UNCLASSIFIED Includes change to the $5000 IUID mandate! (Slide 19) Item Unique Identification (IUID) Implementation Plans DRAFT Essential Information for Planners Paul Krumhaus AMIS Support Contractor 26 September 2019 Note: This briefing and subsequent revisions are downloadable from http://www.usarmyamis.army.mil/AIT.html UNCLASSIFIED The Value Proposition Serialization IUID DRAFT
SIM A GOOD IUID IMPLEMENTATION PLAN, WELL-EXECUTED, LEADS TO A COMPLIANT DATA MATRIX MARK, A SIM ENABLER! SIM Serialized Item Management AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 2 UNCLASSIFIED Contents What is Item Unique Identification (IUID) and how does it relate to serialization? Why is IUID important to the Army and DOD? What are the stages of IUID Implementation? Which Items require IUID? What is the difference between items requiring SIM and items requiring IUID? DRAFT What are the responsibilities of the lifecycle manager of Tangible Personal Property? What are the major topics that need to be addressed in an IUID Implementation Plan? How can the use of Systems Planning and Requirement Software (SYSPARS) help produce a good implementation plan? The importance of the quality assurance of marks. What, historically, have been high risk areas in IUID planning and implementation? What future changes in IUID policy and implementation are expected?
Where can a planner find information/get help? Backup Alternatives to specifying Construct #2 Examples of IUID plan execution failures AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 3 UNCLASSIFIED IUID / UII Definitions Item Unique Identification (IUID) means a system of marking items delivered to the DOD with unique item identifiers that have machine-readable data elements to distinguish an item from all other like and unlike items. IUID generally refers to the program, rather than the data. Unique Item Identifier (UII) means a set of data marked on items that is globally-unique, unambiguous, and robust enough to ensure data information quality throughout life and to support multi-faceted business applications and users. The UII is the data. DRAFT The UII is Like a Social Security Number - for Things AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 4 UNCLASSIFIED IUID Simplified 1. Assign an item a globally-unique identification number1 2. Register that number and supporting pedigree information in a central database
3. Apply a permanent machine-readable mark, containing that Unique Item Identifier (UII), to the item2 4. Use that globally-unique identification number for life cycle management of the item DRAFT 5. DOD and Army transition to use of IUID involves: The marking of millions of items meeting IUID criteria that are already in the inventory and of others that are being acquired DETAILS Automated systems enabled to use the UII data element 1 Will functionally replace the SN (SN will remain) 2 Enables error-free data transfer AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 5 UNCLASSIFIED Serial Number (SN) vs. UII SN is Not DRAFT
Globally Unique SN 00002345 UII Is Globally Unique UII: Unique Item Identifier AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 6 UNCLASSIFIED Serial Number (SN) vs. UII (Contd) DRAFT UII=D12374HW76-2100002345 SN is Not Globally Unique UII=D9VW0100002345 UII=D44L2300002345 SN 00002345
UII=D881024432700002345 UII=D7932800002345 UII Is Globally Unique UII=D68D2200002345 UII: Unique Item Identifier AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 7 UNCLASSIFIED Transitioning to IUID - a Simple Concept 1005678 SERIALLY MANAGED BECOMES IN EFFECT UNIQUELY MANAGED DRAFT D192071005678 MANUAL DATA ENTRY
BECOMES AUTOMATED DATA ENTRY IUID: Item Unique Identification AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 8 UNCLASSIFIED Importance of IUID Why is IUID Important to the Army and DOD? Common UII = DATA DRAFT Key Enables reliable unique item level traceability across all DOD business systems. UII is a single data element that uniquely identifies a tangible item. AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 9 UNCLASSIFIED
Encoding the UII BUSINESS RULE #1 The UII shall be derived from its discrete component data elements or UII data set encoded as a single element. The UII is not required to be marked on the item as a separate data element. UII Construct #22 UII Construct #11 EID DRAFT EID MFR 0CVA5 Orig. Part No.* (1P)1234 Serial No. (S)786950 Serial No. SER 786950 UII Construct #2 UII Construct #1 D0CVA5786950 IAC*CAGE (12V)194532636 Concatenated
UII Serial No. This example uses Text Element Identifiers This example uses MH10.8.2 Data Identifiers * Or Lot Number, or Batch Number 1 2 AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS UN1945326361234786950 IAC DUNS *Commercial and Government Entity Orig. Serial No. Part No. EID: Electrically Initiated Devices IAC: Issuing Agent Code IUID: Item Unique Identification
UII :Unique Item Identifier 10 UNCLASSIFIED IUID- Essential to Materiel Readiness Functions supported by IUID Financial Management Warranty Management Tracking Item Performance & Age Failure Analysis Reliability Improvement Engineering Design Analysis Maintenance Productivity Supply Productivity Safety Accountability READINESS! Objectives Strategic Serialized Asset Management Value DRAFT Processes
Analysis Automated Data Collection Item Unique Identification (IUID) Information Systems Supply Chain Events Machine Readable Marking Payback Payback Requirements Uniquely Identified Items AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS Unique Item Identifier (UII) Resources Resources
Speed and Precision in Data Capture Capabilities 11 UNCLASSIFIED IUID Success IUID Success May be Described as: Integration of item data across Federal and industry asset management systems, as envisioned by the DoD Business Enterprise Architecture (BEA), to include improved data quality and global interoperability and rationalization of systems and infrastructure. DRAFT Improved item management and accountability. Improved asset visibility and life cycle management. Clean audit opinions on item portions of DoD financial statements. AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 12 UNCLASSIFIED Automatic Identification Technology
(AIT) is a Key to Data Integrity D123455513HGR13136574867635009 UII UIIcan can contain containup upto to 50 50characters characters DRAFT Today Imager Enables ErrorFree Data Transfer Goal: Eliminate key entry of data! Tomorrow ? Each uniquely identified item must bear a data matrix symbol encoding the data from which its Unique Item Identifier (UII) is derived
AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 13 UNCLASSIFIED Stages of IUID Implementation I II III 1. Write IUID Plan 2. Determine items to be marked DFARS 211.274-2 & 252.211-7003 Army Directive 2016-21 AR 700-145 DRAFT Determine and document how and where to mark MIL-STD-130 (latest) MIL-STD-130 (latest) DoD Guide to Uniquely Identifying Items DoD Guide to Uniquely
Identifying Items Focus of: Focus of: MATDEVS Suppliers MATDEVS Suppliers ILSCs Depots Service Bureaus Focus of:
Mark items and register pedigree information Depots IV Use the Unique Item Identifier (UII) in Business Processes Create Value! Involves integration of AIT in AIS Focus of: Functional proponents Automated Information System (AIS) PMs ILSC: Integrated Logistics Support Center MATDEVS: Materiel Developers AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 14 UNCLASSIFIED
Elements of an IUID-enabled Solution MATDEV Focus IUID-Enabled Maintenance Management UII Marked Property Maintenance Management AIS Accommodating UII and AIT DRAFT CL VII * Marked at maintenance trigger events CL II\, V and IX* AIT: AIS: IUID: GCSS-A Automatic Identification Technology Automated Information System Item Unique Identification
AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS Automatic Identification Technology (Readers) GCSS-A UII: Unique Item Identifier CL: Supply Class GCSS-A: Global Combat Support System Army 15 UNCLASSIFIED A Successful IUID Implementation Plan Describes: The system How to determine which systems and components require IUID The roles of each stakeholder in IUID implementation Contractual requirements relating to IUID. DRAFT A reliable quality assurance process
Funding requirements and sources AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 16 UNCLASSIFIED What Gets IUID? IUID = SIM+ 1. Items that require SIM must be serialized and uniquely identified (IUID) 2. Items that do not qualify for SIM but for which the initial Materiel Developer (MATDEV) desires IUID are serialized and uniquely identified (IUID) but are not serially tracked in GCSS-A and LMP. DRAFT SIM Serialized Item Management AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 17
UNCLASSIFIED Items Requiring IUID Which Items require IUID? DODI 8320.04 was revised in Sep 15 and assigns the Military Services the task of writing their IUID policies, including their IUID criteria. AR 700-145 is one of the two primary Army IUID policy documents and was revised in Feb 2016. The second primary Army IUID policy document, the interim Army Serialized Item Management (SIM) Policy was published as Army Directive (AD) 201621 in May 2016. Do NOT attempt to use DODI 8320.04 to determine IUID criteria. DRAFT Any item that is required to be serially managed in the Army will require IUID. The UII will eventually functionally replace the serial number (items will continue to have serial numbers). AR 700-145 authorizes MATDEVs to require IUID for additional items. IUID and SIM criteria apply to all tangible personal property, regardless of whether it has an NSN (standard and non-standard). DFARS 211.274-2 lists additional IUID criteria mandatory for acquisitions across the DoD. (NOTE; IMPORTANT CHANGE to that! See next page.) Unit level personnel are not authorized to IUID-mark items without authorization and OSD: Office of the Secretary of Defense direction from higher HQ. NSN: UII: AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS National Stock Number Unique Item Identifier
18 UNCLASSIFIED Items Requiring IUID (Cont) The mandate to apply IUID to all delivered items with a unit price of $5000 or greater has been changed On 9 Feb 18, the Office of Deputy Assistant Secretary of the Army (Procurement) (DASA-P) provided new direction.(PARC Policy Alert #18-39) to Army Contracting Command. The direction is outlined below: To determine the items that require IUID, requiring activities apply the criteria outlined in DoDI 8320.04, AR 700-145 and Army Directive 2016-21 (Interim SIM Policy). DRAFT Contracting officers shall include the clause at DFARS 252.211-7003, Item Unique Identification (IUID) and Valuation, in solicitations and contracts as prescribed at DFARS 211.274-6(a)(1). If informed by the requiring activity that a delivered item with a unit acquisition cost of $5,000 or more does not require unique item level traceability, contracting officers may include that item in paragraph (c)(1)(i) of the DFARS 252.211-7003 clause. BL: If a delivered item with a unit price of $5000 or greater does not require unique item level traceability at any point in its life cycle, the requiring activity may request that it be listed in (or insert it into) paragraph (c)(1)(i) of the DFARS 252.211-7003 clause, which exempts it from IUID marking and registration. CAC Common Access Card PARC Document (CAC required). DFARS Defense Federal Acquisition Regulation Supplement
SIM Serialized Item Management AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 19 UNCLASSIFIED Items Requiring IUID - Problems DISCLAIMER: The opinions expressed on this slide are those of the author and do not necessarily represent the official views of any Army organization. FACT: IUID criteria applicable to the Army is largely contained in three documents: DFARS 211.274-2, AR 700-145 and Army Directive 2016-21. OPINION: Army Directive 2016-21 provides solid rationale for SIM. Items meeting the criteria require both serialization and IUID. Disconnects: DRAFT Paragraph 2-2b of AR 700-145 contains IUID requirements that are broader than those in Army Directive 201621. It mandates IUID for some items that will derive little or no benefit from unique identification. Paragraph (a)(3)(iii) of DFARS 211.274-2 requires IUID of all warranted serialized items. If the item has a serial number and a warranty, IUID is required. Rationale: IUID was expected to be used in DoD systems to manage warranties. To the best of our knowledge neither GCSS-A nor LMP are structured to do that. The authors perception is that most organizations ignore this DFARS requirement and KOs do not police it.
Expectation: The disconnects will be fixed in policy but those fixes will move glacially to fruition. DFARS Defense Federal Acquisition Regulation Supplement SIM Serialized Item Management AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 20 UNCLASSIFIED Contractually Requiring IUID Using DFARS 252.211-7003 receive IUIDto specify items to (c)(1) The Contractor shall provide a unique item identifier for the following: (i) Delivered items for which the Governments unit acquisition cost is $5,000 or more, except for the following line items: Contract Line, Subline, or Exhibit Line Item Number Item Description ___________________________________________________________________ (ii) Items for which the Governments unit acquisition cost is less than $5,000 that are identified in the Schedule or the following table:
Contract Line, Subline, or Exhibit Line Item Number Item Description ___________________________________________________________________ (If items are identified in the Schedule, insert See Schedule in this table.) (iii) Subassemblies, components, and parts embedded within delivered items, items with warranty requirements, DoD serially managed reparables and DoD serially managed nonreparables as specified in Attachment Number ____. (iv) Any item of special tooling or special test equipment as defined in FAR 2.101 that have been designated for preservation and storage for a Major Defense Acquisition Program as specified in Attachment Number ____. DRAFT DFARS Defense Federal Acquisition Regulation Supplement AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 21 UNCLASSIFIED Contractually Requiring IUID (Cont) IUID Candidate Process PMs may contractually task the contractor to analyze systems to identify those components that require unique item level traceability, and to provide IUID recommendations for review and approval by the PMO. If an IUID candidate process is used, the IUID Implementation Plan:
Should describe the candidate process. DRAFT Should discuss when a contract modification will be processed to document in the DFARS 252.211-7003 contract clause those items that require IUID but were not included in that clause or an attachment at the time of contract award. (A modification is likely required because IUID marking imposes an additional, recoverable, cost on the contractor.) When SYSPARS is used to produce an IUID implementation plan, insert discussion of the candidate process into paragraph 4.1.1. DFARS Defense Federal Acquisition Regulation Supplement SYSPARS: Software AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS Systems Planning and Requirements 22 UNCLASSIFIED Items Requiring IUID (Cont) WebFLIS and FLIS IUID Indicators HQDA has done an initial scrub of items for which the Army is the Primary Inventory Control Activity (PICA) to determine IUID relevance for each NSN. (USAF and USMC have done similar scrubs.) Preliminary results of those scrubs were documented in WebFLIS* in a new field IUID Indicator.
Today, pending application of changed IUID and SIM criteria and subsequent rescrubbing, the WebFLIS IUID Indicator is unreliable. DRAFT The remainder of WebFLIS-listed items have an IUID Indicator of N, meaning not "Y. They might have been evaluated as "NO", or not evaluated, or evaluated as "Not Mandatory for all Services, but not prohibited for any Service. A mechanism for Army item managers to challenge a WebFLIS IUID Indicator decision has not yet been announced. SIM Serialized Item Management * The IUID Indicator is not yet a field in FLIS AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS WebFLIS: Web Federal Logistics Information System 23 UNCLASSIFIED Items Requiring IUID (Cont) Updating WebFLIS and FLIS IUID Indicators Army Directive 2016-21 states business rules for Serialized Item Management (SIM). Items designated for SIM require serialization and IUID. The Army Enterprise Material Master (AEMM) will be the authoritative source of SIM Yes/No data. Now that the SIM criteria is finalized, there is a need to relook previous IUID Yes/No decisions, make new decisions and adjust WebFLIS/FLIS IUID Indicators to document the new decisions. ASA(ALT) and/or Army G4 is expected to disseminate guidance on this subject.
DRAFT Going forward, the FLIS IUID Indicator will be determined and set during the provisioning process for items that are provisioned. The AESIP serialization indicator code will be determined by a Human-in-the-Logic Serialization Adjudication Group (HITL-SAG) and set following cataloging in the Army Enterprise Material Master (AEMM). AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 24 UNCLASSIFIED Items Requiring IUID - Summary Today, which Items require IUID? If an item is tangible personal property owned by DOD and meets one or more of the business rules in Army Directive (AD) 2016-21, it is presumed to require SIM and IUID, subject to review using a Human-in-the-Logic (HITL) process. If an item is tangible personal property owned by DOD and does not meet AD 2016-21 business rules but is mandated for IUID by paragraph 2-2 of AR 700-145, it goes through the HITL process to determine SIM applicability but, regardless of the results of that process, requires IUID. DRAFT Additionally, per AR 700-145, if the initial MATDEV decides that an item requires unique item level traceability, it requires IUID. The following are examples of items sometimes thought to be exempt from IUID and/or SIM that are NOT EXEMPT if they meet one or more of the army directives business rules or AR 700-145s IUID criteria:
o Commercial-off-the-shelf (COTS) items o Foreign military sales items meeting IUID criteria (See paragraph 3-10, AR 700-145) o Non-standard items DFARS:Defense Federal Acquisition Regulation Supplement MATDEV: Materiel Developer NSN: National Stock Number AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 25 UNCLASSIFIED More on COTS & Non-standard Items They require cataloging in the Army Enterprise Material Master (AEMM). Cataloging in the AEMM is followed by a SIM decision made by a Human-in-the-Logic Serialization Adjudication Group (HITL-SAG). The AEMM then documents whether the item requires Serialized Item Management (SIM) If they require SIM, they require IUID - 100% of the time According to Army Directive 2016-21, it is not optional. However, in some cases determining how to mark an item may be a very difficult problem (i.e. a radio set consisting of multiple receivers and transmitters which item is marked with the UII for the set?) DRAFT AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS
26 UNCLASSIFIED MATDEV IUID Decision Process Answer the following questions for each item: Does the item require Serialized Item Management (SIM)? Does the item meet one of the mandatory IUID criteria in DFARS 211.274-2(a)? * Does the item meet a criterion in paragraph 2-2b of AR 700-145 that mandates IUID? DRAFT Does the item require unique item level traceability for anther reason? If the answer to one or more of those questions is Yes, the item requires IUID and an acquisition contract for the item must contain the clause at DFARS 252.211-7003 specifying that the item requires IUID (unless the item qualifies for IUID marking after government acceptance, as provided in DFARS 211.274-2(b)). * Note new exception to $5000 mandate AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS DFARS:Defense Federal Acquisition Regulation Supplement MATDEV: Materiel Developer SIM: Serialized Item Management 27 UNCLASSIFIED
Army Directive 2016-21 Promulgates Army Interim Serialized Item Management (SIM) Policy Will be incorporated into AR 710-3 If items require SIM, they require IUID. It states the criteria for identifying items requiring SIM; it relies heavily on the use of FEDLOG catalog codes. DRAFT o If the item qualifies based on one or more of the catalog codes listed, the assumption is that it should receive SIM and IUID.* o If the item is not catalogued but a similar item that is cataloged qualifies based on one or more of the catalog codes listed, the assumption is that it should receive SIM and IUID. * o If neither the item nor a similar item qualifies based on a catalog code, the assumption is that it should not receive SIM. o An item coded pilferable is not automatically assumed to require SIM and IUID. It requires closer analysis to decide whether there is a business case supporting SIM (unless the item also meets an additional business rule for SIM). Pilferability is normally addressed with physical security. FEDLOG: Data AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS Federal Logistics 28 UNCLASSIFIED
Army Directive 2016-21 (Cont) The results of those assumptions are reviewed using a Human-in-the-Logic (HITL) process. The Army G4 is the HITL proponent. The HITL makes the final decision (but subject to appeal by the MATDEV or item manager) on whether there is a regulatory or business case supporting a decision for SIM of the item. Prior to being considered by the Human in the Logic Serialization Adjudication Group (HITL-SAG), the item must be cataloged in the Army Enterprise Materiel Master (AEMM). DRAFT The authoritative source that documents SIM decisions is the AEMM Definitive published guidance on specifics of the HITL-SAG process are (as of September 2019) pending from the Army G4. AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 29 UNCLASSIFIED Differences Between SIM and IUID Q. What is the difference between deciding whether an item is to receive SIM and deciding whether an item is to receive IUID? A. A SIM decision is based on the criteria in Army Directive 2016 (which is being incorporated into AR 710-3) DRAFT
Whether statute, regulation, policy or business value require unique item level traceability. is reviewed using a Human-in-the-Logic (HITL) process has, as its ultimate decision-making authority, the HQDA Army G-4 AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 30 UNCLASSIFIED Differences Between SIM and IUID Q. What is the difference between deciding whether an item is to receive SIM and deciding whether an item is to receive IUID? A. An IUID decision is based on the criteria in AR 700-145 and DFARS 211.274-2 DRAFT whether the item has been selected for SIM (all items designated for SIM also require IUID). is not subject to HITL review has as its final decision-making authority the initial MATDEV However: Only items that are also selected for SIM with that SIM designation documented in the AEMM will be uniquely tracked in the Single Army Logistics Enterprise (SALE).
AEMM Army Enterprise Material Master MATDEV:- Materiel Developer SIM Serialized Item Management AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 31 UNCLASSIFIED MATDEV IUID Responsibilities What are some responsibilities of a MATDEV who acquires Tangible Personal Property? Ensure all contracts for new equipment, major modifications and reprocurements of equipment and spares, to include Services contracts requiring the delivery of tangible personal, contain the DFARS 252.211-7003 clause requiring IUID for all items meeting SIM/IUID criteria and that the content and attachments required by that clause are completed, identifying each end and embedded item requiring IUID. DRAFT Develop and execute an IUID implementation plan that: o Lists the items requiring IUID and, as a minimum, contains all of the content required by paragraph 3-1 of AR 700-145. DETAILS Monitor plan execution and update the plan annually, if appropriate Ensure that the requirement for IUID is annotated within the purchase request for items requiring IUID
Be aware that the easiest way to ensure a compliant plan is to use the latest version of the SYSPARS IUID Planning tool. * * NOTE: AMIS can assist PMs with this. AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS MATDEV Materiel Developer SYSPARS: Systems Planning and Requirements Software 32 UNCLASSIFIED Milestone C IUID Implementation Plan Milestone A IUID Implementation Plan Fact: IUID Policy, Procedures and Criteria change over time. IUID Implementation Plan Required IUID Implementation Plan Update Likely Required DRAFT
YEARS? YEARS? BL: IUID Plans Must Normally Change Over Time. AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 33 UNCLASSIFIED Writing IUID Implementation Plans What are some of the major topics that need to be addressed in an IUID Implementation Plan? IUID marking and registration of new acquisitions IUID marking and registration of items already in Army ownership but as yet not marked or not registered (AMC has responsibility for getting the marking done). Specifically who will do what relative to engineering of the mark, physically marking the items and registering the items How quality assurance will be addressed to ensure: DRAFT o Correct data correctly encoded in the item mark and the packaging mark o A mark that will last the life cycle of the item o Item and supporting pedigree data is correctly registered in the DOD Registry The plan for funding the effort AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 34
UNCLASSIFIED IUID Implementation Plans AR 700-145 requires Item Managers and MATDEVs to submit, annually review, and (if appropriate) update IUID Implementation Plans Over time, mandated policy and procedures change and plans need to evolve. As an example, 2016 was a year of major policy changes that plans need to reflect. Paragraph 3-1 of AR 700-145 lists minimum plan content requirements DRAFT The US Army Logistics Data Analysis Center (LDAC) has automated IUID Plan creation in its Systems Planning and Requirements Software (SYSPARS), a document generation program using a Q&A format. To access and download the SYSPARS software: https:// www.logsa.army.mil/lec/syspars/download.cfm SYSPARS output is exported to Microsoft Word and then massaged to eliminate rough edges and add any additional information the author wants to have in the plan. SYSPARS is frequently updated as guidance and best practices change and should be downloaded when it is to be used to ensure the most current iteration is being used Unpublished changes to SYSPARS (if any) are found on the AMIS website. BL: SYSPARS makes life easier for the planner. AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS MATDEV: Materiel Developer 35 UNCLASSIFIED
SYSPARS IUID PLAN CONTENTS SYSPARS Helps Ensure that the IUID Plan Covers All the Bases! DRAFT SYSPARS Q & A format Many multiple choice questions Identifies many school solutions by offering optional boilerplate text. AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 36 UNCLASSIFIED Using SYSPARS AMIS provides the IUID Subject Matter Expertise (SME) for updating of the SYSPARS IUID planning module and can field questions relating to use of the IUID module of SYSPARS. When the draft IUID plan is completed, it requires coordination as follows: First (concurrently) with the LCMC, AMIS and all organizations that the plan says will do something to implement it. Based on that coordination, make appropriate changes and then coordinate with LDAC. DRAFT Based on that LDAC coordination, make appropriate changes and forward through channels for signature.
Once the plan has received final approval, forward a signed copy to LDAC. We reiterate that SYSPARS is frequently updated as regulations, directives and procedures change and should be downloaded when it is to be used, to ensure the most current iteration is being used. Using an older plan as a template may produce a non-compliant or incomplete plan. Continuing Problem: Due to a programming backlog, there are often multiple policy and procedure updates not yet posted to SYSPARS software. Solution: AMIS publishes a list of needed updates to the SYSPARS output. Refer to that list on the AMIS IUID webpage and modify the plan as indicated, prior to sending it out for coordination. THE CURRENT VERSION OF SYSPARS IS 2.9.1, RELEASED IN JULY 2019 AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 37 UNCLASSIFIED Item Mark Quality Assurance DFARS 252.211-7003 requires that IUID item marks be compliant with MIL-STD-130 (latest version) MIL-STD-130N w/Ch1 requires that item marks: Be encoded with syntax IAW ISO/IEC 15434 Meet mark quality requirements of ISO/IEC 15415, AIM DPM 1-2006 or AS9132 (suppliers option) DRAFT Ensuring that IUID marks meet those standards requires: Validation (as defined in MIL-STD-130N w/Ch 1) to ensure that the required data elements are encoded in the mark using proper semantics and syntax; it is performed
with an electro-optical imaging device capable of reading the machine readable information (and linked to validation software) It does not ensure that the information encoded is the correct information (i.e., it will accept an NSN encoded as the PN). Verification (as defined in MIL-STD-130N w/Ch 1) to assess the quality of the data matrix symbol and assigning a grade to results; it is performed with a electro-optical verification device (NOTE: A :bar code reader or scanner cannot perform verification.) AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 38 UNCLASSIFIED Packaging Mark Quality Assurance DFARS 252.211-7003 (Dec 2013 and later) requires that IUID items packaging marks be compliant with MIL-STD-129 (latest version) NOTE: Earlier versions of DFARS 252.211-7003 do not require packaging marks to be compliant with MIL-STD-129, however the MIL-STD-129 requirement may be imposed by other contractual provisions. MIL-STD-129R w/ch1 requires that packaging marks: DRAFT Be encoded using a PDF417 mark with syntax IAW ISO/IEC 15434* Meet quality requirements of ISO/IEC 15438 Ensuring that IUID marks meet those standards requires: Validation to ensure that the required information is encoded in the mark using proper syntax and semantics. (In the absence of validation software, validation may be performed manually.)
Verification to assess the quality of the PDF417 symbol. (NOTE: Few verifiers can accommodate the size of the PDF417 mark. If verification is not possible, readability should be checked.) Experience is that a very large percentage of packaging marks are non-compliant. * An exception applies to ammunition and explosives AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 39 UNCLASSIFIED IUID High Risk Area - #1 Relying completely on DCMA inspection and acceptance processes to ensure that items are properly marked and registered is not advisable. Some contracts are not administered by DCMA. Items accepted at destination are at particularly high risk for bad marks. For contracts that are administered by DCMA, while DCMA has published IUID QA processes to be followed by their Quality Assurance Specialists, DCMA IUID quality assurance has occasionally missed IUID data deficiencies. DCMA marking oversight is influenced by documented past problems with marking. Contracts for items requiring IUID and permitting payment by Government Purchase Card (GPC) are at risk for non-registration in the IUID Registry. DRAFT DFARS 252.211-7003 and 252.232-7003 require that the supplier use Wide Area Workflow (WAWF) to submit a micro purchase receiving report with UID Tab; some suppliers are unaware of that requirement. IUID registration does not occur until the items acceptor posts their acceptance action to the WAWF receiving report.
DCMA: Defense Contract Management Agency QA: Quality Assurance AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 40 UNCLASSIFIED Incorrectly Encoded Datamatrix Mark Why? Supplier + Acceptor + Materiel Developer DRAFT AR 700-145 3-6c. The MATDEV will ensure that all contract for new equipment, major modifications, reprocurements of equipment, and spares will require a separate contract line item number with a contract data requirements list using an IUID Marking Activity, Validation and Verification Report (DI-MGMT-81804A). SOLUTION
Create a good plan Oversee execution of the plan Ensure marks are validated. AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 41 UNCLASSIFIED Unregistered UII Why? Supplier + Acceptor + Requiring Activity DRAFT AR 700-145 3-4b. Requiring activities are responsible to ensure that within 14 days of item acceptance all newly procured or recapitalized items will be registered if marked using the DFARS contract clause 252.2117003. SOLUTION Create a good plan Oversee execution of the plan
AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 42 UNCLASSIFIED IUID High Risk Area - #2 Ensuring DFARS 252.211-7003, including a schedule or other attachment listing all items requiring IUID is included in contracts for tangible personal property. DFARS 211.274-2 (currently under revision) requires that vendors apply IUID to all delivered items with a unit price of $5000 or greater as well as those meeting other specified criteria. (See below for a major exception to that requirement.) DFARS 211.274-6 requires that the clause at DFARS 252.211-7003 be included in contracts, however, in order to require that IUID be applied to any items other than delivered items with a unit price of $5000 or greater, a list of those items must either be inserted at the appropriate spot in the clause or provided as an attached schedule or similar document. Note that: DRAFT DFARS 211.274-2 provides an exception for items acquired under FAR Parts 8 or 12; if advantageous, the government may choose to mark with IUID after delivery. A revision of DFARS 252.211-7003 better accommodating the new IUID criteria published in DODI 8320.04 and eliminating reference to the $5000 mandate is in process. In the interim, recent Army guidance* has approved omitting IUID for delivered items with a unit price of $5000 or greater, if they do not require unique item level traceability. * PARC Policy Alert #18-39
AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS DFARS:Defense Federal Acquisition Regulation Supplement DODI: Department of Defense Instruction FAR: Federal Acquisition Regulation 43 UNCLASSIFIED High Risk Areas - #2 (Cont) Current Text of DFARS 211.274-2, also known as 48 CFR 211.274-2: (a) It is DoD policy that DoD item unique identification, or a DoD recognized unique identification equivalent, is required for all delivered items, including items of contractor-acquired property delivered on contract line items (see PGI 245.402-71 for guidance when delivery of contractor acquired property is required) (1) For which the Government's unit acquisition cost is $5,000 or more; DRAFT (2) For which the Government's unit acquisition cost is less than $5,000 when the requiring activity determines that item unique identification is required for mission essential or controlled inventory items; or (3) Regardless of value for any - (i) DoD serially managed item (reparable or nonreparable) or subassembly, component, or part embedded within a subassembly, component, or part; (ii) Parent item (as defined in 252.211-7003(a)) that contains the embedded subassembly, component, or part; (iii) Warranted serialized item; (iv) Item of special tooling or special test equipment, as defined at FAR 2.101, for a major defense acquisition program that is designated for preservation and storage in accordance with the requirements
of section 815 of the National Defense Authorization Act for Fiscal Year 2009 ( Pub. L. 110-417); and (v) High risk item identified by the requiring activity as vulnerable to supply chain threat, a target of cyber threats, or counterfeiting. CFR: Code of Federal Regulations DFARS:Defense Federal Acquisition Regulation Supplement PGI: Procedures, Guidance and Information AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 44 UNCLASSIFIED IUID High Risk Area - #3 Ensuring that IUID marks have the correct data, properly encoded. Note: Pratt and Whitney reported early in their IUID program that over 50% of sample marks provided by their subcontractors were encoded incorrectly. Compliance has vastly improved since then, but to minimize that risk, you: o Must contractually require vendors to provide the DOD Data Item Description DIMGMT-81804A Verification and Validation Report, as mandated by AR 700-145 o May require suppliers to provide an IUID Marking Plan and/or sample marks prior to production and use one of several free military or commercial programs to check encoding (to validate) o Should check the original part number if used in the UII and in Wide Area Workflow (WAWF) to ensure that it is the part number assigned by the enterprise at asset creation. o May contractually require the vendor to (1) validate and verify marks using sampling procedures conforming to ISO 2859-1 and/or (2) retain the resulting validation and verification reports, subject to government inspection. Then periodically review them to ensure that marks are compliant o May contractually require other mark QA procedures
DRAFT NOTE: DFARS 252.211-7003 (Mar 2016) now requires (for contracts including a version of that DFARS clause dated Dec 13 or later) validation and verification of marks with an AIT device, but does not require furnishing the government with proof that was done. AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 45 UNCLASSIFIED Common IUID Plan Errors PL AMIS has reviewed over 600 IUID Implementation Plans. These are some of the common mistakes we find: Created using an outdated version of SYSPARS Version 2.9.1 (Jul19) is current! Obsolete or useless references (more is not always better) Inadequately addressing quality assurance of the item marks. o Per DFARS and MIL-STD, marks require both verification and validation quality checks. o Contractually specifying a requirement for compliance with MIL-STD-130N w/ch1 does not ensure that the mark will be in compliance. Also note that DCMA personnel do not own the hardware required to measure mark compliance. o The only way for the organization that actually makes the mark to ensure it is compliant is to have a verifier, which produces both verification and validation reports. o AR 700-145 (18 Feb 2016) specifies a minimum verification/validation requirement. Contractually, DFARS 252.211-7003 requires contractors to verify that item marks conform to MIL-STD-130 (latest version) and para 5.2.7 of MIL-STD 130N w/ch1 DCMA:
Defense Contract Management Agency Defense Federal Acquisition Regulation Supplement requires validation and verification. DFARS: DRAFT QA: SYSPARS: AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS Quality Assurance Systems Planning and Requirements Software 46 UNCLASSIFIED Common IUID Plan Errors (Cont) Failing to address quality assurance of the marking of the packaging of items with IUID DFARS 252.211-7003 (Dec 13 and later) requires packaging of IUID items to be marked IAW MIL-STD-129 (latest) = MIL-STD-129R w/ch1 AR 700-145 requires that QA of the packagings marks be addressed in the plan. Many plans dont. In our experience, marking of packaging is wrong more often than right. Validation software to check MIL-STD-129 compliance is not widely available, but a manual process is and it is available for download from the AMIS IUID web page. Failing to read the IUID plan output in MS Word before circulating it for coordination. Check for internal conflicts (i.e. both specifying the items that will receive IUID and concurrently stating that the contractor will recommend items to receive IUID.) Check for grammar, incomplete sentences, content in the wrong paragraph, repetition, etc.
Check for clarity. Is it possible for the reader of the plan to misinterpret what you are trying to communicate? If so, fix it before coordinating it. If you didnt use SYSPARS, check content against the minimum requirements of DFARS: - Defense Federal Acquisition Regulation Supplement para 3-1, AR 700-145. DRAFT QA Quality Assurance SYSPARS Systems Planning and Requirements Software AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 47 UNCLASSIFIED Looking to the Future Expect: OSD will act to revise the criteria that mandate IUID by amending DFARS 211.274-2 (and eliminating the =/>$5000 rule). DFARS 252.211-7003 will be revised to better conform to the revised IUID criteria codified in DODI 8320.04. DRAFT The IUID Registry will no longer be the GFP Master Data Source. DFARS 252.2117007 and DODI 8320.04 will be changed to reflect that. HQDA G-4 and/or ASA(ALT) will publish implementing guidance (to include defining the HITL process) for Army Directive 2016-21/AR 710-3. The DOD Guide to Uniquely Identifying Items, Version 3.0, 2 Dec 14 will be revised. ASA (ALT) and the Acquisition community will remain responsible to ensure that newly
acquired items requiring IUID are marked prior to acceptance by the government and registered via iRAPT/WAWF. DFARS:Defense Federal Acquisition Regulation Supplement DODI: Department of Defense Instruction GFP Government Furnished Property iRAPT: Invoicing, Receipt, Acceptance and Property Transfer OSD: Office of the Secretary of Defense WAWF: Wide Area Work Flow AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 48 UNCLASSIFIED Looking to the Future Expect IUID criteria applicable to foreign military sales is likely to change. Army G-4 will continue its delegation to AMC of responsibility to ensure that legacy items meeting mandatory IUID criteria are marked and registered and that the industrial base replaces any additive IUID marks with IUID marks embedded in equipment data plates/labels when the equipment undergoes depot-level maintenance DRAFT As the Army Executive Agent for legacy item marking, AMC will continue executing an enterprise-oriented Army IUID legacy marking program for Class II, and VII; the program will support initial unit-level application of additive IUID marks to identified unmarked class II and VII legacy items requiring IUID and sustainment (replacement) of marks that become detached or unreadable. (Note: You can contact the AMC IUID
team at: [email protected]) Additional emphasis will be placed on ensuring that non-standard (non-NSN) items are cataloged in the Army Enterprise Materiel Master (AEMM), allowing those items SIM status to be determined and documented. AMC: AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS Army Materiel Command 49 UNCLASSIFIED Important References Army Regulation 70-1, Army Acquisition Policy https://armypubs.army.mil/epubs/DR_pubs/DR_a/pdf/web/ARN3845_AR70_1_FINAL.pdf Army Regulation 700-145, Item Unique Identification https://armypubs.army.mil/epubs/DR_pubs/DR_a/pdf/web/r700_145.pdf Army Directive 2016-21, Interim Serialized Item Management (SIM) Policy https:// armypubs.army.mil/epubs/DR_pubs/DR_a/pdf/web/Army%20Directive%202016-21%20FI NAL.pdf DRAFT DA Pamphlet 700-145, Item Unique Identification Procedures https:// armypubs.army.mil/epubs/DR_pubs/DR_a/pdf/web/ARN5049_DAPam700_145_FINAL.pd f The DOD Guide to Uniquely Identifying Items (the bible of IUID): https://
dodprocurementtoolbox.com/site-pages/overview-implementation Military Standard 130N w/ch1 (Identification Marking of U.S. Military Property) https:// quicksearch.dla.mil/qsDocDetails.aspx?ident_number=35521 Military Standard 129R w/ch1 (Military Marking for Shipment And Storage) http:// quicksearch.dla.mil/qsDocDetails.aspx?ident_number=35520 AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 50 UNCLASSIFIED Important References (Cont.) AMC Guide to Mark Sustainment (how to replace bad marks) http://www.usarmyamis.army.mil/AIT.html Army IUID Implementation Plan http://www.usarmyamis.army.mil/CustomerSupport/Final-ImplementationPlan-v3-OGC_5M AR.pdf Systems Planning and Requirements Software (SYSPARS) - program download and user guide (currently under revision to better conform to AR 700-145) https://www.logsa.army.mil/#/lec/syspars DRAFT SYSPARS updates http://www.usarmyamis.army.mil/AIT.html AMIS IUID Web Page (a gold mine of links to IUID resources) http://www.usarmyamis.army.mil/AIT.html Supplier Tips for Getting IUID Done Right (Helpful tips for contractors) http://www.usarmyamis.army.mil/CustomerSupport/SupplierTips_GettingIUIDDoneRight.docx
AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 51 UNCLASSIFIED One Source of IUID Planning Help AMIS website: http://www.usarmyamis.army.mil/AIT.html Note: This Essential Information for (IUID Implementation) Planners briefing is available for download, as are numerous other reference publications. AMIS IUID POC: DRAFT Email: [email protected] DETAILS (703) 806-0547 or DSN 656-0547 How can we help you? When it comes to most aspects of IUID implementation, weve been there and done that, or know people who have. AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 52 UNCLASSIFIED
DRAFT Backup AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 53 UNCLASSIFIED ADDITIONAL DETAIL ON ISSUES 1. Issue: Ensuring suppliers encode original part number in the data matrix, without requiring use of Construct #2 2. Issue: Examples of marking and registration errors DRAFT AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 54 UNCLASSIFIED Who Selects the Construct Used to Encode the UII? DFARS 252.211-7003 (5) Unique item identifier. (i) The Contractor shall (A) Determine whether to
(1) Serialize within the enterprise identifier; (2) Serialize within the part, lot, or batch number; or (3) Use a DoD recognized unique identification equivalent (e.g. Vehicle Identification Number); Rationale: DRAFT IUID is intended/designed to be minimally disruptive to commercial practice. In this case, the contractor can use their existing serialization scheme If they serialize within the enterprise, they use Construct #1 If they serialize within part number, they use Construct #2 AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 55 UNCLASSIFIED How to Ensure an Original PN is Encoded in the Datamatrix Mark DRAFT AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 56 UNCLASSIFIED
Examples of Marking and Registration Errors IUID-related Defects Discovered by the USMC at Blount Island, Florida while processing Prepositioned Afloat Equipment DRAFT AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 57 UNCLASSIFIED DON IUID Enterprise Training Symposium 4 IUID Implementation: Making Every Dollar Count January 11-13, 2011 San Diego, CA TAM: Nomenclature: NSN:
Manufacturer: A2043, A2044 PRC-148 Urban (V1) & (V2) 5820-01-487-0973, 5820-01-487-0972 January 11-13, 2011 Town & Country Resort Thales Corporations, Inc. and Convention Center Mission Valley San Diego, CA DRAFT Defects Found Data matrix is damaged and cannot be read Some part numbers in the UII do not match the items part number Some UIIs do not contain the proper syntax Some UIIs have a serial number in the UII that does not match the item serial number Some UIIs are not in the registry UNCLASSIFIED DON IUID Enterprise Training Symposium 4 IUID Implementation: Making Every Dollar Count
January 11-13, 2011 San Diego, CA TAM: D0017 Nomenclature: M1102 MCC Trailer January 11-13, 2011 NSN: 2330-01-543-5794 Town & Country Resort Center Manufacturer: Shutt Industries, Inc.and Convention Mission Valley DRAFT San Diego, CA Defects Found Data Matrix is unreadable by any scanner: Poor quality dot peen mark from manufacturer Some UIIs do not match registry data
Some UIIs are not registered at all UNCLASSIFIED DON IUID Enterprise Training Symposium 4 IUID Implementation: Making Every Dollar Count January 11-13, 2011 San Diego, CA TAM: C7033 Nomenclature: SHOP EQUIP CONTACT MAINT VEHICLE January 11-13, 2011 NSN: 4940-01-333-8471 Town & Country Resort and Convention Center Manufacturer: US Army Armament Research Mission Valley DRAFT
San Diego, CA Defects Found Data Matrix does not contain proper syntax (i.e., header). IUID mark contains items literal data. UNCLASSIFIED DON IUID Enterprise Training Symposium 4 IUID Implementation: Making Every Dollar Count January 11-13, 2011 San Diego, CA TAM: D0215 Nomenclature: MK970 SemiTrl Tanker January 11-13, 2011 NSN: 2330-01-537-8217 Town & Country Resort
and Convention Center Manufacturer: Heil Trailer International Mission Valley DRAFT San Diego, CA Defects Found Data Matrix does not contain proper semantics - Unknown Data Identifier found VIN Some marks contained syntax header with no item data Some items were registered using VIN method and did not match IUID mark UNCLASSIFIED DON IUID Enterprise Training Symposium 4 IUID Implementation: Making Every Dollar Count January 11-13, 2011 San Diego, CA EC:
512235 Nomenclature: TRAILER ECU GEN January 11-13, 2011 NSN: 8340-01-533-1697 Town & Country Resort and Convention Center Manufacturer: HDT Expeditionary Systems, Inc. Mission Valley DRAFT San Diego, CA Defect Data matrix does not contain proper syntax and contains literal item data UNCLASSIFIED DON IUID Enterprise Training Symposium 4 IUID Implementation: Making Every Dollar Count January 11-13, 2011 San Diego, CA
TAM: D0195 Nomenclature: FLATRACK, PALLETIZED January 11-13, 2011 Town & Country Resort NSN: 3990-01-537-1045 and Convention Center Manufacturer: Summa Technology, Inc. Mission Valley DRAFT San Diego, CA Defects Found Data matrix does not meet ISO format standard. Invalid ISO 15434 Header - The first 3 characters found are "CAG UNCLASSIFIED DON IUID Enterprise Training Symposium 4 IUID Implementation: Making Every Dollar Count January 11-13, 2011 San Diego, CA
TAM: B0640 EC: 511024 Nomenclature: FLOODLIGHT SET,ELECTRIC January 11-13, 2011 Town & Country Resort NSN: 6230-01-530-8890 / 6330LLLC10766 and Convention Center Manufacturer: Magnum Products Mission Valley DRAFT San Diego, CA Defects Found IUID mark does not contain proper syntax (i.e., header) Manufacturer used UII Construct 2 for creating the data matrix however registered the item using UII Construct 1 UNCLASSIFIED
DON IUID Enterprise Training Symposium 4 IUID Implementation: Making Every Dollar Count January 11-13, 2011 San Diego, CA EC: 07002 Nomenclature: TRICON January 11-13, 2011 Town & Country Resort NSN: 8145LLLCC2971 and Convention Center Manufacturer: Charleston Marine Containers,Mission Inc. Valley DRAFT San Diego, CA
Defects Found IUID marks do not contain the proper syntax. IUID marks contain literal data identifiers Manufacturer registered items with UII that did not match data matrix UNCLASSIFIED DON IUID Enterprise Training Symposium 4 IUID Implementation: Making Every Dollar Count January 11-13, 2011 San Diego, CA TAM: A0273 / A0097 Nomenclature: RADIO SET (20w) / (50w) January 11-13, 2011 Town & Country Resort NSN: 5820-01-557-8450 / 5820-01-565-9999 and Convention Center
Manufacturer: Harris, Inc. Mission Valley DRAFT San Diego, CA Defects Found A0273 contained Parent IUID labels to be applied on the record jacket. A0097 did not come with Parent labels Some radio sets have the parent IUID registered and others do not Some subcomponent UIIs have not been registered UNCLASSIFIED Cause of Errors Supplier + Acceptor + Material Developer DRAFT AUTOMATED MOVEMENT AND IDENTIFICATION SOLUTIONS 67