1、 SAE AS6496 ADOPTION NOTICE The document SAE AS6496, “Fraudulent/Counterfeit Electronics Parts: Avoidance, Detection, Mitigation, and Disposition Authorized/Franchised Distribution”, was adopted on 28 March 2017 for use by the Department of Defense (DoD). Proposed changes by DoD activities must be s
2、ubmitted to the DoD Adopting Activity: DLA Land and Maritime, Attn: VAS, P. O. Box 3990, Columbus, OH 43218-3990, or email to Hybriddla.mil. Copies of this document is available from SAE International, 400 Commonwealth Drive, Warrendale, PA 15096-0001, www.sae.org. CONCLUDING MATERIAL Custodians: Ad
3、opting activity: Air Force - 85 DLA - CC Navy - SH DLA - CC (Project SESS-2017-010) Review activities: Navy MC, SA NOTE: The activities listed above were interested in this document as of the date of this document. Since organizations and responsibilities can change, you should verify the currency o
4、f the information above using the ASSIST Online database at https:/assist.dla.mil. AMSC N/A FSC SESS _ 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
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8、technical/standards/AS6496AEROSPACESTANDARDAS6496Issued 2014-08Fraudulent/Counterfeit Electronic Parts: Avoidance, Detection, Mitigation, and Disposition - Authorized/Franchised Distribution RATIONALE There has been a significant and increasing volume of fraudulent/counterfeit electronic Parts enter
9、ing the aerospace supply chain. This poses significant performance, reliability and safety risks for end users. By its nature, the Authorized DistributionChannel has proven to be effective in mitigating the risk of fraudulent/counterfeit electronic Parts entering the aerospace supply chain. To enhan
10、ce the effectiveness of the existing practices and procedures within the Authorized Distribution Channel, this document establishes requirements, practices, and methods to mitigate the risk of Fraudulent/Counterfeit Parts entering the supply chain. TABLE OF CONTENTS 1. SCOPE 31.1 Purpose . 31.2 Appl
11、ication . 32. REFERENCES 32.1 Applicable Documents 32.1.1 SAE Publications . 32.1.2 ISO Publications 42.2 Related Publications . 42.2.1 ANSI Publications . 42.2.2 Military Standards . 42.3 Terms and Definitions . 43. REQUIREMENTS . 73.1 Counterfeit Mitigation Policy . 73.2 Counterfeit Electronic Par
12、ts Control Plan . 73.3 Customer Related Processes . 73.3.1 Disclosure of Non-Authorization . 73.3.2 Provision of Manufacturers Warranty . 73.3.3 Distribution Agreements 73.4 Register of Suppliers . 73.4.1 Purchase Restriction . 83.4.2 Purchasing Preference 83.4.3 Purchases Outside of a Distribution
13、Agreement . 83.4.4 Counterfeit Electronic Part Control Plan Requirement . 83.5 Traceability, Record Retention and Retrievability . 83.5.1 Military Parts . 83.5.2 Commercial and Industrial Parts . 83.5.3 Commercial and Industrial Part Documentation . 9SAE INTERNATIONAL AS6496 Page 2 of 12 3.5.4 Provi
14、sion of Traceability 93.5.5 Retention Period . 93.5.6 The Authorized Distributors Certificate of Conformance 93.6 Control of Suspect, Fraudulent and Confirmed Counterfeit Parts 103.6.1 Customer Returns . 103.6.2 Supplier Shipments . 103.6.3 Disposition of Parts Deemed Suspect, Fraudulent or Counterf
15、eit 113.6.4 Re-stocking Prohibition . 113.6.5 Packaging and Repackaging Parts Sold to Customers 113.7 Training . 113.8 Scrap Control in Authorized Distribution . 113.8.1 Scrap Records 113.8.2 Outsourced Destruction of Scrap Parts 113.8.3 Proper Destruction 123.9 Inventory Control Plan . 123.9.1 Segr
16、egation of Product . 123.9.2 Inventory Access . 123.9.3 Traceability of Returned Parts 123.10 Reporting . 123.11 Audits 124. NOTES 12FIGURE 1 INTERRELATIONSHIP BETWEEN SUSPECT, FRAUDULENT AND COUNTERFEIT PARTS . 6TABLE 1 TRACEABILITY DOCUMENTS AT TIME OF SHIPMENT . 8SAE INTERNATIONAL AS6496 Page 3 o
17、f 12 1. SCOPE This SAE Aerospace Standard (AS) identifies the requirements for mitigating counterfeit products in the Authorized Distribution supply chain by the Authorized Distributor. If not performing Authorized Distribution, such as an Authorized Reseller, Broker, or Independent Distributor, ref
18、er to another applicable SAE standard. 1.1 Purpose This SAE Standard delineates practices to: a. procure Parts from authorized sources, b. provide authenticity and traceability of procured Parts, c. control Parts identified as counterfeit, d. report Counterfeit Parts as appropriate. e. minimize the
19、risk of Counterfeit Parts entering the supply chain. 1.2 Application This standard is recommended for use by Authorized Distributors purchasing and selling electronic components, supplies and equipment which were acquired directly from the Manufacturer for which they are authorized or from another A
20、uthorized Distributor. This document shall not supersede any agreement between the Manufacturer and their Authorized Distributors. 2. REFERENCES 2.1 Applicable Documents The latest issue of SAE publications shall apply. The applicable issue of other publications shall be the issue in effect on the d
21、ate 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 comprehensive quality management system standard (e.g., AS9100,
22、AS9120, ISO 9001, or equivalent). They are not intended to stand alone, supersede, or cancel requirements found in other quality standards, requirements imposed by contracting authorities, or applicable laws and regulations unless an authorized exemption/variance has been obtained. 2.1.1 SAE Publica
23、tions 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 Fraudulent/Counterfeit Electronic Parts; Avoidance, Detection, Mitigation, and Disposition AS6081 Fraudulent/Counterf
24、eit Electronic Parts: Avoidance, Detection, Mitigation, and Disposition - Distributors AS9100 Quality Management Systems - Requirements for Aviation, Space and Defense Organizations AS9120 Quality Management Systems - Requirements for Aviation, Space and Defense Distributors SAE INTERNATIONAL AS6496
25、 Page 4 of 12 2.1.2 ISO Publications Available from International Organization for Standardization, ISO Central Secretariat, 1, ch. de la Voie-Creuse, CP 56, CH-1211 Geneva 20, Switzerland, Tel: +41 22 749 01 11, www.iso.org.ISO 9000 Quality Management Systems - Fundamentals and Vocabulary ISO 9001
26、Quality Management Systems - Requirements 2.2 Related Publications The following publications are provided for information purposes only and are not a required part of this SAE Aerospace Technical Report. 2.2.1 ANSI Publications Available from American National Standards Institute, 25 West 43rd Stre
27、et, 4th Floor, New York, NY 10036, Tel: 212-642-4900, www.ansi.org.ANSI/ESD S20.20 Protection of Electrical and Electronic Parts, Assemblies and Equipment (Excluding Electrically Initiated Explosive Devices) JESD 31 General Requirements for Distributors of Commercial and Military Semiconductor Devic
28、es 2.2.2 Military Standards Available from the U.S. Defense Logistics Agency Land and Maritime, P.O. Box 3990, Columbus, OH 43218-3990, Tel: 877-352-2255, www.landandmaritime.dla.mil.MIL-STD-790 Established Reliability and High Reliability Qualified Products List (QPL) Systems for Electrical, Electr
29、onic, and Fiber Optic Parts Specifications 2.3 Terms and Definitions For the purposes of this document, the terms and definitions listed in ISO 9000 and the following apply: “Organization” in the context of this document refers to Authorized Distributors that supply electronic Parts directly from th
30、eSupplier (Manufacturers or from the Manufacturers Authorized (Franchised) Distributors). Supplier Organization Customer (Authorized Distributor) AUTHORIZED AFTERMARKET MANUFACTURER: A Manufacturer that meets one or more of the following criteria: 1. The Manufacturer is authorized by the original Ma
31、nufacturer or IP holder to produce and sell Parts, usually due to an original Manufacturer or intellectual property rights (IP) holders decision to discontinue production of a Part. Parts supplied are produced from material that has been: a. Transferred from the original Manufacturer or IP holder to
32、 the Aftermarket Manufacturer (usually in the form of die/wafer and test program(s), or b. Produced by the Aftermarket Manufacturer using original Manufacturer or IP holder tooling and/or intellectual property. SAE INTERNATIONAL AS6496 Page 5 of 12 2. The Manufacturer produces Parts using semiconduc
33、tor dice or wafers, manufactured by and traceable to an original Manufacturer or IP holder, that have been properly stored until use, and are subsequently assembled, tested, and qualified using processes that meet original Manufacturer or IP holders technical specifications without violating the ori
34、ginal Manufacturer or IP holders intellectual property rights and authorized by the original Manufacturer or IP holder. 3. The Manufacturer produces Parts through reverse-engineering that match all of the original Manufacturer or IP holders specifications and satisfy Customer needs without violating
35、 the original Manufacturer or IP holders rights and with the original Manufacturer or IP holders authorization. AUTHORIZED DISTRIBUTION: Transactions conducted by a Manufacturer-Authorized Distributor distributing product within the terms of a Distribution Agreement. Franchised Distribution is consi
36、dered synonymous with Authorized Distribution. AUTHORIZED DISTRIBUTION CHANNEL: Sales conducted by the Manufacturer or their Authorized Distributor which carry the Manufacturers rights of warranty with the product. AUTHORIZED (FRANCHISED) DISTRIBUTOR: A distributor that performs Authorized Distribut
37、ion. A Franchised Distributor is considered synonymous with an Authorized Distributor. AUTHORIZED INVENTORY: The Organizations inventory purchased through the Authorized Distribution Channel. AUTHORIZED RESELLER: An entity that is granted permission by the Manufacturer to resell its Parts. Some Auth
38、orized Resellers purchase directly from the Manufacturer while others obtain Parts directly from an entity authorized by the Manufacturer. For the purposes of this document, the Authorized Reseller is not an Authorized Distributor.AUTHORIZED SUPPLIER: Authorized Aftermarket Manufacturers, as defined
39、 above, and Manufacturer-authorized sources of supply for a Part (i.e., Franchised Distributors, Authorized Distributors). NOTE: Some Authorized Suppliers will provide other services which are not authorized by a Manufacturer (e.g., Independent Distribution). AUTHORITY HAVING JURISDICTION: A statuto
40、ry authority can differ between countries. The term is used to refer to the governmental organization at the federal, national, state, or local entity having statutory authority to respond to, enforce, orprosecute laws. Examples are Customs and Judicial bodies. BROKER: In the Independent Distributio
41、n market, Brokers are professionally referred to as Independent Distributors. See definition for “Independent Distributor.” 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 b
42、y a source without legal right with intent to mislead, deceive, or defraud. NOTE: The following diagram (Figure 1) depicts the interrelationship between Suspect, Fraudulent and Counterfeit Parts. A Suspect Part may be determined to be Fraudulent or Counterfeit through further evaluation and testing.
43、 All Counterfeit Parts are fraudulent, but not all fraudulent Parts are counterfeit. SAE INTERNATIONAL AS6496 Page 6 of 12 FIGURE 1 - INTERRELATIONSHIP BETWEEN SUSPECT, FRAUDULENT AND COUNTERFEIT PARTSCUSTOMER: An entity that the Organization sells Parts to. DISTRIBUTION AGREEMENT: A specific, writt
44、en contract between the Manufacturer and the Organization that authorizes the distributor to resell the Manufacturers Parts. Contractual terms include, but are not limited to, distribution region, distribution products or lines, and warranty flow down from the Manufacturer. These agreements often in
45、clude failure analysis support, return privileges and product change notifications as well. FRANCHISED DISTRIBUTION: For the purposes in this standard, Franchised Distribution is considered synonymous with Authorized Distribution (see “Authorized Distribution” definition above). FRAUDULENT PART: Any
46、 Suspect Part misrepresented to the Customer as meeting the Customers requirements. INDEPENDENT DISTRIBUTION: Transactions conducted outside the context of the Authorized Distribution Channel. INDEPENDENT DISTRIBUTOR: A distributor doing independent (unauthorized/non-franchised) distribution. See AS
47、6081 for more information. MANUFACTURER (MFG): An organization that produces and sells products with legal right or authority under the organizations name or contracts with another to do so; includes Original Component Manufacturer and Original Equipment Manufacturer. MASTER DISTRIBUTOR: A Master Di
48、stributor, also known as a Wholesale Distributor, is a distributor whose primary business is to sell to other distributors. A Master Distributor may or may not be an Authorized Distributor. ORGANIZATION: Authorized (Franchised) Distributors when purchasing and selling Parts within the Manufacturers
49、Authorized Distribution Channel. ORIGINAL COMPONENT MANUFACTURER (OCM): An entity that designs and/or engineers a Part typically with the intellectual property rights to that Part. 1. The Part and/or its packaging are typically identified with the OCMs trademark. 2. OCMs generally manufacture the Part but may contract out manufacturing and/or distribution of their product. SAE INTERNATIONAL AS6496 Page 7 of 12 ORIGINAL
