Process management for avionics - Counterfeit prevention - Part 1: Avoiding the use of counterfeit, fraudulent and recycled electronic components (IEC 62668-1:2019)

This document 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.

Luftfahrtelektronik-Prozessmanagement - Verhinderung von Produktfälschung - Teil 1: Vermeidung des Gebrauchs von gefälschten, betrügerischen und wiederverwerteten elektronischen Bauelementen (IEC 62668-1:2019)

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)

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.

Upravljanje procesov v avioniki - Preprečevanje ponarejanja - 1. del: Izogibanje uporabi ponarejenih, lažnih in recikliranih elektronskih komponent (IEC 62668-1:2019)

Ta dokument določa zahteve za preprečevanje uporabe ponarejenih, recikliranih in lažnih komponent v aeronavtični, obrambni in visokozmogljivostni panogi (ADHP). Prav tako določa zahteve za visokozmogljivostne panoge (ADHP) za ohranjanje intelektualne lastnine za vse njihove izdelke in storitve. Tveganja, povezana z nakupom komponent zunaj franšiznih distribucijskih omrežij, so obravnavana v standardu IEC 62668-2. Čeprav je bil pripravljen za aeronavtično industrijo, je mogoče ta dokument po ustrezni presoji uporabiti tudi za druge panoge, ki zahtevajo visoko zmogljivost in zanesljivost.

General Information

Status
Published
Publication Date
22-Dec-2019
Technical Committee
Current Stage
6060 - National Implementation/Publication (Adopted Project)
Start Date
20-Nov-2019
Due Date
25-Jan-2020
Completion Date
23-Dec-2019

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SLOVENSKI STANDARD
SIST EN IEC 62668-1:2020
01-februar-2020
Upravljanje procesov v avioniki - Preprečevanje ponarejanja - 1. del: Izogibanje
uporabi ponarejenih, lažnih in recikliranih elektronskih komponent (IEC 62668-
1:2019)

Process management for avionics - Counterfeit prevention - Part 1: Avoiding the use of

counterfeit, fraudulent and recycled electronic components (IEC 62668-1:2019)

Luftfahrtelektronik-Prozessmanagement - Verhinderung von Produktfälschung - Teil 1:

Vermeidung des Gebrauchs von gefälschten, betrügerischen und wiederverwerteten
elektronischen Bauelementen (IEC 62668-1:2019)

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)
Ta slovenski standard je istoveten z: EN IEC 62668-1:2019
ICS:
03.100.50 Proizvodnja. Vodenje Production. Production
proizvodnje management
31.020 Elektronske komponente na Electronic components in
splošno general
49.020 Letala in vesoljska vozila na Aircraft and space vehicles in
splošno general
SIST EN IEC 62668-1:2020 en

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

---------------------- Page: 1 ----------------------
SIST EN IEC 62668-1:2020
---------------------- Page: 2 ----------------------
SIST EN IEC 62668-1:2020
EUROPEAN STANDARD EN IEC 62668-1
NORME EUROPÉENNE
EUROPÄISCHE NORM
November 2019
ICS 03.100.50; 31.020; 49.060
English Version
Process management for avionics - Counterfeit prevention - Part
1: Avoiding the use of counterfeit, fraudulent and recycled
electronic components
(IEC 62668-1:2019)

Gestion des processus pour l'avionique - Prévention de la Luftfahrtelektronik-Prozessmanagement - Verhinderung von

contrefaçon - Partie 1: Prévention de l'utilisation de Produktfälschung - Teil 1: Vermeidung des Gebrauchs von

composants électroniques contrefaits, frauduleux et gefälschten, betrügerischen und wiederverwerteten

recyclés elektronischen Bauelementen
(IEC 62668-1:2019) (IEC 62668-1:2019)

This European Standard was approved by CENELEC on 2019-10-21. CENELEC members are bound to comply with the CEN/CENELEC

Internal Regulations which stipulate the conditions for giving this European Standard the status of a national standard without any alteration.

Up-to-date lists and bibliographical references concerning such national standards may be obtained on application to the CEN-CENELEC

Management Centre or to any CENELEC member.

This European Standard exists in three official versions (English, French, German). A version in any other language made by translation

under the responsibility of a CENELEC member into its own language and notified to the CEN-CENELEC Management Centre has the

same status as the official versions.

CENELEC members are the national electrotechnical committees of Austria, Belgium, Bulgaria, Croatia, Cyprus, the Czech Republic,

Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, the

Netherlands, Norway, Poland, Portugal, Republic of North Macedonia, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland,

Turkey and the United Kingdom.
European Committee for Electrotechnical Standardization
Comité Européen de Normalisation Electrotechnique
Europäisches Komitee für Elektrotechnische Normung
CEN-CENELEC Management Centre: Rue de la Science 23, B-1040 Brussels

© 2019 CENELEC All rights of exploitation in any form and by any means reserved worldwide for CENELEC Members.

Ref. No. EN IEC 62668-1:2019 E
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SIST EN IEC 62668-1:2020
EN IEC 62668-1:2019 (E)
European foreword

The text of document 107/335/CDV, future edition 1 of IEC 62668-1, prepared by IEC/TC 107

"Process management for avionics" was submitted to the IEC-CENELEC parallel vote and approved

by CENELEC as EN IEC 62668-1:2019.
The following dates are fixed:

• latest date by which the document has to be implemented at national (dop) 2020-07-21

level by publication of an identical national standard or by endorsement

• latest date by which the national standards conflicting with the (dow) 2022-10-21

document have to be withdrawn

Attention is drawn to the possibility that some of the elements of this document may be the subject of

patent rights. CENELEC shall not be held responsible for identifying any or all such patent rights.

Endorsement notice

The text of the International Standard IEC 62668-1:2019 was approved by CENELEC as a European

Standard without any modification.

In the official version, for Bibliography, the following note has to be added for the standard indicated:

ISO 14001 NOTE Harmonized as EN ISO 14001
---------------------- Page: 4 ----------------------
SIST EN IEC 62668-1:2020
EN IEC 62668-1:2019 (E)
Annex ZA
(normative)
Normative references to international publications
with their corresponding European publications

The following documents are referred to in the text in such a way that some or all of their content

constitutes requirements of this document. For dated references, only the edition cited applies. For

undated references, the latest edition of the referenced document (including any amendments)

applies.

NOTE 1 Where an International Publication has been modified by common modifications, indicated by (mod), the relevant

EN/HD applies.

NOTE 2 Up-to-date information on the latest versions of the European Standards listed in this annex is available here:

www.cenelec.eu.
Publication Year Title EN/HD Year
IEC 62239-1 - Process management for avionics - EN IEC 62239-1 -
Management plan - Part 1: Preparation
and maintenance of an electronic
components management plan
IEC 62668-2 - Process management for avionics - EN IEC 62668-2 -
Counterfeit prevention - Part 2: Managing
electronic components from non-franchised
sources
ISO 9001 - Quality management systems – EN ISO 9001 -
Requirements
- - Quality Management Systems – AS/EN/JISQ 9100 -
Requirements for Aviation, Space and
Defense Organizations
- - Quality Maintenance Systems – Aerospace AS/EN/JISQ 9110 -
– Requirements for Maintenance
Organizations
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SIST EN IEC 62668-1:2020
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SIST EN IEC 62668-1:2020
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: 7 ----------------------
SIST EN IEC 62668-1:2020
– 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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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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SIST EN IEC 62668-1:2020
– 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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SIST EN IEC 62668-1:2020
– 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
FOREWORD

1) The International Electrotechnical Commission (IEC) is a worldwide organization for standardization comprising

all national electrotechnical committees (IEC National Committees). The object of IEC is to promote

international co-operation on all questions concerning standardization in the electrical and electronic fields. To

this end and in addition to other activities, IEC publishes International Standards, Technical Specifications,

Technical Reports, Publicly Available Specifications (PAS) and Guides (hereafter referred to as “IEC

Publication(s)”). Their preparation is entrusted to technical committees; any IEC National Committee interested

in the subject dealt with may participate in this preparatory work. International, governmental and non-

governmental organizations liaising with the IEC also participate in this preparation. IEC collaborates closely

with the International Organization for Standardization (ISO) in accordance with conditions determined by

agreem
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