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IEC Quality Assessment System for Electronic Components (IECQ System)

IECQ OD 3407-1 Edition 1.0 2017-08

IECQ OPERATIONAL DOCUMENT

IECQ Subcontractor ECMP Programme Assessment, Evidence of Compliance Summary and Assessment Reporting Form, related to Assembly Subcontactor Quality and Process Management

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IECQ OD 3407-1 Edition 1.0 2017-08

IECQ OPERATIONAL DOCUMENT

IECQ Subcontractor ECMP Programme Assessment, Evidence of Compliance Summary and Assessment Reporting Form, related to Assembly Subcontactor Quality and Process Management

INTERNATIONAL ELECTROTECHNICAL COMMISSION

IEC Quality Assessment System for Electronic Components (IECQ System)

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CONTENTS

CONTENTS ......................................................................................................................... 2INTRODUCTION .................................................................................................................. 31 Technical requirements (Objectives) – Principals ............................................................. 42 Definitions ...................................................................................................................... 4

2.1 Subcontractor assembly facilities ............................................................................. 42.2 Subcontractor ......................................................................................................... 42.3 ACRONYMS ............................................................................................................ 4

3 Instructions for use ......................................................................................................... 53.1 Minimum subcontractor pre-requisites: ..................................................................... 5The Subcontractor shall have: .......................................................................................... 53.2 This audit requires: ................................................................................................. 5

3.2.1 Subcontractor data for the OEM ......................................................................... 53.2.2 OEM approval of the PCB assembly subcontractor ............................................. 63.2.3 Agreement of roles and responsibilities .............................................................. 63.2.4 OEM data for the PCB assembly subcontractor .................................................. 6

3.3 The IECQ audit ....................................................................................................... 6Annex A – Referenced external standards .......................................................................... 27

Figure 1 – Overview of Subcontractor ECMP audit ……………………………………………….… 8

Figure 2 – Subcontractor ECMP audit suggested uses in the supply chain …………………….. 9

Table 1 – Typical IEC TS 62239-1 OEM and Subcontractor roles and responsibilities for guidance …………………………………………………………………………………………….. 10

Table 2 – Blank template for IEC TS 62239-1 OEM and Subcontractor roles and responsibilities ……………………………………………………………………………………… 16

Table 3 – Minimum OEM requirements ………………………………………………………………. 19

Table 4 – Verification of OEM supplied data to the Subcontractor …………………………….... 20

Table 5 – Verification of Subcontractor data requirements sent to the OEM ……………….….. 21

Table 6 – Verification of sample PO roles and responsibilities compliance ……………………. 22 Table A.1- International standards …………………………………………………………………….. 27

INTERNATIONAL ELECTROTECHNICAL COMMISSION ____________

IECQ Operational Document 3407-1

IECQ Subcontractor ECMP Programme Assessment, Evidence of Compliance Summary and Assessment Reporting Form, related to Assembly Subcontactor

Quality and Process Management

INTRODUCTION

This operational document defines an IECQ PCB assembly Subcontractor ECMP Programme Assessment, Evidence of Compliance Summary and Assessment Reporting Form related to Assembly Subcontactor Quality and Process Management

This supports the subcontractor requirements of IECQ 03-4 Part 4: IECQ Aerospace, defence and High Performance (ADHP) Electronics Scheme - ADHP Parts and Assembly Process Management. It is recommended that links to process documentation and compliance data be established for presentation during the assessment. This worksheet shall be used to record and report the results of the assessment.

For the purposes of illustration, reference is made to:

AS/EN/JISQ9100, AS/EN/JISQ9102, IEC TS 62239-1: 2015, SAE AS5553, IEC TS 62668-1, IECQ OD3702, IPC J-STD-001, J-STD-033, ANSI-EIA-649

The columns “Record of Compliance” of some tables are for the use of the subcontractor when preparing the assessment (see 3.3 for more details). The columns “Audit trail/information” of some tables are for the use of the assessment team to record during the course of the assessment (see 3.3 for more details).

Document History

Date Summary

2017-08-02 Initial edition

IECQ Secretariat c/o IEC Sydney Office The Executive Centre, Australia Square, Level 33 264 George Street, Sydney, NSW 2000 Australia

E-mail: [email protected] | Tel:+61 2 4628 4690 I Fx: +61 2 4627 5285 | http://www.iecq.org

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IECQ Subcontractor ECMP Programme Assessment Evidence of Compliance Summary and Assessment Reporting Form

1 Technical requirements (Objectives) – Principals

This set of criteria is to be utilized by accredited Certification Bodies (CBs) to establish compliance, and grant certification for PCB assembly Subcontractor ECMP Programme Assessment audits in accordance with IEC/TS 62239-1:2015, clause 4.4.8 “Subcontractor assembly facility quality and process management approval”. This Third Party audit scheme is used to manage subcontractors who perform assembly operations (for example assembly of surface mount components) for an OEM who operates an IEC TS 62239-1 ECMP scheme, see Figure 1 and Figure 2 for information:

Minimum requirements for subcontract PCB assembly facilities are listed in clause 3.1.

Table 1 summarises, for guidance purposes, the typical OEM and subcontractor roles and responsibilities based on the IEC/TS 62239-1 requirements for a typical surface mount PCB ( or CCA) assembly operation. It assists with the completion of Table 2.

Table 2 contains the blank OEM and subcontractor roles and responsibilities template to be completed for each purchase order placed by an OEM on the subcontractor that is part of this audit scheme.

Depending on program or product line requirements and/or the technical characteristics of the subcontract activity, the requirements, other than the minimum requirements of clause 3.1, could be tailored as agreed in column 6 of Table 2.

This IECQ assessment scheme greatly facilitates the OEM which has overall responsibility for all subcontracted activities per AS/EN/JISQ9100.

The requirements of this assessment scheme shall also apply to any subcontracting activities.

2 Definitions

2.1 Subcontractor assembly facilities location where the subcontractor conducts assembly processes and uses approved test equipment to the plan owners’ drawings and bills of material and test specifications without owning the intellectual property rights to the equipment

[SOURCE: IEC TS 62239-1:2015]

2.2 Subcontractor person or entity to whom the holder of obligations under a contract has delegated part or all of such obligations [SOURCE: IEC TS 62239-1:2015]

2.3 ACRONYMS ATP Acceptance Test Procedure CCA Circuit Card Assembly BoM Bill of Materials ECMP Electronic Components Management Plan EMC Electro-Magnetic Compatibility ESS Environmental Stress Screening FAI First Article Inspection LRU Line Replaceable Unit

LTB Last Time Buy OCM Original component manufacturer OEM Original equipment manufacturer PCB Printed Circuit Board PCN Product/process change notice (in this abbreviation “Product” stands

for “electronic component”)

3 Instructions for use

3.1 Minimum subcontractor pre-requisites: The Subcontractor shall have: a) A Third Party certified AS/EN/JISQ9100 quality management system for the development

and manufacturing of products, and AS/EN/JISQ9110 quality management system for the maintenance and/or repair of products if needed, which can be reviewed using the Oasis database, https://www.sae.org/?PORTAL_CODE=IAQG

b) First article inspection capability to AS/EN/JISQ9102

c) An IEC /TS 62668-1 (or SAE AS5553) Anti-counterfeit management plan or be working to achieve an agreed plan, where the OEM stock is not ‘co-mingled’ with the subcontractor’s stock.

d) ESD certification (or as part of the AS/EN/JISQ9100 certificate)

e) Soldering (wave, reflow…) process to IPC J-STD-001 or equivalent with trained operators

f) Appropriate component storage facilities which include JESD J-STD-033 Moisture sensitivity process and IEC 62435-6 or equivalent for Long Term Storage

g) Configuration management to ANSI-EIA-649 or equivalent

h) The ability to comply with an OEM lead-free or tin/lead solder management process.

3.2 This audit requires: 3.2.1 Subcontractor data for the OEM The subcontractor shall supply the following data to the OEM

i) AS/EN/JISQ 9100 Third party certificate information, and AS/EN/JISQ 9110 certificate information if needed (maintenance, repair operations)

j) AS/EN/JISQ9102 FAI procedure

k) IEC TS 62668-1 (or SAE AS5553) anti-counterfeit management plan where the OEM stock is not ‘co-mingled’ with the subcontractor’s stock and optionally an IECQ OD3702 Third Party Traceability Audit certificate.

l) Lead-free or tin/lead process to the required standard as defined by the OEM m) List of equipment and capabilities

n) ESD certificate if not part of the AS/EN/JISQ 9100 certificate

o) MSL handling procedure to J-STD-033

p) Configuration control procedure to ANSI-EIA-649 or equivalent q) Calibration of equipment to ISO17025 or national standards

r) Component storage procedure using IEC 62435-6 for Long Term Storage or equivalent.

s) PCB assembly or CCA, System or sub-system testing capability (for example ‘bed of nails’ equipment, functional test equipment, dynamic testing capability etc.)

t) The defined PCB assembly or CCA, System or sub-system testing for the particular purchase order and the test data to be submitted to the OEM for review.

u) Identification of any subcontractors.

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3.2.2 OEM approval of the PCB assembly subcontractor The OEM shall review and approve the subcontractor assembly process and capabilities using their AS/EN/JISQ9100 supplier approval process and for example the IAQG Supply Chain Management handbook (SCMH) Work transfer process or supplier worksheets approval process, see

http://www.sae.org/servlets/registration?PORTAL_CODE=IAQG&OBJECT_PKG=iaqg.businessClasses&OBJECT_TYPE=SCMHGeneral&PAGE=getSCMHBOOK&vgenNum=welcome&scmhs=2

3.2.3 Agreement of roles and responsibilities The OEM and subcontractor shall agree and complete a copy of Table 2, the blank template, including tailoring requirements in column 6, for their roles and responsibilities for each subcontract order placed, for the IEC TS 62239-1 ECMP subcontractor requirements. This completed Table shall be documented and linked to the Purchase Order and be available for the auditor to review.

3.2.4 OEM data for the PCB assembly subcontractor The OEM shall supply the following information (where agreed) to the subcontractor:

a) The contract defining the subcontract activity with the Purchase order information and assembly part number, drawings, BoMs, component data (i.e. part number and manufacturer) needed for the assembly process with instructions defining how periodic updates and changes are communicated to the Subcontractor.

b) Point of contact and details of business meetings, visits, status reports etc. and reporting of yield or outgoing quality metrics and issues.

c) Specification or instruction for any special assembly processes or requirements.

d) Details for the First Article Inspection report to AS/EN/JISQ9102

e) OEM recommended franchised distributor sources, preferably compliant to SAE AS6496, if the OEM allows the subcontractor to purchase components for the assembly.

f) Details of free issued stock sent to the Subcontractor from the OEM (for example LTB stock or special components) and how the surplus stock is to be dispositioned on completion of the contract or brought back into the OEM.

g) Agreement to not ‘co-mingle’ stock from non-franchised distributors or stock from other customers

h) Points of contact for ECMP inquiries and status updates, i) Details of how to request use of alternative components for OEM approval with defined

timescales

j) Details of how component PCNs and LTBs obtained from Procurement during their procurement activities are to be sent to the OEM for disposition.

k) A lead-free or tin/lead solder management process to IEC TS 62647-1 (or GEIA-STD-0005-1) and IEC:TS 62647-2 (or GEIA-STD-0005-2) to tin whisker mitigation level 2B (typical general Avionics level) defining the solder type, PCB conformal type material, component rework procedures, maximum rework cycles allowed and approved external rework sources and any other requirements (for example special marking etc.)

l) Any other agreed requirements.

3.3 The IECQ audit The IECQ audit is comprised of:

a) Checking the subcontractor complies with the:

i) Minimum pre-requisite requirements of 3.1 using verification Table 4

b) Selecting one or two Purchase Orders and checking that:

i) The OEM has supplied the subcontractor with the information described in 3.2.3 using verification Table 3 and 5

ii) The subcontractor has supplied the information described in 3.2.1 to the OEM using verification Table 5.

iii) The subcontractor complies with the agreed requirements as defined in the completed Table 2 for each purchase order placed, using verification Table 6 where the subcontractor responsibilities are defined in column 3 from Table 2 and the subcontractor compliance is assessed in columns 6 and 7.

Audit question:

Questions for the specific complete Table 2 being evaluated.

Criteria for Compliance:

Description of the clause being addressed describing what activity is being evaluated.

Record of Compliance:

Acceptable evidence that the clause is being implemented and appropriate records being kept to demonstrate compliance. This column is for the IECQ Assessment Team to record their findings and should include references to audit records e.g. procedure references and revision, quality plan references, program schedule references, management meeting minutes reference numbers, training procedures and records, etc.

Audit Trail/Information:

Area used for notes, observations, information, items related for example to finding and requiring additional follow-up.

Complies with the Clause:

Column for the IECQ Counterfeit Assessment Team to record their finding of satisfactory compliance or not.

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assembliesto

Review/approval/managementofPCBassemblySubcontractor

OEMdefinesthesubcontractorflow-downrequirementsanddocumentation

perTable2

Subcontractorminimum

requirements

Standards

Subcontractoroutgoing

qualitydataandfirstpass

yields

OEM PCB assembly subcontractor audit to manage IEC TS 62239-1: 2015, clause 4.4.8 “Subcontractor assembly facility quality and process management approval”.

OEMnotificationofdrawingchanges

Subcontractor requested

changes for alternatives and

component PCNs and LTBS,

IECQ audit and

certification

PCB subcontractor

assembly process

DeliveryofPCB

assembliestoOEM

Standards

Figure 3 – Overview of Subcontractor ECMP audit

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OEM

OEM’s assembly Sub-

contractor Franchised distributor

for final product

Subcontract ECMP audit

Sales outlet

End Customer, encourage

them to use authorized

sales outlets

IEC/ TS 62239-1

clause 4.4.8 Subcontract

approval

Optional IECQ OD3702 anti-counterfeit traceability

audit

AS/EN/JISQ 9100 and

9110

Figure 4 – Subcontractor ECMP audit suggested uses in the supply chain

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Table 1 – Typical IEC TS 62239-1 OEM and Subcontractor roles and responsibilities for guidance

Column 1 IEC TS 62239-1 edition 2 2015, clause number

Column 2 IEC TS 62239-1 edition 2 2015,

clause title

Column 3 Responsibility of

the OEM

Column 4 Responsibility of the subcontractor who

manages requirements either at the component

level or the assembly level

Column 5 Standard required

Column 6 Comments

4 Technical requirements Heading

4.1 General Heading

4.2 Component selection Yes No The OEM would fully define and control the components and their approved manufacturers used in the LRU assembly through approved part numbers and drawings on a Bill of Materials (BoM).

4.2.1 General Heading

4.2.2 Application conditions for use Yes No The OEM fully defines this.

4.2.3 Availability and durability Yes Availability- Yes (if the subcontractor purchases components for the OEM) Durability – No

Subcontractor who buys stock should report component unavailability to the OEM (allocation etc.) and PCNs and LTBs which will impact their ability to deliver product to the OEM for corrective action.

4.2.4 Additional performance Yes Subcontractor might conduct: (1) component screening testing to OEM test specifications prior to assembly for example for component uprating (2) LRU uprating to OEM test specifications using for example extended ESS and ATP testing

OEM component screening specifications, for example component uprating to IEC TS 62240-1

The OEM defines the additional performance testing which the subcontractor might implement, for example additional component screening or LRU additional or extended ESS testing for uprating depending on how the OEM wants to manage their subcontractor

4.2.5 Component identification Yes No The OEM defines the component part numbers from approved manufacturers in their drawings which the subcontractors use

4.3 Component application Heading


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4.3.2 EMC Yes Typically, No, but there might be some assembly EMC screening test included in the OEM’s test specification

The OEM would conduct this EMC testing typically at LRU qualification testing for design approval. It is unlikely there is any EMC screening testing of the assembly but it is possible that this EMC screening is included in the testing requested by the OEM

4.3.3 Derating and Stress Analysis Yes No The OEM would conduct this analysis

4.3.4 Thermal analysis Yes No The OEM would typically conduct thermal modelling of the unit during the design phase and establish the internal design using unit or LRU drawings for the Subcontractor built to.

4.3.5 Mechanical analysis Yes No The OEM would typically conduct mechanical modelling of the unit during the design phase and establish the internal design using unit or LRU drawings for the Subcontractor built to.

4.3.6 Testing, testability and maintainability

Yes Subcontractor conducts LRU electrical tests to OEM LRU test specifications. The subcontractor stores software and test specifications under configuration control as part of the customer owned specifications and software procedure. Subcontractor may use an OEM test station or dedicated test equipment and store these items as part of their ‘Customer owned equipment’ procedure. (3) AS/EN/JISQ9102 First Article Inspection (FAI)

(1) OEM Test specifications (ATP testing, ESS etc.) and OEM test equipment. (2a) Calibration of test equipment to ISO17025 or national standards. (2b) Storage and maintenance of customer owned equipment, specifications and test software to customer requirements (3) First article inspection to AS/EN/JISQ9102

The OEM would typically create all electrical test specifications and ESS specifications for the unit for the Subcontractor to test the production assembly against. Sometimes the OEM also provides test equipment or a test station. FAI is always required on the first production run prior to shipment.

4.3.7 Avionics radiation environment Yes Subcontractor might conduct component SEE testing to OEM test specifications prior to LRU assembly as defined in the OEM drawings.

OEM atmospheric radiation SEE Test specifications to IEC 62396-2

The OEM would typically conduct atmospheric radiation SEE analysis of the unit during the design phase and might establish SEE test specifications for components used in the design which the subcontractor would work to.

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4.3.8 Management of lead-free termination finish and soldering

Yes Subcontractor assemblies the specific component part numbers as stated in the OEM drawings and asks for permission for the use of any substitutions. Subcontractor uses the agreed solder type and reworks component terminations as defined in OEM drawings using the OEM approved sources. Subcontractor conformally coats the assemblies as defined by the OEM drawings

Subcontractor to assemble the components as defined in the OEM component part numbers or drawings. Lead-free or tin/lead management per IEC TS 62647-1 (or GEIA-STD-0005-1) and IEC TS 62647-2 (or GEIA-STD-0005-2) to tin whisker mitigation level 2B (typical general Avionics level)

The OEM would typically define the acceptable component termination finish for the LRU in their drawings or specific component part numbers for the Subcontractor to purchase and assemble. The subcontractor would have to ask permission of the OEM for any substitutions. The OEM would define any subcontractor component termination rework, for example BGA re-balling using OEM approved sources. The OEM would define the conformal coating type(s) and process

4.3.9 Counterfeited, fraudulent and recycled component avoidance

Yes Yes Agree to not co-mingle stock with any other customer’s stock or their stock or stock from different non-franchised sources

SAE AS5553 (revision C will mandate no co-mingling of stock) SAE AS6496 for franchised distributors IECQ OD3702 Traceability audit for each part of the supply chain, especially for long international supply chains and for when returning surplus stock back to the OEM at the end of the contract.

Subcontractor shall supply their SAE AS5553 plan to the OEM for approval. OEM’s typically only allow the subcontractor to purchase from Franchised SAE AS6496 distributors and do not authorise the subcontractor to buy from non-franchised sources. Where non-franchised buys are required it is typical for the OEM to make the buy themselves using their anti-counterfeit plan instead of the subcontractor and to have the stock shipped directly to the subcontractor.

4.3.10 Moisture and corrosion Yes Storage to prevent excess moisture ingress and corrosion

JESD J-STD-033 for short term storage (for up to life of the moisture barrier bag (MBB) typically 1 to 2 years) and for long term storage thereafter using IEC 62435-1 to -9, in particular, IEC 62435-6 for packaged or finished devices.

The OEM is responsible for the moisture and corrosion component qualification but the Subcontractor is responsible for storage

4.3.11 Additional customer related application requirements

Yes Subcontractor might conduct additional tests using the OEM test specifications during LRU testing

The OEM would typically define the additional requirements in their LRU drawings for the Subcontractor to carry out.

4.4 Component qualification Heading


4.4.2 Minimum component qualification requirements

Yes No OEM’s IEC TS 62239-1 process

4.4.3 Original component manufacturer quality management


4.4.4 Original component manufacturer process management approval


4.4.5 Demonstration of component qualification


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4.4.6 Qualification of components from a supplier that is not qualified

Yes The subcontractor shall request permission of the OEM when there is a need to use another supplier.

The OEM shall work using the original component manufacturer specified in the OEM component drawing or component part number information supplied with the BOM. The Subcontractor shall request permission of the OEM when there is a need to use another supplier. The OEM will be responsible for ECMP approving the alternative supplier.

4.4.7 Distributor process management approval

Yes Yes ISO9120 with a franchised agreement for each manufacturer with full traceability

4.4.8 Subcontractor assembly facility quality and process management approval

Yes Yes AS/EN/JISQ 9100 AS/EN/JISQ 9110 AS/EN/JISQ9102 IEC/TS 62668-1 or SAE AS5553 J-STD-033 ESD IPC J-STD-001 or equivalent IPC 610 ANSI-EIA-649 or equivalent Calibration of test equipment to National Standards or ISO17502 If the subcontract assembly house uses subcontractors, then this assessment scheme shall apply to those subcontractors either as a second party assessment using the templates herein or as part of an IECQ Third party assessment scheme.

4.5 Continuous component quality assurance

Yes Heading

4.5.1 General Quality assurance requirements

Yes

4.5.2 On-going component quality assurance

Yes

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4.5.3 Plan owner in house continuous monitoring

Yes Yes, subcontractor first pass assembly yields and electrical ATP testing failures monitored for component pattern failures which require corrective action

Outgoing assembly quality limits will be defined in OEM’s contract with subcontractor

The OEM will approve the PCB assembly or CCA test plan and/or any ESS testing and equipment and provide details on first pass yield target results required or outgoing quality limits. The OEM typically requests that all assemblies are 100% tested through ESS and ATP testing with no rejects shipped to the OEM. The OEM will also specify the maximum number of rework cycles allowed on the assembly.

4.5.4 Component design and manufacturing process change monitoring

OEM has overall responsibility for managing this to IEC TS 62239-1 but could subcontract this to the Subcontractor

The subcontractor should be under contract to manage PCNs and LTBs and notify the OEM asap.

JESD46 Only the OEM has configuration management authority to make changes to the BOM

4.6 Component dependability Heading


4.6.2 Component availability and associated risk assessment

OEM has overall responsibility for managing this to IEC TS 62239-1 and could either subcontract this to the subcontractor or manage this in addition to LTB information received from the subcontractor

If the subcontractor purchases the components, then they will advise asap if components are unavailable and forward any LTBs urgently for disposition.

It is important that the OEM tracks and manages the subcontractor component availability and risk to ensure continuity of supply. This is to avoid subcontractor buys from Brokers which may result in anti-counterfeit management complications.

4.6.3 Component obsolescence OEM has overall responsibility for managing this to IEC TS 62239-1 and could either subcontract this to the Subcontractor or manage this in addition to LTB information received from the subcontractor

If the subcontractor purchases the components, they will be responsible for forwarding LTBs urgently for disposition to the OEM

To part of IEC 62402 and SAE STD-0016 for reactive obsolescence i.e. LTB notification and LTB order placement) SAE STD-0016

The OQM would typically conduct proactive obsolescence management and subcontract the reactive obsolesce management to the subcontractor

4.6.4 Proactive measures Yes NO The OEM is typically responsible for proactive BOM reviews

4.6.5 Component obsolescence awareness

Yes Shared with OEM OEM has overall responsibility but can ask the subcontractor to share any impending LTB information

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4.6.6 Reporting Yes Subcontractor has responsibility for reporting LTBs and PCNs to the OEM

OEM typically reports to the end customer but requests information from the subcontractor

4.6.7 Semiconductor reliability and wear-out

Yes Subcontractor has responsibility for manufacturing the assembly with no manufacturing defects to the OEM assembly specification

The OEM is responsible for conducting semi-conductor wear out analyses when selecting components for the BOM

4.6.8 Reliability assessment Yes The subcontractor is responsible for minimising assembly workmanship defects

The OEM is responsible for assessing the components reliability and the product reliability during the design

4.7 Component compatibility with the equipment manufacturing process

Yes, the OEM shall audit the Subcontractor’s assembly line and clearly state which types of bulk solder are used in the assembly and if any components require lead-free termination rework.

The subcontractor shall ensure they use the correct bulk solder for solder joints as stated on the OEM’s assembly drawings, understand lead-free component rework requirements and conformally coat all assemblies if requested and store components appropriately, particularly LTB stock with Long term Storage provisions

Typically have a lead-free plan to IEC TS 62647-1 or GEIA-STD-0005-1 to tin whisker level 2B based on the OEM requirements. Control of LTB stock and Long Term Storage provisions following IEC 62435-6 for packaged or finished devices.

The OEM shall define the type of solder to be used and when components require rework to be compatible with the solder type.

4.8 Component data Yes The subcontractor shall maintain the OEM supplied assembly drawing, BOM and related component information (for example latest datasheets) required for buying and assembly processes and request periodic revisions to ensure they always operate to the latest version and are aware of OEM changes.

The OEM should ensure the subcontractor has easy access to their drawings and BOMs for example by easy access to the OEM’s MRP system and Change Management System. Where this is not possible due to security issues, the OEM shall periodically update the subcontractors’ data.


4.8.2 Minimum component data requirements

Yes

4.9 Configuration control Yes Yes, subcontractor shall notify the OEM when a component substitution is required asking permission

ANSI-EIA-649

4.9.1 General

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4.9.2 Alternative components Yes The subcontractor shall notify the OEM when an alternative component substitution is required asking permission

Alternative components shall be approved for the application by the OEM to the OEM’s IEC TS 62239-1 ECMP

4.9.3 Alternative sources Yes The subcontractor shall notify the OEM when an alternative component source is required asking permission

Alternative sources shall be approved for the application by the OEM to the OEM’s IEC TS 62239-1 ECMP

4.9.4 Equipment change documentation Yes ANSI-EIA-649 GEIAHB649A provides guidance

4.9.5 Customer notifications Yes Yes, the subcontractor shall notify the OEM of all proposed BOM changes for approval before they proceed, any counterfeit or recycling issues, any latent defects or false test results etc. impacting the reliability of the assembly, any changes to the assembly line or factory shutdown etc.

Customer notification as specified in customer requirements

4.9.6 Focal organisation Yes Yes, the Subcontractor shall identify an ECMP point of contact for the OEM inquiries

Other requirements

Table 2 – Blank template for IEC TS 62239-1 OEM and Subcontractor roles and responsibilities

Column 1 IEC TS 62239-1 edition 2 2015, clause number

Column 2 IEC TS 62239-1 edition 2 2015,

clause title

Column 3 Responsibility of

the OEM

Column 4 Responsibility of the subcontractor who

manages requirements either at the component

level or the assembly level

Column 5 Standard required

Column 6 General Comments or agreed

Tailoring comments

4 Technical requirements

4.1 General

4.2 Component selection

4.2.1 General

4.2.2 Application conditions for use

4.2.3 Availability and durability

4.2.4 Additional performance

4.2.5 Component identification

4.3 Component application

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4.3.1 General

4.3.2 EMC

4.3.3 Derating and Stress Analysis

4.3.4 Thermal analysis

4.3.5 Mechanical analysis


Yes- AS/EN/JISQ9102 First Article Inspection (FAI)

First article inspection to AS/EN/JISQ9102

FAI is always required on the first production run prior to shipment.

4.3.7 Avionics radiation environment


Lead-free management plan agreement is always required


An agreed anti-counterfeit management plan is always required

4.3.10 Moisture and corrosion


4.4 Component qualification

4.4.1 General







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Yes AS/EN/JISQ 9100 AS/EN/JISQ 9110 AS/EN/JISQ9102 IEC/TS 62668-1 or SAE AS5553 J-STD-033 ESD IPC J-STD-001 or equivalent IPC 610 ANSI-EIA-649 or equivalent Calibration of test equipment to National Standards or ISO17502 If the subcontract assembly house uses subcontractors, then this assessment scheme shall apply to those subcontractors either as a second party assessment using the templates herein or as part of an IECQ Third party assessment scheme.

These minimum requirements per 3.1 are always required.






4.6 Component dependability

4.6.1 General


4.6.3 Component obsolescence

4.6.4 Proactive measures


4.6.6 Reporting For obsolescence

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4.6.8 Reliability assessment


Lead-free management is always required. The minimum requirements apply.

4.8 Component data

4.8.1 General


4.9 Configuration control

4.9.1 General

4.9.2 Alternative components

4.9.3 Alternative sources

4.9.4 Equipment change documentation

4.9.5 Customer notifications

4.9.6 Focal organisation

Other requirements

Table 3 – Minimum OEM requirements

Table 3 Minimum OEM requirements Clause 3.1 requirement

Requirement Record of compliance where applicable Complies with Clause

a A Third Party certified AS/EN/JISQ9100 quality management system and/or AS/EN/JISQ9110

Yes No o o

b First Article inspection capability to AS/EN/JISQ9102

Yes No o o

c An IEC/TS 62668-1 or SAE AS5553 Anti-counterfeit management plan or be working to achieve an agreed plan, where the OEM stock is not ‘co-mingled’ with the subcontractor’s stock. This may be supplemented by an IECQ OD 3702 Traceability audit

Yes No o o

d ESD certification (or as part of the AS/EN/JISQ9100 certificate)

Yes No o o

e Solder reflow process to IPC J-STD-001 or equivalent with trained operators

Yes No o o

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f Appropriate component storage facilities which include JESD J-STD-033 Moisture sensitivity process and IEC 62435-6 for Long Term Storage

Yes No o o

g Configuration management to ANSI-EIA-649 or equivalent

Yes No o o

h The ability to comply with an OEM lead-free or tin/lead solder management process.

Yes No o o

Table 4 – Verification of OEM supplied data to the Subcontractor

This specification clause 3.2 (4)

OEM data to be sent to the Subcontractor Record of compliance where applicable

Complies with Clause

a The contract defining the subcontract activity with the following information needed for the assembly process with instructions defining how periodic updates and changes are communicated to the Subcontractor: OEM name and address Purchase order information Assembly part number, Drawings, BOMs, Component data (i.e. complete component part number and manufacturer).

Yes No o o

b Point of contact and details of business meetings, visits, status reports etc. and reporting of yield or outgoing quality metrics and issues.

Yes No o o

c Specification or instruction for any special assembly processes or requirements.

Yes No o o

d Details for the First Article Inspection report to AS/EN/JISQ9102 Yes No o o

e OEM recommended franchised distributor sources if the OEM allows the subcontractor to purchase components for the assembly

Yes No o o

f Details of free issued stock sent to the Subcontractor from the OEM (for example Last Time Buy stock or special components) and how the surplus stock is to be dispositioned on completion of the contract or brought back into the OEM.

Yes No o o

g Agreement to not ‘co-mingle’ stock from non-franchised distributors or stock from other customers

Yes No o o

h Points of contact for ECMP inquiries and status updates,

i Details of how to request use of alternative components for OEM approval

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with defined timescales

j Details of how component PCNs and LTBs obtained from Procurement during their procurement activities are to be sent to the OEM for disposition.

k A lead-free or tin/lead solder management process to IEC TS 62647-1 (or GEIA-STD-0005-1) and IEC TS 62647-2 (or GEIA-STD-0005-2) to tin whisker mitigation level 2B (typical general Avionics level) defining the solder type, PCB conformal type material, component rework procedures, maximum rework cycles allowed and approved external rework sources and any other requirements (for example special marking etc.)

l Any other agreed requirements

Table 5 – Verification of Subcontractor data requirements sent to the OEM

This specification clause 3.2 (1)

Subcontractor data supplied to the OEM Record of compliance where applicable


a AS/EN/JISQ 9100 and/or AS/EN/JISQ 9110 Third party certificate information and FAI to AS/EN/JISQ 9110

Yes No o o

b AS/EN/JISQ9102 FAI procedure Yes No o o

c IEC/TS 62668-2 or SAE AS5553 anti-counterfeit management plan where the OEM stock is not ‘co-mingled’ with the subcontractor’s stock and optionally IECQ OD3702 Certificate.

Yes No o o

d Lead-free or tin/lead process to the required standard as defined by the OEM

Yes No o o

e List of equipment and capabilities Yes No o o

f ESD certificate if not part of the AS/EN/JISQ 9100 certificate Yes No o o

g MSL handling procedure to J-STD-033 Yes No o o

h Configuration control procedure to ANSI-EIA-649 or equivalent Yes No o o

i Calibration of equipment to ISO17025 or national standards Yes No o o

j Component storage procedure using for example IEC 62435-6 for Long Term Storage

Yes No o o

k PCB assembly or CCA, System or sub-system testing capability (for example ‘bed of nails’ equipment, functional test equipment, dynamic testing capability etc.)

Yes No o o

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l The defined PCB assembly or CCA, System or sub-system testing for the particular purchase order and the test data to be submitted to the OEM for review.

Yes No o o

m Identification of any subcontrators. Yes No o o

Table 6 – Verification of sample PO roles and responsibilities compliance

IEC TS 62239-1 clause #

Heading Subcontractor responsibility?

Tailoring requirements?

Details of part number selected,

PO etc.

Record of compliance where applicable


4 Technical requirements

Yes No o o

4.1 General

Yes No o o

4.2 Component selection

Yes No o o

4.2.1 General

Yes No o o

4.2.2 Application conditions for use

Yes No o o

4.2.3 Availability and durability

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PO etc.



4.2.4 Additional performance

Yes No o o

4.2.5 Component identification

4.3 Component application Yes No o o

4.3.1 General

4.3.2 EMC

4.3.3 Derating and Stress Analysis

4.3.4 Thermal analysis

Yes No o o

4.3.5 Mechanical analysis


4.3.7 Avionics radiation environment


N/A Yes No o o


N/A Yes No

o o

4.3.10 Moisture and corrosion

Yes No o o


Yes No

o o

4.4 Component qualification

Yes No o o

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PO etc.



4.4.1 General

Yes No o o


Yes No

o o


Yes No o o


Yes No

o o


Yes No o o


Yes No o o


Yes No o o


If the subcontract assembly house uses subcontractors, then this assessment scheme shall apply to those subcontractors either as a second party assessment using the templates herein or as part of an IECQ Third party assessment scheme.

N/A Yes No o o


Yes No o o

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PO etc.




Yes No o o


Yes No o o


Yes No o o


4.6 Component dependability

4.6.1 General


4.6.3 Component obsolescence

4.6.4 Proactive measures


4.6.6 Reporting


4.6.8 Reliability assessment


4.8 Component data

4.8.1 General


4.9 Configuration control

4.9.1 General

4.9.2 Alternative components

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PO etc.



4.9.3 Alternative sources

4.9.4 Equipment change documentation

4.9.5 Customer notifications

4.9.6 Focal organisation

Other requirements

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Annex A – Referenced external standards

Table A.1- International standards

Standard

Title Appropriate for:

IEC TS 62239-1 Process management for avionics – Management plan – Part 1: Preparation and maintenance of an electronic components management plan

Suitable for Avionics OEMs and their subcontractors operating to AS/EN/JISQ9100 or AS/EN/JISQ9110

IEC TS 62668-1 Process management for avionics - Counterfeit prevention - Part 1: Avoiding the use of counterfeit, fraudulent and recycled electronic components

Suitable for Avionics OEMs and their subcontractors operating to AS/EN/JISQ9100 or JISQ/EN/JISQ9110. Allows the use of SAE AS5553 plans for the management of components coming into an OEM or a subcontractor

IECQ OD3702 IECQ Counterfeit Avoidance Programme Assessment, Evidence of Compliance Summary and Assessment Reporting Form – Anti-counterfeit Traceability audit for any industry segment

Traceability audit suitable for auditing components received or sent, to or from any level of a supply chain

AS/EN/JISQ9100

AS/EN/JISQ9102

SAE AS55531 Fraudulent/Counterfeit Electronic Parts; Avoidance, Detection, Mitigation and Disposition

OEMs and subcontractors who assembly electronic assemblies, whereby they create an anti-counterfeit plan with mandatory requirements stating how they mitigate receiving counterfeit electrical components into their organisation

SAE AS60812 Fraudulent/Counterfeit Electronic Parts: Avoidance, Detection, Mitigation and Disposition – Distributors Counterfeit Electronic parts; Avoidance Protocol, Distributors

Non-franchised distributors who sell electronic components. The minimum testing is: visual inspection, X-ray, DPA, marking inspection. This can be supplemented with electrical testing etc. as required depending on risk. SAE AS6081 offered components may be fully traceable or untraceable back to the original manufacturer

SAE AS61713 Test Methods Standard: Counterfeit Electronic Parts Exhaustive list of rigorous anti-counterfeit test methods for high reliability industries

J-STD-033 Handling, Packing,. Shipping and Use of. Moisture/Reflow. Sensitive Surface.

1 Reprinted with permission from the published version of SAE document AS5553 (c) 2016 SAE International.



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