U NIQUE ID ENTIFICATION (UID) Unique Identification (UID) of Items Defense Acquisition University March 2004.

UNIQUE IDENTIFICATION (UID)

Unique Identification (UID)of Items

Defense Acquisition University March 2004

2

Agenda

Overview of UID Program Contracting for UID The UID Mark Marking Items Capturing and Using UID Data Bottom Line Resources

“Unique identification is the ability to physically distinguish one item from another…We view a unique identifier as a set of data for assets that:

• is globally unique and unambiguous• ensures data integrity and data quality throughout life• supports multi-faceted business applications and users”

3Financial Management

2132020.00000 5X-6X20 123456.00000 662G 25POLI P68EY78945J123 POLI25 123456

Lines of Accounting

2132020.00000 5X-6X20 123456.00000 662G 25POLI P68EY78945J145 POLI25 123456

DoD Budget Submission

Appropriations

Total Government Contractor Total Government Contractor

14-Aug-00 60 60 - 100 100 - 16-Oct-00 118 118 - 955 955 - 1-Nov-00 165 165 - 1,160 1,160 - 1-Dec-00 246 246 - 1,631 1,631 -

21-Dec-00 543 310 233 1,721 1,721 - 25-Jan-01 840 449 391 2,900 2,900 - 5-Feb-01 941 465 476 3,624 3,624 - 1-Mar-01 1,225 549 676 6,928 6,050 878

29-Mar-01 1,504 678 826 9,827 8,787 1,040 4-May-01 1,766 800 966 11,504 10,328 1,176

11-Jun-01 2,130 890 1,240 13,000 11,648 1,352 6-Jul-01 2,326 979 1,347 14,356 12,864 1,492

3-Aug-01 2,757 1,056 1,701 16,234 14,536 1,698 31-Aug-01 3,136 1,083 2,053 18,199 16,182 2,017

5-Oct-01 3,595 1,150 2,445 19,902 17,357 2,545 2-Nov-01 3,985 1,214 2,771 21,558 18,791 2,767 7-Dec-01 4,481 1,265 3,216 23,373 20,245 3,128 4-Jan-02 4,695 1,237 3,458 24,122 20,840 3,282 1-Feb-02 5,109 1,212 3,897 25,964 22,232 3,732 1-Mar-02 5,515 1,216 4,299 29,541 25,626 3,915 5-Apr-02 6,132 1,325 4,807 32,652 28,392 4,260

Users Assessments Retrieved

Commitment

Total Government Contractor Total Government Contractor

14-Aug-00 60 60 - 100 100 - 16-Oct-00 118 118 - 955 955 - 1-Nov-00 165 165 - 1,160 1,160 - 1-Dec-00 246 246 - 1,631 1,631 -

21-Dec-00 543 310 233 1,721 1,721 - 25-Jan-01 840 449 391 2,900 2,900 - 5-Feb-01 941 465 476 3,624 3,624 - 1-Mar-01 1,225 549 676 6,928 6,050 878

29-Mar-01 1,504 678 826 9,827 8,787 1,040 4-May-01 1,766 800 966 11,504 10,328 1,176

11-Jun-01 2,130 890 1,240 13,000 11,648 1,352 6-Jul-01 2,326 979 1,347 14,356 12,864 1,492

3-Aug-01 2,757 1,056 1,701 16,234 14,536 1,698 31-Aug-01 3,136 1,083 2,053 18,199 16,182 2,017

5-Oct-01 3,595 1,150 2,445 19,902 17,357 2,545 2-Nov-01 3,985 1,214 2,771 21,558 18,791 2,767 7-Dec-01 4,481 1,265 3,216 23,373 20,245 3,128 4-Jan-02 4,695 1,237 3,458 24,122 20,840 3,282 1-Feb-02 5,109 1,212 3,897 25,964 22,232 3,732 1-Mar-02 5,515 1,216 4,299 29,541 25,626 3,915 5-Apr-02 6,132 1,325 4,807 32,652 28,392 4,260

Users Assessments Retrieved

Obligation

Expenditure Property, Logistics, and Transportation

Requirement

Contract

Need

Inspection

Delivered Item

Acceptance

Line Item

Requisition

Shipping Notice

Transportation

Receiving

Property Log

Enterprise UID Digital Data Flow Potential

Acquisition

4

To implement a policy establishing a strategic imperative for uniquely identifying tangible items relying to the maximum extent practical on international standards and commercial item markings and while not imposing unique government data requirements.

Uniquely identified (UID) tangible items will facilitate item tracking in DoD business systems and provide reliable and accurate data for management, financial, accountability and asset management purposes.

DoD Vision for Item Marking

Effective 1 January 04 Mandatory for Solicitations

5

Unique IDentification (UID) is….

UID is . . .. . . the set of data for tangible assets that is globally unique and unambiguous, ensures data integrity and data quality throughout life, and supports multi-faceted business applications and users.

EID (12V)194532636

Orig. Part No. (1P)1234

Serial No. (S)786950

6

What is the UID Lifecycle?

Require – DoD contracts reflect the requirement for part marks to include UID data elements for all items which require unique identification

Create/Generate – Industry suppliers/manufacturers throughout supply chain assign and apply UID data elements and ensure the uniqueness of the component data elements

Capture – DoD establishes the “birth” record of the UID by capturing the machine/human readable component data elements to create the UID in the AIT/AIS

Use – Functional stakeholders use UID as a primary or alternate key in the AIS to access or update item information based on its UID

Dispose – DoD/GSA records the “termination” of the UID at time of item disposal

UID

7

UID Lifecycle & Interface Flow

Require

Create & Generate

Capture

Use

8

Who Does What – When?

Determine Need for Unique

Identifier

Issue Solicitation and Award

Contract with DFARS Clause

252.211-7003, UID/Valuation Requirement

Contractor Places UID

Marking on the Item and Prepares Material

Inspection & Receiving

Report (MIRR)

Contractor Includes

UID/Valuation Information on

MIRR and submits to UID

Registry via WAWF*

*Contractor May Submit UID/Valuation Information to UID Registry via Other Electronic Means After Government Inspection and Acceptance

http://www.acq.osd.mil/uid/data_submission.html

Government QAR Inspects & Accepts

Contracting Officer

issues any necessary

modifications (e.g.,

definitization)

Requiring Requiring ActivityActivity

Procuring Procuring Contracting Contracting

OfficerOfficer

Procuring or Procuring or Administrative Administrative

Contracting Contracting OfficerOfficer ContractorContractor ContractorContractor DCMA QARDCMA QAR

Acquisition ProcessAcquisition Process

9

Enhance the Business EnterpriseArchitecture

Clean Audit Opinions on Property, Plant and Equipment & Operating Materials and Supplies

UID Role - Business Enterprise Architecture

Enhance Total Asset Visibility

Improve Life-Cycle Item Management and Accountability

10

DoD considers the implementation of unique identification to be a strategic imperative, necessary to efficiently move supplies to warfighters. UID will:

Enhance logistics, contracting, and financial business transactions supporting U.S. and coalition troops

Enable DoD to consistently capture the value of items it buys, control these items during their use, reduce operating costs and combat counterfeiting of parts

Enable DoD to make appropriate entries into its property accountability, inventory, and financial management information systems toward achieving compliance with the Chief Financial Officers Act.

Increase business intelligence

Achieve clean audit opinion

Increase systems/equipment operational availability

Lower costs of managing and ownership of assets

Lower asset management infrastructure costs

UID Strategic Outcomes

UID Payoffs

11

• UID Joint Requirements Implementation Board (JRIB)• Collaborative means for communicating, educating, and expediting UID

implementation• Provides recommendations to Acting USD (AT&L) and the Domain Owners

Integration Team for decision making as necessary• JRIB Working Groups: ISO Standards, DFARS, Business Rules

Integration, UID/Systems Engineering, AIS Technical Interface (TIWG), Inspection & Acceptance, UID/RFID, UID/Performance Based Logistics

• Others will be established

• References• USD (AT&L) Policy Memoranda of July 29, Nov 26, Dec 22, 2003

• Unique Identification (UID) of Tangible Items• MIL-STD-130L of 10 October 2003• DFARS Second Interim Rule effective Jan 1, 2004• DoD Guide to Uniquely Identifying Items

• Latest version at http://www.acq.osd.mil/uid

UID JRIB & References

12

Agenda

Overview of UID Program Contracting for UID The UID Mark Marking Items Capturing and Using UID Data Bottom Line Resources

“Unique identification is the ability to physically distinguish one item from another…We view a unique identifier as a set of data for assets that:

• is globally unique and unambiguous• ensures data integrity and data quality throughout life• supports multi-faceted business applications and users”

13

DFARS INTERIM RULE

Title: Item Identification and Valuation Scope: Adds Section 211.274 through 211.274-3 to

Part 211 1ST Interim Rule – 10 Oct 03 2ND Interim rule – 30 Dec 03

– Incorporate Public Comments Received on 1ST

– Effective January 1, 2004

Final Rule Projected for June 04

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DFARS Rule Walkthrough

DFARS 211.274-1 Item Identification = What needs a UID– Items >/= $5,000– Items < $5,000 as directed by requiring activity – Subassemblies, components and embedded items– Commonly accepted commercial marks

DFARS 211.274-2 Government’s Unit Acquisition Cost– Applies to all items delivered regardless of dollar value– For fixed price type items – unit price identified at time of delivery– For cost type line items – estimated fully burdened unit cost to the

Government for each item at the time of delivery– Valuation data not required for subassemblies, components and parts

embedded DFARS 211.274-3 Contract Clause

– Hardware – Fill-ins

Clause 252.211-7003 Implements UID Requirement

15

Require the UID

Which Items Require a Unique Identifier (UID)?

14

16

EI 194532636PN 200H0028SN 003896*

Item Markings

EI 083949107PN 218H2861SN 105742*

Item Markings

Item Markings

EI 040535536PN 210H0611SN 006392*

EI 080907280PN 216H1439SN 020890*

Prime

Tier 1

Tier 2

Tier 3

Enterprise

Supply Chain Unique Items Product Data

End Item Specs

Subassembly Specs

Component Specs

Part Specs

PN 210H0611

PN 200H0028

PN 216H1439

PN 218H2861

Item Markings

UN080907280216H1439020890

Delivery to Govt

List of Hardware

UIDs

List of Hardware

UIDs

UID **

UN194532636200H0028003896

UN040535536210H0611006392

UN083949107218H2861105742

List ofHardware

UIDs

Delivery to Govt

Delivery to Govt

Delivery to Govt

(Optional)

(Optional)

(Optional)

Spares

Spares

Spares

End Item

UID = Unique Identifier; EI = Enterprise IdentifierPN = Part Number; SN = Serial Number

* Serialized within the part number using DUNS

**UN = Issuing Agency Code for DUNS

UID in Systems Acquisition

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All items delivered to the Department will be delivered under a CLIN, SubCLIN, or ELIN.

– Modifications may have to be issued to add CLINs, SubCLINs, or ELINs if additional deliverables are identified during contract performance.

Contractors provide DoD unique item identification, or unique identification equivalent for:

– All items for which the Government’s unit acquisition cost (valuation) is >= $5,000;

– Items identified in DFARS 252.211-7003(c)(1)(ii) – Subassemblies, components, and parts embedded within items as specified

in an Exhibit or CDRL Valuation reporting (Government’s Unit Acquisition Cost) at time of

delivery, as part of the Material Inspection and Receiving Report (MIRR), for all items delivered to the Government.

– Valuation for Fixed Price Items is the unit price identified in the contract at the time of delivery.

– Valuation for Cost Type Items is the Contractor’s estimated fully burdened unit cost to the Government for each item at the time of delivery

Contractors to include Item Marking in subcontracts.

Item Identification and Valuation Clause DFARS 252.211-7003

18

Business Rules for Contracts and Administration*

Within the same Contract Line Item Number (CLIN), there is no need for a contractor to segregate the same items delivered against different Accounting Classification Reference Numbers (ACRN)

For FAR Part 12 contracts and subcontracts:– Use existing commercial marking if available, or– The Government can mark the item, or– The Government can request the contractor mark the item

Foreign Military Sales (FMS) contracts are not exempt from UID

* Department of Defense Guide to Uniquely Identifying Items Appendix C – Business Rules (Version 3.5a)

19

Agenda

Overview of UID Program Contracting for UID The UID Mark Marking Items Capturing and Using UID Data Bottom Line Resources

“Unique identification is the ability to physically distinguish one item from another…We view a unique identifier as a set of data for assets that:

• is globally unique and unambiguous• ensures data integrity and data quality throughout life• supports multi-faceted business applications and users”

20

Create and Generate the UID

The components that make up the UID are identified in the table below. Each enterprise has two options for creating the UID. These are constructs

UID Construct #1 UID Construct #2

Based on current enterprise configurations

If items are serialized within the Enterprise

If items are serialized within Part Number

UID is derived by concatenating the data elements IN ORDER:

Issuing Agency Code*

Enterprise ID

Serial Number

Issuing Agency Code*

Enterprise ID

Original Part Number

Serial Number

Data Identified on Assets Not Part of the UID (Separate Identifier)

Current Part Number Current Part Number

*The Issuing Agency Code (IAC) represents the registration authority that issued the enterprise identifier (e.g., Dun and Bradstreet, EAN.UCC). The IAC can be derived from the data qualifier for the enterprise identifier and does not need to be marked on the item.

21

Create and Generate the UID

• Data qualifiers (semantics) will define each machine-readable data element marked on the item.

• The data qualifier associated with the serial number will identify which UID construct is used to build the UID.

Semantics Translation Between Data Identifiers (DI), Application Identifiers (AI),and Text Element Identifiers (TEI)1

1 Blank boxes indicate the need for updates to the standards.

* Usage pending Air Transport Association approval of these TEIs

Enterprise IDCAGE/NCAGE 17V CAG*, MFR or SPLDUNS 12V DUN*EAN.UCC 95 EUC*

Serial No. w/in Enterprise Identifier SER or UCNSerial No. w/in Original Part No. S 21Original Part No. 1P 01 PNO*Unique Identifier (With IAC) 25S 8004 UID*Item Identifier (Without IAC) 18S USN or USTCurrent Part No. 30P 240 PNR

DI AI TEI

22

1 This example uses MH10.8.2 Data Identifiers.

EID Serial No.Orig. Part No.

IAC

UID Construct #2

UN1945326361234786950

UID Construct #1

D1 0CVA5786950

CAGE + Serial No.IAC

UID Construct #21

EID (12V)194532636

Orig. Part No. (1P)1234

Serial No. (S)786950

UID Construct #11

Item ID (18S)0CVA5786950(w/o IAC)

BUSINESS RULES

• The UID shall be derived from its discrete component data elements. The UID is not required to be marked on the item as a separate data element.*

*If the enterprise chooses to mark the UID as a discrete data element on the item, the component data elements must also be marked on the item as discrete data elements, in addition to the UID.

Create and Generate the UID

23

Business Rules UID Construction & Physical Marking(Selected)

If UID Construct #2 is used, the enterprise must maintain the original part number on the item for the life of the item

The UID will not change over the life of the item. Therefore the component data elements of the UID will not change over the life of the item

Where space is available, human readable information for UID data elements shall be marked on the item.

The UID string of data must have worldwide uniqueness (non-repeatable)

24

Agenda

Overview of UID Program Contracting for UID The UID Mark Marking Items Capturing and Using UID Data Bottom Line Resources

“Unique identification is the ability to physically distinguish one item from another…We view a unique identifier as a set of data for assets that:

• is globally unique and unambiguous• ensures data integrity and data quality throughout life• supports multi-faceted business applications and users”

25

Marking Items

DoD Guide to Uniquely Identifying Items– Appendix D – The Mechanics of Unique Identification– Addresses Constructs 1 & 2– Semantics to be Machine Readable– Syntax – instructions to assemble data fields to define unique identifier

• Multiple examples provided for both constructs MILSTD 130L

– Department of Defense Standard Practice [for] Identification of U.S. Military Property

– 10 October 2003– Provides criteria by which product designers develop specific item

identification marking requirements Association for Automatic identification (AIM) and Data Capture

Technologies– Association of Solution Providers

• http://www.aimglobal.org

But, per USD (AT&L) Memo of 26 November 2003, UID equivalents are permissible

26

Business Rules UID Construction & Physical Marking(Selected)*

The UID component data elements, at a minimum shall be contained in a Data Matrix ECC200 symbol, as required by MIL STD 130 L (or later version). Data may be contained in other AIT media (e.g., contact memory buttons, linear bar codes, RFI, etc) in addition to the Data Matrix. The physical marks that contain the UID-required elements shall remain legible until the item is destroyed.

* Department of Defense Guide to Uniquely Identifying Items Appendix C – Business

Rules (Version 3.5a)

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DoD UID Equivalents

Criteria for Determining DoD UID Equivalents– Must contain an enterprise identifier which is assigned by a

registration or controlling authority– Must uniquely identify an individual item within an enterprise

identifier, product or part number– Must have an existing Data Identifier (DI) or Application

Identifier (AI) listed in ANSI MH10.8.2, Data Identifier and Application Identifier Standard

Identifiers Meeting the Equivalence Criteria – Global Individual Asset Identifier (GIAI) EAN.UCC (AI:8004)– Global Returnable Asset Identifier (GRAI), EAN.UCC (AI: 8003)– Vehicle Identification Number (VIN) ISO 3779 (DI: I)– Electronic Serial Number (ESN, cellular telephones only), TIA

(DI: 22S)

28

Agenda

Overview of UID Program Contracting for UID The UID Mark Marking Items Capturing and Using UID Data Bottom Line Resources

“Unique identification is the ability to physically distinguish one item from another…We view a unique identifier as a set of data for assets that:

• is globally unique and unambiguous• ensures data integrity and data quality throughout life• supports multi-faceted business applications and users”

29

UID Vendor Perspective

Receive Inspect & Store

Contract Award Functional

Inspect

Determine what items need to be marked

Determine mark method and location

Create MBOM and MPP

Make Item

Mark Item,Capture UID(s)

Record UID Data Delivery Requirements

Ship, DD250Final

Inspection

Buy Item Subcontract SOW with UID Requirements

Retrieve from Stock

Record UID, Integrate into end Product

MBOM – Manufacturing Bill Of MaterialsMPP – Manufacturing Process Planning

30

UID Receipt & Acceptance ProcessUID Receipt & Acceptance Process

31

DAAS

Vendor

WAWF

Email notices sent to next workflow user

Vendor EDI DEBX

VendorFTP

Vendorweb

Vendor EDI

Invoice &Receiving

Report

Operational ViewOperational View

CCR EDA

Vendor Submits Invoice

32

DAAS

Vendor

WAWF

GovernmentWorkflow Users-Inspectors-Acceptors-Certifiers

Email notices sent to next workflow user

Vendor EDI DEBX

VendorFTP

Vendorweb

Vendor EDI

Invoice &Receiving

Report

Invoice &Receiving

ReportSIGN

REJECT

Operational ViewOperational View

CCR EDA

Government Accepts

33

DAAS

Vendor

WAWF

View Only Users-ContractingOfficer-Payment Clerks

GovernmentWorkflow Users-Inspectors-Acceptors-Certifiers

MOCAS

SAMMS

One Pay

Email notices sent to next workflow user

CAPS

Vendor EDI

DEBX

DEBX

VendorFTP

Vendorweb

Vendor EDI

Invoice &Receiving

Report

Invoice &Receiving

ReportSIGN

REJECT

Invoice &Receiving

ReportVIEW

Operational ViewOperational View

BSM IAPS

CCR EDA

System Distributes

SABRS

34

Interim UID Timeline

Jan ‘04 May 03 ‘04 Jul ‘04 Future

Fixed Price End Item

Cost Type End Item

Components of End Items

Data Capture

WAWF

WAWF

Other (DID + XML?)

Interim Solution

10/04

35

UID Data Capture and Reuse

Contract(non-SAP)

SAP Purchase

ChargeCard

Coop.Agreement

Internal DoD(E.g. Depots)

EconomyAct

Acquisition Channel

WAWF Purchase LogAcceptance Tool

(WAWF?)

DEBXLegacy Alias

Registry

UID Registry

Do

mai

n S

erv

ice

s

PropertyRecords

Logistics Systems

Configuration Management

Systems

UPC/UID, Description, Value, Delivery time/place/method

FinancialSystems

UID + Description

UPC/UID,Value,Delivery

UPC/UID, Location, status

UID+Value

EnterpriseServices Industry

UPC/UID Directories

UID/UPC Validation

UPC/UID Validation

Property Systems

UIDValidation

UPC/UIDValidation

Map UID to baseline

Industry Registries(e.g. D&B)FedReg

CCR

EID Validation

GCSS

36

Unique Item Identification Data Submission Information

Initial constraints for UID data submission include:– Submit fixed price contracts using an interim solution until

WAWF is ready to receive data in May 2004– Submit cost type contracts using an interim solution until

WAWF is ready in October 2004– Provide for end items only

When a contractor ships items UID data must be included in the shipment notification as the contract specifies and as the PM requests.

Submission of UID data in the interim– FTP format via WAWF– X12 Ship Notice/Shipment and Billing Notice via DEBX– UID XML format– Manually enter via UID Web entry site

37

Using the UID

• For activities after initial delivery, in support of the product life cycle, any entity that collects data about the item must be capable of associating the data with the UID in accordance with the program requirements.

• Using syntax and semantics translation table, software that resides either in the AIT device or the AIS can translate between the three approved, interoperable formats

Formats:

ATA: Text Element Identifiers

[)>RSDDG

SMFR 0CVA5GSSER 674A36458R

SEoT

EAN.UCC: Application Identifiers

[)>RS05G

S800406141411A0B9C3D6RS

EoT

MH 10.8.2: Data Identifiers

[)>RS06G

S17V0CVA5GS1P1234G

SS786950RS

EoT

38

Business Rules for Capturing the Unique Identifier(Selected)*

For activities after initial delivery, in support of the product life cycle, any entity that collects data about the item must be capable of associating the data with the UID in accordance with program requirements.– Need an AIT reader

Discovery of duplicate UID will occur when the government attempts to register the UID in its internal data base. If a true duplicate exists, the government will work with appropriate enterprise(s) to resolve the duplication

In a database, once the UID is derived it shall not be parsed to determine the original elements.

A database shall be capable of using the UID or combination of its component data elements to retrieve the data record associated with the item represented by the UID

* Department of Defense Guide to Uniquely Identifying Items Appendix C – Business

Rules (Version 3.5a)

39

Agenda

Overview of UID Program Contracting for UID The UID Mark Marking Items Capturing and Using UID Data UID Program Schedule Bottom Line Resources

“Unique identification is the ability to physically distinguish one item from another…We view a unique identifier as a set of data for assets that:

• is globally unique and unambiguous• ensures data integrity and data quality throughout life• supports multi-faceted business applications and users”

40

Bottom Line

Program managers will identify items embedded in end items that require unique identification, including embedded subassemblies, components and parts. These embedded items will be identified in a Contract Data Requirements List (CDRL) or Exhibit.

Contracting officers shall include the clause at 252.211-7003, Item Identification and Valuation, in all solicitations and contracts that require delivery of items.

All items delivered to the Department will be delivered under a contract line item and the Department’s acquisition cost of each item will be identified under a contract line item or sub-line item

Contractors are required to provide unique item identification, or a DoD recognized unique identification equivalent, for all items delivered with an acquisition cost of $5,000 or more and as designated by the requiring activity for items less than $5,000.

Under the clause at 252.211-7003, marking of items shall be in accord with MIL-STD-130L, Identification Marking of U.S. Military Property.

41

Agenda

Overview of UID Program Contracting for UID The UID Mark Marking Items Capturing and Using UID Data UID Program Schedule Bottom Line Resources

“Unique identification is the ability to physically distinguish one item from another…We view a unique identifier as a set of data for assets that:

• is globally unique and unambiguous• ensures data integrity and data quality throughout life• supports multi-faceted business applications and users”

42

Resources & Contact Information

For further information or questions, please contact:• UID Program

• Mr. Robert Leibrandt at [email protected] or at (703) 695-1099• UID Standards

• Lt Col Gregory Redick at [email protected]

• UID Training from Defense Acquisition University• Capital & Northeast Region: (703) 805-2764 (DSN 655)• Mid-Atlantic Region: (240) 895-7344• South Region: (256) 722-1100 (DSN 788)• Mid-West Region: (937) 781-1025• West Region: (619) 524-2995 (DSN 524)

Or by e-mail to [email protected]

DoD Guide to Uniquely Identifying Items and other relevant UID materials including policy memos can be found at

www.acq.osd.mil/uid or www.uniqueid.org