2014 QASE (8-2014 Final Excel Version) - Shaded

Association of American Railroads Quality Assurance System Evaluation Checklist (QASE) 08/01/14
*Changes from the previous QASE noted by "yellow" highlight of

block
Evaluation Summary Company: ____________________________________ Prepared By: _________________________________
Section Element Manual Audit OK Objective Evidence

Yes No Yes No
2.1 Objective of Quality Assurance Program
2.2 Applicability and Scope
2.3 QA Program and Manual Requirements
2.4 Management Responsibility
2.5 Production, Inspection, and Test Planning
2.6 Corrective and Preventative Actions
2.7 Document Control
2.8 Measuring and Testing Equipment
2.9 Purchasing and Contracting
2.10 Incoming Inspection
2.11 In-Process Inspection
2.12 Final Inspection
2.13 Inspection Status
2.14 Identification and Traceability
2.15 Process Control
2.16 Preservation, Packaging and Shipping
2.17 Quality Records
2.18 Nonconformance Control
2.19 Quality Program Review and Manual Revision
2.20 Process Capability/Statistical Methods
2.21 Internal Quality Audits
2.22 Training
2.23 Contract Review
2.24 Design Control
QA Procedure Page 1 Appendix A

SECTION ELEMENT MANUAL AUDIT Objective Evidence

Yes No Yes No
2.1 OBJECTIVE OF THE QUALITY ASSURANCE PROGRAM
2.1.1 Has the contractor established a quality assurance program that
includes all elements of the AAR M-1003 specification?
Is it established and maintained by the contractor for the

purpose of ensuring that materials, products, and services
conform to contract requirements?
2.1.2 Are the principal objectives of a quality program addressed as
follows:
2.1.2.1 Are all specified requirements fulfilled?
2.1.2.2 Are non-conforming items prevented, detected early, and
properly disposed of?
2.1.2.3 Is there evidence of continuous improvement of the items
produced, the processes producing them and/or the services
provided?
2.1.3 Does the documentation sufficiently outline requirements
affecting quality in activities covered by this standard in order to
verify that materials, products, and services meet contract,
statutory, and regulatory requirements?
2.2 APPLICABILITY AND SCOPE
2.2.1 Does the contractor's quality assurance program 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, processing,
inspection, and assembly; and the packaging, storing, and
shipping of material; and the maintenance of equipment that
affects quality?
2.2.2 Does the program provide that measures be implemented to

plan work and prevent defects?
Does the program identify, nonconformances and initiate
corrective action to eliminate their causes and potential for
reoccurrence as early in the process as possible?


Yes No Yes No
2.3 QUALITY ASSURANCE PROGRAM AND MANUAL
REQUIREMENTS
2.3.1 Does the contractor establish, implement, and maintain a
quality assurance program according to the requirements of this
specification?
2.3.2 Does the contractor prepare a Quality Assurance Manual
covering the requirements of this specification?
Does the quality manual:
2.3.2.1 include or make reference to the quality programs procedures?
2.3.2.2 outline the structure of the documentation used in the quality

program to plan and perform work so that nonconformities are
prevented and those that do occur are detected and resolved?
2.3.2.3 provide the means for its effective implementation and

continuous improvement of the quality program?
2.3.3 Has the approval of this manual by a senior management
official been documented?
2.3.4 Does the Quality Assurance Manual contain, at a minimum:
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?
2.3.4.4 System function descriptions for paragraphs 2.6 through 2.24
that document purpose (intent of what is expected to be
accomplished), scope (what activities and processes are
included), and an outline of what shall be done?
2.3.5 Does the contractor maintain a current subscription to AAR

Circular Letters or demonstrate a system that provides access
to current AAR Circular Letter information as it pertains to the
contractor's operation?
2.3.6 Does the contractor maintain a current copy of AAR
Specification M-1003?


Yes No Yes No
2.4 Management Responsibility
2.4.1 Policy and Objectives
2.4.1.1 Has the contractor defined and documented the organization's
policy for quality, including objectives for quality and it's
commitment to quality?
2.4.1.2 Does the contractor ensure that this policy is understood,
implemented, and maintained at all levels of the organization?
2.4.1.3 Does the contractor ensure that quality assurance requirements

are not subordinated to manufacturing or construction?
2.4.1.4 Has the contractor defined the responsibility, authority and

interrelationship of personnel who manage, perform and verify
work affecting quality?
Has their relationship been shown on organization charts or
clearly described in writing?
2.4.2 Responsibility and Authority
Has the contractor appointed a management representative
who, irrespective of other responsibilities, has the responsibility,
organizational freedom and authority to:
2.4.2.1 ensure that a quality program is established, implemented, and
maintained in accordance 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 nonconformities
relating to product, process, 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?


Yes No Yes No
2.4.3 Resources
Does the (contractor's) organization 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
Does the contractor's management holding executive
responsibility:
2.4.4.1 Review the quality program at least annually to ensure its
continuing suitability and effectiveness in satisfying the
requirements of this specification and the contractors quality
policy and objectives?
Does the review include at least but is not limited to the
following:
Internal and External quality audits?
Internal and external nonconformances and/or Chapter 7
criteria?
Corrective and Preventative Actions?
Previous management review and action items?
Changes to the quality system?
Inspection results for example scrap rates, rework status,
inspection data, and on-time delivery?
2.4.4.2 Have records of such reviews been maintained?


Yes No Yes No
2.5 Production, Inspection, and Test Planning
2.5.1 Does the contractor 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
contractors program. This includes flow charts, so long as all
criteria from incoming inspection through packaging and
shipping are addressed. Does it, 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 quality.
2.5.2.2 Identify the characteristics to be inspected, examined, and

tested at each point and specify 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 characteristics of an item or process,
and 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?


Yes No Yes No
2.6 Corrective and Preventative Actions
2.6.1 Has the contractor continuously improved the effectiveness 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)?
2.6.2 Has the contractor implemented procedures for corrective
action that include the following:
2.6.2.1 Handling of customer complaints and reports of product/service
nonconformance?
2.6.2.2 Investigation of the root cause of the nonconformity relating to
product, process, and quality program and recording of the
results of the investigation?
2.6.2.3 Determination of the corrective action needed to permanently
eliminate the root cause of the nonconformity?
2.6.2.4 Documenting assignment of responsibility to ensure corrective
actions are implemented?
2.6.2.5 Assignment and tracking of expected completion dates for
corrective actions?
2.6.2.6 Application of controls to ensure that corrective action is taken
and is effective?
2.6.3 Has the contractor implemented procedures for preventive
action that include the following:
2.6.3.1 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?
2.6.3.2 Initiation of preventive action and application of controls to
ensure that the procedure is effective?
2.6.3.3 Confirmation that relevant information on actions taken is
submitted for management review?
2.6.4 Have records of corrective and preventive actions been
maintained?


Yes No Yes No
2.7 DOCUMENT CONTROL
2.7 Has the contractor done the following:
2.7.1 Establish and maintain documented procedures to control all
documents affecting quality, including, to the extent applicable,
documents of external origin such as standards and customer
drawings?
2.7.2 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 Have documents been reviewed and approved for adequacy by

authorized personnel prior to use?
2.7.4 Has the contractor established controls to ensure the following:
2.7.4.1 That 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
functioning 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.
M-1003 Certified Companies are required to maintain current English

language versions of Applicable Standards, internal procedures and
forms used in the quality program. (In general, AAR Requirements will
not need to be translated to another language, provided the company's
procedures meet the requirements of the AAR Rules.)
With respect to forms, please note that it is not the committees intent
to require that completed forms, used to record inspection, test, etc. be
maintained in both English and the appropriate language. As a
minimum, M-1003 Certified Companies will be required to maintain
current English language versions of all forms for use by the auditor.


Yes No Yes No
2.7.4.3 That 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 That 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, does the contractor do
the following:
2.7.5.1 Ensure that changes to documents receive the same
authorization as the original documents?
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 Are written notes on documents made by authorized persons
according to established procedures?
2.7.7 Have documents been revised and reissued after a practical
number of changes have been issued?


Yes No Yes No
2.8 MEASURING AND TEST EQUIPMENT
2.8.1 Has the contractor established and maintained documented
procedures to control, calibrate, and maintain all measuring and
test equipment and devices used to verify item quality and to
monitor special processes?
2.8.2 Does the contractor, at prescribed intervals or prior to use,
calibrate and adjust measurement and test equipment against
certified equipment having a known valid relationship to
nationally recognized standards?
2.8.3 Where no national standard exists, does the contractor
document the basis employed for calibration? (This can include
industry or user standards.)
2.8.4 Does the contractor maintain calibration documents that include
equipment type, identification number, location, frequency of
checks, description of check method, acceptance criteria, and
action to take when results are unsatisfactory?
2.8.5 Does the contractor identify measuring and testing equipment

with a tag, sticker, or other suitable indicator to show the
calibration status?
2.8.6 Does the contractor maintain calibration records for measuring
and test equipment?
2.8.7 Does the contractor assess and document the validity of
previous inspection and test results when measuring and test
equipment are found to be out of calibration?
2.8.8 Does the contractor ensure that environmental conditions are
suitable for calibrations being carried out?
2.8.9 Does the contractor 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 Does the contractor safeguard all measuring and testing
equipment from adjustments that would invalidate the
calibration setting?


Yes No Yes No
2.9 PURCHASING AND CONTRACTING
2.9.1.1 Identify products to be purchased or subcontracted?
2.9.1.2 Determine for those subcontracted items 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 Do purchasing documents 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, drawings, or other technical specifications?
2.9.2.2 The title or other positive identificationand applicable issues

of specifications, drawings, 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 Does the contractor review and approve purchasing documents

for adequacy of the specified requirements prior to release?


Yes No Yes No
2.9.4 When specified in the contract, are the contractor's customers
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.


Yes No Yes No
2.10 INCOMING INSPECTION
2.10.1 Does the contractor inspect, test, and identify incoming items as
required by the inspection and test plans?
2.10.2 Does the contractor check the objective evidence provided by

subcontractors and suppliers as a means of verifying quality per
the requirements of paragraph 2.10.1?
2.10.3 Does the contractor hold incoming items until the required
inspection and tests are completed or the necessary inspection
and test reports are received and verified (except when items
are released under positive recall)?


Yes No Yes No
2.11 IN-PROCESS INSPECTION
2.11.1 Does the contractor inspect, test, and identify items as required
by the inspection and test plan?
2.11.2 Where inspection is not feasible, does the contractor monitor

process methods?
2.11.3 Does the contractor 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 positive recall shall not preclude inspection,

testing and identification as specified in paragraph 2.11.1.
2.11.4 Does the contractor identify nonconforming items?
2.11.5 Does the contractor maintain documented procedures for the

verification, storage, and preservation of the customer-supplied
part(s)?
2.11.6 Are any customer-supplied part(s) that are lost, damaged,
nonconforming, or otherwise unsuitable for use recorded and
reported to the customer?


Yes No Yes No
2.12 FINAL INSPECTION
2.12.1 Does the contractor inspect, test, and identify the final items as
required by the inspection and test plan?
2.12.2 Does the contractor 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 Does the contractor retain all inspection records as specified in
paragraph 2.17?


Yes No Yes No
2.13 INSPECTION STATUS
2.13.1 Does the contractor 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 processing?
2.13.2 Does the contractor establish and maintain a system for tags or
stamped impressions on the item or its containeror other
physical meansthat indicates final acceptance of items?
Final acceptance indicators, in-process indicators, and incoming
inspection indicators must not be identical.
2.13.3 Does the contractor show the identity of the contractor and its
inspector on any inspection stamps used?
2.13.4 Does the contractor 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?


Yes No Yes No
2.14 IDENTIFICATION AND TRACEABILITY
2.14.1 Where appropriate, does the contractor identify each item (lot,
component, or part) to the applicable drawing, specification, or
other technical document, from receipt through processing and
shipping?
2.14.2 Where traceability is specified, does the contractor assign to
each item a unique identification that shall distinguish those
items that are otherwise identical but that have been processed
in separate batches? Record this identification on all process,
inspection, and test records?


Yes No Yes No
2.15 PROCESS CONTROL
2.15 Does the contractor 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 shall include but not be limited to the
following:
2.15.1 Adhere to documented procedures defining the work process
where the absence of such procedures could adversely affect
quality?
2.15.2 Employ suitable process equipment in a suitable working
environment?
2.15.3 Comply with applicable codes, standards, specifications,
documented procedures, and/or inspection and test plans
(paragraph 2.5)?
2.15.4 Monitor and control applicable process parameters and product
characteristics?
2.15.5 Approve procedures, processes, and equipment?
2.15.6 Establish workmanship criteria in the clearest appropriate
manner (e.g., written standards, reference standards, pictures,
etc.)?
2.15.7 Maintain equipment to ensure continuing conformity to product
requirements?
2.15.8 Ensure that special processes (including but not limited to
welding, heat treating, plating, and non-destructive 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 Ensure that the qualification of personnel, procedures, and
equipment complies with the requirements of applicable codes,
standards, and specifications?
2.15.10 Ensure that documentation for currently qualified personnel,
processes, or equipment is maintained in accordance with the
requirements of pertinent codes, standards, and specifications?


Yes No Yes No
2.15.11 Define those special processes not covered by applicable
codes, standards, or specifications? 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 Have any required technical approvals been granted and/or

maintained?
Are technical requirements understood?
Have any applicable AAR MSRP Compliance checklists, as
defined in Appendix A, been completed, at least annually?
Are they available for review, including verification that the

requirements of applicable AAR technical standards,
specifications, recommended practices, and technical checklists
are being met?


Yes No Yes No
2.16 PRESERVATION, PACKAGING, AND SHIPPING
2.16.1 Does the contractor establish and maintain documented
procedures for handling, storage, preservation, and delivery of
product?
2.16.2 Does the contractor provide methods of handling and storing
product that prevent damage?
2.16.3 Does the contractor control packing, packaging, and marking

processes (including materials used) to the extent necessary to
ensure conformance to specified requirements?
2.16.4 Does the contractor apply appropriate methods for preservation

and segregation of product when the product is under
contractor control?
2.16.5 Does the contractor 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.)


Yes No Yes No
2.17 QUALITY RECORDS
2.17.1 Does the contractor maintain quality records as evidence of the
following:
2.17.1.1 The item or material meets this standard 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 Does the contractor 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, 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 as long as necessary; at a minimum
ensure compliance to applicable contractual, legal and/or
technical specification requirements?
2.17.3.4 Provide suitable environment for records to minimize
deterioration or damage and to prevent loss?
If electronic records are used does the contractor address, at a
minimum, frequency of backups, type of media to be used for
backups, and storage requirements?


Yes No Yes No
2.18 Nonconformance Control
2.18.1 Does the contractor control nonconforming conditions and
continuously improve the effectiveness of the quality program?
2.18.2 Has the contractor established and maintained measures for

controlling nonconforming items 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 mechanical department heads in writing of the
final disposition of returned/recalled materials identified as
nonconforming to preclude unauthorized use, as per Chapter
7?
Is the contractor complying with all Chapter7 requirements of
AAR M-1003?
Is the contractor properly using Forms QA 7.1, QA 7.2 and QA
7.3 as detailed in Chapter 7 of AAR M-1003?
Are records of this activity maintained for three years as
required by Chapter 7 of AAR M-1003?
2.18.3 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 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?


Yes No Yes No
2.19 QUALITY PROGRAM REVIEW AND MANUAL REVISION
2.19.1 Does the contractor review the quality assurance program and
manual at least annually?
2.19.1.1 Does the contractor maintain a completed Quality Assurance

System Evaluation (QASE) Checklist, identifying the
corresponding line item from their program that addresses each
requirement in the current Specification M-1003?
2.19.1.2 Following the review does the contractor update the quality
assurance program and manual accordingly to reflect current
quality assurance practices?
2.19.2 Does the contractor submit revisions to the quality assurance
program and manual to the AAR QA Program Coordinator or
agent prior to 60 days before a scheduled M-1003 audit?
Does the contractor prepare and submit more frequent

upgrades in procedures and clarity in accordance with these
specifications when deficiencies are identified and documented
by the Quality Assurance Committee?


Yes No Yes No
2.20 PROCESS CAPABILITY/STATISTICAL METHODS
2.20.1 Does the contractor use statistical methods to evaluate and
control the variability of processes that may include
rework/repair, status, scrap rates, and inspection data? If
not what do they do?
2.20.2 Does the contractor use statistical methods to evaluate the
capability and capacity to ensure materials, products, and
services conform to contract requirements? If not what do
they do?
2.20.3 Does the contractor 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 acceptance or rejection of lots.)
2.20.4 Does the contractor identify the need for the application of
statistical methods to accomplish the following:
2.20.4.1 Evaluate and control the variability of processes?
2.20.4.2 Control key product/process characteristics for continuous
improvement?
2.20.4.3 Measure key performance indicators of the quality program?
2.20.5 Does the contractor maintain documented procedures to

implement and control the application of the statistical
methods?


Yes No Yes No
2.21 INTERNAL QUALITY AUDITS
2.21.1 Does the contractor carry out internal quality audits to verify
compliance with Specification M-1003 and the contractors
current quality assurance practices?
2.21.2 Does the contractor schedule audits as follows:
2.21.2.1 On the basis of the status and importance of the activity?
2.21.2.2 They occur minimally once per year?
2.21.2.3 They encompass a review of all 24 elements contained in
Chapter 2 of this specification within a 12-month period?
2.21.3 Have audits been performed in accordance with documented
procedures (using appropriate checklists) by trained personnel
who have the organizational freedom to record results and
deficiencies as they are required?
2.21.4 Have audit results been recorded and do they include evidence
of conformance or nonconformance of a product, process or
procedure to specified requirements?
2.21.5 Are the results of audits documented and brought to the
attention of the personnel having responsibility in the area
audited?
2.21.6 Have management personnel responsible for audited areas
with nonconformances taken timely corrective action (paragraph
2.6.2.5) on the deficiencies found by internal audits?
2.21.7 Are follow-up activities verified and records kept of the

implementation and effectiveness of the action taken?


Yes No Yes No
2.22 TRAINING
2.22.1 Has the contractor established and maintained approved
procedures for identifying training needs, providing for the
training, and evaluating the effectiveness of that training of all
personnel involved in activities affecting quality?
2.22.2 Has the contractor created and maintained job descriptions?
Does the contractor define basic job responsibilities and

qualification requirements?
2.22.3 Have personnel involved in special or key processes (including
but not limited to, welding, heat treating, painting, coating,
pressure treating, product inspection, and internal quality
auditing) been qualified by both function-specific training and
applicable work experience?
2.22.4 Are training records maintained for qualified personnel as long
as they remain qualified or as required by other regulatory
requirements?
2.22.5 Has the contractor defined the measures to ensure that
personnel are aware and knowledgeable of their specific
responsibilities for quality?
2.22.6 Has the contractor provided the necessary instruction and
means whereby those personnel can develop, achieve, and
maintain proficiency?


Yes No Yes No
2.23 CONTRACT REVIEW
2.23.1 Before submission of an offer by the contractor, or at the
acceptance of a contract or order (statement of requirement),
has the offer, contract, or order been 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, has the contractor ensured
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, has the
contractor established and maintained documented procedures
for performing, verifying, and reporting that the servicing meets
the specified requirements?
2.23.3 Does the contractor identify how an amendment to a contract is
made and correctly transferred to the responsible personnel
within the contractor's organization?
2.23.4 Does the contractor maintain records of contract reviews?


Yes No Yes No
2.24 DESIGN CONTROL
2.24.1 Has the contractor established and maintained documented
procedures to control and verify the design and development
planning of the product in order to ensure that the specified
requirements are met?
Where product design, redesign, or modifications are not
usually performed, do the design procedures address how
adherence to existing design criteria is maintained?
Where product design, redesign, or modifications are not

usually performed, does the contractor define the
procedure when a design change is required?
2.24.2 Has the contractor prepared plans for each design and
development activity?
Do the plans include the review, verification and validation
requirements that are appropriate to each design and
development activity?
Do the plans describe or reference these activities and define
responsibility for their implementation.
Are the design and development activities assigned to qualified
personnel equipped with adequate resources?
Are the plans updated as the design evolves?
2.24.3 Are organizational and technical interfaces between different
groups who contribute to the design process defined and the
necessary information documented, transmitted, and regularly
reviewed?
Does the contractor manage the interfaces between the
different groups to ensure effective communication and clear
assignment of responsibility?


Yes No Yes No
2.24.4 Are 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 identified and documented and their selection
reviewed for adequacy by the contractor?
Are incomplete, ambiguous, or conflicting requirements

resolved with those responsible for imposing these
requirements?
Does design input take into consideration the results of any
contract review activities?
Is planning output updated as appropriate, as the design and
development activity progresses?
2.24.5 Has design and development output been documented and
expressed in terms that can be verified against design input
requirements and validated (see paragraph 2.24.9)?
Does design and development output 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 functioning of the product (e.g., operating,
storage, handling, maintenance, and disposal requirements)?
2.24.5.4 Provide appropriate information for purchasing, production, and

servicing provision?
2.24.6 Are design and development output documents reviewed
before release?


Yes No Yes No
2.24.7 At appropriate stages of design, are formal documented
reviews of the design and development results planned and
conducted, to evaluate the ability of the results to meet design
and development input requirements?
Does the review identify any problems and propose appropriate
resolution actions?
Have design reviews included representatives of functions
concerned with the design and development stage(s) being
reviewed?
Are records of such reviews maintained?
Are necessary actions documented?
2.24.8 At appropriate stages of design, has design verification been
performed to ensure that the design and development output
meets the design and development input requirements?
Have the design and development verification measures and

any necessary actions been recorded?
2.24.9 Has design validation been performed to ensure that product
conforms to defined user needs and/or requirements? (if
specified application or intended use are known is the resulting
product capable of meeting the requirements of the intended
use?)
Does the contractor 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 Are all design and development changes and modifications
identified, documented, reviewed, and validated as appropriate,
and then approved by authorized personnel?
2.24.10.1 Does the review include evaluation of the effect of the changes
on constituent parts and product already delivered?
2.24.10.2 Does the contractor maintain records of the review of changes

and any necessary actions?

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Association of American Railroads Quality Assurance System Evaluation Checklist (QASE) 08/01/14

*Changes from the previous QASE noted by "yellow" highlight of

Section Element Manual Audit OK Objective Evidence

QA Procedure Page 1 Appendix A

SECTION ELEMENT MANUAL AUDIT Objective Evidence

Is it established and maintained by the contractor for the

2.2.2 Does the program provide that measures be implemented to

QA Procedure Page 2 Appendix A

SECTION ELEMENT MANUAL AUDIT Objective Evidence

2.3.2.2 outline the structure of the documentation used in the quality

2.3.2.3 provide the means for its effective implementation and

2.3.4.1 a description of the organization?

2.3.5 Does the contractor maintain a current subscription to AAR

QA Procedure Page 3 Appendix A

SECTION ELEMENT MANUAL AUDIT Objective Evidence

2.4.1.3 Does the contractor ensure that quality assurance requirements

2.4.1.4 Has the contractor defined the responsibility, authority and

2.4.2.4 Identify and record any problems relating to the product,

QA Procedure Page 4 Appendix A

SECTION ELEMENT MANUAL AUDIT Objective Evidence

QA Procedure Page 5 Appendix A

SECTION ELEMENT MANUAL AUDIT Objective Evidence

2.5.2.2 Identify the characteristics to be inspected, examined, and

2.5.2.8 Indicate where subcontractor services will be employed?

QA Procedure Page 6 Appendix A

SECTION ELEMENT MANUAL AUDIT Objective Evidence

QA Procedure Page 7 Appendix A

SECTION ELEMENT MANUAL AUDIT Objective Evidence

2.7.3 Have documents been reviewed and approved for adequacy by

2.7.4.1 That the applicable issues of appropriate and understandable

2.7.4.2 Applicable standards, internal procedures, and forms necessary

M-1003 Certified Companies are required to maintain current English

QA Procedure Page 8 Appendix A

SECTION ELEMENT MANUAL AUDIT Objective Evidence

QA Procedure Page 9 Appendix A

SECTION ELEMENT MANUAL AUDIT Objective Evidence

2.8.5 Does the contractor identify measuring and testing equipment

QA Procedure Page 10 Appendix A

SECTION ELEMENT MANUAL AUDIT Objective Evidence

2.9.1.3 Evaluate and select subcontractors based on documented

2.9.2.2 The title or other positive identificationand applicable issues

2.9.2.4 The verification arrangements and method of product release?

2.9.3 Does the contractor review and approve purchasing documents

QA Procedure Page 11 Appendix A

SECTION ELEMENT MANUAL AUDIT Objective Evidence

QA Procedure Page 12 Appendix A

SECTION ELEMENT MANUAL AUDIT Objective Evidence

2.10.2 Does the contractor check the objective evidence provided by

QA Procedure Page 13 Appendix A

SECTION ELEMENT MANUAL AUDIT Objective Evidence

2.11.2 Where inspection is not feasible, does the contractor monitor

Release under positive recall shall not preclude inspection,

2.11.5 Does the contractor maintain documented procedures for the

QA Procedure Page 14 Appendix A

SECTION ELEMENT MANUAL AUDIT Objective Evidence

QA Procedure Page 15 Appendix A

SECTION ELEMENT MANUAL AUDIT Objective Evidence

2.13.4 Does the contractor provide measures for controlling status

QA Procedure Page 16 Appendix A

SECTION ELEMENT MANUAL AUDIT Objective Evidence

QA Procedure Page 17 Appendix A

SECTION ELEMENT MANUAL AUDIT Objective Evidence

QA Procedure Page 18 Appendix A