IECQ OPERATIONAL DOCUMENT

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1 IECQ OD Editin IECQ OPERATIONAL DOCUMENT IEC Quality Assessment System fr Electrnic Cmpnents (IECQ System) IECQ Subcntractr ECMP Prgramme Assessment, Evidence f Cmpliance Summary and Assessment Reprting Frm, related t Assembly Subcntactr Quality and Prcess Management IECQ OD : (en)

2 THIS PUBLICATION IS COPYRIGHT PROTECTED Cpyright 2017 IEC, Geneva, Switzerland All rights reserved. Unless therwise specified, n part f this publicatin may be reprduced r utilized in any frm r by any means, electrnic r mechanical, including phtcpying and micrfilm, withut permissin in writing frm either IEC r IEC's member Natinal Cmmittee in the cuntry f the requester. If yu have any questins abut IEC cpyright r have an enquiry abut btaining additinal rights t this publicatin, please cntact the address belw r yur lcal IEC member Natinal Cmmittee fr further infrmatin. IEC Central Office Tel.: , rue de Varembé Fax: CH-1211 Geneva 20 inf@iec.ch Switzerland Abut the IEC The Internatinal Electrtechnical Cmmissin (IEC) is the leading glbal rganizatin that prepares and publishes Internatinal Standards fr all electrical, electrnic and related technlgies. Abut IEC publicatins The technical cntent f IEC publicatins is kept under cnstant review by the IEC. Please make sure that yu have the latest editin, a crrigenda r an amendment might have been published. IEC Catalgue - webstre.iec.ch/catalgue The stand-alne applicatin fr cnsulting the entire bibligraphical infrmatin n IEC Internatinal Standards, Technical Specificatins, Technical Reprts and ther dcuments. Available fr PC, Mac OS, Andrid Tablets and ipad. IEC publicatins search - The advanced search enables t find IEC publicatins by a variety f criteria (reference number, text, technical cmmittee, ). It als gives infrmatin n prjects, replaced and withdrawn publicatins. IEC Just Published - webstre.iec.ch/justpublished Stay up t date n all new IEC publicatins. Just Published details all new publicatins released. Available nline and als nce a mnth by . Electrpedia - The wrld's leading nline dictinary f electrnic and electrical terms cntaining terms and definitins in English and French, with equivalent terms in 16 additinal languages. Als knwn as the Internatinal Electrtechnical Vcabulary (IEV) nline. IEC Glssary - std.iec.ch/glssary electrtechnical terminlgy entries in English and French extracted frm the Terms and Definitins clause f IEC publicatins issued since Sme entries have been cllected frm earlier publicatins f IEC TC 37, 77, 86 and CISPR. IEC Custmer Service Centre - webstre.iec.ch/csc If yu wish t give us yur feedback n this publicatin r need further assistance, please cntact the Custmer Service Centre: csc@iec.ch.

3 IECQ OD Editin IECQ OPERATIONAL DOCUMENT IEC Quality Assessment System fr Electrnic Cmpnents (IECQ System) IECQ Subcntractr ECMP Prgramme Assessment, Evidence f Cmpliance Summary and Assessment Reprting Frm, related t Assembly Subcntactr Quality and Prcess Management INTERNATIONAL ELECTROTECHNICAL COMMISSION

4 2 IECQ OD IEC:2017(E) CONTENTS CONTENTS... 2 INTRODUCTION Technical requirements (Objectives) Principals Definitins Subcntractr assembly facilities Subcntractr ACRONYMS Instructins fr use Minimum subcntractr pre-requisites:... 5 The Subcntractr shall have: This audit requires: Subcntractr data fr the OEM OEM apprval f the PCB assembly subcntractr Agreement f rles and respnsibilities OEM data fr the PCB assembly subcntractr The IECQ audit... 6 Annex A Referenced external standards Figure 1 Overview f Subcntractr ECMP audit. 8 Figure 2 Subcntractr ECMP audit suggested uses in the supply chain.. 9 Table 1 Typical IEC TS OEM and Subcntractr rles and respnsibilities fr guidance.. 10 Table 2 Blank template fr IEC TS OEM and Subcntractr rles and respnsibilities 16 Table 3 Minimum OEM requirements. 19 Table 4 Verificatin f OEM supplied data t the Subcntractr Table 5 Verificatin f Subcntractr data requirements sent t the OEM Table 6 Verificatin f sample PO rles and respnsibilities cmpliance. 22 Table A.1- Internatinal standards.. 27

5 INTERNATIONAL ELECTROTECHNICAL COMMISSION IECQ Operatinal Dcument IECQ Subcntractr ECMP Prgramme Assessment, Evidence f Cmpliance Summary and Assessment Reprting Frm, related t Assembly Subcntactr Quality and Prcess Management INTRODUCTION This peratinal dcument defines an IECQ PCB assembly Subcntractr ECMP Prgramme Assessment, Evidence f Cmpliance Summary and Assessment Reprting Frm related t Assembly Subcntactr Quality and Prcess Management This supprts the subcntractr requirements f IECQ 03-4 Part 4: IECQ Aerspace, defence and High Perfrmance (ADHP) Electrnics Scheme - ADHP Parts and Assembly Prcess Management. It is recmmended that links t prcess dcumentatin and cmpliance data be established fr presentatin during the assessment. This wrksheet shall be used t recrd and reprt the results f the assessment. Fr the purpses f illustratin, reference is made t: AS/EN/JISQ9100, AS/EN/JISQ9102, IEC TS : 2015, SAE AS5553, IEC TS , IECQ OD3702, IPC J-STD-001, J-STD-033, ANSI-EIA-649 The clumns Recrd f Cmpliance f sme tables are fr the use f the subcntractr when preparing the assessment (see 3.3 fr mre details). The clumns Audit trail/infrmatin f sme tables are fr the use f the assessment team t recrd during the curse f the assessment (see 3.3 fr mre details). Dcument Histry Date Summary Initial editin IECQ Secretariat c/ IEC Sydney Office The Executive Centre, Australia Square, Level Gerge Street, Sydney, NSW 2000 Australia inf@iecq.rg Tel: I Fx:

6 4 IECQ OD IEC:2017(E) IECQ Subcntractr ECMP Prgramme Assessment Evidence f Cmpliance Summary and Assessment Reprting Frm 1 Technical requirements (Objectives) Principals This set f criteria is t be utilized by accredited Certificatin Bdies (CBs) t establish cmpliance, and grant certificatin fr PCB assembly Subcntractr ECMP Prgramme Assessment audits in accrdance with IEC/TS :2015, clause Subcntractr assembly facility quality and prcess management apprval. This Third Party audit scheme is used t manage subcntractrs wh perfrm assembly peratins (fr example assembly f surface munt cmpnents) fr an OEM wh perates an IEC TS ECMP scheme, see Figure 1 and Figure 2 fr infrmatin: Minimum requirements fr subcntract PCB assembly facilities are listed in clause 3.1. Table 1 summarises, fr guidance purpses, the typical OEM and subcntractr rles and respnsibilities based n the IEC/TS requirements fr a typical surface munt PCB ( r CCA) assembly peratin. It assists with the cmpletin f Table 2. Table 2 cntains the blank OEM and subcntractr rles and respnsibilities template t be cmpleted fr each purchase rder placed by an OEM n the subcntractr that is part f this audit scheme. Depending n prgram r prduct line requirements and/r the technical characteristics f the subcntract activity, the requirements, ther than the minimum requirements f clause 3.1, culd be tailred as agreed in clumn 6 f Table 2. This IECQ assessment scheme greatly facilitates the OEM which has verall respnsibility fr all subcntracted activities per AS/EN/JISQ9100. The requirements f this assessment scheme shall als apply t any subcntracting activities. 2 Definitins 2.1 Subcntractr assembly facilities lcatin where the subcntractr cnducts assembly prcesses and uses apprved test equipment t the plan wners drawings and bills f material and test specificatins withut wning the intellectual prperty rights t the equipment [SOURCE: IEC TS :2015] 2.2 Subcntractr persn r entity t whm the hlder f bligatins under a cntract has delegated part r all f such bligatins [SOURCE: IEC TS :2015] 2.3 ACRONYMS ATP CCA BM ECMP EMC ESS FAI LRU Acceptance Test Prcedure Circuit Card Assembly Bill f Materials Electrnic Cmpnents Management Plan Electr-Magnetic Cmpatibility Envirnmental Stress Screening First Article Inspectin Line Replaceable Unit

7 LTB OCM OEM PCB PCN Last Time Buy Original cmpnent manufacturer Original equipment manufacturer Printed Circuit Bard Prduct/prcess change ntice (in this abbreviatin Prduct stands fr electrnic cmpnent ) 3 Instructins fr use 3.1 Minimum subcntractr pre-requisites: The Subcntractr shall have: a) A Third Party certified AS/EN/JISQ9100 quality management system fr the develpment and manufacturing f prducts, and AS/EN/JISQ9110 quality management system fr the maintenance and/r repair f prducts if needed, which can be reviewed using the Oasis database, b) First article inspectin capability t AS/EN/JISQ9102 c) An IEC /TS (r SAE AS5553) Anti-cunterfeit management plan r be wrking t achieve an agreed plan, where the OEM stck is nt c-mingled with the subcntractr s stck. d) ESD certificatin (r as part f the AS/EN/JISQ9100 certificate) e) Sldering (wave, reflw ) prcess t IPC J-STD-001 r equivalent with trained peratrs f) Apprpriate cmpnent strage facilities which include JESD J-STD-033 Misture sensitivity prcess and IEC r equivalent fr Lng Term Strage g) Cnfiguratin management t ANSI-EIA-649 r equivalent h) The ability t cmply with an OEM lead-free r tin/lead slder management prcess. 3.2 This audit requires: Subcntractr data fr the OEM The subcntractr shall supply the fllwing data t the OEM i) AS/EN/JISQ 9100 Third party certificate infrmatin, and AS/EN/JISQ 9110 certificate infrmatin if needed (maintenance, repair peratins) j) AS/EN/JISQ9102 FAI prcedure k) IEC TS (r SAE AS5553) anti-cunterfeit management plan where the OEM stck is nt c-mingled with the subcntractr s stck and ptinally an IECQ OD3702 Third Party Traceability Audit certificate. l) Lead-free r tin/lead prcess t the required standard as defined by the OEM m) List f equipment and capabilities n) ESD certificate if nt part f the AS/EN/JISQ 9100 certificate ) MSL handling prcedure t J-STD-033 p) Cnfiguratin cntrl prcedure t ANSI-EIA-649 r equivalent q) Calibratin f equipment t ISO17025 r natinal standards r) Cmpnent strage prcedure using IEC fr Lng Term Strage r equivalent. s) PCB assembly r CCA, System r sub-system testing capability (fr example bed f nails equipment, functinal test equipment, dynamic testing capability etc.) t) The defined PCB assembly r CCA, System r sub-system testing fr the particular purchase rder and the test data t be submitted t the OEM fr review. u) Identificatin f any subcntractrs.

8 6 IECQ OD IEC:2017(E) OEM apprval f the PCB assembly subcntractr The OEM shall review and apprve the subcntractr assembly prcess and capabilities using their AS/EN/JISQ9100 supplier apprval prcess and fr example the IAQG Supply Chain Management handbk (SCMH) Wrk transfer prcess r supplier wrksheets apprval prcess, see sclasses&object_type=scmhgeneral&page=getscmhbook&vgennum=welcme&scm hs= Agreement f rles and respnsibilities The OEM and subcntractr shall agree and cmplete a cpy f Table 2, the blank template, including tailring requirements in clumn 6, fr their rles and respnsibilities fr each subcntract rder placed, fr the IEC TS ECMP subcntractr requirements. This cmpleted Table shall be dcumented and linked t the Purchase Order and be available fr the auditr t review OEM data fr the PCB assembly subcntractr The OEM shall supply the fllwing infrmatin (where agreed) t the subcntractr: a) The cntract defining the subcntract activity with the Purchase rder infrmatin and assembly part number, drawings, BMs, cmpnent data (i.e. part number and manufacturer) needed fr the assembly prcess with instructins defining hw peridic updates and changes are cmmunicated t the Subcntractr. b) Pint f cntact and details f business meetings, visits, status reprts etc. and reprting f yield r utging quality metrics and issues. c) Specificatin r instructin fr any special assembly prcesses r requirements. d) Details fr the First Article Inspectin reprt t AS/EN/JISQ9102 e) OEM recmmended franchised distributr surces, preferably cmpliant t SAE AS6496, if the OEM allws the subcntractr t purchase cmpnents fr the assembly. f) Details f free issued stck sent t the Subcntractr frm the OEM (fr example LTB stck r special cmpnents) and hw the surplus stck is t be dispsitined n cmpletin f the cntract r brught back int the OEM. g) Agreement t nt c-mingle stck frm nn-franchised distributrs r stck frm ther custmers h) Pints f cntact fr ECMP inquiries and status updates, i) Details f hw t request use f alternative cmpnents fr OEM apprval with defined timescales j) Details f hw cmpnent PCNs and LTBs btained frm Prcurement during their prcurement activities are t be sent t the OEM fr dispsitin. k) A lead-free r tin/lead slder management prcess t IEC TS (r GEIA-STD ) and IEC:TS (r GEIA-STD ) t tin whisker mitigatin level 2B (typical general Avinics level) defining the slder type, PCB cnfrmal type material, cmpnent rewrk prcedures, maximum rewrk cycles allwed and apprved external rewrk surces and any ther requirements (fr example special marking etc.) l) Any ther agreed requirements. 3.3 The IECQ audit The IECQ audit is cmprised f: a) Checking the subcntractr cmplies with the: i) Minimum pre-requisite requirements f 3.1 using verificatin Table 4 b) Selecting ne r tw Purchase Orders and checking that:

9 i) The OEM has supplied the subcntractr with the infrmatin described in using verificatin Table 3 and 5 ii) The subcntractr has supplied the infrmatin described in t the OEM using verificatin Table 5. iii) The subcntractr cmplies with the agreed requirements as defined in the cmpleted Table 2 fr each purchase rder placed, using verificatin Table 6 where the subcntractr respnsibilities are defined in clumn 3 frm Table 2 and the subcntractr cmpliance is assessed in clumns 6 and 7. Audit questin: Questins fr the specific cmplete Table 2 being evaluated. Criteria fr Cmpliance: Descriptin f the clause being addressed describing what activity is being evaluated. Recrd f Cmpliance: Acceptable evidence that the clause is being implemented and apprpriate recrds being kept t demnstrate cmpliance. This clumn is fr the IECQ Assessment Team t recrd their findings and shuld include references t audit recrds e.g. prcedure references and revisin, quality plan references, prgram schedule references, management meeting minutes reference numbers, training prcedures and recrds, etc. Audit Trail/Infrmatin: Area used fr ntes, bservatins, infrmatin, items related fr example t finding and requiring additinal fllw-up. Cmplies with the Clause: Clumn fr the IECQ Cunterfeit Assessment Team t recrd their finding f satisfactry cmpliance r nt.

10 assemblies t Subcntractr minimum requirements OEM defines the subcntractr flwdwn requirements and dcumentatin per Table 2 Standards Standards IECQ audit and certificatin Review/apprval/ management f PCB assembly Subcntractr PCB subcntractr assembly prcess Delivery f PCB assemblies t OEM OEM ntificatin f drawing changes Subcntractr requested changes fr alternatives and cmpnent PCNs and LTBS, Subcntractr utging quality data and first pass yields OEM PCB assembly subcntractr audit t manage IEC TS : 2015, clause Subcntractr assembly facility quality and prcess management apprval. 8 IECQ OD IEC:2017(E) Figure 3 Overview f Subcntractr ECMP audit

11 End Custmer, encurage them t use authrized sales utlets Sales utlet Subcntract ECMP audit Franchised distributr fr final prduct OEM s assembly Subcntractr OEM Optinal IECQ OD3702 anticunterfeit traceability audit IEC/ TS clause Subcntract apprval AS/EN/JISQ 9100 and 9110 IECQ OD IEC:2017(E) 9 Figure 4 Subcntractr ECMP audit suggested uses in the supply chain

12 Table 1 Typical IEC TS OEM and Subcntractr rles and respnsibilities fr guidance Clumn 1 IEC TS editin , clause number Clumn 2 IEC TS editin , clause title Clumn 3 Respnsibility f the OEM Clumn 4 Respnsibility f the subcntractr wh manages requirements either at the cmpnent level r the assembly level Clumn 5 Standard required Clumn 6 Cmments 4 Technical requirements Heading 4.1 General Heading 4.2 Cmpnent selectin N The OEM wuld fully define and cntrl the cmpnents and their apprved manufacturers used in the LRU assembly thrugh apprved part numbers and drawings n a Bill f Materials (BM) General Heading Applicatin cnditins fr use N The OEM fully defines this Availability and durability Availability- (if the subcntractr purchases cmpnents fr the OEM) Durability N Additinal perfrmance Subcntractr might cnduct: (1) cmpnent screening testing t OEM test specificatins prir t assembly fr example fr cmpnent uprating (2) LRU uprating t OEM test specificatins using fr example extended ESS and ATP testing OEM cmpnent screening specificatins, fr example cmpnent uprating t IEC TS Subcntractr wh buys stck shuld reprt cmpnent unavailability t the OEM (allcatin etc.) and PCNs and LTBs which will impact their ability t deliver prduct t the OEM fr crrective actin. The OEM defines the additinal perfrmance testing which the subcntractr might implement, fr example additinal cmpnent screening r LRU additinal r extended ESS testing fr uprating depending n hw the OEM wants t manage their subcntractr Cmpnent identificatin N The OEM defines the cmpnent part numbers frm apprved manufacturers in their drawings which the subcntractrs use 4.3 Cmpnent applicatin Heading General Heading 10 IECQ OD IEC:2017(E)

13 4.3.2 EMC Typically, N, but there might be sme assembly EMC screening test included in the OEM s test specificatin The OEM wuld cnduct this EMC testing typically at LRU qualificatin testing fr design apprval. It is unlikely there is any EMC screening testing f the assembly but it is pssible that this EMC screening is included in the testing requested by the OEM Derating and Stress Analysis N The OEM wuld cnduct this analysis Thermal analysis N The OEM wuld typically cnduct thermal mdelling f the unit during the design phase and establish the internal design using unit r LRU drawings fr the Subcntractr built t Mechanical analysis N The OEM wuld typically cnduct mechanical mdelling f the unit during the design phase and establish the internal design using unit r LRU drawings fr the Subcntractr built t Testing, testability and maintainability Subcntractr cnducts LRU electrical tests t OEM LRU test specificatins. The subcntractr stres sftware and test specificatins under cnfiguratin cntrl as part f the custmer wned specificatins and sftware prcedure. Subcntractr may use an OEM test statin r dedicated test equipment and stre these items as part f their Custmer wned equipment prcedure. (3) AS/EN/JISQ9102 First Article Inspectin (FAI) (1) OEM Test specificatins (ATP testing, ESS etc.) and OEM test equipment. (2a) Calibratin f test equipment t ISO17025 r natinal standards. (2b) Strage and maintenance f custmer wned equipment, specificatins and test sftware t custmer requirements (3) First article inspectin t AS/EN/JISQ9102 The OEM wuld typically create all electrical test specificatins and ESS specificatins fr the unit fr the Subcntractr t test the prductin assembly against. Smetimes the OEM als prvides test equipment r a test statin. FAI is always required n the first prductin run prir t shipment. IECQ OD IEC:2017(E) Avinics radiatin envirnment Subcntractr might cnduct cmpnent SEE testing t OEM test specificatins prir t LRU assembly as defined in the OEM drawings. OEM atmspheric radiatin SEE Test specificatins t IEC The OEM wuld typically cnduct atmspheric radiatin SEE analysis f the unit during the design phase and might establish SEE test specificatins fr cmpnents used in the design which the subcntractr wuld wrk t.

14 4.3.8 Management f lead-free terminatin finish and sldering Subcntractr assemblies the specific cmpnent part numbers as stated in the OEM drawings and asks fr permissin fr the use f any substitutins. Subcntractr uses the agreed slder type and rewrks cmpnent terminatins as defined in OEM drawings using the OEM apprved surces. Subcntractr cnfrmally cats the assemblies as defined by the OEM drawings Subcntractr t assemble the cmpnents as defined in the OEM cmpnent part numbers r drawings. Lead-free r tin/lead management per IEC TS (r GEIA-STD ) and IEC TS (r GEIA-STD ) t tin whisker mitigatin level 2B (typical general Avinics level) The OEM wuld typically define the acceptable cmpnent terminatin finish fr the LRU in their drawings r specific cmpnent part numbers fr the Subcntractr t purchase and assemble. The subcntractr wuld have t ask permissin f the OEM fr any substitutins. The OEM wuld define any subcntractr cmpnent terminatin rewrk, fr example BGA re-balling using OEM apprved surces. The OEM wuld define the cnfrmal cating type(s) and prcess Cunterfeited, fraudulent and recycled cmpnent avidance Agree t nt c-mingle stck with any ther custmer s stck r their stck r stck frm different nn-franchised surces Misture and crrsin Strage t prevent excess misture ingress and crrsin Additinal custmer related applicatin requirements Subcntractr might cnduct additinal tests using the OEM test specificatins during LRU testing SAE AS5553 (revisin C will mandate n c-mingling f stck) SAE AS6496 fr franchised distributrs IECQ OD3702 Traceability audit fr each part f the supply chain, especially fr lng internatinal supply chains and fr when returning surplus stck back t the OEM at the end f the cntract. JESD J-STD-033 fr shrt term strage (fr up t life f the misture barrier bag (MBB) typically 1 t 2 years) and fr lng term strage thereafter using IEC t -9, in particular, IEC fr packaged r finished devices. 4.4 Cmpnent qualificatin Heading General Heading Minimum cmpnent qualificatin requirements Original cmpnent manufacturer quality management Subcntractr shall supply their SAE AS5553 plan t the OEM fr apprval. OEM s typically nly allw the subcntractr t purchase frm Franchised SAE AS6496 distributrs and d nt authrise the subcntractr t buy frm nn-franchised surces. Where nn-franchised buys are required it is typical fr the OEM t make the buy themselves using their anti-cunterfeit plan instead f the subcntractr and t have the stck shipped directly t the subcntractr. The OEM is respnsible fr the misture and crrsin cmpnent qualificatin but the Subcntractr is respnsible fr strage The OEM wuld typically define the additinal requirements in their LRU drawings fr the Subcntractr t carry ut. N OEM s IEC TS prcess N OEM s IEC TS prcess 12 IECQ OD IEC:2017(E) Original cmpnent manufacturer prcess management apprval Demnstratin f cmpnent qualificatin N OEM s IEC TS prcess N OEM s IEC TS prcess

15 4.4.6 Qualificatin f cmpnents frm a supplier that is nt qualified Distributr prcess management apprval Subcntractr assembly facility quality and prcess management apprval The subcntractr shall request permissin f the OEM when there is a need t use anther supplier. ISO9120 with a franchised agreement fr each manufacturer with full traceability AS/EN/JISQ 9100 AS/EN/JISQ 9110 AS/EN/JISQ9102 IEC/TS r SAE AS5553 J-STD-033 ESD IPC J-STD-001 r equivalent IPC 610 ANSI-EIA-649 r equivalent Calibratin f test equipment t Natinal Standards r ISO17502 If the subcntract assembly huse uses subcntractrs, then this assessment scheme shall apply t thse subcntractrs either as a secnd party assessment using the templates herein r as part f an IECQ Third party assessment scheme. The OEM shall wrk using the riginal cmpnent manufacturer specified in the OEM cmpnent drawing r cmpnent part number infrmatin supplied with the BOM. The Subcntractr shall request permissin f the OEM when there is a need t use anther supplier. The OEM will be respnsible fr ECMP apprving the alternative supplier. IECQ OD IEC:2017(E) Cntinuus cmpnent quality assurance General Quality assurance requirements On-ging cmpnent quality assurance Heading

16 4.5.3 Plan wner in huse cntinuus mnitring, subcntractr first pass assembly yields and electrical ATP testing failures mnitred fr cmpnent pattern failures which require crrective actin Outging assembly quality limits will be defined in OEM s cntract with subcntractr The OEM will apprve the PCB assembly r CCA test plan and/r any ESS testing and equipment and prvide details n first pass yield target results required r utging quality limits. The OEM typically requests that all assemblies are 100% tested thrugh ESS and ATP testing with n rejects shipped t the OEM. The OEM will als specify the maximum number f rewrk cycles allwed n the assembly Cmpnent design and manufacturing prcess change mnitring OEM has verall respnsibility fr managing this t IEC TS but culd subcntract this t the Subcntractr The subcntractr shuld be under cntract t manage PCNs and LTBs and ntify the OEM asap. JESD46 Only the OEM has cnfiguratin management authrity t make changes t the BOM 4.6 Cmpnent dependability Heading General Heading Cmpnent availability and assciated risk assessment OEM has verall respnsibility fr managing this t IEC TS and culd either subcntract this t the subcntractr r manage this in additin t LTB infrmatin received frm the subcntractr Cmpnent bslescence OEM has verall respnsibility fr managing this t IEC TS and culd either subcntract this t the Subcntractr r manage this in additin t LTB infrmatin received frm the subcntractr If the subcntractr purchases the cmpnents, then they will advise asap if cmpnents are unavailable and frward any LTBs urgently fr dispsitin. If the subcntractr purchases the cmpnents, they will be respnsible fr frwarding LTBs urgently fr dispsitin t the OEM T part f IEC and SAE STD-0016 fr reactive bslescence i.e. LTB ntificatin and LTB rder placement) SAE STD-0016 It is imprtant that the OEM tracks and manages the subcntractr cmpnent availability and risk t ensure cntinuity f supply. This is t avid subcntractr buys frm Brkers which may result in anti-cunterfeit management cmplicatins. The OQM wuld typically cnduct practive bslescence management and subcntract the reactive bslesce management t the subcntractr Practive measures NO The OEM is typically respnsible fr practive BOM reviews 14 IECQ OD IEC:2017(E) Cmpnent bslescence awareness Shared with OEM OEM has verall respnsibility but can ask the subcntractr t share any impending LTB infrmatin

17 4.6.6 Reprting Subcntractr has respnsibility fr reprting LTBs and PCNs t the OEM Semicnductr reliability and wear-ut Subcntractr has respnsibility fr manufacturing the assembly with n manufacturing defects t the OEM assembly specificatin Reliability assessment The subcntractr is respnsible fr minimising assembly wrkmanship defects 4.7 Cmpnent cmpatibility with the equipment manufacturing prcess, the OEM shall audit the Subcntractr s assembly line and clearly state which types f bulk slder are used in the assembly and if any cmpnents require lead-free terminatin rewrk. The subcntractr shall ensure they use the crrect bulk slder fr slder jints as stated n the OEM s assembly drawings, understand lead-free cmpnent rewrk requirements and cnfrmally cat all assemblies if requested and stre cmpnents apprpriately, particularly LTB stck with Lng term Strage prvisins Typically have a lead-free plan t IEC TS r GEIA- STD t tin whisker level 2B based n the OEM requirements. Cntrl f LTB stck and Lng Term Strage prvisins fllwing IEC fr packaged r finished devices. OEM typically reprts t the end custmer but requests infrmatin frm the subcntractr The OEM is respnsible fr cnducting semi-cnductr wear ut analyses when selecting cmpnents fr the BOM The OEM is respnsible fr assessing the cmpnents reliability and the prduct reliability during the design The OEM shall define the type f slder t be used and when cmpnents require rewrk t be cmpatible with the slder type. IECQ OD IEC:2017(E) Cmpnent data The subcntractr shall maintain the OEM supplied assembly drawing, BOM and related cmpnent infrmatin (fr example latest datasheets) required fr buying and assembly prcesses and request peridic revisins t ensure they always perate t the latest versin and are aware f OEM changes. The OEM shuld ensure the subcntractr has easy access t their drawings and BOMs fr example by easy access t the OEM s MRP system and Change Management System. Where this is nt pssible due t security issues, the OEM shall peridically update the subcntractrs data General Heading Minimum cmpnent data requirements 4.9 Cnfiguratin cntrl, subcntractr shall ntify the OEM when a cmpnent substitutin is required asking permissin ANSI-EIA General

18 4.9.2 Alternative cmpnents The subcntractr shall ntify the OEM when an alternative cmpnent substitutin is required asking permissin Alternative surces The subcntractr shall ntify the OEM when an alternative cmpnent surce is required asking permissin Alternative cmpnents shall be apprved fr the applicatin by the OEM t the OEM s IEC TS ECMP Alternative surces shall be apprved fr the applicatin by the OEM t the OEM s IEC TS ECMP Equipment change dcumentatin ANSI-EIA-649 GEIAHB649A prvides guidance Custmer ntificatins, the subcntractr shall ntify the OEM f all prpsed BOM changes fr apprval befre they prceed, any cunterfeit r recycling issues, any latent defects r false test results etc. impacting the reliability f the assembly, any changes t the assembly line r factry shutdwn etc. Custmer ntificatin as specified in custmer requirements Fcal rganisatin, the Subcntractr shall identify an ECMP pint f cntact fr the OEM inquiries Clumn 1 IEC TS editin , clause number Other requirements Table 2 Blank template fr IEC TS OEM and Subcntractr rles and respnsibilities Clumn 2 IEC TS editin , clause title 4 Technical requirements 4.1 General 4.2 Cmpnent selectin General Applicatin cnditins fr use Availability and durability Clumn 3 Respnsibility f the OEM Clumn 4 Respnsibility f the subcntractr wh manages requirements either at the cmpnent level r the assembly level Clumn 5 Standard required Clumn 6 General Cmments r agreed Tailring cmments 16 IECQ OD IEC:2017(E) Additinal perfrmance Cmpnent identificatin 4.3 Cmpnent applicatin

19 4.3.1 General EMC Derating and Stress Analysis Thermal analysis Mechanical analysis Testing, testability and maintainability Avinics radiatin envirnment Management f lead-free terminatin finish and sldering Cunterfeited, fraudulent and recycled cmpnent avidance Misture and crrsin Additinal custmer related applicatin requirements - AS/EN/JISQ9102 First Article Inspectin (FAI) First article inspectin t AS/EN/JISQ9102 FAI is always required n the first prductin run prir t shipment. Lead-free management plan agreement is always required An agreed anti-cunterfeit management plan is always required IECQ OD IEC:2017(E) Cmpnent qualificatin General Minimum cmpnent qualificatin requirements Original cmpnent manufacturer quality management Original cmpnent manufacturer prcess management apprval Demnstratin f cmpnent qualificatin Qualificatin f cmpnents frm a supplier that is nt qualified Distributr prcess management apprval

20 4.4.8 Subcntractr assembly facility quality and prcess management apprval 4.5 Cntinuus cmpnent quality assurance General Quality assurance requirements On-ging cmpnent quality assurance Plan wner in huse cntinuus mnitring Cmpnent design and manufacturing prcess change mnitring 4.6 Cmpnent dependability General Cmpnent availability and assciated risk assessment Cmpnent bslescence AS/EN/JISQ 9100 AS/EN/JISQ 9110 AS/EN/JISQ9102 IEC/TS r SAE AS5553 J-STD-033 ESD IPC J-STD-001 r equivalent IPC 610 ANSI-EIA-649 r equivalent Calibratin f test equipment t Natinal Standards r ISO17502 If the subcntract assembly huse uses subcntractrs, then this assessment scheme shall apply t thse subcntractrs either as a secnd party assessment using the templates herein r as part f an IECQ Third party assessment scheme. These minimum requirements per 3.1 are always required. 18 IECQ OD IEC:2017(E) Practive measures Cmpnent bslescence awareness Reprting Fr bslescence

21 4.6.7 Semicnductr reliability and wear-ut Reliability assessment 4.7 Cmpnent cmpatibility with the equipment manufacturing prcess 4.8 Cmpnent data General Minimum cmpnent data requirements 4.9 Cnfiguratin cntrl General Alternative cmpnents Alternative surces Equipment change dcumentatin Custmer ntificatins Fcal rganisatin Other requirements Lead-free management is always required. The minimum requirements apply. IECQ OD IEC:2017(E) 19 Table 3 Minimum OEM requirements Table 3 Minimum OEM requirements Clause 3.1 requirement Requirement Recrd f cmpliance where applicable Cmplies with Clause a A Third Party certified AS/EN/JISQ9100 quality management system and/r AS/EN/JISQ9110 N b First Article inspectin capability t AS/EN/JISQ9102 N c An IEC/TS r SAE AS5553 Anticunterfeit management plan r be wrking t achieve an agreed plan, where the OEM stck is nt c-mingled with the subcntractr s stck. This may be supplemented by an IECQ OD 3702 Traceability audit N d ESD certificatin (r as part f the AS/EN/JISQ9100 certificate) N e Slder reflw prcess t IPC J-STD-001 r equivalent with trained peratrs N

22 f Apprpriate cmpnent strage facilities which include JESD J-STD-033 Misture sensitivity prcess and IEC fr Lng Term Strage N g Cnfiguratin management t ANSI-EIA-649 r equivalent N h The ability t cmply with an OEM lead-free r tin/lead slder management prcess. N Table 4 Verificatin f OEM supplied data t the Subcntractr This specificatin clause 3.2 (4) OEM data t be sent t the Subcntractr Recrd f cmpliance where applicable Cmplies with Clause a b c The cntract defining the subcntract activity with the fllwing infrmatin needed fr the assembly prcess with instructins defining hw peridic updates and changes are cmmunicated t the Subcntractr: OEM name and address Purchase rder infrmatin Assembly part number, Drawings, BOMs, Cmpnent data (i.e. cmplete cmpnent part number and manufacturer). Pint f cntact and details f business meetings, visits, status reprts etc. and reprting f yield r utging quality metrics and issues. Specificatin r instructin fr any special assembly prcesses r requirements. d Details fr the First Article Inspectin reprt t AS/EN/JISQ9102 N e f OEM recmmended franchised distributr surces if the OEM allws the subcntractr t purchase cmpnents fr the assembly Details f free issued stck sent t the Subcntractr frm the OEM (fr example Last Time Buy stck r special cmpnents) and hw the surplus stck is t be dispsitined n cmpletin f the cntract r brught back int the OEM. N N N N N 20 IECQ OD IEC:2017(E) g Agreement t nt c-mingle stck frm nn-franchised distributrs r stck frm ther custmers N h Pints f cntact fr ECMP inquiries and status updates, i Details f hw t request use f alternative cmpnents fr OEM apprval

23 j k l This specificatin clause 3.2 (1) a with defined timescales Details f hw cmpnent PCNs and LTBs btained frm Prcurement during their prcurement activities are t be sent t the OEM fr dispsitin. A lead-free r tin/lead slder management prcess t IEC TS (r GEIA-STD ) and IEC TS (r GEIA-STD ) t tin whisker mitigatin level 2B (typical general Avinics level) defining the slder type, PCB cnfrmal type material, cmpnent rewrk prcedures, maximum rewrk cycles allwed and apprved external rewrk surces and any ther requirements (fr example special marking etc.) Any ther agreed requirements Table 5 Verificatin f Subcntractr data requirements sent t the OEM Subcntractr data supplied t the OEM Recrd f cmpliance where applicable Cmplies with Clause AS/EN/JISQ 9100 and/r AS/EN/JISQ 9110 Third party certificate infrmatin and FAI t AS/EN/JISQ 9110 b AS/EN/JISQ9102 FAI prcedure N N IECQ OD IEC:2017(E) 21 c IEC/TS r SAE AS5553 anti-cunterfeit management plan where the OEM stck is nt c-mingled with the subcntractr s stck and ptinally IECQ OD3702 Certificate. N d Lead-free r tin/lead prcess t the required standard as defined by the OEM N e List f equipment and capabilities N f ESD certificate if nt part f the AS/EN/JISQ 9100 certificate N g MSL handling prcedure t J-STD-033 N h Cnfiguratin cntrl prcedure t ANSI-EIA-649 r equivalent N i Calibratin f equipment t ISO17025 r natinal standards N j Cmpnent strage prcedure using fr example IEC fr Lng Term Strage N k PCB assembly r CCA, System r sub-system testing capability (fr example bed f nails equipment, functinal test equipment, dynamic testing capability etc.) N

24 l The defined PCB assembly r CCA, System r sub-system testing fr the particular purchase rder and the test data t be submitted t the OEM fr review. N m Identificatin f any subcntratrs. N Table 6 Verificatin f sample PO rles and respnsibilities cmpliance IEC TS clause # Heading Subcntractr respnsibility? Tailring requirements? Details f part number selected, PO etc. Recrd f cmpliance where applicable Cmplies with Clause 4 Technical requirements N 4.1 General N 4.2 Cmpnent selectin N General N Applicatin cnditins fr use Availability and durability N 22 IECQ OD IEC:2017(E)

25 IEC TS clause # Heading Subcntractr respnsibility? Tailring requirements? Details f part number selected, PO etc. Recrd f cmpliance where applicable Additinal perfrmance N Cmpnent identificatin 4.3 Cmpnent applicatin N General EMC Derating and Stress Analysis Thermal analysis N Mechanical analysis Cmplies with Clause IECQ OD IEC:2017(E) Testing, testability and maintainability Avinics radiatin envirnment Management f leadfree terminatin finish and sldering N/A N Cunterfeited, fraudulent and recycled cmpnent avidance N/A N Misture and crrsin N Additinal custmer related applicatin requirements 4.4 Cmpnent qualificatin N N

26 IEC TS clause # Heading Subcntractr respnsibility? Tailring requirements? Details f part number selected, PO etc. Recrd f cmpliance where applicable Cmplies with Clause General N Minimum cmpnent qualificatin requirements Original cmpnent manufacturer quality management N N Original cmpnent manufacturer prcess management apprval Demnstratin f cmpnent qualificatin Qualificatin f cmpnents frm a supplier that is nt qualified Distributr prcess management apprval Subcntractr assembly facility quality and prcess management apprval If the subcntract assembly huse uses subcntractrs, then this assessment scheme shall apply t thse subcntractrs either as a secnd party assessment using the templates herein r as part f an IECQ Third party assessment scheme. N N N N N/A N 24 IECQ OD IEC:2017(E) 4.5 Cntinuus cmpnent quality assurance N

27 IEC TS clause # Heading General Quality assurance requirements On-ging cmpnent quality assurance Plan wner in huse cntinuus mnitring Cmpnent design and manufacturing prcess change mnitring 4.6 Cmpnent dependability General Cmpnent availability and assciated risk assessment Cmpnent bslescence Subcntractr respnsibility? Tailring requirements? Details f part number selected, PO etc. Recrd f cmpliance where applicable Cmplies with Clause N N N IECQ OD IEC:2017(E) Practive measures Cmpnent bslescence awareness Reprting Semicnductr reliability and wear-ut Reliability assessment 4.7 Cmpnent cmpatibility with the equipment manufacturing prcess 4.8 Cmpnent data General Minimum cmpnent data requirements 4.9 Cnfiguratin cntrl General Alternative cmpnents

28 IEC TS clause # Heading Subcntractr respnsibility? Tailring requirements? Details f part number selected, PO etc. Recrd f cmpliance where applicable Cmplies with Clause Alternative surces Equipment change dcumentatin Custmer ntificatins Fcal rganisatin Other requirements 26 IECQ OD IEC:2017(E)

29 Annex A Referenced external standards Table A.1- Internatinal standards Standard Title Apprpriate fr: IEC TS IEC TS IECQ OD3702 AS/EN/JISQ9100 AS/EN/JISQ9102 SAE AS55531 Prcess management fr avinics Management plan Part 1: Preparatin and maintenance f an electrnic cmpnents management plan Prcess management fr avinics - Cunterfeit preventin - Part 1: Aviding the use f cunterfeit, fraudulent and recycled electrnic cmpnents IECQ Cunterfeit Avidance Prgramme Assessment, Evidence f Cmpliance Summary and Assessment Reprting Frm Anticunterfeit Traceability audit fr any industry segment Fraudulent/Cunterfeit Electrnic Parts; Avidance, Detectin, Mitigatin and Dispsitin Suitable fr Avinics OEMs and their subcntractrs perating t AS/EN/JISQ9100 r AS/EN/JISQ9110 Suitable fr Avinics OEMs and their subcntractrs perating t AS/EN/JISQ9100 r JISQ/EN/JISQ9110. Allws the use f SAE AS5553 plans fr the management f cmpnents cming int an OEM r a subcntractr Traceability audit suitable fr auditing cmpnents received r sent, t r frm any level f a supply chain OEMs and subcntractrs wh assembly electrnic assemblies, whereby they create an anti-cunterfeit plan with mandatry requirements stating hw they mitigate receiving cunterfeit electrical cmpnents int their rganisatin IECQ OD IEC:2017(E) 27 SAE AS60812 Fraudulent/Cunterfeit Electrnic Parts: Avidance, Detectin, Mitigatin and Dispsitin Distributrs Cunterfeit Electrnic parts; Avidance Prtcl, Distributrs Nn-franchised distributrs wh sell electrnic cmpnents. The minimum testing is: visual inspectin, X-ray, DPA, marking inspectin. This can be supplemented with electrical testing etc. as required depending n risk. SAE AS6081 ffered cmpnents may be fully traceable r untraceable back t the riginal manufacturer SAE AS61713 Test Methds Standard: Cunterfeit Electrnic Parts Exhaustive list f rigrus anti-cunterfeit test methds fr high reliability industries J-STD-033 Handling, Packing,. Shipping and Use f. Misture/Reflw. Sensitive Surface. 1 Reprinted with permissin frm the published versin f SAE dcument AS5553 (c) 2016 SAE Internatinal. 2 Reprinted with permissin frm the published versin f SAE dcument AS6081 (c) 2014 SAE Internatinal. 3 Reprinted with permissin frm the published versin f SAE dcument AS6171 (c) 2017 SAE Internatinal.

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