Process management for avionics - Counterfeit prevention - Part 1: Avoiding the use of counterfeit, fraudulent and recycled electronic components

IEC 62668-1:2019 defines requirements for avoiding the use of counterfeit, recycled and fraudulent components used in the aerospace, defence and high performance (ADHP) industries. It also defines requirements for ADHP industries to maintain their intellectual property (IP) for all of their products and services. The risks associated with purchasing components outside of franchised distributor networks are considered in IEC 62668-2. Although developed for the avionics industry, this document can be applied by other high performance and high reliability industries at their discretion.
This first edition cancels and replaces the third edition of IEC TS 62668-1 published in 2016. This edition includes the following significant technical changes with respect to the previous edition:
a) added a reference to AS/EN/JISQ 9100 and AS/EN/JISQ 9110 which contain anti-counterfeit requirements
b) added reference to USA DFAR rule 252.246.7008 and to UK Defence Standard 05-135;
c) added reference to more GAO, OECD and ICC reports
d) updated weblinks and other references;
e) added new Annex E with figures describing how anti-counterfeit documents can be used in supply chains;
f) added a reference to the new IECQ OD 3702 traceability audit;
g) added new definition for re-manufactured components with a warning that these are not recommended.

Gestion des processus pour l'avionique - Prévention de la contrefaçon - Partie 1: Prévention de l'utilisation de composants électroniques contrefaits, frauduleux et recyclés

l'IEC 62668-1:2019 définit les exigences permettant d'éviter l'utilisation de composants contrefaits, recyclés et frauduleux dans le secteur de l'aérospatial, de la défense et des hautes performances (ADHP). Elle définit également les exigences permettant de maintenir la propriété intellectuelle de tous les produits et services utilisés dans ce même secteur. Les risques associés à l'achat de composants en dehors des réseaux de distributeurs franchisés sont pris en compte dans l'IEC 62668-2. Bien que développé pour l'industrie avionique, le présent document peut être appliqué par d'autres secteurs à hautes performances et à haute fiabilité s’ils le souhaitent.
Cette première édition annule et remplace la troisième édition de l'IEC TS 62668-1 parue en 2016. Cette édition inclut les modifications techniques majeures suivantes par rapport à l'édition précédente:
a) ajout d'une référence à l'AS/EN/JISQ 9100 et l'AS/EN/JISQ 9110, qui contiennent les exigences de prévention de la contrefaçon
b) ajout d'une référence à la règle 252.246.7008 de la DFAR (Etats-Unis) et à la Defence Standard 05-135 (Royaume-Uni);
c) ajout d'une référence à plusieurs rapports du GAO, de l'OCDE et de la CCI;
d) mise à jour de liens Internet et d'autres références;
e) ajout de la nouvelle Annexe E contenant des figures représentant la manière dont les documents de prévention de la contrefaçon peuvent être utilisés dans les chaînes d'approvisionnement;
f) ajout d'une référence au nouvel audit de traçabilité OD 3702 de l'IECQ;
g) ajout d'une nouvelle définition pour les composants refabriqués avec un avertissement précisant que ces composants ne sont pas recommandés.

General Information

Status
Published
Publication Date
15-Sep-2019
Current Stage
PPUB - Publication issued
Completion Date
16-Sep-2019
Ref Project

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IEC 62668-1
Edition 1.0 2019-09
INTERNATIONAL
STANDARD
NORME
INTERNATIONALE
colour
inside
Process management for avionics – Counterfeit prevention –
Part 1: Avoiding the use of counterfeit, fraudulent and recycled electronic
components
Gestion des processus pour l'avionique – Prévention de la contrefaçon –
Partie 1: Prévention de l'utilisation de composants électroniques contrefaits,
frauduleux et recyclés
IEC 62668-1:2019-09(en-fr)
---------------------- Page: 1 ----------------------
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---------------------- Page: 2 ----------------------
IEC 62668-1
Edition 1.0 2019-09
INTERNATIONAL
STANDARD
NORME
INTERNATIONALE
colour
inside
Process management for avionics – Counterfeit prevention –
Part 1: Avoiding the use of counterfeit, fraudulent and recycled electronic
components
Gestion des processus pour l'avionique – Prévention de la contrefaçon –
Partie 1: Prévention de l'utilisation de composants électroniques contrefaits,
frauduleux et recyclés
INTERNATIONAL
ELECTROTECHNICAL
COMMISSION
COMMISSION
ELECTROTECHNIQUE
INTERNATIONALE
ICS 03.100.50; 31.020; 49.060 ISBN 978-2-8322-7249-7

Warning! Make sure that you obtained this publication from an authorized distributor.

Attention! Veuillez vous assurer que vous avez obtenu cette publication via un distributeur agréé.

® Registered trademark of the International Electrotechnical Commission
Marque déposée de la Commission Electrotechnique Internationale
---------------------- Page: 3 ----------------------
– 2 – IEC 62668-1:2019 © IEC 2019
CONTENTS

FOREWORD ........................................................................................................................... 6

1 Scope .............................................................................................................................. 8

2 Normative references ...................................................................................................... 8

3 Terms, definitions and abbreviated terms ........................................................................ 8

3.1 Terms and definitions .............................................................................................. 8

3.2 Abbreviated terms ................................................................................................. 13

4 Technical requirements ................................................................................................. 15

4.1 General ................................................................................................................. 15

4.2 Minimum avionics OEM requirements ................................................................... 16

4.3 Intellectual property .............................................................................................. 19

4.3.1 General ......................................................................................................... 19

4.3.2 Definition of intellectual property.................................................................... 20

4.4 Counterfeit consideration ...................................................................................... 20

4.4.1 General ......................................................................................................... 20

4.4.2 Legal definition of counterfeit ......................................................................... 21

4.4.3 Fraudulent components ................................................................................. 21

4.4.4 How to establish traceability .......................................................................... 21

4.4.5 Reasons for the loss of component traceability .............................................. 22

4.5 The counterfeit problem ........................................................................................ 22

4.5.1 General ......................................................................................................... 22

4.5.2 General worldwide activities combating counterfeit issues ............................. 23

4.5.3 Cultural differences ....................................................................................... 23

4.5.4 Counterfeiting activities and avionics equipment ............................................ 23

4.5.5 Electronic components direct action groups ................................................... 26

4.6 Recycled components ........................................................................................... 26

4.6.1 General ......................................................................................................... 26

4.6.2 Why the avionics industry does not use recycled components ....................... 27

4.6.3 How recycled components become suspect and potentially fraudulent ........... 27

4.7 Original component manufacturer (OCM) anti-counterfeit guidelines ..................... 27

4.7.1 General ......................................................................................................... 27

4.7.2 Chinese Reliable Electronic Component Supplier (RECS) audit scheme ........ 28

4.7.3 Original component manufacturer (OCM) ISO 9001 and AS/EN/JISQ

9100 Third Party Certification ........................................................................ 28

4.7.4 Original component manufacturer's (OCM) trademarks .................................. 28

4.7.5 Original component manufacturer's (OCM) IP control..................................... 28

4.7.6 Original component manufacturer's (OCM) physical part marking and

packaging marking ......................................................................................... 28

4.7.7 The Semiconductor Industries Association Anti Counterfeit Task Force

(ACTF) .......................................................................................................... 29

4.7.8 USA Trusted Foundry Program ...................................................................... 29

4.7.9 USA Trusted IC Supplier Accreditation Program ............................................ 30

4.7.10 Physical unclonable function (PUF) ............................................................... 30

4.7.11 Original component manufacturer (OCM) best practice .................................. 30

4.8 Distributor minimum accreditations ....................................................................... 30

4.9 Distributor AS/EN/JISQ 9120 Third Party Certification ........................................... 31

4.10 Franchised distributor network .............................................................................. 31

4.10.1 General ......................................................................................................... 31

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IEC 62668-1:2019 © IEC 2019 – 3 –

4.10.2 SAE AS6496 .................................................................................................. 32

4.10.3 Control stock through tracking schemes ........................................................ 32

4.10.4 Control of scrap ............................................................................................. 33

4.10.5 RECS ............................................................................................................ 33

4.11 Non-franchised distributor anti-counterfeit guidelines ............................................ 33

4.11.1 General ......................................................................................................... 33

4.11.2 CCAP-101 certified program for independent distributor ................................ 33

4.11.3 SAE AS6081 .................................................................................................. 33

4.11.4 OEM managed non-franchised distributors .................................................... 34

4.11.5 Brokers .......................................................................................................... 34

4.12 Avionics OEM anti-counterfeit guidelines when procuring components .................. 34

4.12.1 Anti-counterfeiting general approach ............................................................. 34

4.12.2 Buy from approved sources ........................................................................... 34

4.12.3 Traceable components .................................................................................. 34

4.12.4 Certificate of conformance and packing slip ................................................... 35

4.12.5 Plan and buy sufficient quantities .................................................................. 36

4.12.6 Use of non- franchised distributors ................................................................ 36

4.12.7 Brokers .......................................................................................................... 36

4.12.8 Contact the original manufacturer .................................................................. 37

4.12.9 Obsolete components and franchised aftermarket sources ............................ 37

4.12.10 IEC 62239-1 approved alternatives ................................................................ 37

4.12.11 Product redesign ........................................................................................... 37

4.12.12 Non traceable components ............................................................................ 38

4.12.13 OEM anti-counterfeit plans including SAE AS5553 and SAE AS6174 ............. 38

4.13 OEM anti-counterfeit guidelines for their products ................................................. 43

4.13.1 IP control ....................................................................................................... 43

4.13.2 Tamper-proofing the OEM design .................................................................. 43

4.13.3 Tamper-proof labels....................................................................................... 43

4.13.4 Use of ASICs and FPGAs with IP protection features ..................................... 43

4.13.5 Control the final OEM product marking .......................................................... 44

4.13.6 Control OEM scrap ........................................................................................ 44

4.13.7 OEM trademarks and logos............................................................................ 44

4.13.8 Control delivery of OEM products and spares and their useful life .................. 44

4.13.9 MRO activities ............................................................................................... 45

4.14 Counterfeit, fraud and component recycling reporting ........................................... 46

4.14.1 General ......................................................................................................... 46

4.14.2 USA FAA suspected unapproved parts (SUP) program .................................. 46

4.14.3 EASA ............................................................................................................. 46

4.14.4 UK counterfeit reporting ................................................................................. 46

4.14.5 EU counterfeit reporting ................................................................................. 46

4.14.6 UKEA anti-counterfeiting forum ...................................................................... 46

4.15 Anti-counterfeit awareness training ....................................................................... 46

4.16 Information to support the management of the supply chain .................................. 47

Annex A (informative) Useful contacts ................................................................................. 48

A.1 World Intellectual Property Organization (WIPO) ................................................... 48

A.1.1 General ......................................................................................................... 48

A.1.2 What is WIPO? .............................................................................................. 48

A.1.3 WIPO Intellectual Property Services .............................................................. 49

A.1.4 WIPO global network on Intellectual Property (IP) Academies........................ 50

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– 4 – IEC 62668-1:2019 © IEC 2019

A.2 Anti-Counterfeiting Trade Agreement (ACTA) ........................................................ 50

A.2.1 ACTA ............................................................................................................. 50

A.2.2 Global Anti-Counterfeiting Network (GACG) ................................................... 51

A.3 World Semiconductor Council (WSC) and GAMS .................................................. 51

A.4 SEMI ..................................................................................................................... 52

A.5 Electronics Authorized Directory ........................................................................... 53

A.6 UK ........................................................................................................................ 53

A.6.1 The UK intellectual property office ................................................................. 53

A.6.2 Alliance for IP ................................................................................................ 54

A.6.3 UK Chartered Trading Standards Institute...................................................... 54

A.6.4 UK HM Revenue and Customs ....................................................................... 54

A.6.5 Anti-Counterfeiting Forum .............................................................................. 54

A.6.6 Electronic Component Supplier Network (ESCN) ........................................... 55

A.6.7 UK Ministry of Defence .................................................................................. 55

A.7 Europe .................................................................................................................. 55

A.7.1 Europa Summaries of EU Legislation ............................................................. 55

A.7.2 Europol, the European Law Enforcement Agency........................................... 55

A.7.3 European Patent Office ................................................................................. 55

A.7.4 EUIPO ........................................................................................................... 55

A.7.5 European Aviation Safety Agency (EASA) ..................................................... 56

A.7.6 IECQ audit schemes ...................................................................................... 57

A.7.7 BEAMA .......................................................................................................... 57

A.8 USA ...................................................................................................................... 57

A.8.1 United States Patent and Trademark Office ................................................... 57

A.8.2 The International Trade Administration, US Department of Commerce ........... 58

A.8.3 International Intellectual Property Alliance ..................................................... 58

A.8.4 The Federal Aviation Administration (FAA) .................................................... 58

A.8.5 Trusted Access Program Office (TAPO) ......................................................... 59

A.8.6 Independent Distributors of Electronics Association (IDEA) ........................... 59

A.8.7 ECIA formerly National Electronic Distributors Association (NEDA) ............... 60

A.8.8 Components Technology Institute Inc. (CTI) .................................................. 61

A.8.9 Defense Logistics Agency (DLA) .................................................................... 61

A.8.10 DFARS .......................................................................................................... 61

A.8.11 IAQG ............................................................................................................. 62

A.8.12 USA Homeland Security ................................................................................ 62

A.9 China .................................................................................................................... 62

A.9.1 CNIPA. .......................................................................................................... 62

A.9.2 Chinese Patent and Trademark Office ........................................................... 62

A.9.3 China Electronics Associations: ..................................................................... 62

A.9.4 China Quality Certification Centre (CQC) ....................................................... 62

A.9.5 Civil Aviation Administration of China (CAAC) ................................................ 62

A.9.6 China lawinfo.Co Ltd., for Law info China ...................................................... 62

A.10 Japan – Japanese Patent Office (JPO) ................................................................. 63

A.11 Physical unclonable function ................................................................................. 63

A.12 PUF and tags initiative and solutions .................................................................... 64

A.12.1 The Hardware Intrinsic Security (HIS) initiative .............................................. 64

A.12.2 Examples of tag providers ............................................................................. 64

A.13 Examples of tamper-proof design companies ........................................................ 65

A.14 Examples of FPGA die serialization ...................................................................... 65

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IEC 62668-1:2019 © IEC 2019 – 5 –

A.15 Examples of NVRAM manufacturers ..................................................................... 65

A.16 SAE G-19 ............................................................................................................. 65

A.17 iNEMI.................................................................................................................... 69

A.18 OECD ................................................................................................................... 69

A.19 ICC ....................................................................................................................... 69

A.20 Applied DNA Sciences .......................................................................................... 70

A.21 Safety Directors’ Forum ........................................................................................ 70

A.22 ‘Stop fake bearings’ video ..................................................................................... 70

A.23 Industrial company’s online anti-counterfeit awareness training ............................ 70

A.24 Subscription based anti-counterfeit awareness training ......................................... 70

A.25 USA Government anti-counterfeit publications and awareness training ................. 70

A.26 IECQ WG6 ............................................................................................................ 71

A.27 Anti-counterfeiting videos ...................................................................................... 71

Annex B (informative) Examples of aftermarket sources ...................................................... 72

B.1 Examples of franchised aftermarket sources ......................................................... 72

B.2 Examples of sources of franchised die which can be packaged ............................. 72

B.3 Examples of third party custom packaging houses which provide aftermarket

solutions ............................................................................................................... 72

B.4 Examples of emulated aftermarket providers ......................................................... 72

Annex C (informative) Typical example of a RECS certificate ............................................... 74

Annex D (informative) Flowchart of IEC 62668-1 requirements ............................................ 75

Annex E (Informative) Typical use of anti-counterfeit standards in supply chains ................. 77

Bibliography .......................................................................................................................... 83

Figure 1 – Suspect components perimeter ............................................................................ 21

Figure D.1 – Flowchart of IEC 62668-1 requirements and their relationship to external

standards .............................................................................................................................. 76

Figure E.1 – Available anti-counterfeit standards for supply chains ....................................... 77

Figure E.2 – Overview of typical relationships for anti-counterfeit standards in an

avionics supply chain ............................................................................................................ 79

Figure E.3 – Overview of typical anti-counterfeit standards in an avionics OEM supply

chain..................................................................................................................................... 80

Figure E.4 – IECQ OD 3702 traceability audit ....................................................................... 81

Figure E.5 – Typical IECQ OD 3702 coverage in any supply chain ........................................ 82

Table 1 – Anti-counterfeit awareness training guidelines ....................................................... 18

Table.2 – IEC 62668-1 requirements satisfied or not if OEM has an approved SAE

AS5553A plan ....................................................................................................................... 39

Table.3 – IEC 62668-1 requirements satisfied or not if OEM has an approved SAE

AS5553B plan ....................................................................................................................... 41

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– 6 – IEC 62668-1:2019 © IEC 2019
INTERNATIONAL ELECTROTECHNICAL COMMISSION
____________
PROCESS MANAGEMENT FOR AVIONICS –
COUNTERFEIT PREVENTION –
Part 1: Avoiding the use of counterfeit, fraudulent
and recycled electronic components
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