8.9 Counterfeit Avoidance (AS5553)

Counterfeit components represent one of the highest risks in electronics manufacturing, undermining both product reliability and traceability. They can look convincing yet hide re-marked, re-balled, or aged parts that fail catastrophically. The defense is a structured system that begins at procurement and ensures every part is traceable and verified.

1.33.1 Sourcing Control: The Ladder of Trust and CoC

Counterfeit avoidance starts by building a Supply Chain Firewall through policy and documentation, minimizing the entry points for suspect material.

The Ladder of Trust

Sourcing decisions must follow a hierarchy based on traceability and accountability:

1. OCM Direct (Best): Original Component Manufacturer. Provides full traceability and control.
2. Authorized/Franchised Distributor: Listed by the OCM. Passes the OCM's certificate and warranty through.
3. Independent/Broker (Last Resort): Only used if the part is allocated or obsolete, and only with a formal approved deviation, customer notification, and a mandatory elevated screening plan.

Certificate of Conformance (CoC)

The CoC is the material's identity document and must be verified against the physical part at receiving.

• Mandatory CoC Fields: A valid CoC must clearly state the OCM Name, OCM Part Number, Lot/Date code, Quantity, and Country of Origin. It must show a clear trace to the OCM shipment or authorized distributor ID.
• Document Linkage: The original CoC must be digitally attached to the UID created at receiving for permanent audit readiness.
• CoC Red Flags: Look for photocopied logos, typos, mismatched country/labeling, or generic "open market" language.

1.33.2 Risk Triage: Scoring and Screening Intensity

Since you can't test every part, screening efforts must be tied to a risk score assigned at procurement. This focuses resources on the most vulnerable and costly components (high-value ICs, obsolete parts, and broker buys).

Component Risk Scoring Matrix

Score each lot based on procurement data to set the minimum screening plan:

The Screening Toolbox

Screening intensity is dictated by the risk score:

• Medium Risk: Requires objective non-destructive testing: X-ray (to check die presence and bond wires), XRF (to verify lead finish composition and RoHS compliance), and a sample solderability test (J-STD-002 style).
• High Risk: Requires destructive testing on a sample basis: Electrical parametric test to datasheet, and potentially Decapsulation (acid etching) to compare the die marking/logo against known-good exemplars.

1.33.3 Detection and Quarantine Protocol

The receiving dock is the final physical barrier. Operators must be trained to recognize and immediately stop material based on visual clues.

Receiving Red Flags (Stop and Quarantine)

If an item presents any of the following, it is immediately suspect:

• Packaging: Crooked, multiple over-stickers hiding OCM labels, fonts/logos that are slightly off, or inconsistent date codes inside the same reel/tray.
• Parts: Sanded/“blacktopped” component tops (indicates re-marking), inconsistent laser etching, different mold marks in one lot, bent/buffed/non-uniform leads, or flux residue on "new" parts.
• BGA/Leads: Mismatched BGA ball size/color within a tray (indicates re-balling), or leads that look improperly buffed.

Traceability and Escalation

1. Stop: If a red flag appears, the operator must immediately quarantine the material.
2. Document: Photo the evidence (packaging, part tops, labels) and create an MRB ticket (NG-QUAR).
3. Trace: Ensure the CoC, photos, and test results are all bound to the UID for investigation.
4. Escalate: Confirmed counterfeit issues must trigger a SCAR (Supplier Corrective Action Request) and lead to an AVL risk rating update for the supplier. If the lot is released (after extensive screening), mark the corresponding Work Order with "elevated risk" for easy field failure tracing.

Oversight and Common Traps