SAE AS 6301-2014 Compliance Verification Criterion Standard for SAE AS6081 Fraudulent Counterfeit Electronic Parts Avoidance Detection Mitigation and Disposition C Distributors《SAE.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 theref

2、rom, 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 2014 SAE International All rights reserved. No part of this pub

3、lication 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: +1 724-776-4970

4、(outside USA) Fax: 724-776-0790 Email: CustomerServicesae.org SAE WEB ADDRESS: http:/www.sae.orgSAE values your input. To provide feedback on this Technical Report, please visit http:/www.sae.org/technical/standards/AS6301AEROSPACESTANDARDAS6301Issued 2014-01 Compliance Verification Criterion Standa

5、rd for SAE AS6081, Fraudulent/Counterfeit Electronic Parts: Avoidance, Detection, Mitigation, and Disposition Distributors RATIONALEThis verification criterion was created in response to the initial release of AS6081 (Fraudulent/Counterfeit Electronic Parts: Avoidance, Detection, Mitigation, and Dis

6、position - Distributors) to assist users of AS6081 in validating compliance to, and in support of, obtaining independent certification to AS6081. FOREWORD To assure compliance to AS6081 requirements, a set of standard assessment criteria shall be utilized to evaluate and establish uniform certificat

7、ion. This document standardizes compliance criteria for AS6081 requirements.TABLE OF CONTENTS 1. SCOPE 21.1 Purpose . 21.2 Application . 22. REFERENCES 22.1 Applicable Documents 22.1.1 SAE Publications . 22.1.2 Other Publications . 22.2 Terms and Definitions . 23. REQUIREMENTS . 23.1 Auditor(s) Comp

8、etency . 34. NOTES 3APPENDIX A MANDATORY APPENDIX FOR AUDITING AS6081 FOR CERTIFICATION; NON-MANDATORYFOR ALL OTHER AUDITS . 4SAE INTERNATIONAL AS6301 Page 2 of 32 1. SCOPE 1.1 Purpose This set of criteria is intended for use by accredited Certification Bodies (CBs) to establish compliance, and gran

9、t certification to AS6081, Aerospace Standard; Fraudulent/Counterfeit Electronic Parts; Avoidance, Detection, Mitigation, and Disposition-Distributors: It may also be used by others to assess compliance to AS6081 requirements. 1.2 Application This standard applies to audit verification of Open Marke

10、t distributors (e.g., Independent distributors, Brokers, etc.) who have implemented processes conforming to AS6081 requirements. 2. 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 a

11、pply. The applicable issue of other publications shall be the issue in effect on the date of the purchase order. In the event of conflict between the text of this document and references cited herein, the text of this document takes precedence. Nothing in this document, however, supersedes applicabl

12、e laws and regulations unless a specific exemption has been obtained. 2.1.1 SAE Publications Available from SAE International, 400 Commonwealth Drive, Warrendale, PA 15096-0001, Tel: 877-606-7323 (inside USA and Canada) or 724-776-4970 (outside USA), www.sae.org.AS6081 Fraudulent/Counterfeit Electro

13、nic Parts: Avoidance, Detection, Mitigation, and Disposition - Distributors 2.1.2 Other Publications See 2.1.1 for other publications listed herein and in Appendix A. 2.2 Terms and Definitions For the purposes of this document, the terms and definitions stated in AS6081. 3. REQUIREMENTS The Complian

14、ce Verification Criteria depicted in Appendix A shall be used by the Certification Body to establish compliance to AS6081. Appendix A is mandatory for use by the Certification Body but is optional for other users of the appendix. Appendix A contains the AS6081 requirement clause, recommended methods

15、 of evaluation (MOE), criteria for compliance, record of compliance, and a column for notes. The Appendix A “Requirement” column is a “cut-and-paste” of the requirements of AS6081 unless otherwise noted in the appendix. Each “shall” requirement in the “Requirements” column is assigned a numerical su

16、perscript number (e.g., “shall(1), shall(2), shall(3) which correlates to the (1), (2) and (3) designations in the Appendix A, Criteria for “Compliance and Method of Evaluation (MOE)” column. Each mandatory requirement has a corresponding “Criteria for Compliance”. The MOE identified in Appendix A a

17、re for guidance only in establishing the methodology for conducting the audit; as such, the MOE may be modified, as deemed appropriate by the auditor(s). The MOEs are included to structure the audit at the depth necessary to verify compliance to the AS6081, section 4 mandatory requirements.The MOEs

18、actually used during the audit shall be recorded as part of the final audit report, to provide readers with an understanding of the depth of the audit. Regardless of what MOEs were used, the auditor(s) are responsible for performing the audit at the depth necessary to confirm that the requirements o

19、f AS6081 have been complied with. SAE INTERNATIONAL AS6301 Page 3 of 32 3.1 Auditor(s) Competency Personnel performing audits to verify AS6081 compliance shall have a working knowledge of the requirements of AS6081 and should be knowledgeable in performing audits of Quality Management System (QMS) p

20、rocesses.4. NOTES 4.1 A change bar (l) located in the left margin is for the convenience of the user in locating areas where technical revisions, not editorial changes, have been made to the previous issue of this document. An (R) symbol to the left of the document title indicates a complete revisio

21、n of the document, including technical revisions. Change bars and (R) are not used in original publications, nor in documents that contain editorial changes only. PREPARED BY SAE SUBCOMMITTEE G-19C, STANDARD COMPLIANCE VERIFICATION OF COMMITTEE G-19, COUNTERFEIT ELECTRONIC PARTS SAE AS6301 Page 4 of

22、 32 APPENDIX A - MANDATORY APPENDIX FOR AUDITING AS6081 FOR CERTIFICATION; NON-MANDATORY FOR ALL OTHER AUDITS SAE AS6081 ClauseRequirementComply?Criteria For Compliance Method of Evaluation (MOE) Record of ComplianceNotes4Requirements - All requirements of “Section 4. REQUIREMENTS” shall(1)applywhen

23、 this standard is invoked in contractual language between the Customer and Organization. For the purposes of this document, the handling of both fraudulent and counterfeit electronic parts shall(2)be identical.(1)Meets all mandatoryrequirements of AS6081 if the standard was invoked as a contract req

24、uirement for individual procurements. (2)Fraudulent and counterfeit parts are processed in the same manner. MOE - Reviewdocumented process procedures to verifyAS6081 section 4 is being complied with and that fraudulent and counterfeit parts are being handled via the same processes.Record an overall

25、assessment of the extent of compliance to AS60814.1QualityManagement System- The Organization shall(1)be certified to a qualitymanagement system standard, ISO 9001, SAE AS9120 or equivalent bya Certification Bodyaccredited for the specific standard byan International Accreditation Forum (IAF) Multil

26、ateral Recognition Arrangements (MLA) SignatoryAccreditationBody(http:/www.iaf.nu/).Suchcertification and certification to this standard shall(2)be accomplished bycombined or integrated audit criteria, as determined bythe Organizations QualityManagement System and 4.2 Fraudulent/Counterfeit Electron

27、ic Parts Control Plan herein. (1)Certification to ISO 9001 or AS9120 or equivalent is available. (2)Audit Criteria is released and documented in the organizations QMS and Fraudulent/Counterfeit EPCP.MOE - Reviewthe Certifications for validityand currency. Reviewthe QMS and Fraudulent/Counterfeit EPC

28、P for inclusion of audit criteria. Record the QMS used, the third party that provided the certification, the date of the last certification, and the date for the next re- certification. Note that the audit criteria is valid and scope is appropriate. 4.1.1Fraudulent/Counterfeit Parts Mitigation Polic

29、y-TheOrganizations executive management shall(1)define and document its policyto prevent the purchase, acceptance, and distribution of fraudulent/counterfeit parts. The Organization shall(2)also state its policyregarding the disposition and reporting of parts determined to be suspect, fraudulent, an

30、d/or confirmed counterfeit. The Organizations executive management shall(3) ensure that its policyis communicated, understood, implemented, and maintained at all levels of the Organization and accessible with a written request bythe customer. (1)Companyfraudulent/counterfeit parts mitigation policye

31、xists. (2)Policyaddresses disposition and reporting of suspect, fraudulent/counterfeit parts. (3)Policyis communicated, understood, implemented and maintained throughout the Organization.MOE - Verifythe existence of the policy. Question a sample of personnel within the Organization to determine if t

32、heyare aware of what the policyis. Determine what method is used to maintain the policy. Determine if the policyis accessible to the Customer. Record the Organizations policy, sample results, and method of personnel and customer access.SAE AS6301 Page 5 of 32 SAE AS6081 ClauseRequirementComply?Crite

33、ria For Compliance Method of Evaluation (MOE) Record of ComplianceNotes4.2Fraudulent/Counterfeit Electronic Parts Control Plan - The Organization shall(1)develop and implement a fraudulent/counterfeit electronic parts control plan that documents its processes used for risk mitigation, disposition, a

34、nd reporting of fraudulent/counterfeit parts. The control plan shall(2)specifyflowdown of applicable requirements of this document to the Organizations suppliers, contractors, and their subcontractors. The control plan maybe provided as a stand-alone plan against this standard or otherwise maybe int

35、egrated into the Organizations existing QualityManagement System. The control plan shall(3)be applied to all purchases or returns of electronic parts and shall(4)include the minimum processes described in 4.2.1 through 4.2.11.(1)Control plan exists. (2)Plan covers requirements flow-down. (3)Plan cov

36、ers all AS6081 compliant purchases and returns. (4) Plan includes all AS6081 mandatoryrequirements. MOE - Reviewthe plan and verifyit includes all of the processes of 4.2.1 through 4.2.11. Determine if the plan covers all AS6081 compliant purchases, including returns. Sample Purchase and Return tran

37、sactions to verifyrequirements flow-down. Record the plan title, number, release date and revision. Record flow down process of applicable requirements. Record overall assessment of whether the plan provides for an effective risk mitigation processes. Record sample transactions reviewed.4.2.1Custome

38、r Related Contract Review,Agreement, and Execution- See below. See below. See below 4.2.1.1The documented processes shall(1)specifythe review, agreement, and execution of contractual requirements to minimize the risk of fraudulent/counterfeit parts trade.(1)Customer invoked requirements are reviewed

39、, agreed to and are executed.MOE - Reviewthe Organizations documented procedures to determine if theyaddress contractual requirements invoked bythe Customer. Reviewa Customers purchase order and verifythe Customers requirements were properlyflowed-down within the Organization and to applicable lower

40、-tier suppliers. Record the Customer purchase order number and date used to verify Customer requirements were flowed down.4.2.1.2In the event that Customer commitments cannot be satisfied, the Organization shall(1), in no more than 5 days, notifyCustomer in writing and mutuallyagree to suitable cont

41、ract modifications.(1)Organization agrees to Customer specified requirements or notifies customer within 5 days of anydisagreements and appropriate contract modifications are obtained. MOE - Reviewthe process to ensure changes to the contract are mutuallyagreed. VerifyCustomer was notified within 5

42、days of discoverythat customer commitment cannot be satisfied. Record the process (number) and any exceptions reviewed. Record rationale for acceptability and any comments. SAE AS6301 Page 6 of 32 SAE AS6081 ClauseRequirementComply?Criteria For Compliance Method of Evaluation (MOE) Record of Complia

43、nceNotes4.2.1.3The Organization shall(1)disclose in writing at the time of each individual quotation, the source of supply(bycompanyname and location), if the Organization is or is not authorized (franchised) for the item(s) being quoted and is or is not providing full manufacturers warrantyon the q

44、uoted material. If the Organization considers that the name of the source of supplyis proprietaryto the Organization, the Organization and Customer shall(2)negotiate an appropriate non-disclosure agreement. (1)Organization response to Customer quotation and identifies source of supply, including whe

45、ther the source is authorized (franchised) or not, and addresses part warranty. (2)Source of supplynon-disclosure agreements have been negotiated with Customer, when applicable. MOE - Select a Customers quotation and determine if it includes the name and address of the source of the part. Determine

46、if the source is authorized (franchised) to provide the part and determine if the order includes manufacturers warrantyprovisions and that information is included on the quotation.Record the purchase order number, date and part ordered and the name of the franchised distributor for the part.4.2.1.4T

47、he Organization shall(1)provide a product warrantyfor a minimum of one (1) year, stating that the product is reliable and free from known defects and that the Organization will replace defective parts or refund original cost of product.(1) Organizations warrants product to be reliable and free from

48、known defects for one year minimum. Warrantyincludes part replacement or refund. MOE - Reviewa purchase order to determine what the Organizations warrantypolicyis and confirm it meets the specified criteria.Record the warranty clause (or clause number) used by the Organization. 4.2.1.5When quoting m

49、aterial to Customers, Organization shall(1)provide the Customer a quote based on the best results and practices as documented in 4.2.1.6 or allowCustomer choice(s) based on other available information.(1)Organization responses to Customer purchase inquiries are based on 4.2.1.6 or customer direction.MOE - confirm source is in accordance with the initial quotation, revised quotation or documented customer direction.Record the C