting QA function
b. Company quality policy statement
c. Brief description of QA program
d. Statement describing the scope of product/service provided
e. Listing of current AAR approvals or certificates relating to the product/service
covered by this application
6. Has an Application for Technical Approval been filed? Yes No
BY THIS APPLICATION, WE AGREE TO BE BOUND BY THE ARBITRATION PROCEDURES AS DEFINED IN PARA-

GRAPH 1.12 OF SPECIFICATION M-1003.
Signed by: ________________________________ Signed by: ________________________________

Title: _____________________________________ Title: _____________________________________
Date _____________________________________ Date: _____________________________________
AAR File No. assigned:

FOR AAR USE ONLY
Assigned by: __________________________ Date:
Fig. 3.1 Application for certification

J [M-1003] 26 08/2009
08/2009
M-1003 CHAPTER 3
INSTRUCTIONS FOR COMPLETING APPLICATION FOR

CERTIFICATION—AAR QUALITY ASSURANCE PROGRAM
a. All line items on the application must be completed and requested information must be
provided. Incomplete applications will delay the certification process and may jeopardize
common group status certification.
b. Where insufficient space is provided on the application, addendum pages and
attachments are permissible. Reference to addendum pages and attachments should be
noted on the application.
c. All applications shall be submitted in duplicate, including addendum pages and
attachments.
d. It is the responsibility of the applicant to properly identify proprietary data if it is
submitted with the application.
e. It shall be assumed that the applicant will be prepared to submit its quality assurance
manual within 60 days of the application date.
f. If the applying company utilizes more than one facility to manufacture or recondition the
same product or to provide the same service, a separate application is required for each
facility.
g. Application form, Item 3: check New, Reconditioned, or Secondhand. If the same facility
is used to manufacture or recondition more than one product, each product may be
entered on the application. For each of the products listed, identify the applicable AAR
specification.
h. It shall be assumed that the applicant has obtained and reviewed Section J of the
Manual of Standards and Recommended Practices, Specification for Quality Assurance.
i. All completed applications are to be returned to
AAR Quality Assurance Program

Ms. Joy Cooke
QA Program Coordinator
P.O. Box 11130
55500 DOT Road
Pueblo, CO 81001
Transportation Technology Center Inc. is a subsidiary of Association of American Railroads
Fig. 3.2 Application instructions

08/2009 J [M-1003] 27
08/2009
CHAPTER 3 M-1003
Initial certification granted by

the QA Committee (QAC)
Contractor is notified of
Contractor’s name and scope Response is
deficiencies and provided 30 not accepted
of certification is added to the
days to respond
registry under “Contractors
Certified under M-1003 Quality
Assurance specification”
Contractor undergoes annual

Compliance Audit
Approval
withheld
Audit results are forwarded to

the QA Committee Response is
Coordinator accepted
Contractor may be requested
to appear before the QAC to
seek continued certification
QA Committee Coordinator
seeks approval from QAC
Approval granted
It has been more than Contractor QAC may arrange an

2 yrs since a cert. or corrects unannounced audit of the
recert. audit or program deficiencies contractor’s facility
scope has changed
Contractor does not

correct deficiencies
YES
Contractor notified that

Contractor undergoes a certification is withdrawn and
recertification audit of right to appeal
Fig. 3.3 Block diagram for M-1003 certification maintenance cycle

J [M-1003] 28 08/2009
08/2009
M-1003 CHAPTER 4
Chapter 4
CHAPTER 4. PROCEDURES FOR THE CERTIFICATION AND RECERTIFICATION OF

AUDITORS
4.1 Scope
This procedure describes the steps and stipulations by which a candidate may become an AAR
Accredited Auditor or an M-1003 Qualified Auditor.
4.1.1 AAR Accredited Auditor Candidates
Candidates for AAR Accredited Auditor status must meet all requirements as specified in this sec-
tion, and, in addition, be an acting agent of the AAR (by contract), an employee of the AAR, or a
member of the Quality Assurance Committee (or alternate). An AAR Accredited Auditor is autho-
rized to perform audits on behalf of the AAR.
4.1.2 M-1003 Qualified Auditor Candidates
4.1.2.1 Candidates for M-1003 Qualified Auditor status must meet all requirements as specified
in this section. Successful candidates are not authorized to conduct audits on behalf of the AAR.
4.1.2.2 Candidates for M-1003 Qualified Auditor status must remit a $150.00 administrative fee
with the application.
4.2 Evaluation
4.2.1 Candidates for initial certification must provide information as per paragraph 4.3 and shall
be evaluated in accordance with paragraph 4.4.
4.2.2 Candidates for recertification must fulfill the requirements of paragraph 4.6.
4.2.3 Candidates shall be classified as “acceptable” or “not acceptable.” If found not acceptable,
the candidate shall be so advised.
4.3 Documentation
All candidates must complete an application form, including the expected point values (see
Fig. 4.1), and return it to the AAR QA Program Coordinator or designee. Recertification applicants
must fulfill the requirements of paragraph 4.6. Applicants for initial certification must provide the
following information in triplicate:
4.3.1 Résumé of their formal education and related training and evidence of postsecondary edu-
cation documents. (Validation of postsecondary education documents, training certificates, etc.,
must be included.)
4.3.2 Résumé of their work experience and accomplishments, indicating skills, related dates,
positions held, and employers.
4.3.3 A description of their areas of competence for auditing purposes (quality systems, product/
technical specialist).
4.3.4 References who may be contacted. Include past and/or present employer(s) and those who
have knowledge regarding the candidate's audit capability.
4.3.5 Evidence of successful completion of the AAR Auditor training seminar or equivalent (as
determined by the AAR Quality Assurance Committee). Applicants for AAR Accredited Auditor
must attend an AAR Auditor training seminar.
08/2009 J [M-1003] 29
08/2009
CHAPTER 4 M-1003
4.4 Qualification Point Requirement

The ratings are based on Canadian and USA qualifications. Other qualifications will be examined
on their merits and rated accordingly. This section provides guidance for completion of Fig. 4.1.
4.4.1 Education—Six point minimum; fifteen point maximum.
4.4.1.1 For formal education, points will be awarded as follows:
Level Achieved Points Awarded
High school diploma/GED 4
Two-year associate degree 6
Bachelor’s degree 8
Master’s degree 10
4.4.1.2 Additional credits in education, up to a maximum of five points, may be given for courses
taken or for diplomas or certificates awarded in trade, supervisory, military, quality, or related
fields. Continuing Education Unit (CEU) credits will be the basis for points awarded if documenta-
tion is provided. In general, 10 classroom or seminar hours is equivalent to 1 CEU.
4.4.2 General Experience—Nine point minimum. Points will be awarded in the following three
groups:
4.4.2.1 Technical or administrative experience in engineering, manufacturing, operations, or
maintenance.
One point for each year up to a maximum of six points.
4.4.2.2 Quality assurance planning, control, training, and verification experience.
One and one-half points for each year up to a maximum of six points.
4.4.2.3 Supervision or management.
Two points for each year up to a maximum of six points.
4.4.3 Quality Auditing Experience—four points minimum; six points maximum.
Auditing of quality management systems to M-1003 or equivalent standard as determined by the
AAR Quality Assurance Committee. Beginning January 1, 2010, AAR-accredited or qualified
auditor certification points will be counted for M-1003 Quality Program audits only. One point will
be counted for each audit in which the candidate was an active participant within the past 12
months up to a maximum of six points and meeting the following criteria:
4.4.3.1 At least two of the audits must be all criteria (certification/recertification) audits, one of
which is completed with an AAR Accredited Auditor. The remaining audits may be all criteria or
partial criteria (compliance) audits, one of which must be completed with an AAR Accredited Audi-
tor. Each applicant must work with at least two different AAR Accredited Auditors.
4.4.3.2 The candidate must provide a list of audits performed, indicating the following: the audi-
tee and its plant location, audit date(s), lead auditor, type of audit (full or compliance), and quality
standard. Candidate may use either Fig. 4.3 or an equivalent audit log form to list audits per-
formed.
4.4.3.3 Candidates must obtain their quality auditing experience prior to submitting their appli-
cation.
4.4.4 Points Requirement
To be eligible for certification, each candidate shall achieve the minimum number of points in each
group and have a minimum of 23 points total.
J [M-1003] 30 08/2009
08/2009
M-1003 CHAPTER 4
4.5 Certification Procedures

4.5.1 Upon successful completion of the above, a summary of the relevant information for each
candidate shall be sent to members of the Quality Assurance Committee.
4.5.2 The Committee shall review the documentation and take one of the following three actions:
4.5.2.1 Recommend certification.
4.5.2.2 Deny a recommendation for certification and give reasons.
4.5.2.3 Defer a decision and give reasons (e.g., additional information required).
4.5.3 Auditors shall be certified for a maximum of 3 years. The certification shall expire at the
end of the certification period unless it is renewed.
4.5.4 Candidates may, at the QA Committee’s discretion, be interviewed by one or more members
of the Quality Assurance Committee.
4.5.5 It shall be the duty of each certified auditor to inform the AAR if the basis upon which the
certification was granted has been substantially altered. A list of certified auditors shall be main-
tained by the AAR QA Program Coordinator.
4.6 Recertification
4.6.1 All candidates applying for Auditor Recertification must submit an application to the AAR
QA Program Coordinator (see Fig. 4.1) and include the following supporting documents, in tripli-
cate:
4.6.1.1 A list of audits performed (see Fig. 4.3 or equivalent audit log) in the past 12 months.
4.6.1.2 Two audit reports of audits performed within the past 12 months. (AAR Accredited Audi-
tors need not send copies of their audit reports.)
4.6.1.3 Candidates for recertification must have performed at least four M-1003 or equivalent
audits within the 12 months prior to their certification expiration date. Beginning January 1,
2010, AAR-accredited or qualified auditor recertification points will be counted for M-1003 Quality
Program audits only. At least one of the audits must be an all criteria (certification/recertification)
audit.
4.6.2 AAR Accredited Auditors must have been interviewed by the Quality Assurance Committee
during the previous certification period.
4.6.3 AAR Accredited Auditors must have attended the AAR Auditors Conference at least twice
during the previous certification period.
4.6.4 Recertification shall proceed per paragraph 4.5, except that it may be abbreviated as neces-
sary by the Quality Assurance Committee.
4.6.5 Any recertification candidate who applies more than 90 days after certification expiration
must meet all of the requirements of an initial certification.
4.7 Termination of Certification
4.7.1 General
Certification may terminate for the following reasons:
4.7.1.1 The auditor has not applied for renewal. Any recertification candidate who applies more
than 90 days after certification expiration must meet all of the requirements of an initial certifica-
tion.
08/2009 J [M-1003] 31
08/2009
CHAPTER 4 M-1003
4.7.1.2 The auditor has informed the AAR that the basis of his or her certification has changed so
that the certification is no longer valid. If appropriate, the auditor may apply for a new certifica-
tion under the new basis.
4.7.1.3 For cause. This may include poor performance on the part of the auditor; discovery that
the basis of certification is no longer valid (e.g., technical area of competence has changed); or
unsatisfactory compliance with other criteria.
4.7.2 Certifications that have been terminated for reasons other than cause may be implemented
by AAR without referral to the Quality Assurance Committee. The Quality Assurance Committee
shall be informed of such actions.
4.7.3 When AAR staff has determined that there may be justification for termination of certifica-
tion for cause, a dossier shall be prepared for submission to the Quality Assurance Committee.
AAR shall inform the certified auditor of the circumstances that exist and shall afford the auditor
the opportunity to respond.
The dossier shall be presented to the Quality Assurance Committee, and the Committee shall
decide whether or not a hearing with the auditor is necessary.
4.7.4 The Quality Assurance Committee shall then take one of the following three actions:
4.7.4.1 Recommend to terminate the certification and include reasons.
4.7.4.2 Recommend that certification be continued for a specified period. The period specified
would be sufficient to allow corrective action to be implemented. Prior to the expiration of this
period, the case shall be reviewed again.
4.7.4.3 Recommend that certification continue to the normal expiration date.
4.7.5 All transactions taken must be documented for retention in Quality Assurance Committee
files.
4.8 Right of Appeal
If, at any stage during the certification, recertification, or termination procedures, the candidate is
ruled not acceptable, the candidate shall have the option of appealing the decision to the Quality
Assurance Committee. The ruling of the Committee shall be final.
J [M-1003] 32 08/2009
08/2009
M-1003 CHAPTER 4
Rev.
8/1/07 AAR AUDITOR CERTIFICATION APPLICATION FORM
1. Application for: Initial Certification Recertification
2. Name: _______________________________________________________________________________
3. Address: _____________________________________________________________________________
Employed By: ________________________________________________________________________
Home Phone:______________________________ Work Phone: ______________________________
4. The following attachments are to be submitted with, and become part of, the application:
A. Résumé describing formal education and training. The résumé also shall describe work experi-
ence and accomplishments including skills, areas, related dates, positions held, and employers.
B. Areas of auditing competence. Include a list of audits performed. (List in Fig. 4.3 or equivalent
log).
C. Copies of two (minimum) of the audit reports you have completed. This must be provided by all
M-1003 Qualified Auditor candidates.
D. List of references who may be contacted concerning your audit capabilities/experience.
E. Validation of attendance at AAR Auditor Training Seminar.
5. AAR Auditor Certification—Application Evaluation for Recertification (reference paragraph

4.6)
Quality Auditing 1 point each audit within the last 12 months. 4 points minimum. Score
Experience Reference attached Fig. 4.3/audit log
TOTAL POINTS (4–6)
6. AAR Auditor Certification—Application Evaluation for new applicant (reference paragraph

4.4)
Education H/S diploma/GED 4 pts. Associate degree 6 pts. Bachelor’s degree 8 pts. Score
Credits Master’s degree 10 pts. 6 points min. 15 points max.
Date
General Experience From To (Employer, Position, Duties) Score
4.4.2.1 1 pt. per year
4.4.2.2 1.5 pt. per year
4.4.2.3 2 pt. per year
9 Points Minimum Subtotal
Quality Auditing 1 point each audit within the last 12 months. 4 points minimum.
Experience Reference attached Fig. 4.3/audit log
6 Points Maximum Subtotal
Point 23 Points
Requirement Minimum TOTAL POINTS
I understand that the requirements in Chapter 4 of Specification M-1003 govern this application.
Signature of Applicant: __________________________________________ Date:__________________
Fig. 4.1 AAR Auditor Certification Application Form
08/2009 J [M-1003] 33
08/2009
CHAPTER 4 M-1003
INSTRUCTIONS FOR COMPLETING

AUDITOR CERTIFICATION APPLICATION FORM
AAR ACCREDITED AUDITOR

1. An AAR Accredited Auditor is one who is authorized by the AAR to perform audits on its
behalf. Hence, candidates for AAR Accredited Auditor must be one of the following: an
acting agent (by contract) of the AAR, an employee of the AAR, or a member or alternate
member of the AAR Quality Assurance Committee.
2. Candidates for initial certification must complete all sections of the application form. Use
other attachments as appropriate. Use additional attachments as required.
3. Candidates for recertification must complete sections 1, 2, 3, 4B, 4E, and 5 of Fig. 4.1.
4. Candidates must sign and date the application form.
M-1003 QUALIFIED AUDITOR

1. An M-1003 Qualified Auditor can, and must, demonstrate qualifications equal to those
of an AAR Accredited Auditor. They are not, however, authorized to conduct audits on
behalf of the AAR. M-1003 Qualified Auditor candidates are further required to remit a
$150.00 administrative fee with their application.
2. Candidates for initial certification must complete all sections of the application form. Use
other attachments as appropriate. Use additional attachments as required.
3. Candidates for recertification must complete sections 1, 2, 3, 4B, 4C, and 5 of Fig. 4.1.
4. All candidates must remit a $150.00 administrative fee, payable to the AAR.
5. Candidates must sign and date the application form.
Mail completed applications to the following address:
AAR Quality Assurance Program

Ms. Joy Cooke
Quality Assurance Manager
P.O. Box 11130
55500 DOT Road
Pueblo, CO 81001
Transportation Technology Center Inc. is a subsidiary of the Association of American Railroads
Fig. 4.2 Instructions for completing Auditor Certification Application Form

J [M-1003] 34 08/2009
08/2009
M-1003 CHAPTER 4
AUDITS PERFORMED
Candidate’s Name: ____________________________________________________________________
Company Lead Auditor’s Lead Auditor’s Type of

Audited Location Audit Date Name Company Audit
1.
2.
3.
4.
5.
6.
7.
8.
9.
Type of audit:
CM = Compliance audit
CT = Certification audit
RE = Recertification audit
Fig. 4.3 Audit log
08/2009 J [M-1003] 35
08/2009
CHAPTER 4 M-1003
J [M-1003] 36 08/2009
08/2009
M-1003 CHAPTER 5
Chapter 5
CHAPTER 5. QUALITY AUDIT STANDARD

5.1 Preface
This quality audit standard (modified to address AAR requirements) is designated by the Cana-
dian Standards Association as CSA Standard CAN 3-Q395. Permission to publish Q395 as a part
of the AAR’s Manual of Standards and Recommended Practices, Specification M-1003, has been
granted by the Canadian Standards Association. In the use of this Canadian Standards Associa-
tion CSA Standard CAN 3-Q395-81 as a part of AAR Specification M-1003, the Association of
American Railroads appreciates having received permission from the Canadian Standards Associ-
ation and its sharing the technical content of this standard with the AAR.
Q395 has been written as a generic standard to be used as the basis for more specific quality audit-
ing standards covering a wide range of industries and applications. It is intended to cover audits
initiated by an external organization with which there is an actual or anticipated contractual rela-
tionship, and internal audits conducted by a group assigned to quality responsibility within a com-
pany. Because one of the requirements of an audit is to ensure a high level of confidence in its
results, this standard deals with qualifications of auditors, adequacy of audit performance, and
format of audit reporting.
This standard is specified as a basis of a quality audit in AAR Specification M-1003 and as such,
compliance with all of its requirements is mandatory unless specifically excluded by prior written
agreement from the parties concerned. Any such exclusion shall be clearly noted in the audit
report.
5.2 Scope
This standard contains minimum requirements for audit personnel and for the planning, imple-
mentation, reporting, and follow-up of audits of quality programs. This standard applies to quality
audits where it is specified contractually or where otherwise adopted.
5.3 Requirements
5.3.1 Auditor
5.3.1.1 The auditor shall be capable of planning, implementing, reporting, and following up
audits conducted in accordance with this standard.
5.3.1.2 Acceptability of auditor qualifications shall be agreed on by both the contractor who is
requesting the audit and the organization conducting the audit.
5.3.1.3 The auditor shall do the following:
5.3.1.3.1 Maintain independence in all matters relating to the audit.
5.3.1.3.2 Exercise discretion and observe confidentiality in all matters relating to the audit.
5.3.1.3.3 Conduct him- or herself in an objective and reasonable manner in all matters relating to
the audit.
5.3.2 Auditee
The auditee is responsible for providing all facilities and cooperation necessary for satisfactory
completion of the audit.
5.3.3 Audit Initiation
5.3.3.1 Audit Objective
The objective of the audit shall be to obtain sufficient evidence to permit the auditor to make a
statement regarding his or her judgement of the auditee’s compliance with a specified standard
and the adequacy of existing controls for maintaining compliance.
08/2009 J [M-1003] 37
08/2009
CHAPTER 5 M-1003
5.3.3.2 Audit Resources

The auditing organization shall arrange for sufficient resources to ensure that the audit objective
can be accomplished.
5.3.4 Audit Planning
5.3.4.1 Review of Auditee's Quality Provisions
As a basis for planning the audit, the auditor shall review the auditee's provisions relative to
meeting the specified standard.
5.3.4.2 Audit Timetable
A timetable for the audit shall be arranged by the auditor with the auditee, when necessary.
5.3.4.3 Audit Team Composition
5.3.4.3.1 In any audit conducted by a team of two or more individuals, an auditor shall be desig-
nated as the team leader by the auditing organization. Other personnel may be added to the team
when indicated by the requirements of the audit.
5.3.4.3.2 The team leader shall be the final authority regarding the operation of the audit team.
Individual members of the team shall be responsible for their assigned tasks.
5.3.4.4 Audit Working Papers
The auditor shall be responsible for the preparation of suitable working papers. These shall
include past audit reports, response to audit findings, nonconformance reports/responses, and gov-
erning technical specifications.
5.3.4.5 Compliance Decision Criteria
Planning of the audit shall include development of criteria on which a judgement will be based
regarding the auditee's compliance with the specified standard.
5.3.5 Audit Implementation
5.3.5.1 Initial Meeting of Auditor with Auditee Management
A meeting of the auditor and the auditee management shall take place prior to the start of the
physical audit activities. The objectives shall be to arrive at an understanding of the methods to be
used to carry out the audit and to establish an official channel of communication between the audi-
tor and the auditee management.
5.3.5.2 Conduct of Audit
The auditor shall proceed with the physical audit activities according to plan. The auditor shall
seek confirmation of the representatives of the auditee (verbal or written) regarding the program,
product, or process by physical inspection of evidential matter of product or by direct observation.
5.3.5.3 Documenting Audit Findings
All audit findings shall be documented and signed. Reports of noncompliance shall be reviewed by
the team leader with the responsible manager. All final reports of noncompliance shall be counter-
signed by the team leader.
5.3.5.4 Final Meeting of Auditor with Auditee Management
A meeting of the auditor with the auditee management shall be held at the conclusion of the phys-
ical audit activities to report the audit findings.
5.3.5.5 Discontinuance of Audit
If, in the judgement of the auditor or team leader, the objective of the audit becomes unattainable
for any reason, the audit shall be discontinued and the reasons for the discontinuance reported to
the auditee and to the AAR QA Program Coordinator for consideration by the AAR Quality Assur-
ance Committee.
J [M-1003] 38 08/2009
08/2009
M-1003 CHAPTER 5
5.3.6 Audit Reports

5.3.6.1 An audit report shall be prepared by the auditor (team leader), containing the following:
5.3.6.1.1 A statement regarding the auditor's judgement of compliance by the auditee with the
relevant quality standard and the adequacy of existing controls for maintaining compliance.
5.3.6.1.2 A description of the specific areas of noncompliance.
5.3.6.1.3 A description of the areas where insufficient evidence was obtained for an opinion
regarding compliance or noncompliance.
5.3.6.2 A copy of the audit report shall be made available to the auditee.
5.3.7 Finding Responses
5.3.7.1 Auditee must respond in writing to any adverse finding reports within 30 days.
5.3.7.2 Auditor will evaluate the response for appropriateness and advise the auditee and the
QAC.
5.3.8 Corrective Action Follow-Up
Where the auditee has agreed to implement corrective action in order to bring auditee’s program,
product, or process into compliance with the applicable quality standard, the auditor shall audit
the implementation of such corrective action and report on its adequacy.
5.3.9 Record Retention
Audit documents shall be retained by the AAR QA Program Coordinator.
5.4 Product Audit
Product audits are conducted to verify conformity of finished product to characteristics/specifica-
tions of procedures. They will be conducted by the AAR Field Operations group or by other techni-
cally competent personnel as designated by the Quality Assurance Committee. Product audits may
be announced or unannounced, and, except for the conditions set forth in paragraph 3.6.2, costs
will be borne by the AAR. Contractors will be afforded the opportunity to be present at product
audits.
5.5 Confidentiality
Except where required by law, there shall be no disclosure of the content or findings of any audit
without the permission of the AAR. This requirement shall not preclude publishing the granting
or cancellation of an approval of the relevant program, product, or process in any publication
where such information would normally be published by the AAR or the auditee.
08/2009 J [M-1003] 39
08/2009
CHAPTER 5 M-1003
J [M-1003] 40 08/2009
08/2009
M-1003 CHAPTER 6
Chapter 6
CHAPTER 6. QUALITY ASSURANCE COMMITTEE

6.1 Quality Assurance Program Objective
The AAR Quality Assurance Program is a program for the examination of suppliers’ quality man-
agement programs and the effectiveness of their implementation, followed by certification and
compliance audits to maintain the certification. Its objective is to provide confidence that a sup-
plier meets the requirements of the applicable quality program standard.
6.2 Quality Assurance Committee Responsibilities
The Quality Assurance Committee shall be responsible for the following:
6.2.1 Developing and maintaining the AAR Quality Assurance Specification M-1003 and govern-
ing the Quality Assurance Program, subject to confirmation by the AAR Technical Services Work-
ing Committee.
6.2.2 Determining that adequate committee and auditing procedures are prepared, documented,
and maintained.
6.2.3 Making recommendations to the AAR Technical Services Working Committee or technical
committees concerning new areas for certification activities or major changes in policy.
6.2.4 Evaluating and formally accepting those quality standards and other related documents
used for the certification program.
6.2.5 Performing other such duties as may be assigned to it by the AAR Technical Services Work-
ing Committee.
6.3 Membership
6.3.1 The Quality Assurance Committee shall consist of railroad members and/or Associate Advi-
sory Board members, assigned by the AAR Technical Services Working Committee.
6.3.2 Any member of the Quality Assurance Committee representing a railroad or supplier that
manufactures or reconditions products for sale under the purview of Quality Assurance Specifica-
tion M-1003 may not participate in the consideration of approval of any other manufacturer or
reconditioner of such product.
6.3.3 Any member of the Quality Assurance Committee representing a railroad or supplier that
manufactures or reconditions products under the purview of Quality Assurance Specification M-
1003 may not participate in the consideration of that railroad's or supplier’s approval.
08/2009 J [M-1003] 41
08/2009
CHAPTER 6 M-1003
J [M-1003] 42 08/2009
08/2009
M-1003 CHAPTER 7
Chapter 7
CHAPTER 7. QUALITY ASSURANCE NONCONFORMANCE REPORTING

7.1 Definitions
7.1.1 Contractor The company or organization identified as providing the failed

material or service.
7.1.2 Initiator The company or organization that is responsible for identifying
and reporting the failure of a material or service.
7.2 Objective of Nonconformance Reporting
7.2.1 The objective of nonconformance reporting is to document and provide traceability of an
M-1003-covered material or service failure or the failure of a material described in the Manual of
Standards and Recommended Practices. Also, it is to document its disposition, the corrective
action taken to ensure that the cause of failure is eliminated, and the follow-up initiated to ensure
that the corrective action is effective and permanent.
7.2.2 The response to nonconformance reporting requires five steps:
7.2.2.1 Clear and comprehensive nonconformance description.
7.2.2.2 Nonconformance disposition.
7.2.2.3 Root cause analysis.
7.2.2.4 Corrective action taken to eliminate root cause.
7.2.2.5 Follow-up plan to ensure the corrective action is effective and permanent.
7.3 Reporting Form for Nonconformance
7.3.1 The Quality Assurance Nonconformance Report (NCR) form, QA-7.1, the Quality Assurance
Nonconformance Response Report form, QA-7.2, and the Quality Assurance Evaluation Response
form, QA-7.3 (a data-based facsimile of either, or AAR Web-based reporting), must be used by rail-
roads, private car owners, car builders, shippers, and companies authorized to do manufacturing,
modifying, requalifying, repairing, reconditioning, or remanufacturing of a material or service
described in the AAR’s Manual of Standards and Recommended Practices. It shall be used to docu-
ment the nonconformance of materials and products, premature failure of components, and failed-
in-service conditions (those not due to normal wear, wreck damage, or abuse). The originator of the
form, or an assigned alternate, is responsible for ensuring the timely response from the supplying
company. With the exception of special extenuating circumstances, which must be documented,
QA-7.2 response dates must be no more than 60 days later than the initiation date of the QA-7.1,
and QA-7.3 acceptance or refusal of the response should be no more than 30 days after the
response date.
7.3.2 The form QA-7.1 must be fully completed as described and detailed in the specification,
filed by hard- or electronic-copy, available for audit, and retained for a minimum of 3 years. It shall
provide sufficient information for identification and traceability. QA-7.1 may be supplemented
with other paperwork if desired or needed. The response form, QA-7.2, and all attached supple-
ments, when received, shall be filed with the QA-7.1, made available for audit, and retained for a
minimum of 3 years. Any expediting actions must also be logged with the QA-7.1.
7.3.3 The initiator of the QA-7.1 must provide the contractor the opportunity to review the mate-
rial at the initiator’s location or determine with the contractor where the material is to be for-
warded. Where circumstances prevent the holding of material for the contractor to review, such
circumstances must be documented. In any case, the contractor should be consulted prior to dispo-
sition of the material.
08/2009 J [M-1003] 43
08/2009
CHAPTER 7 M-1003
7.3.4 Complete the QA-7.1 form as follows:

7.3.4.1 Serialize the form in a unique fashion to allow the form to be traced. A suggestion is to
use the first two letters of the reporting company name followed by a sequential number for the
form starting at “1” (e.g., AZ1). If a company has multiple facilities, the QA code letter for the com-
pany and facility may be used in conjunction with a sequential number (e.g., AZWA1).
7.3.4.2 Include the following information:
7.3.4.2.1 Reporting company, location, and date prepared.
7.3.4.2.2 Name of contractor and plant location.
7.3.4.2.3 Item description and AAR specification, code, or standard that applies.
7.3.4.2.4 Contractor’s part numbers, pattern numbers, and/or drawing numbers.
7.3.4.2.5 Quantity of items received and inspected and quantity of items rejected.
7.3.4.2.6 An indication as to whether or not the contractor inspected the rejected material
7.3.4.2.7 Serial number of rejected items or a unique identification of each rejected item or car
number to distinguish it from identical items that are not rejected.
7.3.4.2.8 A clear and comprehensive description of the nonconformance, premature failure, or
failure-in-service condition (those not due to normal wear, wreck damage, or excessive abuse).
Note: Overly brief descriptions such as “Broken” or “Bad order” are not acceptable and not in com-
pliance with this specification.
7.3.4.2.9 A statement of the action to be taken by the reporting company for disposition of the
nonconforming item(s).
7.3.4.3 Verify that a copy of the report has been sent to the contractor and that it included the
date sent and the addressee’s personal name (if known), title, and address.
7.4 Distribution of Reporting Form
Submit the completed Nonconformance Report to the AAR QA Program Coordinator, TTCI, 55500
DOT Road, Pueblo, CO 81001, after the contractor has been fully apprised of the nonconformance
or failure per paragraph 7.3.4.3. Email distribution to the QA Program Coordinator is acceptable
provided the QA-7.1 is an attached file in “.doc,” “.xls,” or “.pdf ” format. Email distribution to the
contractor is at contractor’s discretion. When using AAR Web-based reporting, notification and/or
distribution is automatic to valid e-mail addresses.
7.5 Review of Reporting Forms
The AAR, under the direction of the Quality Assurance Committee, shall review, tabulate, and
monitor the results of these Nonconformance Reports and Responses.
7.6 Reporting Form for Nonconformance Response
7.6.1 In accordance with paragraph 2.18.2.7 of this specification, the contractor is obligated to
advise all affected parties about the disposition of nonconforming items. The contractor will accom-
plish this by completing form QA-7.2 and returning it to the AAR QA Program Coordinator, TTCI,
55500 DOT Road, Pueblo, CO 81001, and to the initiator at the reporting company and others as
specified on form QA-7.2. When using AAR Web-based reporting, notification and/or distribution is
automatic to valid e-mail addresses. QA-7.2 may be supplemented with additional paperwork as
required. Except in extenuating circumstances, which must be communicated in writing to the ini-
tiator and to the AAR QA Program Coordinator, a response to the report must be in the hands of
the initiator, the QA Program Coordinator, and others within 60 days of the date recorded on the
QA-7.1. An auditable log must be kept of the QA-7.1, QA-7.2, QA-7.3, and all related correspon-
dence for 3 years.
J [M-1003] 44 08/2009
08/2009
M-1003 CHAPTER 7
7.6.2 Include the following information on form QA-7.2:

7.6.2.1 Serial number copied from the Report Form QA-7.1.
7.6.2.2 Date the QA-7.2 is prepared.
7.6.2.3 Name of the contractor and the plant location.
7.6.2.4 Name of the reporting (inspecting) company and the company location.
7.6.2.5 Date the Nonconformance Report (Form QA-7.1) was prepared.
7.6.2.6 Quantity of items rejected.
7.6.2.7 Description of the nonconformance copied from Form QA-7.1. Note: This item is required
to provide a direct correlation of the initiator’s concerns with the response developed by the con-
tractor in paragraph 7.6.2.8.
7.6.2.8 A clear, comprehensive description of the nonconformance. Include all known information
regarding the nonconformance. As applicable, answer the following questions: what, how much,
where, when, extent, result of problem, and names of all who are affected.
7.6.2.9 A clear, comprehensive description of the disposition of the nonconforming item. Describe
what was done to provide the reporting company with conforming material or service, to remove
nonconforming material from warehouse and inventories, and to prevent nonconforming material
or service from continuing to be used. Note: This is not the corrective action.
7.6.2.10 A clear, comprehensive description of the root cause(s) of the nonconformance. The root
cause is the cause that, if eliminated, will result in the nonconformance never reoccurring.
7.6.2.11 A clear, comprehensive description of the resultant corrective action(s). The corrective
action is the action taken that eliminates the root cause.
7.6.2.12 A clear, comprehensive description of the follow-up(s) implemented. The follow-up is the
action taken to ensure the corrective action is effective and permanent.
7.6.2.13 Indicate that the initiator of the QA-7.1 (name, address, and company) and others have
been notified, and include the notification date.
7.6.3 Send a copy of the completed form QA-7.2 to the individuals in paragraph 7.6.2.13 and
include a copy of the original QA-7.1 report.
7.6.4 Send the original QA-7.2 and a copy of the QA-7.1 report to AAR QA Program Coordinator,
TTCI, 55500 DOT Road, Pueblo, CO 81001. Email distribution to the QA Program Coordinator is
acceptable provided the QA-7.1 and QA-7.2 are attached file(s) in “.doc,” “xls,” or “.pdf ” format.
Email distribution to the customer is at customer’s discretion. When using AAR Web-based
reporting, notification and/or distribution is automatic to valid e-mail addresses.
7.6.5 The contractor is responsible for requesting a response (QA-7.3 form) from the initiator of
the QA-7.1.
7.7 Verification of Responses
7.7.1 Initiator of the QA-7.1 Material Nonconformance Report will be responsible for the evalua-
tion of the QA-7.2 Corrective Action Response appropriateness.
7.7.2 The evaluation shall be completed, and the results, either positive or negative, will be
transmitted to the Contractor and AAR Program Coordinator using form QA-7.3 or equivalent
within 30 days of receipt of the QA 7.2. A copy of the original QA-7.1 and QA-7.2 must accompany
the QA-7.3 form.
08/2009 J [M-1003] 45
08/2009
CHAPTER 7 M-1003
7.7.3 The contractor shall have 30 days to revise the QA-7.2 Corrective Action Response if the
QA-7.2 was incomplete or did not fully address all five corrective action steps.
7.7.4 Failure of the contractor to adequately respond to Quality Assurance Nonconformance
Reports will initiate the start of the decertification process by the AAR and may result in an unan-
nounced audit and/or withholding of certification or recertification.
J [M-1003] 46 08/2009
08/2009
M-1003 CHAPTER 7
Rev.
8/1/05 QA-7.1
ASSOCIATION OF AMERICAN RAILROADS

QUALITY ASSURANCE NONCONFORMANCE REPORT
7.3.4.1 Serial No.
7.3.4.2.1 Date
7.3.4.2.1 Reporting 7.3.4.2.1 Reporting

Company Company Location
7.3.4.2.2 Contractor 7.3.4.2.2 Contractor Plant

Location
7.3.4.2.3 Item Description 7.3.4.2.3 AAR Spec. Code

or Standard No.
7.3.4.2.4 Contractor Part,

Pattern No., and/or Drawing
Ref
7.3.4.2.5 Quantity Received 7.3.4.2.5 Quantity Inspected
7.3.4.2.5 Quantity Rejected 7.3.4.2.6 Material inspected If No, explain

by Contractor?
Yes No
7.3.4.2.7 Serial Number, 7.3.4.2.8 Nonconformance Description 7.3.4.2.9 Disposition of Item

Identification Mark, or Car (Returned, Repaired, Scrapped,
No. Other)
7.3.4.3 Verify copy sent to Contractor Information:

contractor
Name and Title _________________________________________________________________________________________
Company Name _________________________________________________________________________________________
Street _________________________________________________________________________________________________
City, State, ZIP __________________________________________________________________________________________
Person initiating claim Name

Signature Address
Title City, State ZIP
Phone
Send to AAR QA Program Coordinator, TTCI, 55500 DOT Road, Pueblo, CO 81001 or qa@aar.com.
Fig. 7.1 Quality Assurance Nonconformance Report (NCR)
08/2009 J [M-1003] 47
08/2009
CHAPTER 7 M-1003
Rev.
8/1/05 QA-7.2

QUALITY ASSURANCE NONCONFORMANCE RESPONSE REPORT
7.6.2.1 Serial No.
7.6.2.2 Date
7.6.2.3 Contractor 7.6.2.4 Reporting Company
7.6.2.3 Location 7.6.2.4 Location
7.6.2.5 Date QA-7.1 was filed 7.6.2.6 Quantity Rejected
7.6.2.7 Description of nonconformance

(from QA-7.1)
Action Required Description of Action Taken Date
7.6.2.8 Clearly define the nonconfor-

mance that led to the rejection.
7.6.2.9 Clearly define the actions taken

for disposition.
paragraph 7.6.2.10 Clearly define the

root cause(s) that resulted in the non-
conformance.
7.6.2.11 Clearly define the corrective

action(s) taken that will eliminate the
root cause(s).
7.6.2.12 Clearly define the follow-up

plan(s) that will ensure the effective-
ness of the corrective action(s) taken
in its/their permanence.
Note: Contractor is not confined to using only the spaces above and is encouraged to use attachments.
7.6.2.13 Ensure that the QA-7.1 report initiator has been sent a copy of the completed QA-7.2, including a copy of the original QA-7.1 report. Also
ensure that the customer’s Purchasing and Mechanical Department managers have been sent a copy of the QA-7.1 and completed QA-7.2.
Signed by Management Representative Title
Send original to AAR QA Program Coordinator, TTCI, 55500 DOT Road, Pueblo, CO 81001 or qa@aar.com. Include a copy of the original QA-7.1 report.
Fig. 7.2 Quality Assurance Nonconformance Response Report

J [M-1003] 48 08/2009
08/2009
M-1003 CHAPTER 7
Rev.
8/1/07 QA-7.3

QUALITY ASSURANCE EVALUATION RESPONSE FORM
Date QA 7.1/QA 7.2

Serial No.
Reporting company Contractor
Location Location
Person performing review
QA 7.2 received per 7.6.1 If no, response was received

requirements?
YES NO
after how many days?
The above-listed QA 7.2 has been reviewed and, in the opinion of the reviewer, the proposed corrective action has been found to be proper and
adequate. As such, the QA 7.1 is considered closed.
OR
The above-listed QA 7.2 has been reviewed and, in the opinion of the reviewer, the proposed corrective action (check one)
Does not adequately identify the root cause. Comments: ____________________________________________________________________

__________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________
Does not propose corrective action that will eliminate the identified root cause. Comments __________________________________________
__________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________
Verify copy sent to Contractor Information:

contractor
Name and Title _________________________________________________________________________________________
Company Name ________________________________________________________________________________________

Street _________________________________________________________________________________________________
City, State, ZIP _________________________________________________________________________________________
Email _________________________________________________________________________________________________
Person reviewing QA 7.2 Name

Signature Address
Title City, State ZIP
Phone
Email
Send copy to AAR Program Coordinator, TTCI, 55500 DOT Road, Pueblo, CO 81001 or qa@aar.com.
Fig. 7.3 Quality Assurance Nonconformance Response Evaluation Form
08/2009 J [M-1003] 49
08/2009
CHAPTER 7 M-1003
Initiator
Encounters prematurely failed material or service from applicable component list
as published quarterly in the “Quality Assurance Certified Companies” Circular.
Initiator
Completes NCR form (Fig. 7.1) and mails copy to Contractor and to AAR QA
Program Coordinator
Initiator Contractor QA Program Coordinator

Discuss failure with contractor and Discuss failure with initiator and
determine disposition of material. determine disposition of material. File NCR
Initiator Contractor
If material cannot be held or returned Investigate failure and develop
for Contractor investigation, response as per paragraph 7.6 and
document circumstances. document response on form Fig. 7.2
Monitor Contractor response and Send response on form Fig. 7.2 with
solicit action to ensure response is a copy of the Initiator’s completed
received as per paragraph 7.6.1. form Fig. 7.1 to AAR QA Program
Coordinator and to the Initiator
Response QA Program Coordinator

Response
Not
Received
Received
Monitor Contractor response.
Evaluate response Monitor Initiator
from Fig. 7.3 with a evaluation to
copy of all completed ensure acceptability
forms being sent to of response as per
the AAR Program paragraph 7.7.3
Coordinator and to
the Contractor. Advise QA
Program
Coordinator
Initiator Contractor QA Program Coordinator

File responses and retain copies as File responses and retain copies as Advise QA Committee of NCR status.
per paragraph 7.6.1 for auditor per paragraph 7.6.1 for auditor
verification. verification.
Fig. 7.4 Process map for nonconformance reporting
J [M-1003] 50 08/2009
08/2009
M-1003 APPENDIX A
APPENDIX A
REFERENCE GUIDE
Shown below is a listing of products and/or services that require M-1003 certification, the AAR
Field Manual rule and/or circular letter that added the product or service to the M-1003 program,
and the number of the standard or specification that requires technical approval in addition to
M-1003 certification.
Commodity Group A
AAR Field AAR Circular Supplemental
Manual Technical Technical
Rule Approval Checklist
Commodity Reference Reference Date Required Required
A1 Manufacturer of Journal Roller Bearings 36 C-7081/ 9/10/85– M-934
C-8306 1/31/95
A2 Blank
A3 Manufacturer of Freight Couplers 16, 17, 18 C-7144 10/20/86 M-211 M-211—
www.aar.com
A4 Manufacturer of Locomotive Couplers C-8306 1/31/95
A5 Manufacturer of Freight Knuckles 16, 17, 18 C-7144 10/20/86 M-211 M-211—
www.aar.com
A6 Manufacturer of Locomotive Knuckles C-8306 1/31/95
A7 Manufacturer of Freight Yokes 19, 20 C-7144 10/20/86 M-211 M-211—
www.aar.com
A8 Manufacturer of Locomotive Yokes C-8306 1/31/95
A9 Manufacturer of Freight Side Frames and Bolsters 47, 48 C-7144 10/20/86 M-210 M-210—
www.aar.com
A10 Manufacturer of Locomotive Truck Frames and C-8306 1/31/95
Bolsters
A11 Manufacturer of Freight Cushioning Devices 59 C-7196 6/10/87 M-921G—
www.aar.com
A12 Blank
A13 Manufacturer of Wheels 41, 43 C-7149/ 11/10/86– M-107/ M-107/208—
C-8306 1/31/95 208 www.aar.com
A14 Blank
A15 Manufacturer of Axles 41, 43 C-7149/ 11/10/86– M-101 M-101—
C8306 1/31/95 www.aar.com
A16 Manufacturer of Journal Roller Bearing Adapters C-10535 6/12/07 M-924
A17 Manufacturer of Freight Brake Valves 4 C-7504 5/21/90 S-462
A18 Manufacturer of Locomotive Brake Valves C-8306 1/31/95
A19 Manufacturer of Tank Cars 88 C-7856 6/10/92 M-1002 M-1002—
www.aar.com
A20 Manufacturer of Freight Cars C-8233 7/20/94 S-2034 S-2034—
www.aar.com
A21 Manufacturer of Locomotives C-8279 11/21/94
A22 Manufacturer of Freight Car Major Subassemblies C-7144 10/20/86 S-2034/ S-2034—
M-1002 www.aar.com
A23 Manufacturer of AEI Tags 63 C-9866 6/18/04
08/2009 J [M-1003] 51
08/2009
APPENDIX A M-1003
Commodity Group B (Page 1 of 4)

AAR Field Supplemental
Manual AAR AAR Technical Technical
Rule Circular Circular Approval Checklist
B1 Manufacturer of Roller Bearing Grease 26 C-7332 11/30/88 M-942
B2 Manufacturer of Freight Truck Springs 50 C-7144 10/20/86
B3 Manufacturer of Locomotive Truck Springs C-8331 3/31/95
B4 Manufacturer of Center Plates 60 C-7149 11/10/86 M-201—
www.aar.com
B5 Manufacturer of Freight Draft Gear 21 C-7149 11/10/86
B6 Reconditioner of Freight Draft Gear 21 C-7149 11/10/86 M-901B
B7 Manufacturer of Locomotive Draft Gear C-8306 1/31/95
B8 Reconditioner of Locomotive Draft Gear C-8547 5/10/96
B9 Manufacturer of Brake Hoses 5 C-7504 5/21/90 M-601/ M-601/
M-618 M-618/
M-620—
www.aar.com
B10 Manufacturer of Rubber Goods, Including Gaskets, 4 C-7504 5/21/90 S-4001
Packing Cups and Diaphragms
B11 Manufacturers of Repair Kits 4 C-7504 5/21/90 S-4001
B12 Reconditioner of Freight Couplers 16, 17, 18 C-7145 10/20/86 M-212 M-212—
www.aar.com
B13 Reconditioner of Locomotive Couplers C-8547 5/10/96
B14 Blank
B15 Blank
B16 Reconditioner of Freight Yokes 16, 17, 18 C-7145 10/20/86 M-212 M-212—
www.aar.com
B17 Reconditioner of Locomotive Yokes C-8547 5/10/96
B18 Reconditioner of Freight Side Frames and Bolsters 47, 48 C-7833 4/30/92 M-214 M-214—
www.aar.com
B19 Reconditioner of Locomotive Truck Frames and C-8547 5/10/96
Bolsters
B20 Reconditioner of Freight Cushioning Devices 59 C-7197 6/20/87 M-921-C
B21 Manufacturer of Freight Car Break Shoes C-9951 11/3/04 M-926 M-926—
www.aar.com
B23 Reconditioner of Locomotive Journal Roller C-8547 5/10/96 H-II
Bearings
B24 Tank Car Repair Facility (Not Including Class E) 81 C-7857 6/10/92 M-1002
B25 Freight Car Repair Facility Engaged in Repairs 88 C-8405 9/11/95
Involving over 85 Hours Labor and/or Wreck
Damage
B26 Freight Car Repair Facility Performing Office 88 C-8168 4/11/94
Manual Rule 88 Repairs/Modifications
B27 Facility Performing M-970 88 C-8168 4/11/94 M-970
Certifications/Recertifications
J [M-1003] 52 08/2009
08/2009
M-1003 APPENDIX A

B28 Designated Satellite Shop Repairs 88 C-8168 4/11/94 M-992
B29 Manufacturer of Brake Beams 5 C-7504 5/21/90 S-344 S-344—
www.aar.com
B30 Reconditioner of Brake Beams 5 C-7505 5/21/90 M-300 M-300—
www.aar.com
B31 Freight Air Brake Repair Facility 4 C-7505 5/21/90 S-477 S-477—
www.aar.com
B32 Locomotive Air Brake Repair Facility C-8547 5/10/96
B33 Wheel and Axle Shop 41, 43, 36 C-7149/ 11/10/86– H-II/
C-7111 2/11/86 G-II
B33-1 Status Code 1 41, 43 C-7149 11/10/86 G-II
B33-2b Status Code 2B 41, 43 C-7149 11/10/86 H-II
B33-2f Status Code 2F 41, 43 C-7149 11/10/86 H-II
B33-2p Status Code 2P 41, 43 C-7149 11/10/86 H-II
B33-3a Status Code 3A 36 C-7111 2/11/86 G-II/
M967
B33-3b Status Code 3B 36 C-7111 2/11/86 G-II/
M-967
B33-3c Status Code 3C 36 C-7111 2/11/86 G-II/
M-967
B33-4 Status Code 4 C-8547 5/10/96
B33-5 Status Code 5 36 C-7111 2/11/86 G-II
B33-6a Status Code 6A 36 C-7111 2/11/86 G-II
B34 Blank
B35 Manufacture Box Car Doors C-11007 5/27/09 S-212,
S-213
B36 Manufacture Nailable Steel Flooring C-11007 5/27/09 M-964
B37a Manufacturer of Locomotive Traction Motors C-8331 3/31/95
B37b Reconditioner of Locomotive Traction Motors C-8547 5/10/96
B39a Manufacturer of Locomotive Turbochargers C-8331 3/31/95
B39b Reconditioner of Locomotive Turbochargers C-8547 5/10/96
B41a Manufacturer of Locomotive Power Assemblies C-8331 3/31/95
B41b Reconditioner of Locomotive Power Assemblies C-8547 5/10/96
B43a Manufacturer of Locomotive Cylinder Heads C-8331 3/31/95
B43b Reconditioner of Locomotive Cylinder Heads C-8547 5/10/96
08/2009 J [M-1003] 53
08/2009
APPENDIX A M-1003

B45a Manufacturer of Locomotive Fuel Injectors C-8331 3/31/95
B45b Reconditioner of Locomotive Fuel Injectors C-8547 5/10/96
B47a Manufacturer of Locomotive Governors C-8331 3/31/95
B47b Reconditioner of Locomotive Governors C-8547 5/10/96
B48a Manufacturer of Locomotive Engine Protectors C-10529 5/25/07
B49a Manufacturer of Locomotive Fuel Pumps C-8331 3/31/95
B49b Reconditioner of Locomotive Fuel Pumps C-8547 5/10/96
B51a Manufacturer of Locomotive Water Pumps C-8331 3/31/95
B51b Reconditioner of Locomotive Water Pumps C-8547 5/10/96
B53a Manufacturer of Locomotive Oil Pumps C-8331 3/31/95
B53b Reconditioner of Locomotive Oil Pumps C-8547 5/10/96
B55a Manufacturer of Locomotive Radiators C-8331 3/31/95
B55b Reconditioner of Locomotive Radiators C-8547 5/10/96
B56a Manufacturer of Locomotive Grid Resisters C-10529 5/25/07
B57a Manufacturer of Locomotive Main C-8331 3/31/95
Generators/Alternators
B57b Reconditioner of Locomotive Main C-8547 5/10/96
Generators/Alternators
B58a Manufacturer of Locomotive Electronic Handbrakes C-10529 5/25/07
B59a Manufacturer of Locomotive Air Compressors C-8331 3/31/95
B59b Reconditioner of Locomotive Air Compressors C-8547 5/10/96
B61a Manufacturer of Locomotive Engines C-8331 3/31/95
B61b Reconditioner of Locomotive Engines C-8547 5/10/96
B63a Manufacturer of Locomotive Cooling/Radiator Fans C-9154 6/6/00
B63b Reconditioner of Locomotive Cooling/Radiator Fans C-9154 6/6/00
B64a Manufacturer of Locomotive Starter Motors C-10529 5/25/07
B65a Manufacturer of Locomotive Grid Blower Motors C-9154 6/6/00
B65b Reconditioner of Locomotive Grid Blower Motors C-9154 6/6/00
B67a Manufacturer of Locomotive Inertial/Equipment C-9154 6/6/00
Blower Motors
B67b Reconditioner of Locomotive Inertial/Equipment C-9154 6/6/00
Blower Motors
B69 Locomotive Traction Motor/Wheel Combo Assembly C-9154 6/6/00
B70 Reconditioner of Slack Adjusters 4 C-9260 12/13/00
B71 Blank
B72 Blank
B73 Freight Car Assemblers C-8233 7/20/94 S-2034
B74 Manufacturers of Rail C-8833 12/17/97
B75 Manufacturers of Switches C-8833 12/17/97
J [M-1003] 54 08/2009
M-1003 APPENDIX A

B76 Manufacturers of Frogs C-8833 12/17/97
B77 Manufacturers of Ties C-8833 12/17/97 B77—
www.aar.com
Commodity Group C
C1 Brake Hose Assembler 5 C-7505 5/21/90
C2 Blank
C3 Class E Tank Car Facility C-8827 12/11/97
08/2009 J [M-1003] 55
APPENDIX A M-1003
J [M-1003] 56 08/2009
08/2009
M-1003 APPENDIX B
APPENDIX B
MSRP COMPLIANCE CHECKLISTS
MSRP Compliance Checklists commonly referred to supplemental technical checklists are to be
used during an internal quality audit to demonstrate compliance with the quality aspects of
applicable technical specifications.
A sample completed checklist can be found on the following pages.
IMPORTANT: Users should go to www.aar.com/aar_standards--registry_of_aar_qa_certified.htm
and choose the master list of supplemental checklists to access the most current revision of any
MSRP compliance checklist.
MSRP Compliance (Supplemental Technical) Checklist (M-926) page J [M-1003] 59
08/2009 J [M-1003] 57
08/2009
APPENDIX B M-1003
J [M-1003] 58 08/2009
08/2009
M-1003
MSRP Compliance Checklist (M-926) Revision 1

08/2009
Date: 8/1/09 Audited Company: _______ANY COMPANY _ _________________________________________________
Auditor Printed Name & Company:_AUDITOR, AAR AUDITNG AGENCY Auditor Signature:__________ AUDITOR _
In general these questions should be answered during the audit of inspection and test plan and/or process
Rev. 1 8/28/07
control.
Question # Question AUDIT REMARKS
Yes No
M-926 Brake Shoe Manufacturing Requirements THIS IS A SAMPLE - USER SHOULD RECORD THEIR
OWN OBJECTIVE EVIDENCE.
1.0 Does the manufacturer have a current MSDS showing that the shoes are X CHECKED MSDS FOR BASE MATERIAL
asbestos and lead free?
1.1 Does the manufacturer have proof of AAR approval under specification M- X APPROVAL LETTER FROM THE BRAKING SYSTEMS
926? COMMITTEE
1.2 Is the design and contour of the brake shoes within the limits shown in X DRAWING: "ANYCOMPANY#3 REV. B" MEETS S-431
Standard S-431?
1.3 Does the dynamometer used by the manufacturer have AAR approval? X
1.4 Does the manufacturer have documentation showing that their X NA - WE DO NOT HAVE A DYNO, WE USE AAR'S
dynomometer has been calibrated within the past year?
1.5 Does the manufacturer have documentation showing the density, X REVIEWED TEST DATA FOR BATCHES 3, 4, AND 5.
hardness, solvent extraction, and shear or pull-off strength for each of
their approved friction materials?
J [M-1003] 59
1.6 Is marking on the brake shoe backing plate as defined in S-431 clear and X SEE ATTACHED PHOTO
distinct?
And does it include the following:
1.6.1 vendor name or trademark? X SEE 1.6
1.6.2 date code? X SEE 1.6
1.6.3 AAR type designation? X SEE 1.6

SAMPLE Completed Checklist Page 1 of 2

APPENDIX B
08/2009 AAR Manual of Standards and Recommended Practices
APPENDIX B M-1003
Revision 1
Page 2 of 2
MSRP Compliance Checklist (M-926)
SAMPLE Completed Checklist
J [M-1003] 60 08/2009

Especificaciones Seguridad MSRP-J09

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Especificaciones Seguridad MSRP-J09

Uploaded by

Copyright:

Available Formats

Association of American Railroads

SAFETY AND OPERATIONS

SPECIFICATION FOR QUALITY ASSURANCE

ORIGINAL PUBLICATION 1985

The Association of American Railroads

ORDERS FOR Publications Department

THIS PAGE LEFT BLANK INTENTIONALLY

Chapter 2. Quality Assurance Program Requirements

2.22 Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–19

Chapter 3. Procedure for Certification Application and Maintenance

Chapter 4. Procedures for the Certification and Recertification of Auditors

Chapter 5. Quality Audit Standard

Chapter 6. Quality Assurance Committee

Chapter 7. Quality Assurance Nonconformance Reporting

Appendix A Reference Guide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J–51

THIS PAGE LEFT BLANK INTENTIONALLY

CHAPTER 1. ADMINISTRATIVE PROVISIONS

1.7 Quality Assurance Program Requirements and Reciprocity

1.10 Approval of Auditors

AAR receives completed application form and

Status Report AAR maintains application status report

Request quality assurance manual from contractor.

AAR or agent receives and reviews contractor’s

AAR or agent determines team members, schedules

AAR or agent advises contractor of team members,

Conduct pre-audit team/contractor meeting

Conduct audit, develop audit observations by audit

Hold post-audit team meeting concerning

Conduct post-audit team/contractor meeting

Audit report sent to contractor identifying required

Contractor response and correction of

Quality assurance committee review of audit report

Block 20 Reconciliation of fees

Block 21 Compliance audits

CHAPTER 2. QUALITY ASSURANCE PROGRAM REQUIREMENTS

2.10 Incoming Inspection

2.14 Identification and Traceability

2.16 Preservation, Packaging, and Shipping

2.18 Nonconformance Control and Quality Program Improvement

2.19 Quality Program Review and Manual Revision

2.24 Design Control

THIS PAGE LEFT BLANK INTENTIONALLY

CHAPTER 3. PROCEDURE FOR CERTIFICATION APPLICATION AND

3.5 In-Plant Audit for Initial Certification and Recertification

3.9 Confidentiality of Quality Assurance Information

IT IS INTENDED THAT AAR QUALITY ASSURANCE CERTIFICATION BE APPLICABLE TO MANUFACTURERS/

1. Application for: Initial Certification or Recertification

3. Product/service to be certified: New Reconditioned Secondhand

4. Name of primary contact for QA certification:

Title: _____________________ Phone: _____________ Email: _______________________________

6. Has an Application for Technical Approval been filed? Yes No

BY THIS APPLICATION, WE AGREE TO BE BOUND BY THE ARBITRATION PROCEDURES AS DEFINED IN PARA-

Signed by: ________________________________ Signed by: ________________________________

AAR File No. assigned:

Fig. 3.1 Application for certification

INSTRUCTIONS FOR COMPLETING APPLICATION FOR

AAR Quality Assurance Program

Transportation Technology Center Inc. is a subsidiary of Association of American Railroads

Fig. 3.2 Application instructions

Initial certification granted by

Contractor undergoes annual

Audit results are forwarded to

It has been more than Contractor QAC may arrange an

Title: _______________ Phone: _ Email: _________________________

Signed by: Signed by:

Signature of Applicant: ________________________ Date: