1、Counterfeit Electronic Parts and Their Impact on Supply Chains Koepsel SAE INTERNATIONAL Kirsten M. Koepsel Counterfeit Electronic Parts and Their Impact on Supply Chains Automotive Aerosp Ace commerciAl vehicle T-130 P121144Counterfeit Electronic Parts and Their Impact on Supply ChainsOther SAE boo
2、ks of interest: Automotive E/E Reliability By John Day (Product Code: T-126) Multiplexed Networks for Embedded Systems By Dominique Paret (Product Code: R-385) Electronic Control Systems By Ross Bannatyne (Product Code: T-107) For more information or to order a book, contact SAE INTERNATIONAL 400 Co
3、mmonwealth Drive, Warrendale, PA 15096-0001, USA; phone +1-877-606-7323 (U.S. and Canada only) or +1-724-776-4970 (outside U.S. and Canada); fax +1-724-776-0790; e-mail CustomerServicesae.org; website http:/ /books.sae.org.Counterfeit Electronic Parts and Their Impact on Supply Chains By Kirsten M.
4、Koepsel Warrendale, Pennsylvania USA Copyright 2014 SAE International eISBN: 978-0-7680-8159-6 400 Commonwealth Drive Warrendale, PA 15096 E-mail: CustomerServicesae.org Phone: +1.877.606.7323 (inside USA and Canada) +1.724.776.4970 (outside USA) Fax: +1.724.776.0790 Copyright 2014 SAE International
5、. All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, distributed, or transmitted, in any form or by any means without the prior written permission of SAE International. For permission and licensing requests, contact SAE Permissions, 400 Commonwealth Dri
6、ve, Warrendale, PA 15096-0001 USA; e-mail: copyrightsae.org; phone: 724-772-4028; fax: 724-772-9765. Library of Congress Catalog Number 2014950789 SAE Order Number T-130 DOI 10.4271/T-130 Information contained in this work has been obtained by SAE International from sources believed to be reliable.
7、However, neither SAE International nor its authors guarantee the accuracy or completeness of any information published herein and neither SAE International nor its authors shall be responsible for any errors, omissions, or damages arising out of use of this information. This work is published with t
8、he understanding that SAE International and its authors are supplying information, but are not attempting to render engineering or other professional services. If such services are required, the assistance of an appropriate profes- sional should be sought. ISBN-print 978-0-7680-7800-8 ISBN-pdf 978-0
9、-7680-8159-6 ISBN-epub 978-0-7680-8161-9 ISBN-prc 978-0-7680-8160-2 To purchase bulk quantities, please contact: SAE Customer Service E-mail: CustomerServicesae.org Phone: +1-877-606-7323 (inside USA and Canada)+1-724-776-4970 (outside USA) Fax: +1-724-776-0790 Visit the SAE International Bookstore
10、http:/ /books.sae.orgTable of Contents Executive Summary vii Chapter 1. The Nature of Counterfeit Electronic Parts 1 Introduction 1 What Is an Electronic Part? 1 What Is a Counterfeit Electronic Part? .2 Why Should We Be Concerned About Counterfeit Electronic Parts? 7 Counterfeit Electronic Parts Ca
11、n Drive Up Program Costs 7 Counterfeits May Not Always Be Detected by Testing .8 Counterfeits May Not Meet “Markings” .8 Availability of Counterfeit Electronics .8 Counterfeit Electronic Parts in the DoD Supply Chain .9 Senate Armed Services Committee Investigation 18 IHS Numbers on Counterfeit Elec
12、tronic Parts 19 Customs and Border Protection Statistics 19 Number of Incidents Involving Counterfeit Electronic Parts .21 Where Do Counterfeit Electronic Parts Come From? 22 Chapter 2. Counterfeit Electronic Parts Manufacturing and the Supply Chain . 27 Introduction 27 How Are Legitimate Electronic
13、 Parts Manufactured? .27 How Are Counterfeit Electronic Parts “Manufactured”? 30 What Is a Supply Chain? 32 How Are Electronic Parts Purchased by the Supply Chain? 32 Purchasing from the Original Component Manufacturer .33 Purchasing from the Authorized Distributor 33 Purchasing from the Independent
14、 Distributor .34 Life Cycle of Electronic Parts 34 Life Cycle of Aviation, Spacecraft, and Defense Products .35 How Do Counterfeit Electronic Parts Enter the Supply Chain? .36vi Chapter 3. Keeping Counterfeit Electronic Parts Out of the Supply Chain 43 Introduction 43 What Is the Solution to Keeping
15、 Counterfeits Out of the Supply Chain? 43 Solutions, Best Practices, and Recommendations 44 Legislation 44 Standards 46 SAE International.46 Independent Distributors of Electronics Association .47 International Electrotechnical Commission .47 International Organization for Standards 47 Testing .50 R
16、eporting 51 Government Industry Data Exchange Program .52 Electronic Resellers Association Incorporated 53 National Intellectual Property Rights Coordination Center .53 Federal Aviation Administration Suspected Unapproved Parts Program .54 Authentication or Marking 55 Training .56 E-Waste .57 Other
17、Best Practices 59 The Solution to Keeping Counterfeits Out of the Supply Chain? .62 Chapter 4. The Future of Combatting Counterfeit Electronic Parts 67 Introduction 67 A Continuing Decrease in the Department of Defense Budget 68 DARPA SHIELD Program 68 Trusted Foundry 69 Trusted Supplier 71 Conflict
18、ing Contracting Regulations 73 No Fault Found74 The Supply Chain Not Working Together .75 Chapter 5. Conclusion: The Way Forward 79 Defining Counterfeit Electronic Parts .79 Manufacturing Counterfeit Electronic Parts 80 Counterfeit Electronic Parts Entering the Supply Chain? 80 Keeping Counterfeits
19、from the Supply Chain .81 Reducing the Proliferation of Counterfeit Electronic Parts .82 Elimination of Electronic Waste to Reduce Counterfeits 83 Reaction by Industry and Government 83vii Executive Summary Electronic parts, often as small as several square millimeters, are used throughout industry
20、to run everyday products, such as cell phones, and highly technical products, such as aircraft, missiles, and spacecraft. Unlike cell phones, which are often replaced every year, the highly technical products may remain in service from 20 to more than 80 years. But what happens if the original elect
21、ronic part with a life cycle of 18 months is no longer available for purchase to use in the manufacturing process or in the repair of such products? Some manufacturers have discovered, upon receipt of electronic parts that they have unwittingly purchased, counterfeit electronic parts. This book exam
22、ines how counterfeit electronic parts are impacting the aviation, spacecraft, and defense supply chains. The first chapter sets the stage by examining the multiple definitions of a coun- terfeit electronic part, and why the supply chain should avoid purchasing counterfeits. Chapter 1 also looks at h
23、ow various organizations have attempted to measure the amount of counterfeit electronic parts present in the supply chain or available for purchase. Chapter 2 addresses how legitimate electronic parts are manufactured in clean rooms and, for comparison, looks at how counterfeit electronic parts are
24、“manufactured” often literally on the street. This chapter also considers the life cycle of electronic parts in light of the life cycle of aviation, spacecraft, and defense products, as well as how the various levels of the supply chain purchase electronic parts. It concludes with several examples o
25、f how counterfeit electronic parts have entered the supply chain. Solutions, such as legislation and standards, to control or keep counterfeit electronic parts out of the supply chain are reviewed in depth in Chapter 3. A high-level compilation of supply chain best practices identified in a survey o
26、f electronic parts manufacturers and government contractors is provided. As the inflow of counterfeit electronic parts does not appear to be decreasing due to the ever-increasing amount of electronic waste or an increasing demand for out-of-production electronic parts, Chapter 4 examines some of the
27、 possible future solutions to combat the issue. The majority of the solutions are government driven but may be impacted by continuing cuts in government budgets and greater demands on government contractors. Chapter 5 concludes this title by providing a review of the challenge of counter- feit elect
28、ronic parts and their impact on the various levels of the global supply chain.1 The Nature of Counterfeit Electronic Parts The Nature of Counterfeit Electronic Parts Introduction When semiconductor chips or electronic parts were first used in aerospace systems in 1962, the inventors most likely neve
29、r imagined that over 50 years later counterfeit electronic parts could be purchased and are now entering the supply chain 1-1. Semiconductor chips can be found in virtually any electronic item, such as computers, radios, mobile phones, and diagnostic equipment used by the aviation, defense, automoti
30、ve, and space industries. While the computing power of chips has increased substantially since they were first used in aerospace systems in 1962, obsolescence and long lead times have likely created another problem: counterfeiting. In this chapter, we will examine the phenomena of counterfeit electr
31、onic parts, including the definition of a counterfeit electronic part and their impact when they enter the supply chain. We will also consider briefly how counterfeit electronic parts are “manufactured.” What Is an Electronic Part? For the purposes of this book, we will use the definition in the SAE
32、 International Aerospace Standard AS5553, “Fraudulent/Counterfeit Electronic Parts; Avoidance, Detection, Mitigation, and Disposition” 1-2. AS5553 was created in 2007 by the SAE G19 committee of industry and government participants who recognized the impact that fraudulent/counterfeit electronic par
33、ts could have on the aerospace supply chain. The document was an attempt to standardize requirements, practices, and methods in procuring, managing, controlling, reporting, assessing, and mitigating the impacts of fraudulent/counterfeit electronic parts. During the standard development phase, the co
34、mmittee agreed upon definitions for consistency in the supply chain and users of the standard. Originally the standard was created for the aerospace supply chain but has since undergone a revision to make it globally applicable to multi-sectors that use electronic parts. Chapter 1 2 Chapter 1 Electr
35、ical, electronic, and electromechanical (EEE) parts are defined in AS5553: Electrical, electronic, and electromechanical parts are components designed and built to perform specific functions, and are not subject to disassembly without destruction or impairment of design use. Examples of electrical p
36、arts include resistors, capacitors, inductors, transformers, and connectors. Electronic parts include active devices, such as monolithic microcircuits, hybrid microcircuits, diodes, and transistors. Electromechanical parts are devices that have electrical inputs with mechanical outputs, or mechanica
37、l inputs with electrical outputs, or combinations of each. Examples of electro- mechanical parts are motors, synchros, servos, and some relays. With publication of the final rule for the Defense Federal Acquisition Regulation Supplement: Detection and Avoidance of Counterfeit Electronic Parts, the A
38、S5553 definition of electronic parts will most likely be reconciled by government and industry participants to more closely match the Department of Defense (DoD) definition. The DoD final rule expanded the definition of electronic part: “electronic part means an integrated circuit, a discrete electr
39、onic component (including, but not limited to, a transistor, capacitor, resistor, or diode), or a circuit assembly (section 818(f)(2) of Pub. L. 112-81). The term electronic part includes any embedded software or firmware” 1-3. The major emphasis in the news, publications, research, and congressiona
40、l hearings has focused on semiconductor chips; thus, most typically when talking about counterfeit electronic parts we will be discussing semiconductor chips. What Is a Counterfeit Electronic Part? What is a counterfeit electronic part, or even a counterfeit? Unfortunately, there are as many definit
41、ions of counterfeit as there may be counterfeit parts! In the United States, the term counterfeit itself is not defined under federal law but is mentioned as the act of “trafficking in counterfeit goods or services.” Trafficking is defined under 18 U.S.C. 2320 (f) (5) as “to transport, transfer, or
42、otherwise dispose of, to another, for purposes of commercial advantage or private financial gain, or to make, import, export, obtain control of, or possess, with intent to so transport, transfer, or otherwise dispose of” 1-4. Several U.S. government agencies, such as the National Aeronautics and Spa
43、ce Administration (NASA) and the Department of Defense (DoD) have written their definition of counterfeit to be used in their respective acquisition contracts. The definitions have begun to be formally adopted in their acquisition regulations It is important to note that Section 818, Detection and A
44、voidance of Counterfeit Electronic Parts, of the National Defense Acquisition Act for Fiscal Year 2012, specifically requires the DoD “to establish Department-wide definitions for coun- terfeit electronic parts and suspect counterfeit electronic part, which definitions shall include previously used
45、parts represented as new” 1-5. 3 The Nature of Counterfeit Electronic Parts As part of the drafting of AS5553, the committee participants developed their definition of counterfeit for the standard. The definition was updated in 2013 by industry in response to the definition of counterfeit proposed b
46、y NASA 1-6 and DoD Federal Register notices 1-7. To further complicate matters, the 159 members of the World Trade Organization have agreed to a definition of counterfeit as it appears in the Agreement on Trade- Related Aspects of Intellectual Property (TRIPs) 1-8. This definition becomes important
47、when we consider that purchasing in the supply chain has become global. Under the TRIPs definition of counterfeit, the good(s) are counterfeit, not the act of selling counterfeit goods, compared to U.S. law, where anyone who sells counterfeit goods could be prosecuted for trafficking in counterfeit
48、goods. Table 1.1 lists the multiple definitions for counterfeit and the source of the definition. For the purposes of our discussion, we will use the definition of coun- terfeit electronic part from AS5553. Table 1.1 Multiple Definitions of Counterfeit or Counterfeit Electronic Part Source of Defini
49、tion Term Definition SAE AS5553, Fraudulent/Counterfeit Electronic Parts; Avoidance, Detection, Mitigation, and Disposition 1-3 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 a source without legal right with intent to mislead, deceive, or defraud. SAE AS5553, Fraudulent/Counterfeit Electronic Parts; Avoidance, Detection, Mitigation, and Disposition per the letter submitted to NASA and DoD, June/July 2013 1-9 Counterfeit elect
