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 there
2、from, 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 and suggestions. Copyright 2012 SAE International All rights reserved. No part of this p
3、ublication 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: +1 724-776-497
4、0 (outside USA) Fax: 724-776-0790 Email: CustomerServicesae.org SAE WEB ADDRESS: http:/www.sae.org SAE values your input. To provide feedback on this Technical Report, please visit http:/www.sae.org/technical/standards/AS6081 AEROSPACE STANDARD AS6081 Issued 2012-11 Fraudulent/Counterfeit Electronic
5、 Parts: Avoidance, Detection, Mitigation, and Disposition - Distributors RATIONALE This standard was created in response to a significant and increasing volume of fraudulent/counterfeit electronic parts entering the aerospace supply chain, posing significant performance, reliability, and safety risk
6、s. This standard was created to provide uniform requirements, practices and methods to mitigate the risks of purchasing and supplying fraudulent/counterfeit electronic parts. FOREWORD A growing number of fraudulent/counterfeit electronic parts are entering the supply chain, especially when purchasin
7、g parts from other than Original Component Manufacturers (OCMs), or their authorized agents. This standard establishes requirements and practices to mitigate the risk of buying, receiving, and selling fraudulent/counterfeit parts. This document standardizes requirements, practices, and methods relat
8、ed to supplier management, procurement, inspection, test/evaluation, as well as response strategies when suspect or confirmed fraudulent/counterfeit electronic parts are discovered. It should be noted that not one practice, combination of practices, standard or certification to that standards requir
9、ements will prevent fraudulent/counterfeit parts from entering the supply chain. Implementation of the requirements of this document provides a vehicle for specific elements of the supply chain to collaborate and minimize risk. SAE AS6081 Page 2 of 47 TABLE OF CONTENTS 1. SCOPE 3 1.1 Purpose . 3 1.2
10、 Application . 3 2. APPLICABLE DOCUMENTS 3 2.1 SAE Publications . 4 2.2 ANSI Publications . 4 2.3 Government Publications 4 2.4 Commercial Publications 4 2.5 ISO Publications 5 3. TERMS AND DEFINITIONS . 5 3.1 Suspect Part 5 3.2 Fraudulent Part . 5 3.3 Counterfeit Part . 5 3.4 Related Terms and Defi
11、nitions 6 4. REQUIREMENTS . 11 4.1 Quality Management System 13 4.1.1 Fraudulent/Counterfeit Parts Mitigation Policy 13 4.2 Fraudulent/Counterfeit Electronic Parts Control Plan . 14 4.2.1 Customer Related Contract Review, Agreement, and Execution . 14 4.2.2 Supplier Approval and Source Selection 14
12、4.2.3 Purchase Order Requirements . 15 4.2.4 Supply Chain Traceability . 15 4.2.5 Preservation of Product 16 4.2.6 Verification of Purchased Product 16 4.2.7 Control of Nonconforming Product . 27 4.2.8 Material Control . 28 4.2.9 Reporting . 28 4.2.10 Personnel Training 28 4.2.11 Internal Audit . 28
13、 5. NOTES 29 APPENDIX A SUPPLIER APPROVAL AND SOURCE SELECTION . 30 APPENDIX B ORGANIZATION AS CUSTOMER” CONTRACT REQUIREMENTS 31 APPENDIX C ADDITIONAL FRAUDULENT/COUNTERFEIT PART DETECTION TESTS . 35 APPENDIX D REPORTING . 37 APPENDIX E PERSONNEL TRAINING PROGRAMS . 45 APPENDIX F ACRONYMS AND ABBRE
14、VIATIONS . 46 FIGURE 1 INTERRELATIONSHIP BETWEEN SUSPECT, FRAUDULENT AND COUNTERFEIT PARTS . 6 FIGURE 2 SAMPLE AS6081 REQUIREMENTS PROCESS FLOW . 12 FIGURE 3 VERIFICATION OF PURCHASED PRODUCT 13 TABLE 1 LOT SAMPLING PLAN . 18 SAE AS6081 Page 3 of 47 1. SCOPE 1.1 Purpose This SAE Aerospace Standard s
15、tandardizes practices to: a. identify reliable sources to procure parts, b. assess and mitigate risk of distributing fraudulent/counterfeit parts, c. control suspect or confirmed fraudulent/counterfeit parts, d. and report suspect and confirmed fraudulent/counterfeit parts to other potential users a
16、nd Authority Having Jurisdiction. 1.2 Application This standard sets forth practices and requirements for use by distributors of Electrical, Electronic, and Electromechanical (EEE) parts purchased and sold from the Open Market, including purchased excess and purchased returns. This document does not
17、 apply to aerospace integrators, their OEMs nor to Authorized (Franchised) Distributors and Aftermarket Manufacturers when supplying parts obtained directly from the OCM or the OCM Authorized (Franchised) Distributor for whom they are authorized. The requirements of this standard are generic and int
18、ended to be applied and flowed down through the supply chain to all organizations that procure electronic parts and/or assemblies, regardless of type, size, and product provided. This standard is invoked in accordance with contractual language established between the Customer and the Organization. T
19、his standard can be used by internal and external parties, including Certification Bodies accredited by an International Accreditation Forum (IAF) Multilateral Recognition Arrangements (MLA) Signatory Accreditation Body (http:/www.iaf.nu/), to meet customer, regulatory or the Organizations requireme
20、nts to mitigate the risk of conducting commerce in suspect, fraudulent or counterfeit parts. This standard does not “qualify” or “certify” the electronic parts. The content of the Appendices is provided as guidance and can be invoked in whole or in part, by the policies, requirements or procedures o
21、f the Organization. Information marked “NOTE or NOTES” is for guidance in understanding or clarifying the associated text. 2. APPLICABLE DOCUMENTS The following publications form a part of this document to the extent specified herein. The latest issue of SAE publications shall apply. The applicable
22、issue of other publications shall be the issue in effect on the date of the purchase. In the event of conflict between the text of this document and references cited herein, the text of this document takes precedence. The requirements of this document are intended to supplement the requirements of a
23、 comprehensive quality management system standard (e.g., AS9120, ISO 9001, or equivalent) and other applicable quality standards (e.g., ANSI/ESD S20.20, IDEA-STD-1010, or equivalent). They are not intended to stand alone, supersede, or cancel requirements found in other quality standards, requiremen
24、ts imposed by contracting authorities, or applicable laws and regulations unless an authorized exemption/variance has been obtained. SAE AS6081 Page 4 of 47 2.1 SAE Publications Available from SAE International, 400 Commonwealth Drive, Warrendale, PA 15096-0001, Tel: 877-606-7323 (inside USA and Can
25、ada) or 724-776-4970 (outside USA and Canada), http:/www.sae.org/. AS5553 Counterfeit Electronic Parts; Avoidance, Detection, Mitigation, and Disposition ARP6178 Fraudulent/Counterfeit Electronic Parts; Tool for Risk Assessment of Distributors AS9100 Quality Management Systems - Requirements for Avi
26、ation, Space and Defense Organizations AS9120 Quality Management Systems - Requirements for Aviation, Space and Defense Distributors 2.2 ANSI Publications Available from American National Standards Institute, 25 West 43rd Street, New York, NY 10036-8002, Tel: 212-642-4900, http:/www.ansi.org/. ANSI/
27、ESD S20.20 Protection of Electrical and Electronic Parts, Assemblies and Equipment (Excluding Electrically Initiated Explosive Devices) 2.3 Government Publications Available from the Document Automation and Production Service (DAPS), Building 4/D, 700 Robbins Avenue, Philadelphia, PA 19111-5094, Tel
28、: 215-697-6257, http:/assist.daps.dla.mil/quicksearch/ . MIL-STD-202 Test Method Standard - Electronic and Electrical Component Parts MIL-STD-750 Test Method Standard - Test Methods for Semiconductor Devices MIL-STD-883 Test Method Standard - Microcircuits OMB Policy Letter 91-3 Reporting Nonconform
29、ing Products (not available through the ASSIST database; it may be obtained using the following link: http:/whitehouse.gov/omb/procurement_policy_letter_91-3/) 2.4 Commercial Publications IDEA-STD-1010 Acceptability of Electronic Components Distributed in the Open Market JEDEC JESD31 General Require
30、ments for Distributors of Commercial and Military Semiconductor Devices NAS-410 National Aerospace Standard, NAS Certification Qualification of Nondestructive Test Personnel ASNT SNT-TC-1A American Society for Nondestructive Testing - Recommended Practice for Personnel Qualification and Certificatio
31、n of Nondestructive Testing EN 473 European Standard - Qualification and Certification of NDT Personnel - General Principles ASD-STAN EN 4179 AeroSpace and Defence Industries Association of Europe - Qualification and approval of personnel for non-destructive testing ASNT CP-189 American Society for
32、Nondestructive Testing Standard for Qualification and Certification of Nondestructive Testing Personnel (2006) SAE AS6081 Page 5 of 47 2.5 ISO Publications Available from American National Standards Institute, 25 West 43rd Street, New York, NY 10036-8002, Tel: 212-642-4900, www.ansi.org. ISO 9000 Qu
33、ality Management Systems - Fundamentals and Vocabulary ISO 9001 Quality Management Systems - Requirements ISO 9712 Non-destructive testing - Qualification and certification of personnel ISO/IEC 17025 General requirements for the competence of testing and calibration laboratories 3. TERMS AND DEFINIT
34、IONS For the purposes of this document, the terms 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. “Organization” in the context of this document refers to distributors that supply electron
35、ic parts from any source other than directly from Original Component Manufacturers (OCMs) or Authorized (Franchised) Distributors. This includes, but is not limited to, Independent Distributors, Brokers, Service Providers, Third-Party Logistics (3PL) Providers, and Authorized (Franchised) Distributo
36、rs when sourcing parts from outside the authorized channel. Supplier Organization Customer (Distributor) 3.1 SUSPECT PART A part in which there is an indication that it may have been misrepresented by the supplier or manufacturer and may meet the definition of fraudulent part or counterfeit part pro
37、vided below. 3.2 FRAUDULENT PART Any suspect part misrepresented to the Customer as meeting the Customers requirements. 3.3 COUNTERFEIT PART A fraudulent part that has been confirmed to be a copy, imitation, or substitute that has been represented, identified, or marked as genuine, and/or altered by
38、 a source without legal right with intent to mislead, deceive, or defraud. NOTE: The following diagram (Figure 1) depicts the above interrelationship between Suspect, Fraudulent and Counterfeit Parts. A Suspect Part may be determined to be, fraudulent or counterfeit through further evaluation and te
39、sting. All counterfeit parts are fraudulent, but not all fraudulent parts are counterfeit. SAE AS6081 Page 6 of 47 FIGURE 1 - INTERRELATIONSHIP BETWEEN SUSPECT, FRAUDULENT AND COUNTERFEIT PARTS 3.4 Related Terms and Definitions 3.4.1 AFTERMARKET MANUFACTURER A manufacturer that meets one or more of
40、the following criteria: a. The manufacturer is authorized by the OCM 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 been 1. transferred from the OCM to the Aftermarket Manufacturer, or 2.
41、 produced by the Aftermarket Manufacturer using OCM tooling and intellectual property (IP). b. The manufacturer produces parts using semiconductor dice or wafers, manufactured by and traceable to an OCM, that have been properly stored until use and are subsequently assembled, tested, and qualified u
42、sing processes that meet technical specifications without violating the OCMs intellectual property and intellectual property rights. c. The manufacturer produces parts through emulation, reverse-engineering, or redesign, that match the OCMs specifications and satisfy customer needs without violating
43、 the OCMs intellectual property and intellectual property rights. In any case, the Aftermarket Manufacturer must label or otherwise identify its parts to ensure that the “as shipped” aftermarket manufactured part should not be mistaken for the part made by the OCM. 3.4.2 APPROVED SUPPLIER Suppliers
44、that are assessed and determined to provide acceptable fraudulent/counterfeit parts risk mitigation processes. SAE AS6081 Page 7 of 47 3.4.3 AUTHORITY HAVING JURISDICTION A statutory authority can differ between countries. The term is used to refer to the governmental organization at the federal, na
45、tional, state, or local entity having statutory authority to respond to, enforce, or prosecute anti-counterfeiting laws. Examples are Customs, Judicial bodies and Enforcement bodies. 3.4.4 AUTHORIZED DISTRIBUTION Transactions conducted by an OCM-Authorized Distributor distributing product within the
46、 terms of an OCM contractual agreement. Contractual 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 thi
47、s Standard, Franchised Distribution is considered synonymous with Authorized Distribution. 3.4.5 AUTHORIZED (FRANCHISED) DISTRIBUTOR Distributor when they perform Authorized Distribution. 3.4.6 AUTHORIZED SUPPLIER Aftermarket Manufacturers, as defined above, and OCM-authorized sources of supply for
48、a part (i.e., Franchised Distributors, Authorized Distributors). NOTE: Some Authorized Suppliers will provide other services which are not authorized by an OCM (e.g., independent distribution). 3.4.7 BROKER In the independent distribution market, Brokers are professionally referred to as Independent
49、 Distributors. See definitions for “Broker Distributor” and “Independent Distributor.” 3.4.8 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 industry and locates parts that mee
