1. AS5553 – A New Standard in the
Fight Against Counterfeit
Electronics Parts
1 October 2009
Dan DiMase

2. Agenda
• Introduction to the AS5553
• A Solution for Counterfeit EEE Part Mitigation
• Implementing AS5553
• Organizations Adopting the Standard
• Next Steps & Recommendations
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3. Solutions – AS5553
•Government
•Industry – Aerospace, military, & commercial representation
Members •Industry Associations
•Formed September 2007
G-19 •Convened weekly on “fast-track” course
Committee
•Address aspects of preventing, detecting, responding to and counteracting the threat of counterfeit
electronic components (EEE parts)
Charter
•Develop Standard(s) suitable for use in aeronautic, space, defense, civil and commercial electronic
equipment applications to mitigate the risks of counterfeit electronic components
Objective
Incorporates Succinct Requirements and Guidance:
•Counterfeit Electronic Parts Control Plan
•Component Management
Aerospace •Procurement
Standard •Test/Evaluation Methods
AS5553 •Response strategies when suspect or confirmed
counterfeit components are detected.
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4. SAE International AS5553
Counterfeit Electronic Parts;
Avoidance, Detection, Mitigation, and Disposition
…increasing volume of
counterfeit electronic parts …
posing significant performance,
reliability, and safety risks.
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5. G-19 Members
Representation from Gov’t, Aerospace, Military, & Commercial
US Government Members … Industry Members …
• DSCC • Arrow Zeus Electronics
• GIDEP • BAE Systems
• MDA • Boeing
• NASA • General Dynamics
• US AF / NRO (Aerospace Corp.) • Jabil Circuits
• US Army - AMRDEC • Lockheed Martin
• US Navy - NAVAIR • Maxim Integrated Products
• US Navy - NSWC • Northrop Grumman
• US Navy - NCIS • Orbital Sciences
• US Customs and Border Protection • QP Semiconductor
• Raytheon
Participating Industry Associations …
• Aerospace Industries Association (AIA)
• Best Manufacturing Practices Center of Excellence (BMPCOE)
• ERAI, Inc.
• Government Electronics & Information Technology Association (GEIA)
• Independent Distributors of Electronics Association (IDEA)
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6. SAE International AS5553
Document Contents
•Scope, Purpose, and Application
•Applicable Documents
•Terms and Definitions
•Requirements
•Counterfeit Electronics Parts Control Plan
• Parts Availability
• Purchasing Process
• Verification of Purchased Product
• In Process Investigation
• Material Control
• Reporting
•Appendixes with Detailed Guidance
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7. SAE AS5553 Requirements
Counterfeit
Parts Control
Plan
Parts
Availability
Verification
Purchasing of Purchased
Product
Purchasing
Reporting
Information
In Process Material Appendixes
Investigation Control for Guidance
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8. SAE AS5553 Implementation
Counterfeit Parts Control Plan:
… The organization shall develop and
implement a counterfeit electronic
parts control plan that documents its
processes used for risk mitigation,
disposition, and reporting of counterfeit
parts…
Counterfeit Parts
Control Plan
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9. SAE AS5553 Implementation
Counterfeit Parts Control Plan:
Parts Availability
Parts Availability maximize
… The process shall
availability of authentic, originally
designed … parts throughout the
product’s life cycle, including
management of part obsolescence…
Requirements
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10. SAE AS5553 Implementation
Counterfeit Parts Control Plan:
Purchasing Process
• Determine risk of receiving counterfeit part…
• Actions may include surveys, audits, review…
Source of • Specify a preference to procure directly from OCMs…
Supply
• Maintain a register of approved suppliers
• Guidance on source selection and approval process
Approved • Assure sources of supply are maintaining processes for counterfeit risk mitigation
Suppliers
Purchasing
• Mitigate the risks of procuring counterfeit parts from sources other than OCMs…
• Specify supply chain traceability to the OCM…
Risk • Specify flow down of applicable requirements to contractors and sub-contractors…
Mitigation
Requirements
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11. SAE AS5553 Implementation
Counterfeit Parts Control Plan:
Purchasing Information & Verification
…This documented process
Purchasing specify contract/purchase
shall
Information quality requirements …
order
…The documented process shall
assure detection of counterfeit parts
Verification
of
prior to formal product acceptance…
Purchased Product
Requirements
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12. SAE AS5553 Implementation
Counterfeit Parts Control Plan:
In Process Investigation
Reporting
Shall address the detection, verification, and control of … counterfeit parts.
Material Control
Shall control … nonconforming parts
Material counterfeit parts to
Shall control
Infrom entering supply chain
Process Control their use …
preclude
Investigation
Reporting
Shall assure that all occurrences of counterfeit parts are reported…
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Requirements
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13. SAE AS5553 Implementation
Example Procurement Clause
…The seller shall establish
and implement test and
inspection activities necessary
to assure the authenticity …
Appendixes for
Guidance
Solutions
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14. SAE AS5553 Guidance
Risk Charts
Highest Risk
Supplier In Business Life
1X Visual
with Small % < 1 Year Dependent
Inspection
GIDEP/ERAI _ & Unknown _
_
Alerts _ Financials _
_
_ _
_
Source of Test / Inspect
_ Level of Test Supplier Product &
_
Supply Population
_ & Inspection Assessment Application
_
_
_ _ _ _
_
_ Supplier _
100% Audited &
Life Test
OCM Approved Non-Critical
Lowest Risk
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15. Counterfeit Parts Control Plan
Organizations Adopting Policies:
• NASA Policy Directive
• DOD Policy Memorandum
• DOD adopts AS5553 August 2009
• Other companies with plans:
• BAE Systems
• Orbital Sciences Corp.
Our Customers and Subcontractors are Invoking Requirements
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16. Additional Considerations for Implementation
• Departments impacted include:
- Parts Engineering
- Quality Assurance
- Electronics Manufacturing
- Receiving Inspection
- In-Process Inspection
- Procurement
- Legal & Contracting Organization
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17. Next Steps – Recommendations
• Training and Awareness of Counterfeit Issue
• Formation of a counterfeit parts working group
• Cross function team of impacted departments
• Changes to internal policies and procedures
• Creation of a Counterfeit Parts Control Plan
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18. Summary
• Understand the Scope & Benefits of SAE AS5553
• Understand the Requirements of AS5553
• Adoption by Government and Industry
• Recommended Next Steps for Implementation
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19. Thank you for your time!
Questions?
Dan DiMase
Counterfeit Parts Control Specialist
Daniel.DiMase@honeywell.com
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