SIST EN 60368-4:2002

SLOVENSKI SIST EN 60368-4:2002
prva izdaja
STANDARD
september 2002
Piezoelectric filters of assessed quality - Part 4: Sectional specification - Capability
approval (IEC 60368-4:2000)
ICS 31.140; 31.160 Referenčna številka
SIST EN 60368-4:2002(en)
©  Standard je založil in izdal Slovenski inštitut za standardizacijo. Razmnoževanje ali kopiranje celote ali delov tega dokumenta ni dovoljeno

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EUROPEAN STANDARD EN 60368-4
NORME EUROPÉENNE
EUROPÄISCHE NORM December 2000

ICS 31.140


English version


Piezoelectric filters of assessed quality
Part 4: Sectional specification -
Capability approval
(IEC 60368-4:2000)


Filtres piézoélectriques sous  Piezoelektrische Filter mit
assurance de la qualité bewerteter Qualität
Partie 4: Spécification intermédiaire - Teil 4: Rahmenspezifikation -
Agrément de savoir-faire Befähigungsanerkennung
(CEI 60368-4:2000) (IEC 60368-4:2000)






This European Standard was approved by CENELEC on 2000-09-01. CENELEC members are bound to
comply with the CEN/CENELEC Internal Regulations which stipulate the conditions for giving this European
Standard the status of a national standard without any alteration.

Up-to-date lists and bibliographical references concerning such national standards may be obtained on
application to the Central Secretariat or to any CENELEC member.

This European Standard exists in three official versions (English, French, German). A version in any other
language made by translation under the responsibility of a CENELEC member into its own language and
notified to the Central Secretariat has the same status as the official versions.

CENELEC members are the national electrotechnical committees of Austria, Belgium, Czech Republic,
Denmark, Finland, France, Germany, Greece, Iceland, Ireland, Italy, Luxembourg, Netherlands, Norway,
Portugal, Spain, Sweden, Switzerland and United Kingdom.


CENELEC
European Committee for Electrotechnical Standardization
Comité Européen de Normalisation Electrotechnique
Europäisches Komitee für Elektrotechnische Normung

Central Secretariat: rue de Stassart 35, B - 1050 Brussels


© 2000 CENELEC - All rights of exploitation in any form and by any means reserved worldwide for CENELEC members.

  Ref. No. EN 60368-4:2000 E

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Page 2
EN 60368-4:2000
Foreword
The text of document 49/459/FDIS, future edition 1 of IEC 60368-4, prepared by IEC TC 49, Piezoelectric
and dielectric devices for frequency control and selection, was submitted to the IEC-CENELEC parallel
vote and was approved by CENELEC as EN 60368-4 on 2000-09-01.
The following dates were fixed:
– latest date by which the EN has to be implemented
at national level by publication of an identical
national standard or by endorsement (dop) 2001-06-01
– latest date by which the national standards conflicting
with the EN have to be withdrawn (dow) 2003-09-01

Annexes designated "normative" are part of the body of the standard.
In this standard, annexes A, B, C and ZA are normative.
Annex ZA has been added by CENELEC.
__________
Endorsement notice
The text of the International Standard IEC 60368-4:2000 was approved by CENELEC as a European
Standard without any modification.
__________

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Page 3
EN 60368-4:2000
Annex ZA
(normative)

Normative references to international publications
with their corresponding European publications
This European Standard incorporates by dated or undated reference, provisions from other publications.
These normative references are cited at the appropriate places in the text and the publications are listed
hereafter. For dated references, subsequent amendments to or revisions of any of these publications
apply to this European Standard only when incorporated in it by amendment or revision. For undated
references the latest edition of the publication referred to applies (including amendments).
NOTE When an international publication has been modified by common modifications, indicated by (mod), the relevant EN/HD
applies.
Publication Year Title EN/HD Year
IEC 60368-1 2000 Piezoelectric filters of assessed quality EN 60368-1 2000
Part 1: Generic specification

IEC 60368-4-1 2000 Part 4-1: Blank detail specification - EN 60368-4-1 2000
Capability approval

IEC 61178-1 1993 Quartz crystal units - A specification in the - -
IEC Quality Assessment System for
electronic Components (IECQ)
Part 1: Generic specification

IEC QC 001002-3 1998 IEC Quality Assessment System for - -
Electronic Components (IECQ) - Basic rules
Part 3: Approval procedures

IEC QC 001005 Register of firms, products and services - -
approved under the IECQ System including
ISO 9000

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NORME
CEI
INTERNATIONALE IEC
60368-4
INTERNATIONAL
QC 640100
STANDARD
Première édition
First edition
2000-08
Filtres piézoélectriques sous assurance
de la qualité –
Partie 4:
Spécification intermédiaire –
Agrément de savoir-faire
Piezoelectric filters of assessed quality –
Part 4:
Sectional specification –
Capability approval
© IEC 2000 Droits de reproduction réservés ⎯ Copyright - all rights reserved
Aucune partie de cette publication ne peut être reproduite ni No part of this publication may be reproduced or utilized in
utilisée sous quelque forme que ce soit et par aucun procédé, any form or by any means, electronic or mechanical,
électronique ou mécanique, y compris la photocopie et les including photocopying and microfilm, without permission in
microfilms, sans l'accord écrit de l'éditeur. writing from the publisher.
International Electrotechnical Commission 3, rue de Varembé Geneva, Switzerland
Telefax: +41 22 919 0300 e-mail: inmail@iec.ch IEC web site http://www.iec.ch
CODE PRIX
Commission Electrotechnique Internationale
U
PRICE CODE
International Electrotechnical Commission
Pour prix, voir catalogue en vigueur
For price, see current catalogue

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60368-4 © IEC:2000 – 3 –
CONTENTS
Page
FOREWORD . 7
Clause
1 General. 11
1.1 Scope . 11
1.2 Normative references. 11
2 Preferred values for ratings and guidance on detail specifications. 13
2.1 Preferred values for ratings and characteristics . 13
2.2 Information to be prescribed in detail specifications . 13
2.2.1 Outline drawing and dimensions . 13
2.2.2 Marking. 13
2.2.3 Ordering information. 13
2.2.4 Additional information (not for inspection purposes) . 15
3 Capability approval. 15
3.1 Eligibility for capability approval. 15
3.2 Structural similarity . 15
3.3 Procedures for capability approval. 15
3.3.1 General. 15
3.3.2 Application for capability approval. 15
3.3.3 Granting of capability approval . 15
3.4 Capability manual. 17
3.5 Capability qualifying components (CQC). 17
3.5.1 Processes . 19
3.5.2 Boundaries. 19
3.6 Inspection requirements for CQCs. 21
3.7 Programme for capability approval . 21
3.8 Capability approval report. 21
3.9 Abstract of description of capability . 21
3.10 Modifications likely to affect the capability approval . 21
3.11 Initial capability approval . 21
3.11.1 Procedure in the event of CQC failures. 23
3.11.2 General plan for the selection of CQCs. 23
3.11.3 Process CQC test plans . 27
3.11.4 Process/boundary CQC test plans . 33
3.11.5 Boundary CQC test plans for piezoelectric filter design and performance . 35
3.12 Maintenance of capability approval . 45
3.13 Rework and repair work. 47
3.13.1 Rework . 47
3.13.2 Repair work. 47
3.14 Quality conformance inspection. 49
3.14.1 General. 49
3.14.2 Custom-built piezoelectric filters . 49
3.14.3 Standard catalogue items . 49
3.15 Screening procedures . 49
4 Test and measurement procedures . 49

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60368-4 © IEC:2000 – 5 –
Page
Annex A (normative) Example layout of an abstract of description of capability. 51
Annex B (normative) Layout of the front page of a CQC specification for process control. 53
Annex C (normative) Layout of the front page of a CQC specification to demonstrate
boundary or limit. . 55
Figure 1 – Selection of CQCs – All methods of construction . 25
Figure 2 – Test plan for deposition of electrode material CQCs . 27
Figure 3 – Test plan for bonding CQCs . 29
Figure 4 – Test plan for frequency adjustment CQCs . 29
Figure 5 – Test plan for frequency alignment CQCs (monolithic multiple pole
resonators only). . 31
Figure 6 – Test plan for component assembly CQCs . 31
Figure 7 – Test plan for alignment CQCs . 33
Figure 8 – Test plan for enclosure CQCs . 35
Figure 9 – Test plan for mounting CQCs . 35
Figure 10 – Test plan for filter design and performance. 37
Figure 11 – Test plan for climatic performance CQCs . 37
Table 1 – Test schedule for initial capability approval . 39
Table 2 – Periodic tests for maintenance of capability approvals . 47

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60368-4 © IEC:2000 – 7 –
INTERNATIONAL ELECTROTECHNICAL COMMISSION
____________
PIEZOELECTRIC FILTERS OF ASSESSED QUALITY –
Part 4: Sectional specification –
Capability approval
FOREWORD
1) The IEC (International Electrotechnical Commission) is a worldwide organization for standardization comprising
all national electrotechnical committees (IEC National Committees). The object of the IEC is to promote
international co-operation on all questions concerning standardization in the electrical and electronic fields. To
this end and in addition to other activities, the IEC publishes International Standards. Their preparation is
entrusted to technical committees; any IEC National Committee interested in the subject dealt with may
participate in this preparatory work. International, governmental and non-governmental organizations liaising
with the IEC also participate in this preparation. The IEC collaborates closely with the International Organization
for Standardization (ISO) in accordance with conditions determined by agreement between the two
organizations.
2) The formal decisions or agreements of the IEC on technical matters express, as nearly as possible, an
international consensus of opinion on the relevant subjects since each technical committee has representation
from all interested National Committees.
3) The documents produced have the form of recommendations for international use and are published in the form
of standards, technical specifications, technical reports or guides and they are accepted by the National
Committees in that sense.
4) In order to promote international unification, IEC National Committees undertake to apply IEC International
Standards transparently to the maximum extent possible in their national and regional standards. Any
divergence between the IEC Standard and the corresponding national or regional standard shall be clearly
indicated in the latter.
5) The IEC provides no marking procedure to indicate its approval and cannot be rendered responsible for any
equipment declared to be in conformity with one of its standards.
6) Attention is drawn to the possibility that some of the elements of this International Standard may be the subject
of patent rights. The IEC shall not be held responsible for identifying any or all such patent rights.
International Standard IEC 60368-4 has been prepared by IEC technical committee 49:
Piezoelectric and dielectric devices for frequency control and selection.
The text of this standard is based on the following documents:
FDIS Report on voting
49/459/FDIS 49/470/RVD
Full information on the voting for the approval of this standard can be found in the report on
voting indicated in the above table.
This publication has been drafted in accordance with the ISO/IEC Directives, Part 3.
It forms part 4 of a series of standards for piezoelectric filters of assessed quality and
constitutes the sectional specification – Capability approval.

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60368-4 © IEC:2000 – 9 –
IEC 60368 consists of the following parts under the general title: Piezoelectric filters of
assessed quality:
– Part 1: Generic specification
– Part 2: Guide to the use of piezoelectric filters – Section One: Quartz crystal filters
– Part 2: Guide to the use of piezoelectric filters – Section 2: Piezoelectric ceramic filters
– Part 3: Standard outlines
– Part 4: Sectional specification – Capability approval
– Part 4-1: Blank detail specification – Capability approval
The QC number which appears on the front cover of this publication is the specification number
in the IEC Quality Assessment System for Electronic Components (IECQ).
Annexes A, B, and C form an integral part of this standard.
The committee has decided that the contents of this publication will remain unchanged
until 2005. At this date, the publication will be
 reconfirmed;
 withdrawn;
 replaced by a revised edition, or
 amended.

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60368-4 © IEC:2000 – 11 –
PIEZOELECTRIC FILTERS OF ASSESSED QUALITY –
Part 4: Sectional specification –
Capability approval
1 General
1.1 Scope
This part of IEC 60368 applies to piezoelectric filters as custom-built products or as standard
catalogue items whose quality is assessed on the basis of capability approval.
It prescribes the preferred ratings and characteristics, with appropriate tests and measuring
methods contained in the generic specification, IEC 60368-1, and gives the general perform-
ance requirements to be used in detail specifications for piezoelectric filters.
The concept of preferred values is directly applicable to standard catalogue items, but does not
necessarily apply to custom-built products.
1.2 Normative references
The following normative documents contain provisions which, through reference in this text,
constitute provisions of this International Standard. For dated references, subsequent
amendments to, or revisions of, any of these publications do not apply. However, parties to
agreements based on this International Standard are encouraged to investigate the possibility
of applying the most recent editions of the normative documents indicated below. For undated
references, the latest edition of the normative document referred to applies. Members of IEC
and ISO maintain registers of currently valid International Standards.
IEC 60368-1:2000, Piezoelectric filters of assessed quality – Part 1: Generic specification
IEC 60368-4-1:2000, Piezoelectric filters of assessed quality – Part 4-1: Blank detail speci-
fication – Capability approval
IEC 61178-1:1993, Quartz crystal units – Specification in the IEC Quality Assessment System
for Electronic Components (IECQ) – Part 1: Generic specification
IEC QC 001002-3:1998, IEC Quality Assessment System for Electronic Components (IECQ) –
Rules of Procedure – Part 3: Approval procedures
IEC QC 001005, Register of Firms, Products and Services approved under the IECQ System,
including ISO 9000

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60368-4 © IEC:2000 – 13 –
2 Preferred values for ratings and guidance on detail specifications
2.1 Preferred values for ratings and characteristics
The values given in detail specifications shall preferably be selected from those stated in 2.3
of IEC 60368-1.
2.2 Information to be prescribed in detail specifications
(Applies to both custom-built and standard catalogue items.)
Guidance on the preparation of detail specifications is given in the blank detail specification,
IEC 60368-4-1.
Each detail specification shall state all the tests and measurements required for inspection. For
standard catalogue items this shall, as a minimum, include the relevant tests given in the blank
detail specification, with methods and severities.
The following information shall be given in each detail specification.
2.2.1 Outline drawing and dimensions
The detail specification shall include a dimensional drawing of the piezoelectric filter and/or
reference to an appropriate international standard in order to permit easy recognition and to
provide information for dimensioning and gauging procedures.
The dimensions shall include the overall dimensions of the body of the component as well as
the size and spacing of the terminations. All dimensions shall be stated in millimetres.
Terminal connections shall be identified for all enclosures.
When a detail specification covers more than one enclosure, the dimensions and their
associated tolerances shall be placed in a table below the drawing.
When the configuration is other than described above, the detail specification shall state such
dimensional information as will adequately describe the piezoelectric filter.
2.2.2 Marking
The detail specification shall prescribe the content of the marking on the piezoelectric filter and
on the primary package in accordance with 2.4 of IEC 60368-1.
2.2.3 Ordering information
The detail specification shall prescribe that the following information is required when ordering
a piezoelectric filter:
a) quantity;
b) detail specification number, issue number and date, and where applicable;
c) nominal frequency in kilohertz or megahertz;
d) full description of any additional requirements to identify the piezoelectric filter.

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60368-4 © IEC:2000 – 15 –
2.2.4 Additional information (not for inspection purposes)
The detail specification may include information which is not normally required to be verified by
the inspection procedure, such as circuit diagrams, curves, drawings and notes needed for
clarification.
3 Capability approval
3.1 Eligibility for capability approval
Prior to making an application for capability approval a manufacturer shall first obtain
manufacturer's approval in accordance with clause 2 of IEC QC 001002-3.
The primary stage of manufacture shall be as defined in 3.1 of IEC 60368-1.
3.2 Structural similarity
Structural similarity is not applicable to capability approval. However, it is applicable to
released lots as defined in 3.14.1 of this specification.
3.3 Procedures for capability approval
3.3.1 General
Capability approval in piezoelectric filter technology covers
– the complete design, material preparation and manufacturing techniques, including control
processes and tests;
– the performance limits claimed for the processes and products, that is, those specified for
the capability qualifying components (CQCs);
– the range of mechanical structures for which approval is granted.
3.3.2 Application for capability approval
In order to obtain capability approval the manufacturer shall apply the rules of procedure given
in clause 4 of IEC QC 001002-3.
In an application for capability approval the manufacturer shall define the boundaries of the
capability for which approval is sought in accordance with 3.5 of this specification.
3.3.3 Granting of capability approval
Capability approval shall be granted when the manufacturer has
– prepared a capability manual describing the capability for which he wishes to be approved,
to the satisfaction of the National Supervising Inspectorate (NSI);
– agreed with the NSI on the range of CQCs, as defined in 4.1 of IEC QC 001002-3, to be
used for the assessment of the capability;
– successfully demonstrated that he can design and manufacture components which satisfy
the requirements of this sectional specification, within the limits of this capability;
– prepared a capability approval test report to the satisfaction of the NSI.

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60368-4 © IEC:2000 – 17 –
3.4 Capability manual
The manufacturer shall prepare a manual describing his capability (see 4.2.5 of IEC
QC 001002-3), in relation to the technologies involved.
The manual shall be approved by the NSI who shall ensure that it is a true and complete record
of procedures carried out by the manufacturer during the design, production, testing, inspection,
and release of its products. The manual is a confidential commercial document.
The manual shall include, as a minimum, the following:
– a general introduction and description of the technologies involved;
– aspects of customer liaison including provisions of design rules (if appropriate), and
assistance to customers in the formulation of their requirements;
– a detailed description of the design rules to be used;
– the procedure for checking that the design rules are complied with for piezoelectric filters
manufactured to a detail specification;
– a list of all materials used, with references to the corresponding purchasing specifications
and goods inward inspection;
– a flow chart for the total process showing quality control points and permitted rework loops
and containing references to all process and quality control procedures;
– a declaration of processes for which approval has been sought in accordance with 3.5.1;
– a declaration of boundaries for which approval has been sought in accordance with 3.5.2;
– a list of capability qualifying components (CQCs) used to assess the capability, with a
general description of each, supported by a detailed table showing where the declared
boundaries of capability are demonstrated by a particular CQC design;
– a detail specification for each CQC. These shall be produced to the satisfaction of the NSI
(see annexes B and C).
3.5 Capability qualifying components (CQC)
There are basic methods of construction of piezoelectric filters which include
a) leaded component techniques, comprising assembly of wire leaded components in printed
circuit board (PCB) laminates;
b) surface mounting techniques, comprising assembly of components designed for surface
mounting;
c) thick and thin film techniques, comprising assembly of components in either thick or thin
film on substrates;
d) monolithic techniques, comprising assembly of one or more monolithic multiple pole
resonators.
These methods of construction, or combinations thereof, may incorporate either sealed crystal
units or unencapsulated crystal units. These methods are not exclusive but if other methods of
construction are to be used then the appropriate CQCs shall be defined in agreement with
the NSI.

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60368-4 © IEC:2000 – 19 –
The manufacturer shall agree with the NSI on the range of capability qualifying components,
selected in accordance with the general plan (see 3.11.2) specified in the capability manual.
The CQCs shall comply with the following requirements:
a) the range of CQCs used shall cover all the processes, component types and limits of the
declared capability;
b) the CQCs shall be one of the following:
– test pieces, designed for assessment of a process or range of processes, or
– piezoelectric filter in production, or
– a combination of both of these, provided the requirements of a) are met.
When CQCs are designed and produced solely for capability approval, the manufacturer shall
satisfy the NSI that the same design rules, materials, and manufacturing processes will be
applied to released products.
The CQC specifications may refer to internal control documentation which specifies production
testing and recording in order to demonstrate control and maintenance of processes and
boundaries.
3.5.1 Processes
The CQC specifications shall include the following processes to be assessed. This list is not
exclusive:
– deposition of electrode material on the crystal blank (see 3.11.3.1);
– bonding of the crystal resonator to the mounting (see 3.11.3.2);
– frequency adjustment or alignment (see 3.11.3.3 or 3.11.3.4);
NOTE  The above apply only when a monolithic multiple pole resonator or an unencapsulated resonator is used.
– enclosure (for multiple pole resonators only) (see 3.11.4.1);
– component assembly (see 3.11.3.5);
– filter alignment (see 3.11.3.6);
– sealing of enclosure (see 3.11.4.1);
– durability of marking (see 3.11.4.1).
3.5.2 Boundaries
CQCs shall demonstrate a set of boundaries which shall include the following:
– frequency range(s) (see 3.11.5.1);
– pass bandwidth (see 3.11.5.1);
– stop bandwidth (see 3.11.5.1);
– temperature range (see 3.11.5.1);
– climatic category (see 3.11.5.2);
– enclosure (see 3.11.4.1);
– mechanical test severities (see 3.11.4.2).
This list is not exclusive. Where additional boundaries are claimed, these shall be covered by
one or more CQCs.

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60368-4 © IEC:2000 – 21 –
3.6 Inspection requirements for CQCs
The inspection requirements for CQCs shall be contained in the CQC detail specifications
together with environmental tests, measurements, severities and end-point limits, where
appropriate (see 3.11). Where possible, the tests applied to CQCs shall be selected from
clause 4 of IEC 60368-1.
For capability approval and the subsequent maintenance of that approval, the inspection
requirements shall ensure that processes and design features meet the declared capability.
3.7 Programme for capability approval
The manufacturer shall prepare a programme for the assessment of the declared capability to
the satisfaction of the NSI. This programme shall be designed so that each declared boundary
condition is verified by the appropriate CQC.
The programme shall contain the following:
– a bar chart or other means of showing the proposed timetable for the approval exercise;
– details of all the CQCs to be used with references to their detail specifications;
– a chart showing the features to be demonstrated by each CQC.
3.8 Capability approval report
The report shall contain the following information:
– the issue number and date of the ca
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