SAE AS 6174 1-2017 Compliance Verification Matrix (VM) Slash Sheet for AS6174A Counterfeit Materiel Assuring Acquisition of Authentic and Conforming Materiel.pdf

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1、 _ SAE Technical Standards Board Rules provide that: “This report is published by SAE to advance the state of technical and engineering sciences. The use of this report is entirely voluntary, and its applicability and suitability for any particular use, including any patent infringement arising ther

2、efrom, is the sole responsibility of the user.” SAE reviews each technical report at least every five years at which time it may be revised, reaffirmed, stabilized, or cancelled. SAE invites your written comments and suggestions. Copyright 2017 SAE International All rights reserved. No part of this

3、publication may be reproduced, stored in a retrieval system or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the prior written permission of SAE. TO PLACE A DOCUMENT ORDER: Tel: 877-606-7323 (inside USA and Canada) Tel: +1 724-776-49

4、70 (outside USA) Fax: 724-776-0790 Email: CustomerServicesae.org SAE WEB ADDRESS: http:/www.sae.org SAE values your input. To provide feedback on this Technical Report, please visit http:/standards.sae.org/AS6174/1 AEROSPACE STANDARD AS6174/1 Issued 2017-04 Compliance Verification Matrix (VM) Slash

5、Sheet for AS6174A, Counterfeit Materiel; Assuring Acquisition of Authentic and Conforming Materiel RATIONALE This verification criterion slash sheet was created in response to the initial release of AS6174A (Counterfeit Materiel; Assuring Acquisition of Authentic and Conforming Materiel) to assist u

6、sers in assessing compliance to AS6174A. FOREWORD To assess compliance to AS6174A requirements, this set of standard criteria is a tool to review and evaluate uniform compliance. This document standardizes verification compliance criteria for AS6174A requirements. SAE INTERNATIONAL AS6174/1 Page 2 o

7、f 7 TABLE OF CONTENTS 1. SCOPE 3 1.1 Purpose . 3 2. REFERENCES 3 2.1 Applicable Documents 3 2.1.1 SAE Publications . 3 2.2 Terms and Definitions . 3 3. REQUIREMENTS . 3 4. VERIFICATION MATRIX4 5. NOTES 7 5.1 Revision Indicator 7 SAE INTERNATIONAL AS6174/1 Page 3 of 7 1. SCOPE 1.1 Purpose The verific

8、ation matrix (VM) in this slash sheet is intended for use to establish compliance to AS6174A. This slash sheet is applicable to AS6174A. Nothing in this slash sheet, however, supersedes applicable laws and regulations, unless a specific exemption has been obtained through judicial/legal channels. 2.

9、 REFERENCES 2.1 Applicable Documents The following publications form a part of this document to the extent specified herein. The latest issue of SAE publications shall apply. The applicable issue of other publications shall be the issue in effect on the date of the purchase order. In the event of co

10、nflict between the text of this document and references cited herein, the text of this document takes precedence. Nothing in this document, however, supersedes applicable laws and regulations unless a specific exemption has been obtained. 2.1.1 SAE Publications Available from SAE International, 400

11、Commonwealth Drive, Warrendale, PA 15096-0001, Tel: 877-606-7323 (inside USA and Canada) or +1 724-776-4970 (outside USA), www.sae.org. AS6174A Counterfeit Materiel; Assuring Acquisition of Authentic and Conforming Materiel Documents applicable to AS6174A are applicable to this slash sheet. 2.2 Term

12、s and Definitions For the purposes of this document, the terms and definitions stated in AS6174A apply. 3. REQUIREMENTS 3.1 The VM depicted in Section 4.0 shall be used to assess compliance to AS6174A. Section 4.0 contains: - AS6174A requirement clauses - recommended methods of evaluation (MOE) - cr

13、iteria for compliance - record of compliance - column for notes 3.2 The method of evaluation (MOE) used during the audit shall be recorded as part of the final audit report. NOTE: The Section 4.0 VM “Requirement” column is a restatement of the requirements from AS6174A. Each mandatory requirement ha

14、s a corresponding “Criteria for Compliance”. The MOEs are included to structure the audit to verify compliance to the AS6174A. In the event of a conflict between AS6174A and this slash sheet, the base Standard AS6174A applies. SAE INTERNATIONAL AS6174/1 Page 4 of 7 AS6174A Clause 4.0 Verification Ma

15、trix Requirement Criteria for Compliance Method of Evaluation (MOE) Record of Compliance Comply? Y/N Notes 3.1 REQUIREMENTS Materiel Authenticity Assurance Plan The organization shall develop and implement a materiel authenticity assurance plan that documents: (a) its processes used for assuring tha

16、t only authentic and conforming materiel is procured from legally authorized sources, and (b) its planning to be used for risk mitigation, disposition, and reporting in the event any counterfeit materiel is encountered in its supply chains. The control plan shall include the processes described in 3

17、.1.1 through 3.1.7. 1. The plan is a released document with configuration control. This plan can be a standalone plan or a plan that points to existing released documents/processes. 2. The plan contains sections within the document for Authentic and Conforming Materiel Availability, Purchasing, Purc

18、hasing Information, Verification of Purchased Product, In-Process Investigation, Material Control, and Reporting. Review the plan and verify it includes all of the processes of 3.1.1 through 3.1.7. Record the plan title, number, release date and revision. Record the Auditors findings. Record additio

19、nal documented evidence and artifacts. 3.1.1 Authentic and Conforming Materiel Availability The materiel authenticity assurance processes shall maximize availability of authentic and conforming, originally designed and/or qualified materiel throughout the products life cycle, including management of

20、 materiel obsolescence. Organizations shall modify/develop their risk management policies to direct immediate identification of items and supply sources susceptible to counterfeiting for enhanced product assurance. 1. A documented plan for the availability of authentic and conforming product through

21、out the products lifecycle including obsolescence management. 2. A risk management policy that identifies items and sources susceptible to counterfeiting. Verify that the materiel selection processes used are documented in the plan, including materiel obsolescence. Review materiel selection processe

22、s and obsolete materiel management to determine if materiel risk management policies are in place to mitigate the risk of acquiring potentially counterfeit materiel. Record document title, number(s), release date and revision. Record objective evidence for acceptability or non-compliance. Record any

23、 other documented evidence/artifact. 3.1.2 Purchasing Process The procurement/purchasing processes shall: 3.1.2a Shall Assess potential sources of supply to determine their likelihood of delivering authentic and conforming materiel. Assessment actions may include surveys, audits, review of product a

24、lerts, and review of supplier quality data to determine past performance. A documented process that controls potential sources of supply assessment and the criteria to determine the risk of receiving fraudulent/counterfeit parts. Records of potential sources of supply assessment to the criteria incl

25、uding the source of supplys counterfeit avoidance plan/processes. Verify the process exists and methodology was followed. Verify the assessment records. Record the assessment process document number. Record assessment(s) reviewed during audit. Record documentation review results. 3.1.2b Shall Mainta

26、in a register of approved suppliers, including the scope of the approval, to assure the highly likely supply of authentic and conforming materiel. A current register of approved suppliers with approved products. The auditor confirms that the organization has a controlled list of approved suppliers.

27、The auditor would verify that the organization has a documented process to determine the scope of their approval. Record document title, number, release date and revision of approved supplier list. Record results of the review. 3.1.2c Shall When possible, procure directly from original manufacturers

28、, authorized suppliers, or other legally authorized sources on the approved supplier/source register/list. When the procurement item/material is not available from the authorized chain, then risk management provisions shall be incorporated from the materiel authenticity assurance plan. Refer to 3.1.

29、2f. A documented process that states: 1. A preference for purchases to be made directly from the original manufacturers, authorized suppliers, or other legally authorized sources on the approved supplier/source register/list. 2. The risk management provisions from the materiel authenticity assurance

30、 plan when sources from other than the authorized chain are used. The auditor confirms that the preferred source process is documented. The auditor reviews procurement documentation to see if the organization is following their process. In cases where the supplier is not an OEM/OEM authorized or on

31、the organizations approved register/list, the auditor verifies that risk management provisions are utilized prior to delivery or use. Record document title, number, release date of the documented process for sourcing. Record risk mitigation actions made when sourcing is outside of the authorized sup

32、plier list. Record results of the review. SAE INTERNATIONAL AS6174/1 Page 5 of 7 AS6174A Clause 4.0 Verification Matrix Requirement Criteria for Compliance Method of Evaluation (MOE) Record of Compliance Comply? Y/N Notes 3.1.2d Shall Assure that approved/ongoing sources of supply are maintaining ef

33、fective processes for assuring the delivery of authentic and conforming materiel. Assurances actions should include a request of the adoption of processes which are in accordance with documents such as ISO 12931, see applicable documents 2.1.3; and may include where appropriate testing (destructive,

34、 non-destructive, functional, measurements, etc.), surveys, audits, review of product alerts, and review of supplier quality data to determine past performance. A documented process that assures the delivery of authentic and conforming materiel. The auditor confirms that the supply base quality assu

35、rance process is documented in the plan. The auditor reviews the verification of compliance and/or performance documentation to see if the organization is following their process. Record document title, number, release date of the documented process for supply base quality assurance. 3.1.2e Shall As

36、sess the likelihood that sources other than original manufacturers or authorized suppliers can deliver authentic and conforming materiel. Where applicable, this shall be accomplished and documented when it is necessary to procure from other than the original manufacturer or an authorized supplier. A

37、 documented process for assessing if sources other than original manufacturers or authorized suppliers can deliver authentic and conforming materiel. Verify that the organization follows their documented process. Review documentation of purchases that shows assessment of getting authentic and confor

38、ming materiel. Record document title, number, and release date of the documented process for supply assessing likelihood of procuring authentic and conforming materiel from other than original and/or authorized sources. 3.1.2f Shall Implement risk management provisions, including risk assessment and

39、 risk mitigation per the materiel authenticity assurance plan, when traceability to an authorized source is not readily available or an authorized source is not available. A documented process for implementing the materiel authenticity assurance plans risk assessment and mitigation when document tra

40、ceability to an authorized source is not readily available or an authorized source is not available. Verify procedure requires risk assessment if traceability is not available or documentation may be suspect. Review an incoming material acceptance record package for a part/material and verify compli

41、ance to the supply chain traceability procedure requirements. Record document title, number, and release date of the documented procedure covering traceability. Record receiving inspection record title/date. Record rationale for acceptability and comments. 3.1.2g Shall Specify flow-down of applicabl

42、e requirements of this document to appropriate contractors, their sub-contractors, and distributors. In the event that one or more supply chain intermediaries do not have a materiel authenticity assurance plan compliant to this document, a risk analysis shall be considered for every application of t

43、he materiel. 1. A documented process specifying flow down of applicable requirements to contractors and their sub-contractors or distributors. 2. A documented process for risk analysis consideration for every application of the materiel if one or more supply chain intermediaries do not have a materi

44、el authenticity assurance plan compliant to AS6174. MOE-Verify that the documented procedure requires flow-down of applicable requirements in contractual documentation. Review a sample of contractual documentation (e.g., purchase order) placed with contractors to verify the applicable requirements o

45、f AS6174 were flowed-down. Verify a risk analysis was performed when the organization determined that a risk analysis was required. Record document title, number(s), release date and revision. Record the contractual action title and date. Record title and date of any reviewed risk analyses. Record r

46、ationale if no risk analyses were performed. 3.1.3 Purchasing Information The documented process shall specify contract/ purchase order quality requirements to maximize the likelihood of being provided authentic and conforming materiel. Procurement of materiel shall be subject to the applicable cont

47、ract requirements pertaining to Fraud and Falsification (F&F). 1. A documented process that specifies the quality requirements that prevent acquiring counterfeit parts and material are included in all purchase orders and contracts. 2. A documented process that specifies that the applicable contract

48、requirements pertaining to Fraud and Falsification (F&F) are included in all purchase orders and contracts. The auditor confirms that the examined contract and purchase orders specify quality requirements per the purchasing process plan. The auditor also confirms that Fraud and Falsification prevent

49、ion requirements are included. Record document title, number, and release date of the documented purchasing process plan. Record the title and date of contracts/purchase orders examined. SAE INTERNATIONAL AS6174/1 Page 6 of 7 AS6174A Clause 4.0 Verification Matrix Requirement Criteria for Compliance Method of Evaluation (MOE) Record of Compliance Comply? Y/N Notes 3.1.4 Verification of P