SAE ARP 6328-2016 Guideline for Development of Counterfeit Electronic Parts Avoidance Detection Mitigation and Disposition Systems.pdf

1、_SAE Technical Standards Board Rules provide that: “This report is published by SAE to advance the state of technical and engineering sciences. The use of this report is entirely voluntary, and its applicability and suitability for any particular use, including any patent infringement arising theref

2、rom, is the sole responsibility of the user.”SAE reviews each technical report at least every five years at which time it may be revised, reaffirmed, stabilized, or cancelled. SAE invites your written comments andsuggestions.Copyright 2016 SAE InternationalAll rights reserved. No part of this public

3、ation may be reproduced, stored in a retrieval system or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the prior written permission of SAE.TO PLACE A DOCUMENT ORDER: Tel: 877-606-7323 (inside USA and Canada)Tel: +1 724-776-4970 (outs

4、ide USA)Fax: 724-776-0790Email: CustomerServicesae.orgSAE WEB ADDRESS: http:/www.sae.orgSAE values your input. To provide feedbackon this Technical Report, please visithttp:/www.sae.org/technical/standards/ARP6328AEROSPACERECOMMENDED PRACTICEARP6328Issued 2016-09Guideline for Development of Counterf

5、eit Electronic Parts; Avoidance, Detection,Mitigation, and Disposition SystemsRATIONALEThis document provides definitions and guidelines useful in the development of a Counterfeit Electronic Parts; Avoidance, Detection, Mitigation, and Disposition System.TABLE OF CONTENTS1. SCOPE 3 2. REFERENCES 3 2

6、.1 Applicable Documents 3 2.1.1 SAE Publications. 3 2.1.2 ISO Publications 4 2.1.3 ANSI Publications . 4 2.1.4 U.S. Government Publications 4 2.1.5 Commercial Publications. 4 2.2 Related Publications . 4 2.2.1 ANSI Publications . 5 2.2.2 Government Publications 5 2.2.3 Commercial Publications. 5 2.3

7、 Terms and Definitions . 5 2.3.1 Related Definitions 6 3. Guidance for Implementing a Counterfeit Mitigation Program9 3.1 Parts Availability 9 3.1.1 Design, Proposal, and Program Planning. 9 3.1.2 Obsolescence Management . 9 3.2 Purchasing Process 10 3.3 Supply Chain Traceability . 15 3.4 Procuremen

8、t Contract Examples 15 3.4.1 Contract Requirements General 15 3.4.2 Sample Contract Clauses Contracts Issued to Assembly/Equipment/System Providers 16 3.4.3 Sample Contract Clauses Contracts Issued Outside of Authorized Distribution (e.g., Operating in the Open Market, Broker, Broker Distributor, In

9、dependent Distributor, Stocking Distributor) 17 3.5 Product Assurance 18 3.5.1 Counterfeit EEE Part Detection 18 3.6 Material Control. 27 3.6.1 Control of Scrap or Surplus Parts or Assemblies . 27 3.7 Reporting. 28 SAE INTERNATIONAL ARP6328 Page 2 of 394. NOTES 36 4.1 Revision Indicator 36APPENDIX A

10、 ACRONYMS AND ABBREVIATIONS. 37 FIGURE 1 RISK STACK CHART . 12 FIGURE 2 SUPPLIER ASSESSMENT PYRAMID . 13 FIGURE 3 PROCUREMENT RISK MITIGATION 14 FIGURE 4 TEST EVALUATION RISK STACK CHART . 26 TABLE 1 REPORTING CONTACT SOURCES . 29 SAE INTERNATIONAL ARP6328 Page 3 of 391. SCOPEThis document contains

11、guidance for implementing a counterfeit mitigation program in accordance with AS5553.The information contained in this document is intended to supplement the requirements of a higher level quality standard (e.g., AS9100) and other quality management system documents. This is not intended to stand al

12、one, supersede, or cancel requirements found in other quality management system documents, requirements imposed by contracting authorities, or applicable laws and regulations unless an authorized exemption/variance has been obtained.2. REFERENCES2.1 Applicable DocumentsThe following publications for

13、m a part of this document to the extent specified herein. The latest issue of SAE publications shall apply. The applicable issue of other publications shall be the issue in effect on the date of the purchase order. In the event of conflict between the text of this document and references cited herei

14、n, the text of this document takes precedence. Nothing in this document, however, supersedes applicable laws and regulations unless a specific exemption has been obtained.Counterfeiting is not a static process. As new methods are devised by industry to discriminate counterfeit EEE parts, new methods

15、 are introduced by counterfeiters to disguise their parts. In an effort to keep ahead of the evolution of counterfeiting, the SAE, in addition to other industry organizations, continues to develop new and/or revised standards to mitigate the risk of use of counterfeit EEE parts. Additional informati

16、on and works in progress can be viewed on the SAE Anti-Counterfeiting web portal at http:/counterfeitparts.sae.org/. The lists below may contain additional documents not referenced in this ARP but are offered as additional resources. 2.1.1 SAE PublicationsAvailable from SAE International, 400 Common

17、wealth Drive, Warrendale, PA 15096-0001, Tel: 877-606-7323 (inside USA and Canada) or +1 724-776-4970 (outside USA), www.sae.org.AS5553 Fraudulent/Counterfeit Electronic Parts; Avoidance, Detection, Mitigation, and DispositionAS6081 Fraudulent/Counterfeit Electronic Parts: Avoidance, Detection, Miti

18、gation, and Disposition DistributorsARP6178 Fraudulent/Counterfeit Electronic Parts; Tool for Risk Assessment of DistributorsAS6301 Compliance Verification Criterion Standard for SAE AS6081, Fraudulent/Counterfeit Electronic Parts: Avoidance, Detection, Mitigation, and Disposition DistributorsAS6462

19、 AS5553A, Fraudulent/Counterfeit Electronic Parts; Avoidance, Detection, Mitigation, and Disposition Verification CriteriaAS6496 Fraudulent/Counterfeit Electronic Parts: Avoidance, Detection, Mitigation, and Disposition Authorized/Franchised DistributionAS9003 Inspection and Test Quality Systems Req

20、uirements for Aviation, Space, and Defense OrganizationsARP9009 Aerospace Contract ClausesAS9100 Quality Management Systems - Requirements for Aviation, Space and Defense OrganizationsAS9120 Quality Management Systems - Requirements for Aviation, Space and Defense DistributorsSAE INTERNATIONAL ARP63

21、28 Page 4 of 39SAE STD-0016 Standard for Preparing a DMSMS Management PlanSAE EIA-STD-4899 Requirements for an Electronic Components Management Plan2.1.2 ISO PublicationsAvailable from International Organization for Standardization, ISO Central Secretariat, 1, ch. de la Voie-Creuse, CP 56, CH-1211 G

22、eneva 20, Switzerland, Tel: +41 22 749 01 11, www.iso.org.ISO 9000 Quality Management Systems - Fundamentals and VocabularyISO 9001 Quality Management Systems RequirementsISO 17025 Quality Manual Template2.1.3 ANSI PublicationsCopies of these documents are available online at http:/webstore.ansi.org

23、.2.1.4 U.S. Government PublicationsCopies of these documents are available online at http:/quicksearch.dla.mil.MIL-PRF-19500 Semiconductor Devices, General Specification ForMIL-PRF-38535 Integrated Circuits (Microcircuits) Manufacturing, General Specification ForOMB Policy Letter 91-3 Reporting Nonc

24、onforming Products (not available through the ASSIST database; it may be obtained using the following link: http:/whitehouse.gov/omb/procurement_policy_letter_91-3/)SD-22 Diminishing Manufacturing Sources and Material Shortages (DMSMS) GuidebookMIL-STD-3018 Parts Management2.1.5 Commercial Publicati

25、onsGEIA GEB1 Diminishing Manufacturing Sources and Material Shortages (DMSMS) Management PracticesIDEA-STD-1010 Acceptability of Electronic Components Distributed in the Open MarketJEDEC JESD31 General Requirements for Distributors of Commercial and Military Semiconductor DevicesIEC TS 62239-1 Proce

26、ss Management for Avionics - Preparation and maintenance of an Electronic Components Management PlanIEC 62402 Obsolescence Management - Application Guide2.2 Related PublicationsThe following publications are provided for information purposes only and are not a required part of this SAE Aerospace Rec

27、ommended Practice.SAE INTERNATIONAL ARP6328 Page 5 of 392.2.1 ANSI PublicationsCopies of these documents are available online at http:/webstore.ansi.org.ANSI/ESD S20.20 Protection of Electrical and Electronic Parts, Assemblies and Equipment (Excluding Electrically Initiated Explosive Devices)2.2.2 G

28、overnment PublicationsMIL-PRF-38534 Hybrid Microcircuits, General Specification ForMIL-STD-202 Electronic and Electrical Component PartsMIL-STD-750 Test Methods for Semiconductor DevicesMIL-STD-883 Test Method Standard - MicrocircuitsMIL-STD-1580 Destructive Physical Analysis for Electronic, Electro

29、magnetic, and Electromechanical PartsMIL-STD-790 Established Reliability and High Reliability Qualified Products List (Qpl) Systems for Electrical, Electronic, and Fiber Optic Parts SpecificationDoDI 4140.67 DoD Counterfeit Prevention PolicyDEF.STAN.05-135 Avoidance of Counterfeit Materiel2.2.3 Comm

30、ercial PublicationsJEDEC JESD22-B107 Marking PermanencyDO-254 Design Assurance Guidance for Airborne Electronic Hardware (RTCA, Inc. www.rtca.og)IEC TS 62668-1 Process Management for Avionics - Counterfeit Prevention - Part 1: Avoiding the use of counterfeit, fraudulent and recycled electronic compo

31、nents (IEC www.iec.ch )IEC TS 62668-2 Process Management for Avionics Counterfeit Prevention Part 2: Managing electronic components from non-franchised sourcesIAQG SCMH 3.5.2 Counterfeit Parts Prevention Guidance (www.iaqg.org/scmh)2.3 Terms and DefinitionsFor the purposes of this document, the term

32、s and definitions listed in ISO 9000 and the following apply:Throughout the text of this document, wherever the term “product” occurs, it can also mean service.SUSPECT PART: A part for which there is objective and credible evidence indicating that the part is likely a Counterfeit Part. COUNTERFEIT P

33、ART: (1) an unauthorized copy, imitation, substitute, or modified part, which is knowingly misrepresented as a specified genuine part of an authorized manufacturer; or (2) a previously used EEE Part which has been modified and is knowingly misrepresented as new without disclosure to the customer tha

34、t it has been previously used.NOTE: Examples of a counterfeit part can include, but are not limited to; the false identification of grade, serial number, date code, or performance characteristics.SAE INTERNATIONAL ARP6328 Page 6 of 39NOTE: This definition may differ from civil or criminal laws that

35、address the acts of counterfeiting or fraud, and is not intended to make a legal determination. Used parts sold as new that have not been modified are not counterfeit according to some civil and criminal statutes. These issues are covered under existing laws covering fraud. For civil matters, this i

36、ssue would typically be covered under civil fraud and terms and conditions of a purchase order or contract that specifies parts must be new.2.3.1 Related DefinitionsAFTERMARKET MANUFACTURER: A manufacturer that meets one or more of the following criteria:1. The manufacturer is authorized by the OCM

37、to produce and sell replacement parts, usually due to an OCM decision to discontinue production of a part. Parts supplied are produced from materials that have beena. transferred from the OCM to the Aftermarket Manufacturer, orb. produced by the Aftermarket Manufacturer using OCM tooling and intelle

38、ctual property (IP).2. The manufacturer produces parts through emulation, reverse-engineering, or redesign, that match the OCMs specifications and satisfy customer needs without violating the OCMs Intellectual Property Rights (IPR).In any case, the Aftermarket Manufacturer must label or otherwise id

39、entify its parts to ensure that the “as shipped” aftermarket manufactured part should not be mistaken for the part made by the OCM.AUTHORITY HAVING JURISDICTION: A statutory authority can differ between countries. The term is used to refer to the governmental organization at the federal, national, s

40、tate, or local entity having statutory authority to respond to, enforce, or prosecute laws. Examples are Customs, Judicial, and Enforcement bodies.AUTHORIZED DISTRIBUTION: Transactions conducted by an OCM-Authorized Distributor distributing product within the terms of an OCM contractual agreement. C

41、ontractual Agreement terms include, but are not limited to, distribution region, distribution products or lines, and warranty flow down from the OCM. Under this distribution, the distributor would be known as an Authorized Distributor. For the purposes in this document, Franchised Distribution is co

42、nsidered synonymous with Authorized Distribution.AUTHORIZED (FRANCHISED) DISTRIBUTOR: Distributor when they perform Authorized Distribution.AUTHORIZED SUPPLIER: Aftermarket Manufacturers, as defined above, and OCM-authorized sources of supply for a part (i.e., Franchised Distributors, Authorized Dis

43、tributors). NOTE: Some Authorized Suppliers will provide other services which are not authorized by an OCM (e.g., independent distribution).BROKER: In the independent distribution market, Brokers are professionally referred to as Independent Distributors. See definitions for “Broker Distributor” and

44、 “Independent Distributor.”BROKER DISTRIBUTOR: A type of Independent Distributor that works in a “Just in Time” (JIT) environment. Customers contact the Broker Distributor with requirements identifying the part number, quantity, target price, and date required. The Broker Distributor searches the in

45、dustry and locates parts that meet the target price and other Customer requirements. Broker distributors do not have contractual agreements or obligations with OCMs. (For reference only.)CERTIFICATE OF CONFORMANCE (C of C, CoC): A document provided by a Supplier formally declaring that all buyer pur

46、chase order requirements have been met. The document may include information such as manufacturer, distributor, quantity, lot and/or date code, inspection date, etc., and is signed by a responsible party for the Supplier.CERTIFICATE OF CONFORMANCE AND SUPPLY CHAIN TRACEABILITY (CoCT): A Certificate

47、of Conformance required by certain military specifications which requires documented supply chain traceability from the Qualified Parts List/Qualified Manufacturers List (QPL/QML) manufacturer through delivery to a government agency if the material is not procured directly from the approved manufact

48、urer.SAE INTERNATIONAL ARP6328 Page 7 of 39CERTIFICATION: The Certification Body action of testifying, guaranteeing or endorsing organizations that conform with specific management systems standards.DESTRUCTIVE PHYSICAL ANALYSIS (DPA): A systematic, logical, detailed examination of parts during vari

49、ous stages of physical disassembly, conducted on a sample of completed parts from a given lot, wherein parts are examined for a wide variety of design, workmanship, and processing problems that may not show up during normal screening tests. The purpose of these analyses is to determine those lots of parts, delivered by a vendor, which have anomalies or defects such that they could, at some later date, cause degrad