Aerospace Recommended Practice: Fraudulent/Counterfeit Electronic Parts Tool For Risk Assessment of Distributors

AEROSPACE ARP6178
RECOMMENDED
Issued 2011-12
PRACTICE
Fraudulent/Counterfeit Electronic Parts; Tool for Risk Assessment of Distributors
RATIONALE
This recommended practice was created due to a significant and increasing volume of fraudulent/counterfeit electronic
parts entering the aerospace supply chain, posing significant performance, reliability, and safety risks. This
recommended practice was created to provide organizations with a tool to assess a supplier’s capability to prevent,
detect, contain, and report suspect, fraudulent or confirmed counterfeit electronic components.
FOREWORD
To assure customer satisfaction, aerospace industry organizations must produce, and continually improve, safe and
reliable products that meet or exceed customer and regulatory authority requirements. The globalization of the aerospace
industry and the resulting diversity of regional/national requirements and expectations has complicated this objective.
End-product manufacturers face the challenge of assuring the quality and integration of product purchased from suppliers
throughout the world and at all levels within the supply chain. Aerospace suppliers and processors face the challenge of
delivering product to multiple customers having varying quality expectations and requirements.
This recommended practice identifies and provides significance values for specific assessment parameters, applicable to
distributors who buy and sell electronic components to aerospace organizations. This document was developed from
best practices identified by procuring organizations and was developed with the intent of supplementing the information
and requirements of AS5553 and AS6081 aerospace standards.
__________________________________________________________________________________________________________________________________________
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SAE ARP6178 Page 2 of 49
TABLE OF CONTENTS
1. SCOPE .......................................................................................................................................................... 3
1.1 Purpose ......................................................................................................................................................... 3

1.2 Application..................................................................................................................................................... 3
2. REFERENCES.............................................................................................................................................. 3
2.1 Applicable Documents .................................................................................................................................. 3

2.1.1 SAE Publications........................................................................................................................................... 3
2.1.2 ANSI Publications ......................................................................................................................................... 4
2.1.3 Commercial Publications .............................................................................................................................. 4
2.1.4 International Standards Organization Publications ....................................................................................... 4
3. TERMS AND DEFINITIONS ......................................................................................................................... 4
3.1 Suspect Part.................................................................................................................................................. 4

3.2 Fraudulent Part ............................................................................................................................................. 4
3.3 Counterfeit Part ............................................................................................................................................. 5
3.4 Related Definitions ........................................................................................................................................ 5
4. PROCEDURE ............................................................................................................................................... 8
4.1 Supplier Assessment .................................................................................................................................... 8

4.1.1 Pre-Visit Assessment Survey........................................................................................................................ 8
4.1.2 Site Assessment Survey ............................................................................................................................... 9
4.2 Supplier Selection ......................................................................................................................................... 9
APPENDIX A EXAMPLES OF SUSPECT, FRAUDULENT, AND COUNTERFEIT PARTS ............................................. 10

APPENDIX B SUPPLIER ASSESSMENT FORMS........................................................................................................... 11
APPENDIX C SITE ASSESSMENT FORM RATINGS ...................................................................................................... 13
APPENDIX D ACRONYMS ............................................................................................................................................... 49
1. SCOPE
This SAE Aerospace Recommended Practice is applicable for all organizations that procure electronic components from
sources other than the original component manufacturer of the component. It is especially applicable for assessing
distributors that sell electronic components without contractual authorization from the original component manufacturer.
1.1 Purpose
This SAE Aerospace Recommended Practice creates a tool for the evaluation of a distributor’s processes for the
prevention, detection, containment, and reporting of fraudulent/counterfeit electronic components. The tool, in the form of
a survey, generates a score which provides a consistent indication of the distributor’s capability and effectiveness in the
above mentioned processes. Features of the tool include:
a. easily customizable significance assignments,
b. ratings guidance to make the score consistent between assessors,
c. preliminary form for an initial evaluation prior to an on-site assessment.
1.2 Application
This recommended practice is intended for use in aviation, space, defense, and other high performance/reliability
electronic equipment applications. The document provides procurement organizations with a tool to assess a supplier’s
capability to detect, prevent, contain, and report suspect, fraudulent or confirmed counterfeit electronic components. It
has specific application to organizations which procure electronic components from distributors who buy product from the
Open Market, including returns from Original Equipment Manufacturers (OEMs) and Contract Manufacturers. The
assessment tool itself, consisting of the spreadsheet assessment file and the guidance information for ratings, is
contained in the Appendices, and is considered a required portion of this document.
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 apply. 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 applicable 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 and Canada), www.sae.org.
AS5553 Fraudulent/Counterfeit Electronic Parts; Avoidance, Detection, Mitigation, and Disposition
AS6081 Fraudulent/Counterfeit Electronic Parts: Avoidance, Detection, Mitigation, and Disposition – Distributors
AS9100 Quality Management Systems – Aerospace -- RequirementsAS9120Quality Management Systems –

Requirements for Aviation, Space and Defense Distributors
2.1.2 ANSI Publications
Available from American National Standards Institute, 25 West 43rd Street, New York, NY 10036-8002, Tel: 212-642-
4900, www.ansi.org.
ANSI/ESD S20.20 Protection of Electrical and Electronic Parts, Assemblies and Equipment (Excluding Electrically
Initiated Explosive Devices)
ANSI NCSL Z540.3 Requirements for the Calibration of Measuring and Test Equipment
2.1.3 Commercial Publications
IDEA-STD-1010 Acceptability of Electronic Components Distributed in the Open Market
IDEA-ICE-3000 IDEA Professional Inspector Certification Examination
CCAP-101 Counterfeit Components Avoidance Program
2.1.4 International Standards Organization Publications
Available from American National Standards Institute, 25 West 43rd Street, New York, NY 10036-8002, Tel: 212-642-
4900, www.ansi.org.
EN 473 Non-Destructive Testing – Qualification and Certification of NDT Personnel
EN 4179 Aerospace Series – Qualification and Approval of Personnel for Non-Destructive Testing
ISO 9000 Quality Management Systems – Fundamentals and Vocabulary
ISO 9001 Quality Management Systems – Requirements
ISO 9712 Non-Destructive Testing – Qualification and Certification of Personnel
ISO 14001 Environmental Management Systems – Requirements with Guidance for Use
ISO/IEC 17025:2005 General Requirements for the Competence of Testing and Calibration Laboratories
NAS 410 NAS Certification and Qualification of Nondestructive Test Personnel
3. TERMS AND DEFINITIONS
For the purposes of this document, the terms and definitions listed in ISO 9000 and the following apply:
3.1 Suspect Part
A part in which there is an indication by visual inspection, testing, or other information that it may have been
misrepresented by the supplier or manufacturer and may meet the definition of fraudulent part or counterfeit part provided
below.
3.2 Fraudulent Part
Any suspect part misrepresented to the customer as meeting the customer’s requirements.
3.3 Counterfeit Part
A fraudulent part that has been confirmed to be a copy, imitation or substitute that has been represented, identified, or
marked as genuine, and/or altered by a source without legal right with intent to mislead, deceive or defraud.
NOTE: The following diagram depicts the above relationships between Suspect, Fraudulent and Counterfeit Parts. A
Suspect Parts becomes a Fraudulent or Counterfeit Part through further evaluation and testing. All counterfeit
parts are fraudulent, but not all fraudulent parts are counterfeit. There are legal distinctions between counterfeit
and fraudulent parts. Legal counsel within each specific jurisdiction and/or the OCM should be consulted to
determine the nature and extent of these distinctions.
Examples of Suspect, Fraudulent and Counterfeit Parts are provided in Appendix A.
3.4 Related Definitions
AFTERMARKET MANUFACTURER: A manufacturer that meets one or more of the following four criteria:
a. The manufacturer is authorized by the OCM to produce and sell replacement parts, usually due to an OCM decision to
discontinue production of a part. Parts supplied are produced from materials that have been
1. transferred from the OCM to the Aftermarket Manufacturer, or
2. produced by the Aftermarket Manufacturer using OCM tooling and intellectual property (IP).
b. The manufacturer produces parts using semiconductor dice or wafers, manufactured by and traceable to an OCM, that
have been properly stored until use and are subsequently assembled, tested, and qualified using processes that meet
technical specifications without violating the OCM’s intellectual property rights (IPR), patents, or copyrights.
c. The manufacturer produces parts through emulation, reverse-engineering, or redesign, that match the OCM's
specifications and satisfy customer needs without violating the OCM's IPR, patents, or copyrights.
In any case, the Aftermarket Manufacturer must label or otherwise identify its parts to ensure that the “as shipped”
aftermarket manufactured part should not be mistaken for the part made by the OCM.
APPROVED SUPPLIER: Suppliers that are formally assessed, determined to provide acceptable risk of providing
fraudulent/counterfeit parts, and entered on register of approved suppliers. Formal assessment can be performed by the
procuring Organization or by a third party.
AUTHORIZED DISTRIBUTION: Transactions conducted by an OCM-Authorized Distributor distributing product within the terms
of an OCM contractual agreement. Contractual Agreement terms include, but are not limited to, distribution region, distribution
products or lines, and warranty flow down from the OCM. Under this distribution the distributor would be known as an Authorized
Distributor. For the purposes in this Standard, Franchised Distribution is considered synonymous with Authorized Distribution.
AUTHORIZED (FRANCHISED) DISTRIBUTOR: Distributor when they perform Authorized Distribution.
AUTHORIZED SUPPLIER: Aftermarket Manufacturers as defined above and OCM authorized sources of supply for a
part (i.e., Franchised Distributors, Authorized Distributors).
NOTE: Some Authorized Suppliers will provide other services which are not authorized by an OCM (e.g., independent
distribution).
BROKER: In the independent distribution market, Brokers are professionally referred to as Independent Distributors. See
definitions for “Broker Distributor” and “Independent Distributor”.
BROKER DISTRIBUTOR: A type of Independent Distributor that works in a “Just in Time” (JIT) environment. Customers
contact the Broker Distributor with requirements identifying the part number, quantity, target price, and date required. The
Broker Distributor searches the industry and locates parts that meet the target price and other Customer requirements.
CERTIFICATE OF CONFORMANCE (C of C, CoC): A document provided by a Supplier formally declaring that all buyer
purchase order requirements have been met. The document may include information such as manufacturer, distributor,
quantity, lot and/or date code, inspection date, etc., and is signed by a responsible party for the Supplier.
CERTIFICATE OF CONFORMANCE AND SUPPLY CHAIN TRACEABILITY (CoCT): A Certificate of Conformance

required by certain military specifications which requires documented supply chain traceability from the Qualified Parts
List/Qualified Manufacturers List (QPL/QML) manufacturer through delivery to a government agency if the material is not
procured directly from the approved manufacturer.
DESTRUCTIVE PHYSICAL ANALYSIS (DPA): A systematic, logical, detailed examination of parts during various stages
of physical disassembly, conducted on a sample of completed parts from a given lot, wherein parts are examined for a
wide variety of design, workmanship, and/or processing problems. Information derived from DPA may be used to:
a. preclude installation of inauthentic parts or parts having patent or latent defects
b. aid in disposition of parts that exhibit anomalies
c. aid in defining improvements or changes in design, materials, or processes
d. evaluate Supplier production trends
FRANCHISED DISTRIBUTION: For the purposes in this Standard, Franchised Distribution is considered synonymous
with Authorized Distribution (see “Authorized Distribution” definition above).
FRANCHISED DISTRIBUTOR: Also known as Authorized Distributor (see “Authorized (Franchised) Distributor” definition above).
HOMOGENEOUS LOT: A group of parts that:
a. Are received in a single shipment (whether in single or multiple packages)
b. Are marked or otherwise identified with identical lot, batch, run, and identification information (e.g., dates codes, lot codes),
c. Are identical in appearance to the unaided eye (parts and packaging),
d. Appear to have been subjected to the same handling, packaging, and/or storage conditions, and
e. Have maintained their physical placement relative to each other (i.e., have never been separated based on evidence such
as source, packaging, labeling).
INDEPENDENT DISTRIBUTOR: A distributor that purchases parts with the intention to sell and redistribute them back
into the market. Purchased parts may be obtained from Original Equipment Manufacturers (OEMs) or Contract
Manufacturers (typically from excess inventories), or from other Distributors (Franchised, Authorized, or Independent).
Resale of the purchased parts (redistribution) may be to OEMs, Contract Manufacturers, or other Distributors.
Independent Distributors do not normally have contractual agreements or obligations with OCMs. See definition of
“Authorized (Franchised) Distributor.”
OPEN MARKET: The trading market that buys or consigns OEM,Contract Manufacturer, and Aftermarket Manufacturer’s
excess inventories of new electronic parts and subsequently utilizes these inventories to fulfill supply needs of other
OEMs and Contract Manufacturers, sometimes due to urgent or obsolete part demands. Open Market may include the
purchase and sale of parts with unknown origin or where the complete chain of custody of such parts are unknown.
ORIGINAL COMPONENT MANUFACTURER (OCM): A company that manufacturers a part that it has designed and for
which it owns the Intellectual Property Rights (IPR).
NOTES:
1. The part and/or its packaging are typically identified with the OCM’s trademark.
2. OCMs may contract out manufacturing and/or distribution of their product.
3. Different OCMs may supply product for the same application or to a common specification.
ORIGINAL EQUIPMENT MANUFACTURER (OEM): A company that manufactures products that it has designed from
purchased components and sells those products under the company’s brand name.
PACKAGING (COMPONENT): Component packaging refers to the manner in which electronic parts are packaged in
preparation for use by electronic assemblers. The determination of packaging types is determined by product sensitivities
such as moisture, physical (lead pitch, co-planarity), electrostatic discharge (ESD), as well as the method (manually, or by
use of automated equipment) to be used to place parts on the printed circuit board. There are four main types of
packaging: bulk, trays, tubes, and tape and reel.
PART(S): One or more pieces joined together, which are not normally subject to disassembly without destruction or
impairment of intended design use.
REFINISHED: Using post-manufacture plating methods (such as solder dipping) to alter the plating composition on a
part’s leads.
REFURBISHED: Parts that have been brightened, polished or renovated in an effort to restore them to a “like new”
condition. Refurbished parts may have had their leads realigned and re-tinned and subjected to cleaning agents and
processes.
STOCKING DISTRIBUTOR: A Distributor that stocks inventories typically purchased from OEMs and Contract
Manufacturers. The handling, chain of custody, and environmental conditions for parts procured from the inventory of
Stocking Distributors may be better known than the handling of product bought and supplied by Broker Distributors.
Authorized (Franchised) Distributors and Aftermarket Manufacturers are also Stocking Distributors who have purchased
inventory directly from the device manufacturer for whom they are authorized.
SUPPLIER: Within the context of this document, a blanket description of all sources of supply for a part. Types of
Suppliers include OCM, OEM, Authorized (Franchised) Distributor, Independent Distributor, Broker Distributor, Stocking
Distributor, Aftermarket Manufacturer, Government Supply Depot, and 3PL Provider.
SUPPLY CHAIN TRACEABILITY: Documented evidence of a part’s supply chain history (e.g., C of C) back to the OCM.
This refers to documentation of all supply chain intermediaries and significant handling transactions from OCM to
Organization.
SUPPLY CHANNEL: The general category of Supplier, such as Open Market, OCM, Aftermarket Manufacturers,
Authorized (Franchised) Distributor, 3PL Provider, Independent Distributor, Broker Distributor, OEM Surplus, etc.
THIRD-PARTY LOGISTICS (3PL) PROVIDERS: Firms which provide outsourced or "third party" logistics services to
companies for supply chain management functions. 3PL Providers typically specialize in integrated operation,
warehousing and transportation services that can be scaled and customized to Customer’s needs based on market
conditions and the demands and delivery service requirements for their products and materials.
UNUSED (NEW SURPLUS): Electronic parts that have not been previously used (i.e., attached to a board or powered up
since leaving the supply chain). A shipment of unused material can contain mixed date codes, lot codes, or countries of
origin, and should be received in unused factory or third party packaging. The material may have minor scratches or other
physical defects as a result of handling, but the leads should be in good condition and should not be refurbished. The
material should be guaranteed to meet the manufacturer’s full specifications. Unused programmable parts should be
unprogrammed.
UPRATED: Assessment which results in the extension of a part’s ratings to meet the performance requirements of an
application in which the part is used outside the manufacturer’s specification range.
UPSCREENED: Additional part testing performed to produce parts verified to specifications beyond the part
manufacturer's operating parameters. Examples are Particle Impact Noise Detection (PIND) testing, temperature
screening, Radiation Hardness Assurance testing, etc.
USED (REFURBISHED OR PULLED): Product that has been electrically charged and subsequently pulled or removed
from a socket or other electronic application. Used product may be received in non-standard packaging (i.e., bulk), and
may contain mixed lots, date codes, be from different facilities, etc. Parts may have physical defects such as scratches,
slightly bent leads, test dots, faded markings, chemical residue or other signs of use, but the leads should be intact. Used
product may be sold with a limited warranty, and programmable parts may still contain partial or complete programming
which could impact the part’s functionality. Used parts marketed as refurbished should be declared as such.
4. PROCEDURE
4.1 Supplier Assessment
The Organization should use this document for the assessment of any supplier that buys or sells electronic parts in the
open market. Open market product may not have full traceability to the original component manufacturer, and is
significantly more at risk of having reduced quality and reliability than product bought from authorized suppliers with full
supply chain traceability. This is because electronic parts with unknown pedigree are more likely to have been handled
under uncontrolled circumstances, or modified, altered, or otherwise misrepresented as defined in this document.
4.1.1 Pre-Visit Assessment Survey
The survey form titled “Pre-Visit Assessment Form” in Appendix b should be provided in advance to the supplier. This
provides the Organization with an estimate of the supplier’s awareness of fraudulent/counterfeit electronic parts risks, and
capability to ensure least risk for providing fraudulent/counterfeit electronic parts.
4.1.2 Site Assessment Survey
If the pre-assessment survey indicates that the supplier may be capable of avoiding the purchase of and detecting the
presence of fraudulent/counterfeit electronic parts, the Organization may elect to perform a site assessment. This
assessment uses the form titled “Site Assessment Form” in Appendix B, Supplier Assessment Forms. Information
previously provided in the Pre-Visit Assessment Form can be used to develop a preliminary rating for the supplier, using
the guidance provided in Appendix C. In addition, Section 2 of the form should be completed by the Organization prior to
the site assessment. The Organization may elect to review selected supplier purchases and transactions in order to
ensure the process and data complies to contractual requirements.
During the site assessment, the Organization’s assessor(s) uses the guidance provided in Appendix C, Site Assessment
Form Ratings, to generate a score for the supplier. There are various scores that are automatically calculated by the
Excel file comprising the Site Assessment Form. The calculations are based on the assessor(s) assigned rating from the
site assessment, and the scale factor assigned to each respective question. The calculations and justification are
explained in detail in Appendix B.
The Organization is not limited to the specific scale factor assigned to the Site Assessment Form. The scale factors
provided are default parameters intended to provide the Organization with a standard scoring method. Using the default
parameters, a top Total Score of 200 points is possible. If the Organization tailors selected scale factors to its own
assessed significance, then the Total Score, along with respective Section Scores, may be skewed from the standard
scores. This is acceptable, but it does not facilitate the generation of consistent scores for sharing between
Organizations.
An Organization may choose to assess the supplier for all fraudulent/counterfeit avoidance, detection, containment, and
reporting procedures except for the inspection and test of electronic parts. The Organization may prefer to conduct most
inspection and testing for authenticity through its own facility or a third-party test facility of its own selection. In this case,
the Organization may refer to the Basic Score on the Site Assessment Form. The Basic Score excludes the Section 11
score. Section 11 assesses the supplier’s capability to test, or have tested by an external facility, a more complete range
of inspections and tests (e.g., CSAM, leak test, functional electrical). This score is recorded separately as the Test Score
on the Site Assessment Form. Using default parameters, a top Total Basic Score of 175 points is possible.
4.2 Supplier Selection
It is recommended that Organizations use robust procedures for the approval of all suppliers of electronic parts. Robust
procedures for the avoidance of fraudulent/counterfeit electronic parts are particularly important when the supplier(s) is
procuring and selling product from outside the Original Component Manufacturer’s authorized supply chain (i.e., open
market). These suppliers are primarily identified as Independent Distributors. All of these suppliers should be assessed
on-site by the Organization, before designation by the Organization as an Approved Supplier. The assessment tool and
score can be used for supplier evaluation and source selection.
4.3 Periodicity of Assessments
It is recommended that Organizations perform periodic on-site assessments of active suppliers every three years. If an
active supplier has suspect counterfeit performance related issues or other changes that may increase the risk of
procuring or selling fraudulent/counterfeit parts, then it is recommended that an on-site assessment be performed as soon
as possible after the discovery of the issue.
PREPARED BY SAE SUBCOMMITTEE G-19DR, DISTRIBUTOR RISK CHARACTERIZATION

OF COMMITTEE G-19, COUNTERFEIT ELECTRONIC PARTS
APPENDIX A - EXAMPLES OF SUSPECT, FRAUDULENT, AND COUNTERFEIT PARTS
The content of this Appendix is provided as guidance and can be invoked in whole or in part, by the policies, requirements
or procedures of the Organization.
There are legal distinctions between counterfeit and fraudulent parts. Legal counsel within each specific jurisdiction and/or
the OCM should be consulted to determine the nature and extent of these distinctions.
Fraudulent Item (all items below are misrepresented) Counterfeit?

xUsed parts represented as new No
xParts with refurbished/retinned leads See below
oRefinish matches plating configuration on labeling No
oRefinish does not match plating configuration on labeling Yes
xParts with remarking of external markings and/or surface See below
oSame part number, date code, lot code, etc. (all apply) as original No
oDifferent part number, date code, lot code, etc. (any apply) from Yes
original without authorization from the OCM
xParts with internal die inconsistent with part number or labeling See below
oCorrect component manufacturer Yes
oIncorrect component manufacturer Yes
xNot fully tested or upscreened to the level indicated on labeling See below
oMarking on part matches actual test/screen level No
oMarking on part does not indicate test/screen level No
oMarking on part matches labeling test/screen level Yes
xInternal components incorrect with the part lot or date code (e.g., leadframe, Yes
die, wire bonding)
xPackage type inconsistent with labeling (e.g., TSOP, SOIC, DIP) See below
oMarking on part matches package type No
oMarking on part does not match package type Yes
xPackaging inconsistent with labeling (e.g., tape and reel, tray, ammo pack) No
and without relabeling authorization from the customer or OCM
xManufacturer logos which have been modified (part or packaging/labeling) Yes
xLabeling information with incorrect lot or date codes Yes
xParts or packaging manufactured as OCM product without OCM approval Yes
xParts or packaging in violation of trademark or copyright laws Yes
APPENDIX B – SUPPLIER ASSESSMENT FORMS
This Appendix contains information on two distributor assessment forms, and guidance on using them. The Pre-Visit
Assessment Form is a blank form which contains over 160 entries to be filled out by the supplier and returned to the
Organization. The Site Assessment Form contains over 170 entries, with calculations intended to provide a Total Score
which indicates the supplier’s assessed risk for providing fraudulent/counterfeit electronic parts to the Organization. All of
the entries on the Pre-Visit Assessment Form map directly to the Site Assessment Form. The electronic files are
available in Excel format with the purchase of this document.
B.1 PRE-VISIT ASSESSMENT FORM
If an Organization wishes to obtain a basic knowledge of the fraudulent/counterfeit avoidance, detection, containment,
and reporting capabilities of a potential supplier, without performing a site assessment, the Pre-Visit Assessment Form
should be used. This form is provided to the supplier. The supplier then fills in all applicable white boxed-in areas to
document their capabilities and processes, and returns the form to the Organization.
There are no ratings or scores associated with the Pre-Visit Assessment Form. The Organization reviews the complete
form and determines whether the supplier’s capabilities and procedures are sufficient to warrant an on-site assessment.
B.2 SITE ASSESSMENT FORM
If an Organization has decided that a supplier has potential to be approved by the Organization, then an on-site
assessment should be performed. The Organization then moves the Pre-Visit Assessment Form data into the
corresponding Site Assessment Form fields, and fills out Section 2, which involves an investigation into the supplier’s past
quality issues, and an assessment of the type of facility (residential or commercial) and various other items. Note: it is
recommended that Section 2 of the Site Assessment Form be filled out before contacting the supplier to complete the
Pre-Visit Assessment Form.
B.2.1 ASSESSMENT SCORES
The assessor(s) determines during the site assessment the extent to which the supplier complies to each assessable
entry. The assessment scores range from 0 to 3 as follows:
0 – No compliance or not addressed.
1 – Partial compliance or partially addressed. Far short of optimal response.
2 – Mostly compliant or addressed. Minor discrepancies separate reply from optimal response.
3 – Fully compliant to the expectations of the question.
Guidance for assessing each rateable question consistently is provided in Appendix C. All of the rateable assessment
scores are shaded in orange on the Site Assessment Form spreadsheet. The spreadsheet provided in Appendix B has
the maximum score (3) entered into all entry locations in order to indicate the maximum possible default scores for each
Section. Entries to orange-shaded boxes denote entries specific to the supplier. The assessor(s) may update a rateable
question that was evaluated from the Pre-Visit Assessment once they are on-site and find additional objective evidence
that warrants changing the rating for the selected criteria.
B.2.2 COMMENTS
Comments from either the supplier or assessor(s) may give greater detail to each assessment question. These
comments should be entered into the “Y/N” and “Comments/Reason” fields on the Site Assessment Form. This
information provides the detail to justify the specific ratings assigned to each question. Entries to white (unshaded) boxes
denote entries specific to the supplier.
B.2.3 SCALE FACTORS
The scale factors for the questions can range from 1 to 5, and 10. The spreadsheet provided in Appendix B has default
values assigned. The values are listed in the “Scale” column. The scale factors are defined as follows:
1 – Question is minimally significant with respect to the supplier’s anti-counterfeit capabilities.
2 – Question has some significance, but is not a driving factor in the supplier’s anti-counterfeit capabilities.
3 – Question is significant to the supplier’s anti-counterfeit capabilities.
4 – Question is highly significant. Response may have a direct impact on the supplier’s anti-counterfeit capabilities.
5 – Question is very significant, and usually directly impacts the supplier’s anti-counterfeit capabilities.
10 – Question is considered a critical factor in assessing the supplier’s diligence in combating fraudulent/counterfeit parts.
The Organization can tailor these scale factors in order to more accurately reflect their own priorities for the assessment
questions. However, tailoring of these scale factors may result in scores which do not correlate to assessment rating
generated by other Organizations. Scale factor entries may be specific to the Organization.
B.2.4 CALCULATIONS
The score for each assessment question is based upon a number of different calculations. All calculations have the same
basic premise, to apply a set percentage of the assessed rating to the score. The percentage allowed is 20% for each
scale factor number. That is, a scale factor of 1 results in 20% of the assessed rating to be displayed as the score for the
question. A scale factor of 2 results in 40% of the assessed rating to be displayed as the score for the question. A scale
factor of 5 results in 100% of the assessed rating to be displayed as the score for the question. A scale factor of 10
results in 200% of the assessed rating to be displayed as the score for the question.
Blue-shaded boxes in the Site Assessment Form designate areas where calculations are different from the formula
described above. Most of these cases involve rating the interplay of multiple questions for one accurate score. The
instances where the calculation is varied are listed below:
a) In Section 3, the score accrued by membership in industry reporting organizations is reduced or eliminated if the
subsequent replies indicate that the membership is not being used to find good suppliers and report suspect
fraudulent/counterfeit parts.
b) In Sections 9 and 11, the score accrued by having specific test capability is reduced or eliminated if the subsequent
replies indicate that the testing is not always being performed.
c) Also in Section 11, a failure of the supplier to assess its third-party test labs will result in a reduction of the score.
APPENDIX C – SITE ASSESSMENT FORM RATINGS
This Appendix contains guidance on how to consistently assess a supplier’s responses to the Site Assessment Form
provided in Appendix B.
C.1 SITE ASSESSMENT RATINGS GUIDE
The Site Assessment Ratings Guide provides ratings examples for each rateable question in the Site Assessment Form.
This guide is intended to ensure consistent ratings can be given to multiple suppliers, enabling “apples to apples”
comparison of many suppliers for their ability to avoid, detect, contain, and report fraudulent/counterfeit electronic parts.
Shaded areas in the Site Assessment Ratings Guide indicate that the particular rating is not expected to be applied to a
supplier assessment. In many cases this applies to a strict yes/no question for which middle ratings do not apply. In
some cases it serves to establish a larger than normal gap between different possible responses.
It is likely that not all supplier responses will be easily defined by the Ratings Guide. In those cases the assessor(s) is
encouraged to rate the response according to the closest example in the Ratings Guide. Partial ratings (i.e., 0.7 or 2.3)
are allowed by the spreadsheet, but are not encouraged.
SAE
Distributor Assessment Rating Guidance

Recommended Rating (Examples Provided)
Section Question Comments/Guidance 0 1 2 3
2.0 Pre-Assessment Information (Organization Fills Out)
2.1 Will the company Reputable companies should No. One to four references Five or more can be
provide trade be able to provide trade can be supplied. supplied.
references? references that can be
contacted for reliable
information. References should
include organizations that are
known and reputable.
2.2 Is the website valid? Most reputable companies have No. Yes.
a functioning website with valid
information about the company.
2.3 Is the address and E-mail addresses should No. Website lists an e-mail E-mail is same Address appears to
contact info complete? reference the website, not or phone contact plus address as website, be a commercial
Google, Yahoo, or other public an address. instead of public e- facility when mapped.
e-mail sites. mail.
2.4 Are there past Companies that ship counterfeit Unresolved reports Three or more issues, Two or fewer issues, No issues.
unresolved issues product have often already and/or issues. all resolved. all resolved.
concerning GIDEP, been reported. Reported
ERAI, or IDEA issues should be checked to
complaints? determine 1) how the report
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reflects upon the company

(reporter vs reportee, for
example), 2) age of report, and
3) resolution (company
implemented corrective
actions?).
2.5 Does the company have Multiple distribution businesses Yes. No.
multiple identical at the same address or with the
business types same contact can be an
(company names) at indicator of disreputable activity
one address or with to hide past problems.
same contacts?
2.6 Is the company A reputable company should be No. Little or no information Dunn & Bradstreet Dunn & Bradstreet
financially solvent? financially solvent. is available about the data indicates the data indicates the
company’s financial company is solid company is solid
stability. financially. financially, and has
been in business for
at least three years.
2.7 Are there any pending Reputable companies should Yes, multiple Yes, but all issues No legal actions
legal actions against the be able to avoid litigation. actions. have been resolved detected.
company? satisfactorily.
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3.0 Industry Membership and Reporting
3.1 Are you a Member of ERAI is a privately held No Yes (Proof provided)
ERAI? If so, provide global information services
proof of membership. organization that monitors,
investigates and reports
issues that are affecting the
global supply chain of
electronics. Members use
ERAI tools to check for
customer and supplier
issues, reducing the risk of
buying/selling poor quality or
fraudulent/counterfeit
product. Membership may
be revoked due to unethical
business dealings or
systemic quality issues.
3.1.1 If you are an ERAI An ERAI member should Databases are Databases are Databases are usually Databases are always
member, how often use ERAI’s databases never checked. sometimes checked. checked. (For checked before every
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do you search the before every purchase/sale. (an ERAI member (For example, a example, a company transaction. (The
ERAI Reported ERAI’s databases list that does not check company that only that periodically checks company searches
Company and High companies who have been the company and checks the reported their AVL against the these databases
Risk Parts reported for quality and component company database if reported company list, before every
databases? financial issues. In addition, databases will suspect product is but does not check the independent
there is a high-risk score no better received, or who only high-risk component distributor and/or
component database that than an ERAI non- checks the reported database for passive purchase approval,
allows searching by part member). component database parts or discrete and has procedures
number. at customer request.) semiconductors.) for removing the
distributor from their
AVL or testing the
part(s).) There
should be a work
order instruction or
procedure with
documented evidence
of compliance.
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3.1.2 If you are an ERAI Companies truly seeking a No Less than 25% of the Up to 75% of the time. Over 75% of the time.
member, do you reduction in counterfeit parts time. ( i.e. only if there (i.e. when there is (Suspect parts and
report suspect should be reporting suspect is a financial dispute reasonable confidence confirmed counterfeits
counterfeit parts and and confirmed counterfeit over the transaction.) the parts are are always reported.
companies to ERAI’s parts. counterfeit) A work order
Reported Company instruction or
and High Risk Parts procedure with
databases? How documented evidence
often? of compliance is
available.)
3.2 Are you a Member of GIDEP reports give No Yes. (Proof provided)
GIDEP? If so, excellent information
provide proof of regarding recent counterfeit
membership. parts instances. Usually the
part number and ID are
named in the report, along
with information on how the
parts were detected.
3.2.1 If you are a GIDEP Ideally the member should Databases are Databases are Databases are usually Databases are always
member, how often pull GIDEP information into never checked. (a sometimes checked. checked. (For checked before every
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Do you search the a file that can be easily GIDEP member (For example, a example, a distributor transaction. (The
GIDEP databases? searched for matches to the that does not check distributor that only that downloads GIDEP distributor searches
company’s AVL. companies and checks the GIDEP reports once a month.) GIDEP listings
part numbers reports if suspect against the company
against GIDEP product is received.) and part number
reports will score before every
no better than a independent
non-member). distributor and/or
purchase approval,
and has procedures
for removing the
distributor from the
AVL or testing the
part(s).) There
should be a work
procedure with
documented evidence
of compliance.
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3.2.2 If you are a GIDEP Companies truly seeking a No Rarely (e.g., only at Up to 75% of the time. Over 75% of the time.
member, do you reduction in counterfeit parts customer request). (i.e. when the material (Suspect parts and
report suspect should be reporting suspect is confirmed counterfeit confirmed counterfeits
counterfeit parts and and confirmed counterfeit by the OCM.) are always reported.
companies to parts. A work order
GIDEP’s databases? instruction or
How often? procedure with
documented evidence
of compliance is
available.)
3.3 Are you a Member of IDEA stands for No Yes (Proof provided)
IDEA? If so, provide Independent Distributors of
proof of membership. Electronics Association.
IDEA is a non-profit trade
association representing
quality & ethically oriented
independent distributors of
electronic components. Due
to the high membership
requirements, a company
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that is a member of IDEA is

highly likely to be
professional, ethical,
financially sound, and
concerned about reputation.
3.3.1 If you are an IDEA An IDEA member should Databases are Databases are Databases are usually Databases are
member, how often use IDEA’s databases never checked. sometimes checked. checked. (For checked before every
do you search the anytime a new part order is (An IDEA member (For example, a example, a distributor transaction. (The
IDEA alerts being considered. IDEA’s that does not check distributor that only that periodically checks distributor searches
databases? database lists parts the component checks if suspect the component purchase approval,
determined by other IDEA databases will product is received. database for passive and has procedures
members to be substandard score no better parts or discrete for testing the part(s).)
or suspect counterfeit. than an IDEA non- semiconductors.) There should be a
Searches may turn up member). work order instruction
problem parts and date or procedure with
codes. documented evidence
of compliance.
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3.3.2 If you are an IDEA Companies truly seeking a No Databases are Databases are usually Databases are always
member, do you reduction in counterfeit parts sometimes checked. checked. (For checked before every
report suspect should be reporting suspect (For example, a example, a distributor transaction. (The
counterfeit parts and and confirmed counterfeit distributor that only that downloads IDEA distributor searches
companies to IDEA’s parts. checks the IDEA databases once a IDEA databases
databases? How databases if suspect month.) against the company
often? product is received.) and part number
before every
independent
distributor and/or
purchase approval,
and has procedures
for removing the
distributor from the
AVL or testing the
part(s).) There
should be a work
procedure with
documented evidence
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of compliance.
3.4 Which external Upon identification of No processes. Processes encourage Processes identify Processes identify
sources (investigative confirmed counterfeit parts, government agency points of contact for government
agencies) the organization should notifications. Customs & Border investigative contacts
do you report provide timely notification to Protection (CBP), and parts have been
confirmed counterfeit the applicable government Immigration & reported to at least
components to? How investigative agency (FBI, Customs Enforcement one of these
often? What was the CBP, DoJ, etc.) (ICE), Department of agencies.
outcome(s)? Justice (DoJ), etc.
3.5 What other steps do A good distributor should No steps. +1 peer sharing through distributor forums
you take to alert your share fraudulent/counterfeit +1 notify customer if parts are suspect counterfeit
peers and/or part data with his peers. +1 other valid steps (attend anti-counterfeiting conferences, continual
customers to education on the most recent fraudulent/counterfeit methods, etc.)
parts?
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4.0 Quality System and Processes

4.1 Are you ISO 9001 An organization’s ISO 9001 Not certified Certified but not by an Certified by an ANAB
certified? Provide a certification indicates a ANAB (or ANAB- (or ANAB-equivalent
copy of the commitment to quality and equivalent international)
certification. provides an International international) accredited registrar.
standard expectation of accredited registrar
QMS infrastructure with
process controls and a
common vocabulary.
4.3 Are you AS9120 An organization’s AS9120 Not certified Certified but not by an Certified by an ANAB
certified? Provide a certification indicates a ANAB (or ANAB- (or ANAB-equivalent
copy of the commitment to quality and is equivalent international)
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certification. more specific to the international) accredited registrar.

Aerospace community. It accredited registrar
provides a standard
expectation of QMS
infrastructure with process
controls and a common
vocabulary.
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4.4 Are there any other There may be additional +1 for every additional non-counterfeit part specific QMS certification
quality management quality standards employed +2 for every counterfeit part specific certification (i.e., CCAP-101).
system or by the distributor based on
fraudulent/counterfeit their specialty or Not to exceed +3 total
avoidance standards requirements from the
that you are currently customer or assessor’s
certified to? Which organization. This section
ones? can be customized to
address those needs. For
instance, if environmental
standards are important,
then ISO 14001 should
evaluated. ANSI Z540
and/or ISO 17025 may be
required for assessment of
lab equipment. For value
added assembly operations
that serve the Aerospace
sector, AS9100 would be
appropriate. Counterfeit
Components Avoidance
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plan (CCAP-101) is a
certified counterfeit
components plan.
4.5 How is compliance to Customer specific No objective Partial objective Complete verification of Complete verification
customer-specific requirements may establish evidence of evidence of customer requirements of customer
requirements testing, inspection, or compliance. compliance and and flow-down. requirements and
(inspection, test, shipping requirements that requirements flow- flow-down and
handling, etc.) affect the quality, price and down. exceeds all contract
documented? delivery of a part. The requirements present.
requirements should be
documented in a way which
ensures they are not
skipped, and this data
should be conveyed to the
Organization’s supplier to
ensure compliance with
Customer specific
expectations/requirements.
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4.6 Does your document Management involvement in No Yes, but poorly Yes, with solid
control system the document control documented. evidence at site visit.
require management system ensures that
review and approval? procedures can’t arbitrarily
Please describe your be changed. Organization
configuration has adequate configuration
management system. management system.
4.7 Are the document It is important that personnel No Yes, on paper with no Yes, on paper with Electronic access to
latest revisions use the document which revisions noted. revisions noted. the latest revisions at
available at Point of reflects the latest company Point of Use.
Use? Please changes and ensures that
describe. all material is handled the
same way.
4.8 Do you have systems Document loss hinders a No Either has paper or Have both paper and Have both paper and
which protect both distributor’s ability to support electronic protecting electronic protecting electronic protecting
paper and electronic its customer, aid measures put in measures in place on- measures in place off-
media? Please investigations, and defend place. site. site.
describe. potential lawsuits.
4.9 Do you have a A company with a corrective No Only At Customer Only for confirmed For all Non-
corrective action action program is more apt Request (ACR) counterfeit parts. conforming Material
program? If so under to conform to customer (NCM) for which the
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what circumstances requirements and take company was at fault.

do you require or initiative when their quality
initiate a corrective system has quality escapes.
action request?
4.10 Have you ever Cannot be graded because
shipped a a distributor who has never
fraudulent/counterfeit shipped a
component? How did fraudulent/counterfeit
you respond with component cannot score
respect to well. A distributor that has
corrective/preventive shipped
actions? fraudulent/counterfeit
product should show
evidence of having taken
steps (supplier selection,
inspection, test, etc.) to
address the lapse.
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4.11 How do you ensure Return procedures should No procedures are Lot/date code must be Lot/date code must be Lot/date code and
customer returned ensure that only product in place. verified before product verified through photos package identification
product is your sold by the organization is can be accepted. before product can be must all be verified
originally shipped accepted for return. accepted. Returned through photos before
product? product is re-verified product can be
by organization. accepted. Returned
product is re-verified
by organization.
4.12 For how long do you <1 year 7 years 10 years >10 years or as
retain all quality and contractually
purchasing records? obligated.
5.0 Warranty & Insurance
5.1 Do you provide a The warranty duration Limited 60 day Up to 90-day warranty Up to one year Over one year
standard product reveals the level of supplier warranty period period warranty period warranty period.
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warranty period with confidence in the product.

all shipments? What Poor distributors rarely offer
is the warranty more than a 30-day
period? If it varies warranty. Conversely,
based on the distributors offering a 1 year
supplier, how so? or longer warranty period
show confidence in the
integrity of the product being
sold and should be
assessed highly.
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5.2 Please provide a PO contract should detail Organization does Organization has a Organization has a Organization has a
copy of your standard Buyer’s basic expectations not have a standard purchase standard purchase standard purchase
purchase order terms ie: Part Number, Date Code, standard purchase order contact which order contract which order contract which
and conditions. MFG, Delivery Deadline, order contract addresses basic addresses the addresses all of the
Payment Terms, and required information previous requirements previous
Shipping instructions. (e.g., part number, (to achieve rating 1) requirements (to
In addition to the basic date code, OCM, plus inspection/testing achieve rating 2)
requirements, the delivery deadline, requirements. which includes a
organization should also payment terms, and suspect/counterfeit
clearly define: shipping instructions product impoundment
1. Product Traceability clause.
2. Testing and Inspection
3. Compliance w/ QMS
systems
4. Product Impoundment
and Financial
Responsibility
5. Required documentation
6. Penalties associated with
fraud.
5.3 Please provide Customers typically send Distributor does not Partial verification of Complete verification Complete verification
objective evidence of distributors quality notes, verify or flow down customer of customer of customer
compliance to requirements flow-down, customer requirements and requirements and flow- requirements and
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customer quality and fraudulent/counterfeit requirements flow-down down. flow-down and

notes, requirements contract clauses to ensure and/or invoice exceeds all contract
flow down, and compliance to issues such terms and requirements present.
counterfeit contract as: conditions conflict
clauses. Include a 1. Product Traceability, with requirements.
copy of your standard 2. Testing & Inspection,
customer invoice 3. Compliance w/ QMS
terms and conditions. systems (i.e., AS9120
/ISO9001)
4. Product Impoundment &
Financial Responsibility
5. Required documentation
6. Penalties associated with
fraud.
Standard invoice terms and
conditions should not
override the responsibility of
the customer quality notes,
requirements flow-down and
contract clauses.
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5.4 Please provide a Stable distributors maintain None Product liability up to Product liability over Product liability
copy of insurance insurance to cover $1M/per occurrence. $1M/per occurrence. insurance with Errors
binder(s) for all unforeseen issues and and Omissions
insurance types protect their company. insurance exceeding
(E&O, Product Distributors should have $1M/per occurrence.
Liability, etc.) What is Product Liability and Errors
the insurance amount and Omission (E&O)
per occurrence? Insurance. E&O coverage
protects companies and
individuals against claims
made by clients for
inadequate work or
negligent actions.
6.0 Supplier Qualification and Purchasing Process
6.1 How do you ensure It is important to have a Buyer remembers Manual system with Has a rating system
that product is bought procedure for picking the to. They’ve been no forcing. that rates suppliers
from the safest least-risk source to mitigate doing it long from least-highest risk
(authorized) sources the chances of getting enough that they They have a list of (OCM, franchised,
whenever possible? fraudulent/counterfeit “just know”. approved and proven stock and
product. Try to ensure the disapproved suppliers unauthorized) and
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distributor is more but the purchaser is forces purchaser

concerned with lowest risk still able to pick a towards the least
than cheapest product. supplier from the risky product.
unapproved list Justification and/or
without management management
approval. approval is needed.
6.1.1 If multiple suppliers A company should be more Always buy the Weight Price vs Test They evaluate if the Buy authorized over
have product, what concerned with reducing the cheapest. Cost vs Risk unauthorized/higher unauthorized
factors determine the risk of obtaining & shipping risk product is worth regardless of price
selection? fraudulent/counterfeit Typically an “it the price difference, difference.
product than which supplier depends” answer. but obtain customer
is the cheapest. They evaluate if the approval before buying The organization
unauthorized/higher from the riskier source. makes a point to buy
risk product is worth from authorized
the price difference. sources as a standard
policy/procedure.
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6.1.2 Do you pursue A reputable distributor No preference. Manual requirement, Manual requirement Automated system to
authorized sources should always select management approval with management find authorized
first? How do you product from the least risky not required. approval required. sources.
ensure this? source. They should
maintain procedures which Maintain a list of Maintain a list of The system
force the purchaser in this approved/disapproved approved and automatically shows
direction. suppliers but the disapproved suppliers and rates all suppliers
purchaser is still able but the purchaser has from least risk to
to pick a disapproved to get approval from highest risk (OCM,
distributor. management for authorized,
anything from the authenticated stock,
unapproved list. and unauthorized)
and requires
customer approval for
non-authorized
sources.
6.1.3 Will you disclose in Self explanatory. No. Yes.
writing at the time of
each individual
quotation if you are or
are not an authorized
(franchised) source for
the items being quoted?
Will you disclose in
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6.1.4 Self explanatory. No. Yes.

writing at the time of
each individual
quotation if your source
of supply for the items
being quoted is or is not
an authorized
(franchised) source?
6.1.5 If the source of supply Self explanatory. No. Yes.
changes during the
course of the order, will
you provide a revised
quotation with this new
information?
6.2 Does your company Organization’s buyers No ASL/AVL. Distributor has an Distributor has an Distributor has an
maintain an approved should at all times have a ASL/AVL, but it ASL/AVL that includes ASL/AVL that
supplier list supplier reference list doesn’t include a a disapproved supplier includes a
(ASL/AVL)? available, both good and disapproved supplier list. disapproved supplier
Do you also maintain bad. list. list and a supplier
a disapproved rating.
supplier list?
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6.2.1 How do you assess Prior to being added as an +1 for submitting a form to be filled out which address most statement at left.
all potential new approved vendor the +1 for checking financial history of the supplier
suppliers for ability to potential supplier should be +1 for peer checking within internet/member organizations
avoid evaluated based on the
fraudulent/counterfeit following key criteria:
product? 1. Past sales history with
the organization
2. Trading history outside of
the organization (w/
others) able to provide
verifiable references
from known reputable
organizations
3. Length of time in
business
4. Financial fortitude
5. Verifiable business
license
6. Quality certifications,
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industry accolades
and/or memberships
7. Inspection processes
8. Warranty, return
processes, liability &
Insurance, etc.
6.2.2 What indicators do Distributors should use strict No procedures in Organization Organization Organization
you use to classify a procedures to assess their place. considers geographic considers geographic considers geographic
source as high risk? potential suppliers location. location and location,
(distributors). government/industry government/industry
reports. reports, and
investigative work
such as financial
reports, past history,
etc.
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6.2.3 What procedures do The distributor should have Never remove Remove, but no Procedures provide Procedures provide
you have for established criteria for suppliers. procedures. rating for suppliers rating for suppliers
removing removing suppliers, to based on past shipping based on past
questionable remove the human element performance (on time, shipping performance
suppliers from your as much as possible. correct part/quantity, (on time, correct
ASL/AVL? Fraudulent/counterfeit parts fraudulent/counterfeit). part/quantity,
should carry more weight When suppliers are fraudulent/counterfeit)
than (for example) wrong removed, they are , heavily weighted for
shipping quantity. clearly flagged in the fraudulent/counterfeit/
system to avoid being quality issues. When
added at a later date. suppliers are
removed, they are
clearly flagged in the
system to avoid being
added at a later date.
6.3 How do you ensure They should have a process The supplier The supplier has the Complete verification The distributor enters
customer special to ensure that special retains the special instructions or of customer customer
instructions or instructions and requirement by requirements requirements. requirements into
requirements are met requirements are met to memory. No documented. Partial their back-end order
(date codes, RoHS, ensure they will deliver what objective evidence objective evidence of processing system
vendor selection, you ordered. of compliance. compliance & that prints special
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etc.)? requirements. requirements into the

packing list/shipping
instructions.
Complete verification
of customer
requirements and
exceeds all contract
requirements present.
6.4 How do you This is particularly important The supplier The supplier has the Complete verification Complete verification
communicate special if a supplier is retains the special instructions or of customer of customer
instructions or purchasing/brokering parts requirements by requirements written requirements and flow- requirements and
requirements to your for your organization. memory and down for specific down. flow-down and
suppliers (date verbally sends the customers. Partial exceeds all contract
codes, RoHS, vendor requirements to objective evidence of requirements present.
selection, etc.)? their suppliers. No compliance &
objective evidence requirements flow-
of compliance. down.
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6.5 What is the estimated Risky suppliers may not Distributor Distributor purchases Distributor purchases Distributor purchases
percentage of provide terms for refund. By purchases over 20% to 50% of their 5% to 20% of their less than 5% of their
material bought supplying the material 50% of their material with these material with these material with these
payment in advance payment in advance or material with these terms. terms. terms and the
or certified check? certified check, the buying terms. organization has a
organization loses the ability documented process
to be reimbursed for the to ensure material is
goods if they are not
nonconforming. In these fraudulent/counterfeit
cases, the buyer may lose before payment.
money on the transaction.
Reputable distributors avoid
“prepaying” for product if
possible.
6.6 Please provide a The organization should Purchases Purchases primarily Purchases primarily Purchases primarily
copy of your make purchases with primarily from from suppliers that from suppliers that from suppliers
purchase order suppliers who agree to suppliers that offer offer up to 90 day offer up to 180 day offering over 180 day
warranty provisions. warranty product for long a 30-day warranty warranty. warranty. warranty.
periods of time. For or less.
example the organization
should purchase parts from
a supplier who agrees to
accept their warranty
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requirements over a
company who will not but
that may offer the parts at a
lower cost.
6.7 Do you require a Distributor should levy No Yes
written penalties on the suppliers in
acknowledgment order to discourage the sale
from your supplier of fraudulent/counterfeit
regarding liabilities parts.
and penalties
associated with
providing
product?
6.8 Will you provide a This is not ratable.
listing of suppliers However, all distributors
you have should maintain a listing of
disapproved due to companies that are
quality concerns? considered too risky to buy
product from.
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6.9 If you must buy from Distributors note that No additional steps Product undergoes Product undergoes Product undergoes
a high-risk source authentic product can be are taken to rigorous visual rigorous visual rigorous visual
(geographical region found in high-risk areas. authenticate inspection. inspection and test, and inspection and test.
or questionable Special precautions should product. the customer is notified. The customer is
history), what be taken to reduce the risk. . required to give written
additional steps do approval for shipment.
you take to minimize
the risk of obtaining
product?
7.0 Handling and Facilities
7.1 Are all Certification to ANSI/ESD No. Compliant to Certified to ANSI/ESD Certified to ANSI/ESD
handling/storage S20.20 ensures that ANSI/ESD S20.20 or S20.20 or equivalent S20.20 or equivalent
areas compliant or processes are in place to equivalent standard. standard, but not an standard ANAB (or
certified to ANSI/ESD minimize the risk of (not certified) ANAB (or ANAB- ANAB-equivalent
S20.20? State damaging product through equivalent international)
which, and provide a electrostatic discharge. This international) accredited agency.
copy of the applies to all handling, accredited agency.
certification. packaging, and storage
areas where parts may be
exposed to electrostatic
charging.
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7.2 Are your component Many components/parts are No controls; Room temperature. Temperature and Temperature and
inspection and sensitive to moisture. An air- ambient. Kept in same humidity controlled, but humidity controlled,
handling areas conditioned facility keeps the environment as without monitoring. with both parameters
temperature and risk of moisture offices. monitored.
humidity controlled? contamination low.
To what levels?
7.3 Is your component Many components/parts are No controls; Room temperature. Continuously
storage area sensitive to moisture. An air- ambient. Kept in same monitored. Storage
temperature conditioned facility keeps the environment as offices. room has its own air
controlled? To what risk of moisture conditioner controls.
levels? contamination low.
7.4 Is your component Many components/parts are No controls. Monitored and logged. Monitored and logged
storage area sensitive to moisture. A with procedures
humidity controlled? humidity controlled facility require work
To what levels? keeps the risk of ESD stoppage and
damage low. In addition, mitigation (e.g.,
monitoring of the facility ionizers) when
allows the distributor to take humidity level is out of
immediate measures if the tolerance.
area gets out of tolerance.
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7.5 How do you ensure Parts have many different None. Don’t have Only have an area Have an area
different product requirements - either given a system in place designated for Non- designated for Non-
(non-conforming, by the nature of the part or that keeps different Conforming Material. Conforming Material
RoHS, special customer requirements. A product separate. and special customer
customer better company will have a requirements.
requirements, etc.) is good labeling/control system Material shall also be
segregated? for this. labeled as such.
7.6 How do you Multiple shipments of similar Like product can be Each shipment and Each shipment and
segregate lots of or identical product should mixed. part number is part number is
similar product from not be mixed, as it may segregated (separate segregated (separate
different suppliers or result in loss of traceability. box) to ensure box) to ensure
shipments? shipments cannot be shipments cannot be
mixed. mixed. Stock
locations for product
are stored
electronically and
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easily located.
7.7 Do you use a Controlled-access is No The building has Major areas
controlled-access important for a company to controlled entry. (warehouse, sales,
system to limit facility ensure that they know who is inspection) have
access? entering and exiting their controlled access.
facility, especially the
testing/inspection area. This
prevents mishandling of
parts from untrained
personnel and reduces the
potential for theft and
product substitution.
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8.0 Training and Certification

8.1 Do you have a It is important to have a No objective Written procedures, Written procedures and Written procedures
documented documented inspection and evidence of but no objective objective evidence of and objective
inspection and test test process as opposed to a compliance. evidence of compliance, applied evidence of
process? verbal training. It will compliance. only to unauthorized compliance
ensure that inspectors have purchases. performed on all
a general understanding of purchases, including
what to look for. OEM excess.
8.2 Are all of your quality Product inspected by IDEA- None of the A percentage but not All inspectors are
inspectors certified to ICE-3000 personnel inspectors are all inspectors are IDEA-ICE-3000
IDEA-ICE-3000? If provides increased IDEA-ICE-3000 IDEA-ICE-3000 certified.
not, what confidence in the inspector’s certified. certified.
percentage? ability to detect visual
indicators of
fraudulent/counterfeit parts.
See IDEA-ICE-3000 for
program details.
8.3 How else do you Should verify if the company No formal training. Training is Inspectors take a Inspectors are
ensure proper has visual inspection accomplished “on the formal training program formally trained, and
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training for your standards compliant to job” by watching with example performance is
inspectors? IDEA-STD-1010 and that the experienced fraudulent/counterfeit monitored for
inspectors have some formal inspectors. parts and processes potential
level of training relative to documented. decertification or
their process. retraining. Process is
documented.
8.4 How are your Operators should be No formal training. Training is Personnel are trained Personnel are trained
personnel trained to adequately trained to accomplished “on the by a documented by a documented
use the test operate test/inspection job” by watching process. process which
equipment in your equipment such as XRF, experienced includes equipment
facility? solderability, and radiological inspectors. manufacturer training
examination (e.g., X-ray). and/or examples.
Personnel are
monitored for
potential
decertification or
training.
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8.5 How are your Purchasers should be No formal training. Training is Personnel are trained Inspectors are
purchasing personnel trained in how to use the accomplished “on the by a documented formally trained, and
trained to avoid distributor’s system to locate job” by watching process. performance is
purchasing from the lowest risk parts. In experienced monitored for
high-risk suppliers? addition, they should be inspectors. potential
aware of the decertification or
fraudulent/counterfeit part retraining. Process is
risk. documented.
8.6 Do you attend Distributors should No. One symposium per Two or more Two or more
periodic periodically attend year. symposiums or symposiums or
fraudulent/counterfeit workshops or symposiums in workshops per year. workshops, have
avoidance/detection order to stay current with presented findings or
symposiums or industry findings and recommendations at
workshops? Which recommendations. a workshop.
ones?
9.0 Inspection and Test
9.1 Do you require full The distributor should No CoC traceability Request a CoC with Request a CoC with Require a CoC with
CoC traceability to an request a certificate of requirements. traceability to the traceability to the OCM traceability to the
authorized source? conformance (CoC) with OCM if it is available if it is available and OCM with every order
chain of custody traceability and retain it with the retain it with the and retain it with the
to the original component receiving paperwork. receiving paperwork, receiving paperwork,
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manufacturer (OCM). This Applies only to available upon request. available upon
differs from a generic CoC, purchases from request.
which is only available from unauthorized sources.
an OCM or a franchised
distributor. Traceability
should include a) OCM
name/address, b) OCM
and/or customer part
number, c) batch
identification such as
date/lot codes,
serializations, etc., d)
authorized signature or
stamp from seller.
Paperwork should be
retained and made
available to the customer
upon request.
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9.1.1 What steps do you If the distributor cannot No additional Inspection and test is Customer is notified, Customer is notified.
take if this verify that material has steps. performed. Objective and inspection/test is Additional inspection
documentation is not traceability to the OCM, the evidence of testing performed only if and test is performed
available? supplier should notify the must be retained for required. Objective regardless of if
customer and perform each shipment and evidence of testing customer requires.
additional inspection and homogenous lot/date must be retained for Objective evidence of
testing. code. each shipment and testing must be
homogenous lot/date retained for each
code. shipment and
homogenous lot/date
code.
9.2 What steps (if any) do Not all independent Use supplier test Will retest if parts are Notify customer, will Retest to ensure
you take if the supplier distributors have the same results suspicious. retest at customer product passes
has already performed inspection criteria. Some request. internal inspection
authentication testing? may not perform accurate criteria.
or sufficient inspection and
test. Applies only to
purchases from
unauthorized sources.
9.3 Do you perform Parts with embedded Will erase product Will not erase Will erase product
additional “non- programs are likely and not report it. product. only at customer
standard” testing refurbished parts. Parts request.
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before shipment, such received that are already

as erasing memory programmed should be
devices, etc? reported to the customer.
9.4 How does the When traceability is not No impact; nothing Test if there is Notify customer and Test/inspect
presence/absence of available (or trusted), is done differently additional reason to test at their request. themselves to ensure
full traceability affect additional testing may be suspect the parts’ product passes
your inspection and necessary. Rating notes authenticity. internal inspection
test process? How assume OEM excess criteria.
does this differ, product is tested to the
authorized vs same extent as product
unauthorized from unauthorized sources.
distributor vs OEM Lack of equivalent testing
excess? is cause to lower the rating
by 1.
9.5 What documentation For questionable No additional Request photos of Request photos of
besides CoC do you purchases, the distributor requirements. parts or traceability parts plus traceability
require from your may request supporting documentation. information.
suppliers before you information such as photos,
purchase product? test data, etc.
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9.6 Does your visual IDEA-STD-1010 is the No. Yes.

inspection process current best standard for
fully comply with inspection of electronic
IDEA-STD-1010 as a components for
minimum? authenticity.
9.6.1 How often do you use Inspection to IDEA-STD- Don’t check Only per customer Per customer All mil/aero. Objective
the part inspection 1010 should ideally be requirements, not as requirements, and for evidence of testing
processes above to employed for all standard procedure. all low-rated supplier must be retained for
check parts? How independent distributor and Objective evidence of purchases. Objective each shipment and
does this differ, OEM excess bought testing must be evidence of testing homogenous lot/date
authorized vs components. Lack of retained for each must be retained for code.
unauthorized vs OEM inspection of both types is shipment and each shipment and
excess? cause to lower the rating homogenous lot/date homogenous lot/date
by 1. code. code.
9.6.2 Does the inspection Outer packaging and No. Outer packaging is Plus inspection for Plus photos are taken
comply to IDEA-STD- condition should be inspected only for tampering. with objective
1010 General Carton inspected and documented. damage. evidence of
Inspection (10.1.5.1)? Subtract 1 if not in compliance provided.
checklist.
9.6.3 Does the inspection Outer product cartons and No. Only inspected for Plus label accuracy Plus photos are taken
comply to IDEA-STD- boxes should be inspected packaging quality. and bar code with objective
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1010 Outer Product and documented. Subtract confirmation. evidence of

Carton Inspection 1 if not in checklist. compliance provided.
(10.1.5.2)?
9.6.4 Does the inspection Inner packaging should be No. Only checked for Plus label accuracy Plus ESD/MSL
comply to IDEA-STD- inspected and checked for damage and sealing and bar code packaging is
1010 Inner Contents correlation to outer package integrity. confirmation. confirmed to be
Inspection (10.1.5.3)? information. Subtract 1 if appropriate.
not in checklist.
9.6.5 Does the inspection Individual component No. Only for damage and Plus search for empty Plus comparison with
comply to IDEA-STD- packaging (for placement) quantity confirmation. slots or misoriented OCM spec’d
1010 Inspection of should be inspected for parts. packaging methods
Carrier (10.1.5.4)? signs of tampering, or for the part number.
damage. Subtract 1 if not
in checklist.
9.6.6 Does the inspection Individual parts and labels No. Only part number and Plus comparison of Plus lots consistency,
comply to IDEA-STD- should be verified and quantity are OCM logos and labels. compare to OCM
1010 Initial Inspection documented. Subtract 1 if confirmed. website data.
(10.2.1)? not in checklist.
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9.6.7 Does the inspection Individual parts (100% or No. Only check for Plus all Plus photos are taken
comply to IDEA-STD- sample) should be closely evidence of damage fraudulent/counterfeit with ojective evidence
1010 Detailed Visual examined for indications of or rework. part indicators in IDEA- of compliance
Inspection (10.3.1)? tampering, recoating, STD-1010. provided.
remarking, or refurbishing.
9.6.8 Does the inspection Some basic solvents should No. Only mineral spirits Plus acetone swab. Plus photos are taken
comply to IDEA-STD- be used to detect part and alcohol is used. with objective
1010 Detailed remarking, especially for evidence of
Solvents Inspection plastic devices. compliance provided.
(10.3.2)?
9.6.9 Does the inspection Parts should be measured No. Parts are compared Parts are checked to
comply to IDEA-STD- dimensionally to ensure for inconsistent all pertinent
1010 Detailed they are correct and dimensions. dimensional specs.
Mechanical Inspection consistent.
(10.3.3)?
9.7 Are there any visual Distributors may develop Allow 1 point (up to 3 maximum) for each additional valid visual inspection technique that is not
inspection techniques their own techniques (or covered in IDEA-STD-1010.
you use that go share them) to detect
beyond IDEA-STD- fraudulent/counterfeit parts.
1010? Please go into
detail.
9.7.1 How often do you use All independent distributor Don’t check For all low-rated All mil/aero.
these processes to and OEM excess product supplier purchases.
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check parts? How should undergo robust

does this differ, inspection. Lack of
authorized vs inspection of both types is
unauthorized vs OEM cause to lower the rating
excess? by 1.
9.8 Do you maintain a A checklist provides No. Checklist is Checklist is maintained Checklist is
checklist to document documented evidence of maintained with minor with medium detail maintained to
the inspection and the inspection and test detail (e.g., (e.g., packaging, part significant detail
testing performed? performed, reducing the packaging, part remark, damage, (point-by-point
Does it fully comply to opportunity for tests to be inspection, and test). replating, and test) with pass/fail indication),
IDEA-STD-1010 skipped. If the checklist is pass/fail indications. and a report is
(sections)? not available upon request generated with the
with inspector’s name supplier’s written
noted, subtract 1 from the assessment of part
rating. authenticity.
9.9 Do you have visual 40x is the minimum No Yes Yes with good
inspection capabilities recommended peripheral lighting
which include magnification for proper
magnification of at visual inspection of suspect
least 40x? product.
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9.9.1 What is the maximum Only 40x is required, but 40x 100x to 199x 200x to 399x 400x or greater
in-house magnification additional magnification
you have access to for may help determine
part inspection? suspect parts are bad.
9.10 Do you have Marking This test is the standard No Yes Yes; it’s a
Permanency Test test to ensure ink marking is documented process.
(mineral spirits and resistant to solvents.
alcohol) capability in-
house? How is this
documented
(provide)?
9.10.1 How often do you use This simple standard test Don’t check Only at customer Per customer All mil/aero.
the mineral spirits and should be used for all requirement. requirements, and if
alcohol test to check independent distributor and prior inspection is
parts? How does this OEM excess purchases. cause for concern.
differ, authorized vs Lack of equivalent testing is
unauthorized cause to lower the rating
distributor purchases by 1.
vs OEM excess?
9.11 Do you have other in- Many fraudulent/counterfeit Don’t check The supplier conducts Acetone is used,
house chemicals you parts will pass mineral a pure acetone test on along with more
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use to check for spirits and alcohol. Newer the parts to detect aggressive chemicals
marking or surface chemicals, such as acetone blacktopping. Process such as Dynasolve or
finishes? What are or Dynasolve 750, may is documented. 1M2P. Process is
they? detect this product. Don’t documented.
confuse this answer with
the prior two questions.
Marking permanency tests
are different than
blacktopping tests.
9.11.1 How often do you use This is a follow up question Never. Only at customer Per customer All mil/aero.
these other chemicals to the previous question. requirement. requirements, and if
to check parts? How This applies to independent prior inspection is
does this differ, distributor and OEM excess cause for concern.
authorized vs product.
unauthorized
distributor vs OEM
excess?
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9.12 What other There are several The supplier +1 for each legitimate additional solvent used (up to 3), such as:
physical/chemical aggressive solvents doesn’t use any 1M2P
authenticity tests do solutions that are being blacktopping tests Uresolve
you perform in-house? used to remove beyond pure DynaSolve 750 or 711
Please go into detail. blacktopping compounds. acetone Scraping
Pure acetone alone is no-
longer enough to remove
blacktopping from parts.
9.12.1 How often do you use This is a follow up question Never. Only at customer Per customer All mil/aero.
these other tests to to the previous question. requirement. requirements, and if
check parts? How This applies to independent prior inspection is
does this differ, distributor and OEM excess cause for concern.
authorized vs product.
unauthorized
distributor vs OEM
excess?
9.13 Do you reference the Manufacturer’s data sheets Never. The data sheet will be The data sheet is used The data sheet is
original component can be used to provide referred to only if the on all shipments to used on all shipments
manufacturer’s data additional confidence of the parts are suspect. confirm dimensional to confirm
sheet during your component. values are within spec. dimensions, die
visual inspection photos (if avail), and
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process? What do basic pin

you look for on the designations.
data sheet for
comparison?
9.13.1 How often do you The manufacturer’s data No. Doesn’t refer Check on all Check on all orders.
refer to the sheet has the dimensions of to the independent distributor Both independent and
manufacturer’s data the “golden part”. manufacturer’s orders. authorized distributor
sheet, and how does Therefore using it to verify data sheet. purchases.
this differ, authorized parts can be very effective
vs unauthorized in catching
distributor vs OEM fraudulent/counterfeit/non-
excess? conforming material. This
should be performed on all
independent distributor and
OEM excess product. Lack
of equivalent testing is
cause to lower the rating
by 1.
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9.14 Do you use a caliper Fraudulent/counterfeit and No. Only suspect parts are All mil/aero.
or micrometer to substandard product can be measured. Caliper or
measure component revealed from the finding of micrometer should All features of the
physical dimensions? out-of-spec conditions. have an updated sample lots are
This applies to independent calibration sticker. measured and are
distributor and OEM excess accepted or rejected.
product. Caliper or micrometer
should have an
updated calibration
sticker.
9.15 Which of the following Barcode scanner is a rather None. +1 for each item (Barcode Scanner, Vacuum Pen, Vacuum Sealer)
items do you use at simple check, but can often
your facility? be a first indicator and
Barcode Scanner detect if the barcode is real
Vacuum Pen or not.
Vacuum Sealer
9.16 Do you maintain a Comparative photos against Do not maintain a Maintain a library of Maintain a library of Maintain a library of
photo library/database a known good part provide photo library. only questionable photos only for parts photos for all
which includes a valuable defense against parts, or only external bought from shipments received,
packaging, part receiving a part photos. independent including external
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photos, and die fraudulent/counterfeit part. distributors, or only part, packaging, and
photos, of all parts Information can be used to external part photos. die photos.
you procure, stock identify abnormalities of
and subsequently part markings. The library
ship? Does it include can also be used to verify
parts bought from material coming back on
authorized returns.
distributors?
9.16.1 Is this library easily Linking the photo library to No. Poorly Photos are labeled Labeled with PO and Easily found under
linked to the purchase the purchase order and/or organized and with either part # or part # but PO and part #. Well
order? invoice allows the supplier labeled. Does not PO/invoice. Not both. messy/incorrect look organized and
to identify known good reference PO and up (not well organized, labeled. (distinguishes
sources for comparison. It invoice numbers in mismarked pictures OCM and franchised
also provides a means to photo database. etc) as known good parts
verify material returned for comparative
from customers was purposes)
actually the material
originally sent.
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9.16.2 How do you use this A good process will use the No. The supplier The supplier uses the The supplier uses the All parts.
library to verify photo library in the doesn’t use the die photo library to photo library to
authenticity of inspection process to photo library in the compare against compare against The supplier uses the
product? compare against current inspection process. suspect shipments. shipments from all photo library to
shipments. This applies at independent compare against all
a minimum to independent distributors. shipments (ID, AD).
distributor and OEM excess
product.
9.17 Do you maintain a Documentation should be All data is stored All data is stored on All data is electronically All data is
library/database which stored in a manner that is on paper and is not paper in a central stored in one electronically stored in
includes all associated easily referenced and used easily located. location and is easily database, and is linked one database, and is
documentation (e.g., to confirm authenticity or located. to both purchase order linked to both
C of C and source of document inspection and and part number. purchase order and
supply, test results), of test. Authorized distributor part number.
all parts you procure, purchases are not Authorized distributor
stock and included. purchases are
subsequently ship. included.
Does it include parts
bought from
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authorized
distributors?
9.17.1 Is this library easily Linking to the die photo No. Poorly Die photos are Labeled with PO and Easily found under
linked to the purchase library to the purchase organized and labeled with either part # but PO and part #. Well
order? order and/or invoice allows confusing labels. part number or messy/incorrect look organized and
the supplier to identify Or library does not PO/invoice. Not both. up (meaning not well labeled.
known good sources for exist. organized, mismarked
comparison. pictures, etc)
9.17.2 How do you use this A good process archives Die markings are Die markings are Die markings are Even franchised parts
library to verify die markings (good and not reviewed. reviewed whenever reviewed against are decapped for die
authenticity of suspect) and refers to these parts are suspect due previous lots for all information. Die
product? when assessing inspecting to other concerns. mil/aero purchases. markings are
new product. reviewed against
previous lots for all
mil/aero.
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9.18 Are there any other This is not ratable. Any

inspections you additional useful testing
perform which exceed should be documented and
those described considered for future
above? Please go inclusion in this document.
into detail. How often,
and how does this
differ, authorized vs
unauthorized
distributor purchases?
9.19 What standard Distributors who assess Nothing is Customer can be Inspection checklist. Inspection checklist
information do you product should provide provided to the provided with an Customer can be with the results of the
generate, store, and detailed documented customer. No indication that the provided with a report visual inspection,
make available to your information of the depth of records/informatio parts pass or fail. showing a listing of the component/die photos
customer (upon the assessment and the n is kept. visual inspection steps and test results all
request) for each findings. performed, and the available upon
outgoing shipment results of each step. request. Information
(inspection report, test is maintained and on
report, photos, etc)? file for a minimum of
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five years as specified

in contract.
10.0 Non-Conforming Material Control
10.1 Do you have a A documented process No Yes
documented shall include processes that
fraudulent/counterfeit address parts availability,
parts control plan? purchasing, supply chain
traceability, procurement
contract requirements,
product assurance, material
control, and reporting.
Refer to AS5553 and/or
AS6081 for further
information.
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10.2 What is your process Electronic parts that have No process. Parts are returned for Further investigation is Further investigation
for disposition of been found to be refund if they can’t be performed, but if no is performed,
suspect counterfeit nonconforming or otherwise proven conclusion can be including decap.
product? unsuitable for use shall be fraudulent/counterfeit. reached, parts are Parts are returned
physically identified (e.g., Little analysis is returned. only if they are
tag, label, mark), performed. deemed likely
segregated from authentic.
conforming material.
Suspect counterfeit parts
should not be handled as
scrap material.
10.3 How often do you Manufacturer support No Only contact OCM on Will usually contact the Always try to obtain
contact the (OEM) is very helpful when very special cases. OCM for assistance. help from the OCM.
component trying to determine if parts The process is
manufacturer for are authentic or not. Not all documented.
assistance, and how of the OCMs are
good is their support? cooperative with ID’s.
Rating is based only upon
effort to obtain OCM
support, not the level of
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OCM support provided.

10.4 How often do you Distributors typically use the Yes, always return Usually return suspect Quarantine/scrap No, never return any
return suspect word “suspect” to avoid any suspect counterfeit counterfeit to seller. suspect counterfeit. suspect counterfeit.
counterfeit product for legal ramifications. to seller. It’s either further
refund? Distributors also often don’t investigated or
take the initiative to get quarantined. And
suspect parts confirmed as notify reporting
counterfeit because of the agencies.
cost of additional testing. A
distributor with good anti-
counterfeiting policies and
procedures should remove
and quarantine suspect
parts from the supply chain
and report their findings to
the appropriate reporting
agencies.
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10.5 What is your process Distributors often seek to No process, or Product is quarantined Product is
for disposition of avoid legal issues due to product is returned or scrapped. quarantined or
confirmed counterfeit retaining product and not to the seller. scrapped, and
product? Is this paying. However, retaining investigative agencies
documented? product is critical to keeping are notified.
product from being resold.
10.6 How often do you A distributor that retains Yes, always return Usually return Sometimes return No, never return
return confirmed parts and notifies reporting confirmed confirmed counterfeit confirmed counterfeit confirmed counterfeit
counterfeit product for agencies keeps material counterfeit. to seller. to seller. to seller.
refund? from getting back into the Automatically passed
market. to
investigative/reporting
agencies (ERAI,
GIDEP, etc)
11.0 Additional Test and Inspection (In-House or Third-Party)
11.1 Do you have X-ray X-ray fluorescence testing No Uncalibrated XRF Calibrated XRF
Fluorescence (XRF) verifies the presence (or equipment is used, or equipment is used,
capability? absence) of certain procedures are poorly with good procedures
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elements. (ex: the presence defined. and trained personnel.

or absence of lead or other
constituent elements)
11.1.1 How often do you Subtract 1 if testing Only per customer Per customer For all
use XRF to check performed does not include requirements, not as requirements and for military/aerospace
parts? OEM excess product. No standard procedure. all low-rated suppliers products.
penalty if testing is not or questionable parts.
performed for purchases
from authorized sources.
11.1.2 Is this in-house or The use of an in-house
third-party? capability may affect the
frequency with which the
testing is employed.
However, 3rd party testing
will not hurt a ID’s rating.
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11.2 Do you have Radiological examination is No Basic radiological Real-time radiological

radiology a non-destructive method of examination can be examination can be
examination (e.g., X- verifying product performed, or performed, good
ray) capability? authenticity. Radiological procedures are poorly procedures and
examination analysis should defined. trained personnel.
be performed on parts to
verify that the internal
package or die construction
is consistent with a known
authentic part. Analysis
should compare die size,
shape, leadframe
construction, wire bond
gauge and routing.
11.2.1 Are the personnel There are several standards The organization The organization has
trained and certified for non-destructive test does not have the the appropriate
to a national certification and qualification. appropriate training and
standard such as Personnel that perform this training and certification.
NAS410/EN473, ISO testing should have the certification.
9712, EN 4179, etc.? appropriate qualification and
certification.
use radiological performed does not include requirements, not as requirements and for military/aerospace
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examination to check OEM excess product. No standard procedure. all low-rated suppliers products.
parts? penalty if testing is not or questionable parts.
will not hurt an ID’s rating.
11.3 Do you have No Hand dip solderability Automated process
Solderability test testing or poorly with good procedures
capability? defined procedures. and trained personnel.
use solderability test performed does not include requirements, not as requirements and for military/aerospace
to check parts? OEM excess product. No standard procedure. all low-rated suppliers products.
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11.4 Do you have A sample from each No Can detect presence Check die markings. Check die size,
Decapsulation/Die homogeneous lot should be and size of die only. markings, and store in
Analysis capability? decapsulated and examined library for easy future
to verify that the internal comparison.
package or die construction Procedure is
is consistent with a known documented and
authentic part. organization has
trained personnel
use decap/die performed does not include requirements, not as requirements and for military/aerospace
analysis to check OEM excess product. No standard procedure. all low-rated suppliers products.
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11.5 Do you have Scanning Acoustic No Check for internal Check for internal
Scanning Acoustic Microscopy (SAM) should be delamination. delamination, and for
Microscopy performed on a sample from false coatings under
capability? each homogeneous lot. blacktop. Procedure
is documented and
SAM is commonly used for organization has
detecting: trained personnel
1) Resurfacing or remarking
2) Evidence of
delamination, lead
stress, and
contamination
3) Die-voiding
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use the SAM to performed does not include requirements, not as requirements and for military/aerospace
check parts? OEM excess product. No standard procedure. all low-rated suppliers products.
11.6 Do you have Fine For parts that are intended to No Yes
and Gross Leak test be hermetic (such as metal
capability? cans & ceramic packaged
parts).
use leak testing to performed does not include requirements, not as requirements and for military/aerospace
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11.7 Do you have No Yes. Procedure is
Destructive Physical documented and
Analysis (DPA) test organization has
capability? trained personnel
use DPA testing to performed does not include requirements, not as requirements and for military/aerospace
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11.8 Do you have Basic No Continuity is checked Continuity is checked,
Electrical Test (BET) between like pins along with expected
(continuity, curve (power and ground) leakage at selected
trace) capability? input/output pins.
Procedure is
documented and
organization has
trained personnel
11.8.1 How often do you Subtract 1 if testing Only per customer Per customer req’mts For all
use BET to check performed does not include requirements, not as & for all low-rated military/aerospace
parts? OEM excess product. No standard procedure. suppliers or products.
penalty if testing is not questionable parts.
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11.9 Do you have Full No Test at 25C only Test at 25C along with
Electrical Test (FET) max hot/cold
capability? temperatures or
according to
specification/drawing.
Procedure is
documented and
organization has
trained personnel
use FET to check performed does not include requirements, not as requirements and for military/aerospace
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11.10 Do you have Burn-In Steps in performing a burn-in No Yes. Procedure is
Test capability? test are: documented and
1) Pre Burn-in electrical organization has
performance testing trained personnel
(results compared to
applicable performance
data sheet)
2) Burn-in – parts should
undergo a powered
burn-in at the part’s max
rated temperature.
3) Post burn-in electrical
performance testing
(results compared to
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applicable performance
data sheet)
use burn-in to check performed does not include requirements, not as requirements and for military/aerospace
11.11 What additional test +1 for each valid additional test, not to exceed +3.
capability do you
have? Please go
into detail.
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use this test performed does not include requirements, not as requirements and for military/aerospace
capability to check OEM excess product. No standard procedure. all low-rated suppliers products.
11.12 Do you use third-
party test facilities?
11.12.1 How do you assess No assessment is Facility is confirmed to Facility is confirmed to Facility is confirmed to
your third-party test performed. be certified to be certified to a lab- have been audited by
facilities for suitability ISO9001. specific standard such a reputable third party
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to perform as ISO17025. such as Nadcap, or

authenticity testing? the company performs
Please go into detail. and in-person audit of
their own.
11.12.2 How do you assess No assessment is Facility is certified to Facility is certified to a Facility is audited by a
your in-house test performed. ISO9001. lab-specific standard reputable third party
facilities for suitability such as ISO17025. such as Nadcap.
to perform
authenticity testing?
Please go into detail.
11.12.3 Which third-party test
facilities do you use?
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APPENDIX D – ACRONYMS
1M2P 1-Methoxy-2-Propanol
ACR At Customer Request

AD Authorized Distributor
ANAB ANSI-ASQ National Accreditation Board
ASL Approved Supplier List
AVL Approved Vendor List
BET Basic Electrical Test
CAGE Commercial And Government Entity

CoC Certificate of Conformance
CoCT Certificate of Conformance/Traceability
DoJ Department of Justice

DPA Destructive Physical Analysis
E&O Errors and Omissions

ESD Electrostatic Discharge
FBI Federal Bureau of Investigation

FET Full Electrical Test
GIDEP Government-Industry Data Exchange Program
ICE Immigrations and Customs Enforcement

ID Independent Distributor
IDEA Independent Distrbutors of Electronics Association
IP Intellectual Property
NATO North Atlantic Treaty Organization

NCAGE NATO Commercial and Governmental Entity
NCM Non-Conforming Material
OCM Original Component Manufacturer

OEM Original Equipment Manufacturer
PO Purchase Order
POC Point of Contact
QMS Quality Management System

QML Qualified Manufacturers Listing
QSL Qualified Suppliers Listing
RoHS Restriction of Hazardous Substances
SAE Society of Automotive Engineers

SAM Scanning Acoustic Microscopy
XRF X-Ray Fluorescence

Aerospace Recommended Practice: Fraudulent/Counterfeit Electronic Parts Tool For Risk Assessment of Distributors

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Aerospace Recommended Practice: Fraudulent/Counterfeit Electronic Parts Tool For Risk Assessment of Distributors

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AEROSPACE ARP6178

Fraudulent/Counterfeit Electronic Parts; Tool for Risk Assessment of Distributors

1. SCOPE .......................................................................................................................................................... 3

1.1 Purpose ......................................................................................................................................................... 3

2.1 Applicable Documents .................................................................................................................................. 3

3. TERMS AND DEFINITIONS ......................................................................................................................... 4

3.1 Suspect Part.................................................................................................................................................. 4

4. PROCEDURE ............................................................................................................................................... 8

4.1 Supplier Assessment .................................................................................................................................... 8

APPENDIX A EXAMPLES OF SUSPECT, FRAUDULENT, AND COUNTERFEIT PARTS ............................................. 10

a. easily customizable significance assignments,

b. ratings guidance to make the score consistent between assessors,

c. preliminary form for an initial evaluation prior to an on-site assessment.

2.1 Applicable Documents

2.1.1 SAE Publications

AS5553 Fraudulent/Counterfeit Electronic Parts; Avoidance, Detection, Mitigation, and Disposition

AS9100 Quality Management Systems – Aerospace -- RequirementsAS9120Quality Management Systems –

2.1.2 ANSI Publications

2.1.3 Commercial Publications

IDEA-STD-1010 Acceptability of Electronic Components Distributed in the Open Market

IDEA-ICE-3000 IDEA Professional Inspector Certification Examination

CCAP-101 Counterfeit Components Avoidance Program

2.1.4 International Standards Organization Publications

EN 473 Non-Destructive Testing – Qualification and Certification of NDT Personnel

ISO 9000 Quality Management Systems – Fundamentals and Vocabulary

ISO 9001 Quality Management Systems – Requirements

ISO 9712 Non-Destructive Testing – Qualification and Certification of Personnel

NAS 410 NAS Certification and Qualification of Nondestructive Test Personnel

3. TERMS AND DEFINITIONS

3.1 Suspect Part

3.2 Fraudulent Part

3.3 Counterfeit Part

Examples of Suspect, Fraudulent and Counterfeit Parts are provided in Appendix A.

3.4 Related Definitions

1. transferred from the OCM to the Aftermarket Manufacturer, or

AUTHORIZED (FRANCHISED) DISTRIBUTOR: Distributor when they perform Authorized Distribution.

CERTIFICATE OF CONFORMANCE AND SUPPLY CHAIN TRACEABILITY (CoCT): A Certificate of Conformance

a. preclude installation of inauthentic parts or parts having patent or latent defects

b. aid in disposition of parts that exhibit anomalies

c. aid in defining improvements or changes in design, materials, or processes

d. evaluate Supplier production trends

HOMOGENEOUS LOT: A group of parts that:

a. Are received in a single shipment (whether in single or multiple packages)

c. Are identical in appearance to the unaided eye (parts and packaging),

2. OCMs may contract out manufacturing and/or distribution of their product.

4.1 Supplier Assessment

4.1.1 Pre-Visit Assessment Survey

4.1.2 Site Assessment Survey

4.2 Supplier Selection

4.3 Periodicity of Assessments

PREPARED BY SAE SUBCOMMITTEE G-19DR, DISTRIBUTOR RISK CHARACTERIZATION

APPENDIX A - EXAMPLES OF SUSPECT, FRAUDULENT, AND COUNTERFEIT PARTS

Fraudulent Item (all items below are misrepresented) Counterfeit?

APPENDIX B – SUPPLIER ASSESSMENT FORMS

B.1 PRE-VISIT ASSESSMENT FORM

B.2 SITE ASSESSMENT FORM

B.2.1 ASSESSMENT SCORES

0 – No compliance or not addressed.

1 – Partial compliance or partially addressed. Far short of optimal response.

3 – Fully compliant to the expectations of the question.

B.2.3 SCALE FACTORS

1 – Question is minimally significant with respect to the supplier’s anti-counterfeit capabilities.

3 – Question is significant to the supplier’s anti-counterfeit capabilities.