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
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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
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UID Lifecycle & Interface Flow
Require
Create & Generate
Capture
Use
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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
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• 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
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Require the UID
Which Items Require a Unique Identifier (UID)?
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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
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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)
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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.
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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
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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
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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
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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)
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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
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UID Receipt & Acceptance ProcessUID Receipt & Acceptance Process
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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
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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
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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
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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
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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
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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.
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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
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