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 2014 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/AS6174AAEROSPACESTANDARDAS6174 REV. AIssued 2012-05 Revised 2014-07 Superseding A
5、S6174 Counterfeit Materiel; Assuring Acquisition of Authentic and Conforming Materiel RATIONALE AS6174A corrects a significant error in the standards material traceability requirement and makes compliance with this standards material traceability feasible. It modifies the materiel traceability procu
6、rements requirements in 3.1.2.c, 3.1.2.f,and 3.1.6. AS6174A also establishes precedence and provision for use of slash sheet documents. FOREWORD To assure customer satisfaction, industry organizations must produce, and continually improve, safe, reliable materiel that meet or exceed customer and reg
7、ulatory authority requirements. The globalization of industry and the resulting diversity of regional/national requirements and expectations has complicated this objective. End-product organizations face the challenge of assuring the quality and integrity of materiel purchased from suppliers through
8、out the world and at all levels within the supply chain. Suppliers and processors face the challenge of delivering materiel to multiple customers having varying quality expectations and requirements. This document standardizes requirements, practices, and methods related to: (a) materiel management,
9、 parts management, supply chain management, procurement, inspection, test/evaluation to assure the authenticity and conformance of materiel being acquired, and (b) response strategies when suspect or confirmed counterfeit materiel is discovered. This standard is a capstone standard. AS5553 pertains
10、directly to electronic parts, and supplements the guidance of this standard. SAE INTERNATIONAL AS6174A Page 2 of 38 TABLE OF CONTENTS 1. SCOPE 31.1 Purpose . 31.2 Application . 32. REFERENCES 32.1 Applicable Documents 32.1.1 SAE Publications . 32.1.2 U.S. Government Publications 42.1.3 ISO Standards
11、 . 42.1.4 ASME Standards . 42.2 Acronyms and Abbreviations 52.3 Terms and Definitions . 62.4 Related Definitions 73. REQUIREMENTS . 103.1 Materiel Authenticity Assurance Plan . 103.1.1 Authentic and Conforming Materiel Availability 103.1.2 Purchasing 103.1.3 Purchasing Information . 113.1.4 Verifica
12、tion of Purchased Product . 113.1.5 In-Process Investigation 113.1.6 Materiel Control . 113.1.7 Reporting . 114. NOTES 12APPENDIX A AUTHENTIC AND CONFORMING MATERIEL AVAILABILITY . 13APPENDIX B PURCHASING PROCESS . 18APPENDIX C SUPPLY CHAIN COMMODITY AND ITEM LEVEL TRACEABILITY . 21APPENDIX D RECOMM
13、ENDED CONTRACT PASS-DOWN CLAUSES GENERAL . 23APPENDIX E PRODUCT ASSURANCE . 27APPENDIX F MATERIEL CONTROL 31APPENDIX G REPORTING . 35SAE INTERNATIONAL AS6174A Page 3 of 38 1. SCOPE 1.1 Purpose This SAE Standard standardizes practices to: a. maximize availability of authentic materiel, b. procure mat
14、eriel from reliable sources, c. assure authenticity and conformance of procured materiel, including methods such as certification, traceability, testing and inspection appropriate to the commodity/item in question, d. control materiel identified as fraudulent/counterfeit, e. and report suspect or co
15、nfirmed fraudulent/counterfeit materiel to other potential users and Authority Having Jurisdiction. 1.2 Application This standard is recommended for use by all contracting organizations that procure materiel, whether such materiel is procured directly or integrated into assemblies or equipment. The
16、requirements of this standard are generic and intended to be applied/flowed down to all organizations that procure materiel, regardless of type, size, and product provided. 2. REFERENCES 2.1 Applicable Documents The following publications form a part of this document to the extent specified herein.
17、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. When a commodity specific slash sheet (e.g., AS6174/X) has been published, the applicable commodity slash sheet requirements take precedence ov
18、er conflicting requirements within AS6174A. In the event of conflict between the text of this document and other references cited herein, the text of this document takes precedence. Nothing in this document, however, supersedes applicable laws and regulations unless a specific exemption has been obt
19、ained. 2.1.1 SAE Publications Available from SAE International, 400 Commonwealth Drive, Warrendale, PA 15096-0001, Tel: 877-606-7323 (inside USA and Canada) or 724-776-4970 (outside USA), www.sae.org.AS5553 Counterfeit Electronic Parts; Avoidance, Detection, Mitigation, and Disposition AS9003 Inspec
20、tion and Test Quality System ARP9009 Aerospace Contract Clauses AS9100 Quality Management Systems - Requirements for Aviation, Space and Defense Organizations AS9120 Quality Management Systems - Requirements for Aviation, Space and Defense Distributors SAE INTERNATIONAL AS6174A Page 4 of 38 2.1.2 U.
21、S. Government Publications Available from DLA Document Services, Building 4/D, 700 Robbins Avenue, Philadelphia, PA 19111-5094, Tel: 215-697-6396, http:/quicksearch.dla.mil/.MIL-STD-130 Identification Marking of U.S. Military Property MIL-STD-129 Military Marking for Shipment and Storage MIL-STD-301
22、8 Parts Management SD-22 Diminishing Manufacturing Sources and Material Shortages (DMSMS) Guidebook SD-19 Parts Management Guide Available at www.dtic.mil/whs/directives/:DoDM 4140.01 DoD Manual, Supply Chain Materiel Management DoD 4160.21-M DoD Manual, Defense Materiel Disposition Manual DoDI 8320
23、.04 DoD Instruction 8320.04, Item Unique Identification (IUID) Standards for Tangible Personal Property Government-Industry Data Exchange Program (GIDEP) Operations Manual NAVSEA SO300-BT-PRO-010 (GIDEP Manuals and Guides are available from http:/www.gidep.org/)Government-Industry Data Exchange Prog
24、ram (GIDEP) Requirements Guide - NAVSEA SO300-BU-GYD-010 (April 2008) (http:/www.gidep.org/)OMB Policy Letter 91-3 Reporting Nonconforming Products (http:/whitehouse.gov/omb/procurement_policy_letter_91-3)Fastener Quality Act, Pub. L. 101-592, Nov. 16, 1990, 104 Stat. 2943 (15 U.S.C. 5401 et seq.) (
25、available at www.gpo.gov), Search Bill Text for Mulitiple Congresses, 101ST CONGRESS (1989-1990),H.R.3000.ENR 2.1.3 ISO Standards Available from American National Standards Institute, 25 West 43rd Street, 4th Floor, New York, NY 10036-8002, Tel: 212-642-4900, www.ansi.org.ISO 12931 Performance crite
26、ria for authentication solutions for anti-counterfeiting in the field of material goods ISO 15459 Information technology - Unique identifiers ISO 9000 Quality Management Systems - Fundamentals and Vocabulary ISO 9001 Quality Management Systems - Requirements 2.1.4 ASME Standards Available from ASME,
27、 P.O. Box 2900, 22 Law Drive, Fairfield, NJ 07007-2900, Tel: 800-843-2763 (U.S./Canada), 001-800-843-2763 (Mexico), 973-882-1170 (outside North America), www.asme.org.Y14.100 Engineering Drawing Practices SAE INTERNATIONAL AS6174A Page 5 of 38 2.2 Acronyms and Abbreviations ACORD Association for Coo
28、perative Operations Research and Development ANSI American National Standards Institute ARP SAE designation prefix for Aerospace Recommended Practice AS SAE designation prefix for Aerospace Standard BOM Bill of Materials CAGE Commercial and Government Entity CBP U.S. Customs and Border Protection Co
29、C Certificate of Conformance CoC/T Certificate of Conformance and Traceability C of C Certificate of Conformance COQC Certificate of Quality Compliance C-SAM C-Mode Scanning Acoustic Microscopy DAPS Document Automation and Production Service DLA Defense Logistics Agency DMS Diminishing Manufacturing
30、 Sources DMSMS Diminishing Manufacturing Sources and Material Shortages DoD Department of Defense FAX Facsimile FBI Federal Bureau of Investigation GIDEP Government-Industry Data Exchange Program ICE U.S. Immigration and Customs Enforcement IP Intellectual Property IPR Intellectual Property Rights I
31、SO International Organization for Standardization IUID Item Unique Identification JIT Just In Time MDA Missile Defense Agency MIL-STD Military Standard NAS National Aerospace Standard NASA National Aeronautics and Space Administration OIG Office of Inspector General PM Program Manager PIND Particle
32、Impact Noise Detection QAR Quality Assurance Representative QML Qualified Manufacturers List QPL Qualified Products List SD DoD Defense Standardization Program Office prefix designation for Standard Document STD Standard UII Unique Item Identifier SAE INTERNATIONAL AS6174A Page 6 of 38 2.3 Terms and
33、 Definitions For the purposes of this document, the terms and definitions stated in ISO 9000 and the following shall apply: 2.3.1 MATERIEL Materiel in this standard refers to material, parts, assemblies, and other procured items (except for electronic parts, which are covered by AS5553). 2.3.2 MANUF
34、ACTURER Manufacturer in this standard refers to the point of origin of any materiel covered by the standard, including factories, mills, foundries, mines, chemical plants, laboratories, etc. 2.3.3 SUSPECT MATERIEL Materiel, items, or products in which there is an indication by visual inspection, tes
35、ting, or other information that it may meet the definition of fraudulent materiel or counterfeit materiel provided below. 2.3.4 FRAUDULENT MATERIEL Suspect materiel misrepresented to the customer as meeting the customers requirements. 2.3.5 COUNTERFEIT MATERIEL Fraudulent materiel that has been conf
36、irmed to be a copy, imitation or substitute that has been represented, identified, or marked as genuine, and/or altered by a source without legal right with intent to mislead, deceive or defraud. NOTE: The following diagram depicts the above relationships between Suspect, Fraudulent and Counterfeit
37、Materiel. Suspect Materiel can become Fraudulent or Counterfeit Materiel through further evaluation and testing. All counterfeit materiel is fraudulent, but not all fraudulent materiel is counterfeit. There are legal distinctions between counterfeit and fraudulent materiel. Legal counsel and/or the
38、OCM should be consulted to determine the nature and extent of these distinctions. FIGURE 1 SAE INTERNATIONAL AS6174A Page 7 of 38 2.3.6 IDENTITY Information such as the current design authority, original manufacturer, trademark or other intellectual property, performance, unique item identifier, par
39、t number, date code, lot number, testing methods and results, inspection, documentation, warranty, origin, ownership history, packaging, storage, handling, physical condition, previous use, etc. 2.3.7 AUTHENTIC Produced with legal right or authority granted by the legally authorized source. 2.4 Rela
40、ted Definitions AFTERMARKET MANUFACTURER: A manufacturer that meets one or both of the following criteria: a. The manufacturer is authorized by the original manufacturer to produce and sell replacement materiel, usually due to an original manufacturer decision to discontinue production of materiel.
41、Materiel supplied is produced from dies, molds, or other manufacturing equipment that has been 1. transferred from the original manufacturer to the aftermarket manufacturer, 2. produced by the aftermarket manufacturer using original manufacturer tooling and intellectual property (IP), or 3. produced
42、 by the aftermarket manufacturer through redesign to match the original manufacturers specifications without violating the original manufacturers intellectual property rights (IPR), patents, or copyrights. b. The manufacturer produces materiel by emulating or reverse-engineering obsolete materiel to
43、 satisfy continuing customer needs without violating the original manufacturers intellectual property rights, patents, or copyrights. APPROVED SUPPLIER: Suppliers that are formally assessed by the current design activity or the original manufacturer, determined to be a trusted source that will relia
44、bily provide authentic and conforming materiel, and entered on a register of approved suppliers. AUTHORITY HAVING JURISDICTION: A statutory authority can differ between countries, the term is used to refer to the governmental organization at the federal, national, state, or local entity having statu
45、tory authority to respond to, enforce, or prosecute anti-counterfeiting laws. Examples are Customs and Judicial bodies. AUTHORIZED RESELLER: An entity who has a legally binding relationship with the legally authorized source, but does not provide direct product support to the customer. AUTHORIZED SU
46、PPLIER: Aftermarket manufacturers as defined above, and suppliers authorized by the current design activity or the original manufacturer to produce and/or sell materiel (i.e., franchised distributors). BROKER: In the independent distribution market, brokers are professionally referred to as independ
47、ent distributors. See definitions for “broker distributor” and “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 information such as the part number
48、, quantity, target price, and date required. The broker distributor searches the industry and locates parts or other materiel that meet the target price and other customer requirements. CERTIFICATE OF AUTHENTICITY (C of A): A statement to the effect that all materiel items listed above furnished on
49、this contract are genuine, new and unused unless otherwise specified in writing herein; are suitable for the intended purpose; are not defective, suspect, or counterfeit; have not been provided under false pretenses; and have not been materially altered, damaged, deteriorated, or degraded. CERTIFICATE OF CONFORMANCE (C of C, CoC): A
