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IECQ OD 706-3 Edition 1.0 2016-09 IECQ OPERATIONAL DOCUMENT IECQ Counterfeit Avoidance Programme (IECQ CAP) Assessment, Evidence of Compliance Summary and Assessment Reporting Form (IEC/TS 62668-1 Ed.3.0) IECQ OD 706-3:2016(E) IEC Quality Assessment System for Electronic Components (IECQ System)

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IECQ OD 706-3 Edition 1.0 2016-09

IECQ OPERATIONAL DOCUMENT

IECQ Counterfeit Avoidance Programme (IECQ CAP) Assessment, Evidence of Compliance Summary and Assessment Reporting Form (IEC/TS 62668-1 Ed.3.0)

IEC

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IEC Quality Assessment System for Electronic Components (IECQ System)

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THIS PUBLICATION IS COPYRIGHT PROTECTED Copyright © 2016 IEC, Geneva, Switzerland All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm, without permission in writing from either IEC or IEC's member National Committee in the country of the requester. If you have any questions about IEC copyright or have an enquiry about obtaining additional rights to this publication, please contact the address below or your local IEC member National Committee for further information.

IEC Central Office Tel.: +41 22 919 02 11 3, rue de Varembé Fax: +41 22 919 03 00 CH-1211 Geneva 20 [email protected] Switzerland www.iec.ch

About the IEC The International Electrotechnical Commission (IEC) is the leading global organization that prepares and publishes International Standards for all electrical, electronic and related technologies.

About IEC publications The technical content of IEC publications is kept under constant review by the IEC. Please make sure that you have the latest edition, a corrigenda or an amendment might have been published. Useful links: IEC publications search - www.iec.ch/searchpub

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IECQ OD 706-3 Edition 1.0 2016-09

IECQ OPERATIONAL DOCUMENT

IECQ Counterfeit Avoidance Programme (IECQ CAP) Assessment, Evidence of Compliance Summary and Assessment Reporting Form (IEC/TS 62668-1 Ed.3.0)

INTERNATIONAL ELECTROTECHNICAL COMMISSION ZZ PRICE CODE

IEC Quality Assessment System for Electronic Components (IECQ System)

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CONTENTS

CONTENTS ......................................................................................................................... 2INTRODUCTION .................................................................................................................. 31 Technical requirements (Objectives) – Principals ............................................................. 42 Instructions for Use ........................................................................................................ 43 Table 1 IEC/TS 62668-1 Ed.3.0 (2016-04) – Verification Criteria ...................................... 54 Table 2 IEC/TS 62668-2 Ed.1.0 (2014-07) – Verification Criteria ................................... 15

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IECQ OD 706-3 © IEC:2016(E) – 3 –

INTERNATIONAL ELECTROTECHNICAL COMMISSION ____________

IECQ Operational Document 706-3 –

IECQ Counterfeit Avoidance Programme (IECQ CAP) Assessment,

Evidence of Compliance Summary and Assessment Reporting Form (IEC/TS 62668-1 Ed.3.0)

INTRODUCTION

Development of the IECQ Counterfeit Avoidance Programme Worksheet and reporting form.

In order to assist the IECQ Counterfeit Avoidance Programme Assessment Team, the following worksheet was developed for the preparation reporting of assessments. It is recommended that links to process documentation and compliance data be established for presentation during the IECQ Counterfeit Avoidance Programme assessment. This worksheet shall be used to record and report the results of the assessment.

For the purposes of illustration, reference will be made to IEC/TS 62668-1 and IEC/TS 62668-2

The documentation and examples listed in the column “Examples of Records of Compliance” is not intended to be a comprehensive tabulation of all the items that must be included in the Counterfeit Avoidance Management Plan.

The right column, “Record of Compliance” is for the use of the assessment team to record their finding for each of the IECQ CAP requirements during the assessment. The column will also be a permanent record of any “judgement” decisions made by the assessment team during the assessment, and should be achieved by the OEM and IECQ CB.

Document History

Date Summary

2016-09 Original issue

IECQ Secretariat c/o IEC Sydney Office The Executive Centre, Australia Square, Level 33 264 George Street, Sydney, NSW 2000 Australia

E-mail: [email protected] | Tel:+61 2 4628 4690 I Fx: +61 2 4627 5285 | http://www.iecq.org

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IECQ Counterfeit Avoidance Programme (IECQ CAP) Assessment, Evidence of Compliance Summary and Assessment Reporting Form

(IEC/TS 62668-1 Ed.3.0)

1 Technical requirements (Objectives) – Principals

This set of criteria is to be utilized by IECQ Certification Bodies (IECQ CBs) to establish compliance, and grant certification to IEC/TS 62668-1, Ed.3.0 (2016-04) Process Management for avionics-Counterfeit prevention- Part 1: Avoiding the use of counterfeit fraudulent and recycled electronics components and IEC/TS 62668-2, Ed.1.0 (2014-07) Process Management for avionics-Counterfeit prevention- Part 2 Managing electronic components from non-franchised sources.

This document is intended for use during certification audits to the requirements of IEC/TS 62668-1 and IEC/TS 62668-2. It is recommended to be used by all contracting organizations that procure electronics parts, whether such parts are procured directly or integrated into electronic assemblies or equipment as guidance for evaluating compliance to IEC/TS 62668-1 or in preparation for a certification audit or internal evaluation.

2 Instructions for Use

IEC/TS 62668-1 Clause: Reference to the specific clause in IEC/TS 62668-1 being addressed (Table 1).

IEC/TS 62668-2 Clause: Reference to the specific clause in IEC/TS 62668-2 being addressed (Table 2).

Requirement: Description of the clause being addressed describing what activity is being evaluated.

Criteria for Compliance: Description of the clause being addressed describing what activity is being evaluated.

Record of Compliance: Acceptable evidence that the clause is being implemented and appropriate records being kept to demonstrate compliance. This column is for the IECQ CAP Assessment Team to record their findings.

Audit Trail/Information: Area used for notes, observations, information, items requiring additional follow-up.

Complies with the Clause: This column is for the IECQ CAP Assessment Team to record their finding of satisfactory compliance or not.

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3 Table 1 IEC/TS 62668-1 Ed.3.0 (2016-04) – Verification Criteria

IEC/TS 62668-1 ed3.0 Clause

IEC/TS 62668-1ed3.0 2016 Requirement

Criteria for Compliance Record of Compliance Audit Trail/Information

Complies with Clause

4.2 a) The avionics OEM shall:

a) Protect their intellectual property rights (see 4.3, 4.4, 4.5, 4.12 and 4.13).

Evidence of the OEM intellectual property rights control, e.g. procedures for patent applications, procedures to protect key design aspects, company trademark and how to apply trademarks or legends, any hardware or software design protection techniques, any final product special shipping techniques etc. NOTE This requirement is unique to IEC/TS 62668-1.

Yes No o o

4.2 b) Select components from original component manufacturers (OCMs) which control their intellectual property rights (see 4.3, 4.7) and which include unique configuration controlled part numbers and physical part markings (see 4.7.6).

.

Evidence of component selection procedures which require the selection of trademarked components with specific unique part numbering schemes, published documentation containing the trademark and part or container markings. NOTE This requirement is unique to IEC/TS 62668-1.

Yes No o o

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IEC/TS 62668-1ed3.0 2016 Requirement

Criteria for Compliance Record of Compliance Audit Trail/Information

Complies with Clause

4.2 c) Have an anti-counterfeit, fraudulent and recycled component process, in compliance with the requirements herein, which may include an anti-counterfeit management plan in accordance with this specification which can be based on plans such as SAE-AS5553A or others similar (see 4.12.13). The OEMs shall flow this requirement down to lower level suppliers (see 4.12.13.3).

.

Evidence of an anti-counterfeit management plan which is a released document with configuration control. This plan can be a standalone plan or a plan that points to existing released documents/processes. Use OD706-1 when this plan uses an SAE AS5553A plan but be aware of the additional requirements of IEC/TS 62668-1 and the similarities to SAE AS5553A summarised in the notes for each requirement herein. Note: IEC/TS 62668-1 includes additional requirements to SAE AS5553A.

.

Yes No o o

4.2.d) Have an AS/EN/JISQ 9100 process (see 4.12) to audit all sources of supply of components.

Review AS/EN/JISQ 9100 Third Party certificates, approved supplier lists and scope of approval and the supplier audit process. Sample audit a supplier from the approved supplier list. NOTE SAE AS5553A requires a supply audit process but IEC/TS 62668-1 mandates that it has to be an AS/EN/JISQ 9100 process.

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IEC/TS 62668-1 ed3.0 Clause

IEC/TS 62668-1ed3.0 2016 Requirement

Criteria for Compliance Record of Compliance Audit Trail/Information

Complies with Clause

4.2.e) Have a process only allowing the purchase of traceable components (see 4.12.3), using the AS/EN/JISQ 9100 procedures, as follows:

Evidence that the standard purchase order process is for traceable components.

Yes No o o

4.2.e).1) from the original component manufacturer (OCM) (see 4.7) with any appropriate traceability measures such as the use of Semiconductor Industries Association Anti Counterfeit Task Force (ACTF) measures (see 4.7.7) or physical unclonable function (PUF) features (see 4.7.10), as considered necessary;

Evidence to determine if there is a prioritized component ordering decision matrix, where the first priority is to purchase components direct from OCMs wherever possible. Note: This is common with SAE AS5553A

Evidence of need for any special features the OEM considers necessary for this procurement, e.g. physical unclonable features or ACTF measures etc. This is optional. NOTE This requirement is unique to IEC/TS 62668-1.

Yes No o o

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IEC/TS 62668-1ed3.0 2016 Requirement

Criteria for Compliance Record of Compliance Audit Trail/Information

Complies with Clause

4.2.e).2) direct from USA Trusted Foundry Program (see 4.7.8) and/or from the USA Trusted IC Supplier Accreditation Program (see 4.7.9) where required by customer contract or considered appropriate;

Evidence of any contracts which require the use of USA Trusted Foundries or USA Trusted IC Supplier accreditation programs. . NOTE This requirement is unique to IEC/TS 62668-1.

Yes No o o

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IEC/TS 62668-1 ed3.0 Clause

IEC/TS 62668-1ed3.0 2016 Requirement

Criteria for Compliance Record of Compliance Audit Trail/Information

Complies with Clause

4.2.e).3)

in situations where the component is obsolete, purchase direct from the franchised aftermarket manufacturer (see 4.12.9 and Annex B);

Evidence of an OEMs obsolescence management plan (preferred but not mandatory) which is a. Cross referenced to the OEMs Counterfeit Electronic Parts Control Plan (CEPCP) b. or IECQ CAP TE documents and concurs that all processes are technically acceptable. NOTE Certification to ANSI/EIA-STD-4899A-2009 and/or IEC/TS 62239-1 is evidence of compliance to AS 5553A paragraph 4.1.2. Alternatively, evidence of how Last Time Buys are managed and what happens when the Last Time Buy is missed. Is the OCM contacted to check they have no stock or way to re-manufacture the part? Are franchised aftermarket manufacturers considered next as the second priority and how are they managed? Document examples. Note: This is common with SAE AS5553A.

Yes No o o

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Criteria for Compliance Record of Compliance Audit Trail/Information

Complies with Clause

4.2.e).4) from franchised distributors (see 4.10)

- which are preferably AS/EN/JISQ 9120 approved (see 4.9);

- which are also ISO9001 approved as a minimum requirement (see 4.8);

- which comply with SAE AS6496 requirements ( see Clause A.16)

Evidence of a purchasing process with a prioritized, traceable component ordering decision matrix, which includes purchasing stock from franchised distributors which are preferably AS/EN/JISQ 9120 certified or ISO9001 certified which comply with SAE AS6496 as a minimum requirement. Review and document examples. Note: This is common with SAE AS5553A, although IEC/TS 62668-1 prefers the use of AS/EN/JISQ 9120 certified distributors.

Yes No o o

4.2.e). 5) from non-franchised distributors (see 4.11) using IEC/TS 62668-2.

Evidence of a risk assessment process when buying from outside of the OCM and their franchised distributor network based on IEC/TS 62668-2. NOTE SAE AS5553A asks for a risk assessment process but the IEC/TS 62668-1 requirement is for an IEC/TS 62668-2 risk assessment plan.

Yes No o o

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IEC/TS 62668-1 ed3.0 Clause

IEC/TS 62668-1ed3.0 2016 Requirement

Criteria for Compliance Record of Compliance Audit Trail/Information

Complies with Clause

4.2 f) Have an AS/EN/JISQ 9100 process which avoids the use of unapproved brokers (see 4.11.5).

Evidence of a traceable component ordering decision matrix which is prioritised to avoid the use of unapproved brokers. Note: This is common with SAE AS5553A

Yes No o o

4.2 g) 1) In the rare event an avionics OEM considers it is necessary to purchase untraceable components, the avionics OEM shall:

1) Conduct and document an exhaustive search for traceable alternatives, including the review of possible design changes to accommodate traceable alternatives and aftermarket sources (see 4.12, in particular 4.12.9, 4.12.10, 4.12.11, and Annex B).

Evidence of the process where untraceable components are managed through an AS/EN/JISQ 9100 non-conformance risk assessment process which includes an exhastive search for traceable alternatives, redesign using traceable components and franchsied aftermarket solutions. Note: IEC/TS 62668-1 invokes an AS/EN/JISQ 9100 traceability process where untraceable components are non-conforming and are managed by the AS/EN/JISQ 9100 non-conformance process. IEC/TS 62668-1 specifically requires this search whereas SAE AS5553A is vague and allows it to be part of the risk assessment process.

Yes No o o

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Complies with Clause

4.2 g) 2) In the rare event an avionics OEM considers it is necessary to purchase untraceable components, the avionics OEM shall:

2) Use and document a risk management process to assess the additional requirements needed to determine that the components are not counterfeited, recycled or fraudulent components, using the requirements of IEC/TS 62668-2. This risk management process will include conformity, quality, reliability and maintenance performances aspects.

Evidence of a risk assessment process when buying from outside of the OCM and their franchised distributor network based on IEC/TS 62668-2. NOTE SAE AS5553A asks for a risk assessment process but this IEC/TS 62668-1 requirement requires an IEC/TS 62668-2 risk assessment plan.

Yes No o o

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IEC/TS 62668-1 ed3.0 Clause

IEC/TS 62668-1ed3.0 2016 Requirement

Criteria for Compliance Record of Compliance Audit Trail/Information

Complies with Clause

4.2.h) Have a process for repair and rework operations (see 4.13.9) which shall include AS/EN/JISQ 9110 certification for all maintenance operation.

.

Evidence of controlled and documented AS/EN/JISQ 9110 repair process. Documented/controlled Quality processes address CFP detection, verification and control of in-process and in-service suspect counterfeit parts and or non-conforming parts. IECQ CAP TE documents and concurs that all processes are technically acceptable. NOTE This requirement is unique to IEC/TS 62668-1.

Yes No o o

4.2 i) Report incidents of counterfeit and fraudulent activities in accordance with local law (see 4.14).

Evidence of disclosure requirement for instance of confirmed counterfeit or recycled parts. Procedures and evidence of processing product returns validating authenticity. Note: This is common with SAE AS5553A which asks for a wider reporting function.

Yes No o o

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IEC/TS 62668-1ed3.0 2016 Requirement

Criteria for Compliance Record of Compliance Audit Trail/Information

Complies with Clause

4.2.j Establish an anti-counterfeit awareness training for relevant personnel based on Table 1 which is provided for guidance and which identifies the relevant personnel and training records. In the case of newly hired personnel, initiate immediate training for the specific discipline or department.

Evidence of training records and demonstration by personnel of their competence. Note: This is common with SAE AS5553A but includes guidance on the types of personnel to be trained with a periodic retraining recommendation.

Yes No o o

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4 Table 2 IEC/TS 62668-2 Ed.1.0 (2014-07) – Verification Criteria

IEC/TS 62668-2 ed1.0 Clause

IEC/TS 62668-2 ed1.0 Requirement

Criteria for Compliance Record of Compliance Audit Trail/Information

Complies with Clause

4.2 Overview …….. The original equipment manufacturer, or subcontractor, which includes Purchasing Agents acting on its behalf, which places orders for these components shall order directly from a component manufacturer, the manufacturer representative or its franchised distributor. This is the only supply system that can guarantee component compliance with specifications and component origin (see IEC TS 62668-1).

………

The OEM shall have anti-counterfeit management plans in place, to comply with IEC TS 62668-1

Evidence of an anti-counterfeit management plan which is a released document with configuration control per Table 1. This plan can be a standalone plan or a plan that points to existing released documents/processes. Use OD706-1 when this plan uses an SAE AS5553A plan but be aware of the additional requirements of IEC/TS 62668-1 and the similarities to SAE AS5553A summarised in the notes for each requirement herein and Table 1. Note: IEC/TS 62668-1 includes additional requirements to SAE AS5553A.

Yes No o o

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Criteria for Compliance Record of Compliance Audit Trail/Information

Complies with Clause

4.3.2 Risk origin……

….. OEMs shall consequently take increasingly strict measures to mitigate risk. The equipment manufacturer shall take all necessary measures, both internally and with regard to its chosen supplier, to ensure that components acquired are OCM (original component manufacturer) produced that they have not been modified, remarked, or previously installed in applications, nor undergone testing that might impact their performance or reliability

Evidence of an anti-counterfeit management plan, see Table 1, which is a released document with configuration control with adequate measures to mitigate risk. This plan can be a standalone plan or a plan that points to existing released documents/processes. Use OD706-1 when this plan uses an SAE AS5553A plan but be aware of the additional requirements of IEC/TS 62668-1 and the similarities to SAE AS5553A summarised in the notes for each requirement herein and Table 1. Note: IEC/TS 62668-1 includes additional requirements to SAE AS5553A.

Yes No o o

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IEC/TS 62668-2 ed1.0 Clause

IEC/TS 62668-2 ed1.0 Requirement

Criteria for Compliance Record of Compliance Audit Trail/Information

Complies with Clause

4.4.1 General If there are no other reasonable or practical alternatives, then the OEM or the subcontractor shall use the following derogation process when they are considering procuring untraceable components from a non-franchised distributor. This process shall be used in exceptional circumstances and shall not be normal practice.

Evidence that IEC/TS 62668-2 risk mitigation process is used when ordering components from non-franchised distributors and that this is not the typical or normal practice but used in exceptional circumstances.

Yes No o o

4.5.1 Notification to the OEM Under the circumstances described in 4.4, the subcontractor shall notify the OEM defined authority of the unavailability of a given component with traceability through the franchised distributor network; AS/EN/JISQ 9100 certified non-franchised distributors which can provide traceability back to the OCM are exempt from these requirements.

Evidence which includes customer and regulator notifications when untraceable components with an IEC/TS 62668-2 risk mitigation plan are proposed.

Yes No o o

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Complies with Clause

4.5.2 Alternative solutions shall be examined by the OEM with the subcontractor to take into account the technical and financial impacts for each program concerned, as well as the reasons behind the sourcing difficulty.

Evidence that the alternative solutions have been seriously considered before deciding to proceed with the untraceable order.

Yes No o o

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IEC/TS 62668-2 ed1.0 Clause

IEC/TS 62668-2 ed1.0 Requirement

Criteria for Compliance Record of Compliance Audit Trail/Information

Complies with Clause

4.5.3 List of approved non-franchised distributors The OEM or its subcontractor shall maintain a restricted list of approved non-franchised distributors, managed directly through on-site audits As minimum, the approved non-franchised distributor shall:

– be a member of a trade organization involved in the detection/fight against fraudulent/counterfeited components, such as ERAI, IDEA, Brokerlinx, etc., or be identified as Trusted Supplier (in compliance with NDAA: H.R.1540 – National Defense Authorization Act for Fiscal Year 2012 / Sec. 818. Detection and Avoidance of Counterfeit Electronic Parts – became Public Law No: 112-081), i.e. DFARS 252.246.7007 and DFARS case 2014-D005);

- be in line with international data-sharing organizations related to anti-counterfeiting activities, such as IDEA, ESCO anti-counterfeiting forum, ACTF, GIDEP, etc.,

. Evidence of a restricted list of approved non-franchised distributors managed directly through on-site audits with the stated requirements.

Yes No o o

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4.5.3 continued

- have implemented internal rules and means to deal with suspect fraudulent/counterfeited components, i.e. have its own anti-counterfeit management plan (including technical and document management capabilities for reseller business),

- maintain a mini-laboratory at its own disposal, for realizing directly the first steps of inspections (visual inspections at low magnification, photos, acetone tests, etc.),

- have IDEA-ICE-3000 (or equivalent) certified operators for incoming inspection activities,

- own directly in its place an important proprietary components inventory

- be able to give a pertinent risk analysis for the proposed components, associated with the destructive/non-destructive inspection/test procedure to be processed by the non-franchised distributor for mitigating the risk, before component delivery to the OEM.

Yes No o o

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4.5.4 Non-franchised distributor consultation This consultation shall also allow the OEM to collect data for risk analysis of this solution versus other alternate solutions. This data includes:

- origin (original delivery slip, photos of packaging and labeling etc.);

- part traceability documents; - component package (type,

condition, leads, etc.);

- date codes, parts quantity per date/code and component marking (with photographic evidence);

- copy of component test certificates;

- possibility of performing a pre-delivery conformance test;

- copy of original certificate of conformance;

- payment conditions.

Evidence of data collection as stated to support the purchase of the untraceable components over alternative solutions.

Yes No o o

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4.5.4 continued

Moreover, the approved non-franchised distributor shall provide its own risk analysis related to the proposed component, together with the mutually agreed detailed inspection/test procedure dedicated to the risk mitigation. The documented inspection/test procedure shall be performed by the approved non-franchised distributor before delivery to the OEM (or its subcontractor), unless the OEM claims to do it by itself

Evidence of risk assessment of the component and supplier and agreed methods of anti-counterfeit risk mitigation testing acceptable to the OEM.

Yes No o o

4.5.5. Risk analysis

The electronic equipment manufacturer shall use the data relative to potential alternate solutions and the data obtained from the various non-franchised distributor consultations (including the risk analysis proposed by the approved non-franchised distributor) and from the OCM to perform risk analysis, as described in 4.3. The OCM may cooperate and confirm if the component lot date codes and part markings are genuine or not.

Evidence of risk assessment which should be detailed in the AS/EN/JISQ 9100 non-conformance based on IEC/TS 62668-2.

Yes No o o

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4.5.5 Certain risk indicators shall be considered:

- A lot size too large for a same date/code may indicate that the components are counterfeit.

- Vast differences in date/codes may indicate that the components are recovered scrap, which represents a significant quality risk.

- Bulk packaging may hide counterfeit components (hidden in the middle of a strip, for example).

- Incoherence between the printed date/code and the official last production date is a blatant example of counterfeit marking.

- Inaccuracy or uncertainty with regard to component origin or history can be a sign of fraudulent business activity.

Evidence of consideration of risk factors as stated.

Yes No o o

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4.5.6 Non-franchised distributor order authorization The individual who defined the need shall draft a written authorization for supply through the selected non-franchised distributor. According to the conclusions of risk analysis conducted by the OEM (with the selected approved non-franchised distributor), this authorization shall include specific requirements and/or detail the non-franchised distributor supply inspection and testing procedure to be performed by the non-franchised distributor (unless the OEM claims to do it by itself) before delivery, to guarantee the compliance of the components delivered (reinforced incoming inspection, qualification tests, reliability tests, destructive physical analysis, counterfeit detection, etc.).

.

Evidence that the requestor has prepared the anti-counterfeit mitigation test requirements into the necessary format to accompany the purchase order for that supply chain scenario.

Yes No o o

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4.5.7 Order processing In addition to general requirements for all orders, the information collected during the non-franchised distributor consultation (see 4.5.4) shall be included in order to secure supplier terms and conditions and manage potential discrepancies at delivery. The following requirements shall be mentioned:

- date codes, - lots sizing,

- conformance certificate delivered,

- risk analysis related to the proposed components,

- detailed non-franchised distributor supply inspection and testing procedure and results before delivery (if the tests flow was performed directly by the non-franchised distributor).

Consequently, the control of the order receipt is particularly important to check the supplier commitment against the order requirements.

Evidence that the purchase order anti-counterfeit risk mitigation testing takes the specific details stated into account for Goods Receiving activities to determine pass/fail criteria.

Yes No o o

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4.5.8.1 General

For deliveries of orders made through non-franchised distributors, the incoming department which may be at the OEM facilities or at their approved subcontractor ones (e.g. test laboratory) shall be informed of the type of supplier and the associated inspection/tests requirements with this type of order. These operations shall be performed by trained operators aware of the risks associated with counterfeit components and fraudulent products. Specific requirements or the non-franchised distributor supply inspection and testing procedure mentioned in the order authorization shall be followed (detailed documentary evidence/photographs and tested components shall always be provided by the non-franchised distributor with the supplied components, if the tests flow was performed directly by the non-franchised distributor).

Where specialist external test laboratories are used to inspect suspect stock, they shall be AS/EN/JISQ 9100 certified.

Evidence that the anti-counterfeit mitigation tested orders can be identified at Goods Inwards and that the necessary applicable Good Inwards procedures are applied to the correct orders. Evidence that AS/EN/JISQ 9100 certified test facilities are used for anti-counterfeit risk mitigation testing.

Yes No o o

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4.5.8.2 Administrative compliance All documents relating to the order shall be included at delivery and be authentic (manufacturer and/or reseller conformance certificates and packing slips ( based on NIGP 111.00), inspection and/or test reports, measurements, analysis reports, etc.).

The date codes of the delivered components shall comply with those provided in the shipping documents and in the order. These date codes shall be verified for all delivered parts by checking the component marking (when marked by the manufacturer). For components delivered in strips and/or dry packs, this operation may require specific unpacking and repacking means.

Component packaging shall be checked to ensure that it meets the specific requirements set out in the order.

Evidence that the Good Inwards review of the order matches the purchase order requirements with regards to date codes etc.

Yes No o o

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4.5.8.3 Technical compliance

In the absence of the manufacturer’s original warrantee certificate, and depending on the reliability of the information available by the reseller, specific inspection and testing protocols shall be implemented to ensure that supplied components are not counterfeit or of poor quality.

In addition to specific requirements set forth upon ordering, packaging shall be inspected and components shall be properly fitted in their packaging, in the correct orientation, if applicable. Components with different production date codes shall be packaged separately. All other types of anomaly shall be conveyed to the inspector as a potential risk with regard to component origin….…All electrical and physical tests and analyses shall be performed by a specialist and recognized laboratory. Where yields are less than 90 % (tests 8 and 9) a review shall be carried out of all data to determine if it is acceptable to use the components.

Evidence of IEC/TS 62668-2 anti-counterfeit risk mitigation testing and review of any anomalies observed and review of test results including yield analysis of tests 8 and 9. Evidence that the test facility is a specialised recognised facility.

Yes No o o

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4.5.9 Records

The results of all inspections and tests shall be recorded and archived to provide traceability and contribute to an ongoing lessons-learned process

Evidence of all test records including how they are archived and added to lessons-learned processes.

Yes No o o

4.5.10 Processing during storage and manufacturing For components that must be packaged in a dry atmosphere, and when compliance with dry chain conditions cannot be guaranteed, applicable internal procedures for repackaging shall be applied.

During the storage and manufacturing phases, the traceability of component batches shall be guaranteed. Traceability per date code shall be guaranteed in the production from receipt up to customer level.

Evidence of correct MSL handling control and traceability including the use of additional part marking, e.g. dotting, labels etc.

Yes No o o

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4.5.11 Failed electronic components Electronic components that fail testing shall be immediately marked as failed suspect counterfeit components and stored in special anti-counterfeit quarantine storage for a review by quality and legal teams. The failed suspect counterfeit components shall not be returned to the supplier or to the OCM, or retransferred to the OEM if testing is performed outside the OEM facility.

Yes No o o

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INTERNATIONAL IEC QUALITY ASSESSMENT SYSTEM ELECTROTECHNICAL FOR ELECTRONIC COMPONENTS COMMISSION 3 rue de Varembe IECQ Secretariat c/o IEC Sydney Office PO Box 131 The Executive Centre CH-1211 Geneva 20 Australia Square, Level 33 Switzerland 264 George Street Sydney, NSW 2000 Tel: + 41 22 919 02 11 Australia [email protected] www.iec.ch Tel: +61 2 4628 4690 Fx: +61 2 4627 5285 [email protected] www.iecq.org