UNIQUE IDENTIFICATION (UID) Unique Identification (UID) of Items Defense Acquisition University March 2004 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 2 • supports multi-faceted business applications and users” Enterprise UID Digital Data Flow Potential DoD Budget Submission Line Item Need Requisition Appropriations Requirement 2132020.00000 5X-6X20 123456.00000 662G 25POLI P68EY78945J145 POLI25 123456 2132020.00000 5X-6X20 123456.00000 662G 25POLI P68EY78945J123 POLI25 123456 Shipping Notice Lines of Accounting Total 14-Aug-00 16-Oct-00 1-Nov-00 1-Dec-00 21-Dec-00 25-Jan-01 5-Feb-01 1-Mar-01 29-Mar-01 4-May-01 11-Jun-01 6-Jul-01 3-Aug-01 31-Aug-01 5-Oct-01 2-Nov-01 7-Dec-01 4-Jan-02 1-Feb-02 1-Mar-02 5-Apr-02 60 118 165 246 543 840 941 1,225 1,504 1,766 2,130 2,326 2,757 3,136 3,595 3,985 4,481 4,695 5,109 5,515 6,132 Users Government 60 118 165 246 310 449 465 549 678 800 890 979 1,056 1,083 1,150 1,214 1,265 1,237 1,212 1,216 1,325 Contractor 233 391 476 676 826 966 1,240 1,347 1,701 2,053 2,445 2,771 3,216 3,458 3,897 4,299 4,807 Total Assessments Retrieved Government Contractor 100 955 1,160 1,631 1,721 2,900 3,624 6,050 878 8,787 1,040 10,328 1,176 11,648 1,352 12,864 1,492 14,536 1,698 16,182 2,017 17,357 2,545 18,791 2,767 20,245 3,128 20,840 3,282 22,232 3,732 25,626 3,915 28,392 4,260 100 955 1,160 1,631 1,721 2,900 3,624 6,928 9,827 11,504 13,000 14,356 16,234 18,199 19,902 21,558 23,373 24,122 25,964 29,541 32,652 Contract Transportation Commitment Total 14-Aug-00 16-Oct-00 1-Nov-00 1-Dec-00 21-Dec-00 25-Jan-01 5-Feb-01 1-Mar-01 29-Mar-01 4-May-01 11-Jun-01 6-Jul-01 3-Aug-01 31-Aug-01 5-Oct-01 2-Nov-01 7-Dec-01 4-Jan-02 1-Feb-02 1-Mar-02 5-Apr-02 60 118 165 246 543 840 941 1,225 1,504 1,766 2,130 2,326 2,757 3,136 3,595 3,985 4,481 4,695 5,109 5,515 6,132 Users Government 60 118 165 246 310 449 465 549 678 800 890 979 1,056 1,083 1,150 1,214 1,265 1,237 1,212 1,216 1,325 Contractor 233 391 476 676 826 966 1,240 1,347 1,701 2,053 2,445 2,771 3,216 3,458 3,897 4,299 4,807 Total Assessments Retrieved Government Contractor 100 955 1,160 1,631 1,721 2,900 3,624 6,050 878 8,787 1,040 10,328 1,176 11,648 1,352 12,864 1,492 14,536 1,698 16,182 2,017 17,357 2,545 18,791 2,767 20,245 3,128 20,840 3,282 22,232 3,732 25,626 3,915 28,392 4,260 100 955 1,160 1,631 1,721 2,900 3,624 6,928 9,827 11,504 13,000 14,356 16,234 18,199 19,902 21,558 23,373 24,122 25,964 29,541 32,652 Obligation Delivered Item Receiving Inspection Property Log Expenditure Financial Management Acceptance 3 Acquisition Property, Logistics, and Transportation DoD Vision for Item Marking 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. Effective 1 January 04 Mandatory for Solicitations 4 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 5 What is the UID Lifecycle? Dispose – DoD/GSA records the “termination” of the UID at time of item disposal Use – Functional stakeholders use UID as a primary or alternate key in the AIS to access or update item information based on its UID Require – DoD contracts reflect the requirement for part marks to include UID data elements for all items which require unique identification UID 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 6 UID Lifecycle & Interface Flow Require Create & Generate Capture Use 7 Who Does What – When? Requiring Activity Procuring Contracting Officer Procuring or Administrative Contracting Officer Contractor Contractor DCMA QAR Acquisition Process Issue Determine Contracting Solicitation Need for Officer and Award Unique issues any Identifier Contract with necessary DFARS modifications Clause (e.g., 252.211-7003, definitization) UID/Valuation Requirement Contractor Places UID Marking on the Item and Prepares Material Inspection & Receiving Report (MIRR) Contractor Government Includes QAR UID/Valuation Inspects & Information on Accepts 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 8 UID Role - Business Enterprise Architecture Enhance the Business Enterprise Architecture Improve Life-Cycle Item Management and Accountability Enhance Total Asset Visibility 9 Clean Audit Opinions on Property, Plant and Equipment & Operating Materials and Supplies UID Strategic Outcomes 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. UID Payoffs 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 10 UID JRIB & References • 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 11 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 12 • supports multi-faceted business applications and users” 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 13 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 14 Require the UID Which Items Require a Unique Identifier (UID)? 14 15 UID in Systems Acquisition Product Data Supply Chain Item Markings Enterprise Prime Unique Items PN 200H0028 UN194532636200H0028003896 EI 194532636 PN 200H0028 SN 003896* Delivery to Govt End Item Specs UID ** List of Hardware UIDs End Item (Optional) Item Markings PN 210H0611 Tier 1 EI 040535536 PN 210H0611 SN 006392* Subassembly Specs UN040535536210H0611006392 Delivery to Govt Spares (Optional) Item Markings Tier 2 PN 216H1439 EI 080907280 PN 216H1439 SN 020890* UN080907280216H1439020890 Component Specs Delivery to Govt Item Markings PN 218H2861 Tier 3 Part Specs UID = Unique Identifier; EI = Enterprise Identifier PN = Part Number; SN = Serial Number EI 083949107 PN 218H2861 SN 105742* * Serialized within the part number using DUNS 16 List of Hardware UIDs Spares List of Hardware UIDs (Optional) UN083949107218H2861105742 Delivery to Govt Spares **UN = Issuing Agency Code for DUNS Item Identification and Valuation Clause DFARS 252.211-7003 All items delivered to the Department will be delivered under a CLIN, SubCLIN, or ELIN. – 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. – – Modifications may have to be issued to add CLINs, SubCLINs, or ELINs if additional deliverables are identified during contract performance. 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. 17 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) 18 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 19 • supports multi-faceted business applications and users” 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. 20 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 DI AI Enterprise ID CAGE/NCAGE 17V DUNS 12V EAN.UCC 95 Serial No. w/in Enterprise Identifier Serial No. w/in Original Part No. S 21 Original Part No. 1P 01 Unique Identifier (With IAC) 25S 8004 Item Identifier (Without IAC) 18S Current Part No. 30P 240 Blank boxes indicate the need for updates to the standards. * Usage pending Air Transport Association approval of these TEIs 21 TEI CAG*, MFR or SPL DUN* EUC* SER or UCN PNO* UID* USN or UST PNR Create and Generate the UID 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.* UID Construct #11 UID Construct #21 EID Item ID (18S)0CVA5786950 (w/o IAC) (12V)194532636 Orig. Part No. (1P)1234 Serial No. UID Construct #1 (S)786950 UID Construct #2 D1 0CVA5786950 UN1945326361234786950 IAC CAGE + Serial No. IAC 1 EID Orig. Serial No. Part No. This example uses MH10.8.2 Data Identifiers. *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. 22 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) 23 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 24 • supports multi-faceted business applications and users” 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 25 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 UIDrequired elements shall remain legible until the item is destroyed. * Department of Defense Guide to Uniquely Identifying Items Appendix C – Business Rules (Version 3.5a) 26 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) 27 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 28 • supports multi-faceted business applications and users” UID Vendor Perspective Contract Award Buy Item Mark Item, Capture UID(s) Determine what items need to be marked Determine mark method and location Subcontract SOW with UID Requirements Record UID Data Delivery Requirements MBOM – Manufacturing Bill Of Materials MPP – Manufacturing Process Planning Create MBOM and MPP Receiv e Inspect & Store Final Inspection 29 Retrieve from Stock Ship, DD250 Make Item Functional Inspect Record UID, Integrate into end Product UID Receipt & Acceptance Process 30 Vendor Submits Invoice Operational View Vendor Invoice & Receiving Report Vendor EDI DEBX Vendor FTP Vendor EDI Vendor web WAWF DAAS CCR EDA 31 Email notices sent to next workflow user Government Accepts Operational View Vendor Government Workflow Users -Inspectors -Acceptors -Certifiers Invoice & Receiving Report Vendor EDI Invoice & Receiving Report SIGN REJECT DEBX Vendor FTP Vendor EDI Vendor web WAWF DAAS CCR EDA 32 Email notices sent to next workflow user System Distributes Operational View Vendor Government Workflow Users -Inspectors -Acceptors -Certifiers Invoice & Receiving Report Vendor EDI Invoice & Receiving Report SIGN REJECT SABRS DEBX MOCAS Vendor FTP Vendor EDI DEBX SAMMS Vendor web WAWF One Pay View Only Users -Contracting Officer -Payment Clerks DAAS Invoice & Receiving Report VIEW BSM CCR EDA 33 IAPS CAPS Email notices sent to next workflow user Interim UID Timeline Jan ‘04 May 03 ‘04 Jul ‘04 Future Fixed Price End Item Data Capture WAWF 10/04 Cost Type End Item WAWF Other (DID + XML?) Components of End Items 34 UID Data Capture and Reuse Acquisition Channel Domain Services Contract (non-SAP) SAP Purchase Charge Card Coop. Agreement Internal DoD (E.g. Depots) Acceptance Tool (WAWF?) Purchase Log WAWF Economy Act UPC/UID, Description, Value, Delivery time/place/method UPC/UID, Location, status Logistics Systems Financial Systems UPC/UID,Value,Delivery GCSS Property Records UID+Value UID/UPC Validation DEBX Enterprise Services UID + Description CCR FedReg Map UID to baseline Configuration Management Systems UID Validation Property Systems UID Registry Legacy Alias Registry UPC/UID Directories UPC/UID Validation EID Validation 35 Industry UPC/UID Validation Industry Registries (e.g. D&B) 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 36 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 [)>RSDDGSMFR 0CVA5GSSER 674A36458RSEoT EAN.UCC: Application Identifiers [)>RS05GS800406141411A0B9C3D6RSEoT MH 10.8.2: Data Identifiers [)>RS06GS17V0CVA5GS1P1234GSS786950RSEoT 37 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) 38 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 39 • supports multi-faceted business applications and users” 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. 40 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 41 • supports multi-faceted business applications and users” Resources & Contact Information 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 For further information or questions, please contact: • UID Program • Mr. Robert Leibrandt at robert.leibrandt@osd.mil or at (703) 695-1099 • UID Standards • Lt Col Gregory Redick at gregory.redick@dcma.mil • UID Training from Defense Acquisition University • Capital & Northeast Region: (703) 805-2764 (DSN 655) • • • • Mid-Atlantic Region: South Region: Mid-West Region: West Region: (240) 895-7344 (256) 722-1100 (DSN 788) (937) 781-1025 (619) 524-2995 (DSN 524) Or by e-mail to uidprogramtraining@dau.mil 42