1.7 Counterfeit avoidance: AS5553

Counterfeit components pose a significant risk to manufacturing integrity. A “remarked” or “blacktopped” component might pass initial Functional Testing (FCT) but fail later in the field due to thermal mismatch or latent Electrostatic Discharge (ESD) damage, leading to recalls and reliability issues. The objective is to maintain strict prevention strategies. Counterfeit avoidance involves proactively managing sourcing hierarchies and enforcing robust validation protocols to protect the supply chain.

The sourcing hierarchy

Supply chain risk is heavily influenced by the Chain of Custody (CoC). The sourcing path determines the necessary level of inspection.

Tier 1: the secure channel (preferred)

• The Definition: The Original Component Manufacturer (OCM) direct, or a formally Franchised/Authorized Distributor (e.g. Digi-Key, Mouser, Avnet).
• The Status: Authorized.
• The Requirement: Unbroken paper traceability to the OCM. A formal Manufacturer CoC should be provided with the shipment.
• The Risk: Very Low.

Tier 2: the open market (broker/independent)

• The Definition: Non-franchised, independent distributors sourcing from global excess inventory.
• The Status: Restricted.
• The Requirement: Sourcing from Tier 2 generally requires a formal approval or waiver from Supply Chain leadership or Engineering, typically when authorized channels cannot meet production needs.
• The Risk: High. Material from the open market requires thorough verification and often destructive testing to prove authenticity.

Risk-based evidence requirements

The requirements for documentation and testing should scale based on the source’s transparency.

Risk Class	Source Type	Documentation Required	Inspection / Testing Recommendation
Class I	OCM / Authorized	Mfg CoC + Packing Slip	Standard Incoming (Verify qty, check for damage, scan labels)
Class II	Broker (Traceable)	3rd Party CoC + Trace Docs	Enhanced Visual (Microscope) & Verify Supplier Solvency
Class III	Broker (No Trace)	Invoice Only (High Risk)	Full Protocol (e.g. AS6081: X-Ray, Decap, XRF, Electrical)

Engineering Practice

Acetone swabbing (checking for “blacktopping” or laser remarking) is an effective initial test. If the top coating dissolves or the ink smears under an acetone swab, the part is highly suspect. This simple check on the receiving dock can flag issues before sending parts out for expensive lab analysis.

Sourcing & forensic validation logic

A consistent validation flow must be applied to incoming lots based on their source.

Step 1: determine channel validity

• When the Source is Tier 1 Authorized:
  • It must be verified that the printed CoC aligns with the physical reel labels, then the lot can be accepted for standard processing.
• When the Source is a Tier 2 Broker:
  • The lot must be moved to enhanced inspection protocols before allowing the parts into general inventory.

Step 2: broker risk mitigation (enhanced protocols)

When a component is sourced from the open market, especially Active components (ICs, Controllers) or high-value items, enhanced analysis is recommended:

• Destructive Analysis (Sample Testing):
  • Decapsulation (Decap): The silicon die must be exposed to verify that microscopic die markings match the OCM datasheet.
  • X-Ray: Internal bond wire integrity, die size, and lead frame attach must be checked, comparing against a known-good sample.
  • XRF (X-Ray Fluorescence): The physical lead finish (e.g. confirming RoHS compliance) must be verified to match the MPN specification.
• If the analysis result indicates a failure or high likelihood of counterfeit, the Quarantine Protocol must be initiated immediately.

Quarantine & disposition

If a part is identified as suspect counterfeit, it must be handled securely to prevent accidental use in production.

Containment (physical lockdown)

• The Action: The suspect parts must be isolated. Returning them to the vendor immediately must be avoided, as this may allow the counterfeit parts to re-enter the global supply chain.
• The Storage: The inventory must be secured in a segregated, clearly marked quarantine area (e.g. the MRB cage).
• The Tagging: Clear “NON-CONFORMING / SUSPECT” labeling must be applied to the materials.

Notification & reporting

• Internal Escalation: The Supply Chain, Quality, and Leadership teams must be notified.
• External Reporting: Filing a report with organizations like GIDEP (Government-Industry Data Exchange Program) or ERAI should be considered once counterfeit status is confirmed by an independent lab.

The supplier feedback loop

• If a vendor supplies a confirmed counterfeit component, review their AVL status. They should typically be moved to a Disqualified or Blacklisted status.
• Appropriate financial actions, such as credit holds, must be initiated regarding pending invoices with that vendor while the investigation is ongoing.

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Recap: Counterfeit Avoidance Protocol Selection

Source Tier	Risk Class	Documentation Requirement	Inspection & Testing Protocol	Disposition on Failure
Tier 1 (OCM/Authorized)	Class I (Very Low)	Manufacturer CoC + Packing Slip	Standard Incoming (Quantity, Damage, Labels)	N/A (Standard Acceptance)
Tier 2 (Broker with Trace)	Class II (High)	3rd Party CoC + Trace Documents	Enhanced Visual (Microscope) + Supplier Solvency Check	Initiate Quarantine Protocol
Tier 2 (Broker, No Trace)	Class III (High)	Invoice Only	Full Forensic (X-Ray, Decap, XRF, Electrical per AS6081)	Initiate Quarantine Protocol
Any (Suspicious Lot)	N/A	N/A	Acetone Swab Test for Blacktopping	Flag for Enhanced/Full Protocol
Confirmed Counterfeit	N/A	N/A	N/A	Secure Quarantine, Notify GIDEP/ERAI, Blacklist Supplier