Department of Defense Guide to Uniquely Identifying Items

Department of Defense Guide to Uniquely

Identifying Items

Assuring Valuation, Accountability and

Control of Government Property

Version 3.0

December 2, 2014

Office of the Under Secretary of Defense

(Acquisition, Technology & Logistics)

Preface

INTENDED USERS

This guide is intended for use by Department of Defense (DoD) contractors and their

suppliers who apply item unique identification (IUID) Data Matrices

to new items

during production, as directed in the contract.

This guide is also intended for use by the DoD Components and their agents, who are

required to apply IUID Data Matrices on applicable legacy items in inventory and in

operational use.

Within these user communities, the targeted audience is the user of automatic

identification technologies, such as barcodes and barcode readers.

SUMMARY OF GUIDE CHANGES

This Version 3.0 of the Department of Defense Guide to Uniquely Identifying Items

replaces all previous versions.

Summary of changes from Version 2.5 (Dated September 15, 2012) to Version 3.0:

a. Content changes were incorporated in the basic document:

(1) To clarify applicability of the IUID marking criteria in the current edition of

Defense Acquisition Regulations Supplement (DFARS) 211.274-2 for new

acquisition items delivered under contracts.

• The decisions trees in Figures 1 and 2 were updated.

• Changes were made to align with the content of current editions of referenced

DoD issuances that were revised since the publication of Version 2.5.

• Strategies for minimizing the impacts of non-recurring engineering were

included.

For the purpose of this document, the term “IUID Data Matrix” is used to describe a Data Matrix symbol

compliant with all DoD IUID policies and business rules. This is equivalent to the terms “UII Data Matrix

Symbol”, “IUID compliant Data Matrix”, “IUID MRI mark”, and “Data Matrix containing the UII data set”

used in other IUID documents. A Data Matrix not meeting all DoD IUID policies and business rules is

referred to as a “non-compliant Data Matrix”. The term “Data Matrix” is used to describe a Data Matrix

barcode which may or may not meet all DoD IUID requirements.

iii

(2) All the definitions in Appendix A were validated against the latest version of their

authoritative source.

(3) Appendix B references were updated to reflect the latest versions. DoD 4041.1-R

was deleted and DoD Instruction (DoDI) 4140.01 and DoD Manual (DoDM)

4140.01, Volumes 1 through 11, were added.

b. GFP content was removed as it was redundant with the provisions in DoDI 4161.02,

Accountability and Management of Government Contract Property.

c. Appendix D was revised to delete the use of serialization within the lot number within

a part number.

d. Table 5 in Appendix D was revised to delete the Text Element Identifier (TEI)

“LOT ”.

e. Table 7 was revised to delete the use of the four-element unique item identifier (UII)

constructs for serialization within the lot number within the part number.

f. Sections were reorganized to remove redundancy and align content.

g. Changes were made to achieve consistent use of acronyms.

h. The use of the words "shall", "must", "should", "can", "may" and "will" were edited

to ensure their usage accurately reflects policy.

i. Changes for compatibility with the changes reflected above, as well as various format

corrections, were made throughout.

Table of Contents

Preface................................................................................................................................ ii

Intended Users ............................................................................................................... ii

Summary of Guide Changes .......................................................................................... ii

List of Figures ........................................................................................................... vi

List of Tables ............................................................................................................ vi

1. The Environment ....................................................................................................... 1

1.1. The Government Property Management Challenge .......................................... 1

1.2. Item Unique Identification ................................................................................. 1

1.2.1. The Definition of Item ............................................................................... 2

1.3. The Objectives ................................................................................................... 2

1.4. Item Management .............................................................................................. 3

1.5. The Players......................................................................................................... 3

1.5.1. Engineering Management .......................................................................... 3

1.5.2. Acquisition Management ........................................................................... 3

1.5.3. Property and Equipment Accountability .................................................... 4

1.5.4. Logistics Management and Accountability ............................................... 4

1.5.5. Financial Management ............................................................................... 4

1.5.6. Asset Visibility........................................................................................... 5

1.6. Processes, Activities and Actions ...................................................................... 5

2. The Need to Uniquely Identify Items ........................................................................ 7

2.1. Differentiating Items Throughout the Supply Chain ......................................... 7

2.2. Accounting for Acquired Items ......................................................................... 7

2.3. Contractor-acquired Property on Cost-Reimbursement Type Contracts ........... 8

2.4. Establishing Item Acquisition Cost ................................................................... 8

2.4.1. Using Contract Line Items ......................................................................... 8

2.4.2. Valuation of Items...................................................................................... 9

3. Requirements for IUID ............................................................................................ 11

3.1. What is an Item? .............................................................................................. 11

3.2. Deciding What Items are to be Identified as Unique ....................................... 11

3.2.1. Items Delivered Under Contracts............................................................. 11

3.2.2. Legacy Items ............................................................................................ 12

3.2.3. Context and Scope of Decision Criteria ................................................... 14

3.2.3.1. DoD Serially Managed ........................................................................ 14

3.2.3.2. $5,000 Unit Acquisition Threshold ..................................................... 15

3.2.3.3. Mission Essential Items ....................................................................... 15

3.2.3.4. Controlled Inventory Items .................................................................. 15

3.2.3.5. Warranted Serialized Items .................................................................. 16

3.2.3.6. Special Tooling for Major Defense Acquisition Programs.................. 16

3.2.3.7. High Risk Items ................................................................................... 16

3.3. Special Topics .................................................................................................. 16

3.3.1. IUID of Sets, Kits, and Outfits................................................................. 16

3.3.2. Legacy Items Not Requiring IUID Marking and Registration ................ 17

4. Determining Uniqueness of Items............................................................................ 19

4.1. What is the UII? ............................................................................................... 19

4.1.1. Defining the Data Elements for the UII ................................................... 19

4.1.2. DoD Recognized IUID Equivalents......................................................... 19

4.1.3. The Notion of an Enterprise ..................................................................... 20

4.1.4. The Notion of an Issuing Agency ............................................................ 20

4.2. Creating an IUID Data Matrix ......................................................................... 21

4.3. Marking an Item with an IUID Data Matrix .................................................... 22

4.3.1. Deciding Where to Place an IUID Data Matrix on an Item ..................... 23

4.3.1.1. Marking Items with Severe Space Limitations .................................... 23

4.3.1.2. Strategies for Minimizing Non-Recurring Engineering ...................... 23

4.3.2. Deciding When to Place the IUID Data Matrix on the Item .................... 24

4.3.2.1. Vendor-Applied-at-Source ................................................................... 25

4.3.2.2. Opportunity-Based ............................................................................... 25

4.3.2.3. Seek-and-Apply ................................................................................... 25

4.3.2.4. Gated .................................................................................................... 26

4.3.3. Virtual UIIs .............................................................................................. 26

4.4. Use of UIIs in AISs .......................................................................................... 26

4.4.1. Derivation of the UII ................................................................................ 27

4.4.2. UII Derivation Process ............................................................................. 27

4.5. Roles and Responsibilities for Property Records............................................. 28

4.5.1. Property Accountability ........................................................................... 28

4.5.2. Materiel Management of Secondary Items .............................................. 29

4.6. Through-Life Traceability of UII Items in the DoD IUID Registry ................ 29

4.6.1. Obtaining User Access to the DoD IUID Registry .................................. 29

4.6.2. Initial Item Registration ........................................................................... 29

4.6.3. Item Update .............................................................................................. 30

Appendix A - Definitions................................................................................................. 31

Key Definitions ........................................................................................................ 31

Appendix B - Where Does the Guidance Exist Today? .................................................. 41

Appendix C - Business Rules (Version 4.1) .................................................................... 43

What are Business Rules? ............................................................................................ 43

IUID Business Rules .................................................................................................... 43

Contracts and Administration ...................................................................................... 43

UII Construction and Physical Marking ...................................................................... 44

Items Considered Part of a New Solicitation ........................................................... 44

Creating and Generating the UII .......................................................................... 44

Parent-Child Relationships .................................................................................. 46

Metadata Requirements ....................................................................................... 47

Capturing the UII ................................................................................................. 48

Using the UII........................................................................................................ 49

Legacy Items in Operational Use or in Inventory .................................................... 49

Items Considered Tangible Personal Property Owned by the Government in the

Custody of a Contractor that Have Not Been Previously Marked ........................... 50

Appendix D - The Mechanics of IUID ............................................................................ 51

Structuring the Data Elements for IUID ...................................................................... 51

Semantics ................................................................................................................. 51

Syntax ...................................................................................................................... 53

Examples of Semantics and Syntax Constructions for IUID ....................................... 58

Using ANS MH10 DIs ............................................................................................. 58

Using GS1 AIs ......................................................................................................... 64

Historic Use of TEIs ................................................................................................ 66

The Collaborative AIT Solution .............................................................................. 67

Using TEIs ............................................................................................................... 68

Appendix E - Glossary of Terms ..................................................................................... 72

List of Figures

Figure 1. Uniquely Identifying Items Delivered Under Contract ..................................... 12

Figure 2. Uniquely Identifying Legacy Items in Inventory or Use................................... 13

Figure 3. Different IUID Data Matrices, Same UII .......................................................... 22

Figure 4. Considerations in MRI Part Marking ................................................................ 24

Figure 5. UII Determination Process ................................................................................ 28

List of Tables

Table 1. Functional Processes Impacting Item Management ............................................. 6

Table 2. Contract Requirements – Identifying Unit Acquisition Cost................................ 9

Table 3. Legacy Items Exempt from Marking and Registering ........................................ 18

Table 4. Issuing Agency Codes ........................................................................................ 21

Table 5. Data Qualifiers for IUID Usage .......................................................................... 52

Table 6. UII Construction for AIs (Format Indicator 05) ................................................ 55

Table 7. UII Construction for DIs (Format Indicator 06) ................................................ 56

Table 8. UII Construction for TEIs (Format Indicator 12) .............................................. 57

Table 9. Examples of the Use of DIs in Construct #1 Serialization within the Enterprise

(Format Indicator 06 of ISO/IEC 15434).......................................................................... 58

Table 10. Example of the Use of DIs in Construct #1 Serialization within the Enterprise

with Additional Item Data (Format Indicator 06 of ISO/IEC 15434) ............................. 59

Table 11. Example of the Use of DIs in Construct #2 Serialization within the Original

Part Number (Format Indicator 06 of ISO/IEC 15434) ................................................... 60

Table 12. Example of the Use of DIs in Construct #2 Serialization within the Lot Number

(Format Indicator 06 of ISO/IEC 15434).......................................................................... 61

Table 13. Example of the Use of DIs in Construct #2 Serialization within the Original

Part Number with Additional Item Data (Format Indicator 06 of ISO/IEC 15434) ........ 63

Table 14. Example of the Use of AIs for GIAI using the Individual Asset Reference

Number (Format Indicator 05 of ISO/IEC 15434) ........................................................... 64

Table 15. Example of the Use of AIs for GIAI using the Serialized GTIN™ (Format

Indicator 05 of ISO/IEC 15434) ....................................................................................... 66

Table 16. Example of the Use of TEIs for UII Construct #1, Manufacturer Serialization

(Format Indicator 12 of ISO/IEC 15434).......................................................................... 68

Table 17. Example of the Use of TEIs for UII Construct #1, Enterprise other than

Manufacturer (Format Indicator 12 of ISO/IEC 15434) ................................................... 69

Table 18. Example of the Use of TEIs for UII Construct #2, Serialization within the

Original Part Number (Format Indicator 12 of ISO/IEC 15434) ..................................... 70

1. The Environment

1.1. THE GOVERNMENT PROPERTY MANAGEMENT

CHALLENGE

The Government Accountability Office (GAO) aptly describes the challenge faced by

today’s managers of Federal Government property: “GAO and other auditors have

repeatedly found that the federal government lacks complete and reliable information for

reported inventory and other property and equipment, and cannot determine that all assets

are reported, verify the existence of inventory, or substantiate the amount of reported

inventory and property. These longstanding problems with visibility and accountability

are a major impediment to the federal government achieving the goals of legislation for

financial reporting and accountability. Further, the lack of reliable information impairs

the government’s ability to (1) know the quantity, location, condition, and value of assets

it owns, (2) safeguard its assets from physical deterioration, theft, loss, or

mismanagement, (3) prevent unnecessary storage and maintenance costs or purchase of

assets already on hand, and (4) determine the full costs of government programs that use

these assets. Consequently, the risk is high that the Congress, managers of federal

agencies, and other decision makers are not receiving accurate information for making

informed decisions about future funding, oversight of federal programs involving

inventory, and operational readiness”

. Further, the Congress has demanded greater fiscal

accountability from managers of federal government property

1.2. ITEM UNIQUE IDENTIFICATION

In response to the need to improve fiscal accountability and government property

management, the DoD has mandated IUID to enable item life cycle visibility,

management, and accountability.

IUID requires the assignment of a globally unique UII to new acquisition and legacy

items meeting DoD-specified criteria. This UII is encoded into an IUID Data Matrix and

applied to the item, as well as registered with respective item information in the DoD

IUID Registry.

GAO-02-447G, Executive Guide, Best Practices in Achieving Consistent, Accurate Physical Counts of

Inventory and Related Property, March 2002, page 6.

Ibid., page 5: The GAO observes that “In the 1990s, the Congress passed the Chief Financial Officers Act

of 1990 and subsequent related legislation, the Government Management Reform Act of 1994, the

Government Performance and Results Act of 1993, and the Federal Financial Management Improvement

Act of 1996. The intent of these acts is to (1) improve financial management, (2) promote accountability

and reduce costs, and (3) emphasize results-oriented management. For the government’s major departments

and agencies, these laws (1) established chief financial officer positions, (2) required annual audited

financial statements, and (3) set expectations for agencies to develop and deploy modern financial

management systems, produce sound cost and operating performance information, and design results-

oriented reports on the government’s financial position by integrating budget, accounting, and program

information. Federal departments and agencies work hard to address the requirements of these laws but are

challenged to provide useful, reliable, and timely inventory data, which is still not available for daily

management needs.”

The Environment

1.2.1. The Definition of Item

For the purposes of this guide, an item is a single hardware article or a single unit formed

by a grouping of subassemblies, components, or constituent parts

1.3. THE OBJECTIVES

DoD Directive (DoDD) 8320.03, Unique Identification (UID) Standards for a Net-

Centric Department of Defense, provides for UID data standards development and

implementation of the Department’s UID strategy. It establishes policy and prescribes

the criteria and responsibilities for creation, maintenance, and dissemination of UID data

standards for discrete entities to enable on-demand information in a net-centric

environment, which is an essential element in the accountability, control, and

management of DoD assets and resources. It also establishes policy and assigns

responsibilities for the establishment of the Department’s integrated enterprise-wide UID

strategy and for the development, management, and use of unique identifiers and their

associated authoritative data sources in a manner that precludes redundancy

. IUID is the

fundamental element of the Department’s strategy for the management of its tangible

items of personal property. DoDI 8320.04, Item Unique Identification (IUID) Standards

for Tangible Personal Property, has been issued for policy implementation.

DoDI 5000.64, Accountability and Management of DoD Equipment and Other

Accountable Property, requires accountability records be established for all Government

property with a unit acquisition cost of $5,000 or more and items that are sensitive or

classified, regardless of acquisition cost. Property records and/or systems are to provide a

complete trail of all transactions, suitable for audit

DoDI 4140.01, DoD Supply Chain Material Management Policy, requires accountability

and inventory control requirements for all secondary items of property and materiel

received in the wholesale supply system.

A key component of effective property management is to use sound, modern business

practices.

In terms of achieving the desirable end state of integrated management of items, the

collective DoD goal shared by all functional processes involved in property management

is to uniquely identify items, while relying to the maximum extent possible on

international standards and commercial item markings and not imposing unique

Government requirements. Unique identification of items will help achieve:

DFARS 252.211-7003(a).

Redundancy occurs when the same item is assigned multiple UIIs.

Property accountability records and systems shall contain the data elements specified in DoDI 5000.64,

Enclosure 3, paragraph 6.0, including part number, cost, national stock number, UII or DoD recognized

IUID equivalent, and other data elements listed.

The Environment

• 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.

• Improved item management and accountability.

• Improved asset visibility and life cycle management.

• Clean audit opinions on item portions

of DoD financial statements.

1.4. ITEM MANAGEMENT

The acquisition, production, maintenance, storage, and distribution of items require

complete and accurate asset records to be effective, and to ensure mission readiness. Such

records are also necessary for operational efficiency and improved visibility, as well as

for sound financial management. Physical controls and accountability over items reduce

the risk of (1) undetected theft and loss, (2) unexpected shortages of critical items, and

(3) unnecessary purchases of items already on hand.

1.5. THE PLAYERS

Program managers and item managers lead the coordinated efforts of various

stakeholders. The principal functional stakeholders in item management are Engineering

Management; Acquisition Management; Property and Equipment Accountability;

Logistics Management and Accountability; and Financial Management. Asset visibility is

crosscutting to these five functions. Their interests involve the following:

1.5.1. Engineering Management

DoDD 5000.01, Defense Acquisition System, requires acquisition programs be managed

through the application of a systems engineering approach that optimizes total system

performance and minimizes total ownership costs. A modular, open-systems approach is

employed, where feasible. For purposes of item management, engineering plays a crucial

role in the documentation of technical data that defines items and the configuration

management of these items throughout their useful life.

1.5.2. Acquisition Management

The Federal Acquisition Regulation (FAR) Part 45, Government Property, prescribes

policies for furnishing Government property to contractors including the use,

maintenance, management and reporting of Government-furnished property and

contractor-acquired property, and for the return, delivery, or disposal of Government-

furnished property and contractor-acquired property.

The BEA defines the processes, roles, data structures, information flows, business rules, and standards

required to guide improvements in the Core Business Missions of the Department.

These financial statement portions are (1) Property, Plant and Equipment and (2) Operating Materials and

Supplies.

The Environment

1.5.3. Property and Equipment Accountability

DoDI 5000.64

provides a comprehensive framework for DoD property accountability

policies, procedures, and practices; and assists DoD property managers, accounting and

financial officers, and other officials in understanding their roles and responsibilities

relating to property accountability. It establishes accountability and management policy

for tangible DoD-owned equipment and other accountable property; and contains

concepts useful for asset management throughout the Department, particularly for

property in the possession of individual military units and end-users. It excludes property

and materiel for which accountability and inventory control requirements are prescribed

in DoDI 4140.01, DoDM 4140.01 and Defense Logistics Manual (DLM) 4000.25-2

1.5.4. Logistics Management and Accountability

DoDI 4140.01, Supply Chain Materiel Management Policy, specifies policies for materiel

management. It is the Department’s policy that:

• Materiel management is responsive to customer requirements during

peacetime and war.

• Acquisition, transportation, storage, and maintenance costs are considered in

materiel management decisions.

• Standard data systems are used to implement materiel management functions.

• The secondary item inventory is sized to minimize the Department's

investment while providing the inventory needed to support peacetime and

war requirements.

• Materiel control and asset visibility are maintained for the secondary item

inventory.

DLM 4000.25, Defense Logistics Management System (DLMS), prescribes logistics

management policy, responsibilities, procedures, rules, and electronic data

communications standards for the conduct of logistics operations in the functional areas

of supply, transportation, acquisition (contract administration), maintenance, and

finance

1.5.5. Financial Management

DoDI 7000.14, Department of Defense Financial Management Policy and Procedures,

specifies that all DoD Components shall use a single DoD-wide financial management

regulation for accounting, budgeting, finance, and financial management education and

DoDI 5000.64 integrates the broad requirements of the Federal Property and Administrative Services Act

of 1949, as amended (Act of 30 June 1949, 63 Stat. 372), and the Chief Financial Officers (CFO) Act of

1990 into an overarching property accountability policy for property, plant and equipment. This instruction

complements the accounting and financial reporting requirements contained in DoD 7000.14-R.

Military Standard Transaction Reporting and Accounting Procedures (MILSTRAP).

The DLMS is a system governing logistics functional business management standards and practices rather

than an automated information system.

The Environment

training. That regulation is DoD 7000.14-R, Department of Defense Financial

Management Regulations. It establishes financial management requirements, systems,

and functions for all appropriated, non-appropriated, working capital, revolving, and trust

fund activities. In addition, it directs statutory and regulatory financial reporting

requirements.

1.5.6. Asset Visibility

Asset visibility is the cross-cutting capability that provides Combatant Commanders, the

Military Services, and the Defense Agencies with timely and accurate information on the

location, movement, status, and identity of equipment and supplies

1.6. PROCESSES, ACTIVITIES AND ACTIONS

Item management involves many functional processes, activities, and actions. These

elements are integrated and flow smoothly so that the needs of warfighters for items are

satisfied when and where they occur. The functional processes, activities, and actions

impacting item management are arrayed in Table 1 in summary format to show how they

are related and interdependent.

Functional

Processes

Activities Actions

Develop Requirements Identify needs

Identify suitable marking

methods and procedures

Design Engineering

Materiel Management

Cataloging

Assign part number

Request part number

Assign stock number

Assign UII

Produce & Accept Process Control Apply & inspect item marking

Transport Transportation Track items

Stock Stocking Stock, locate and retrieve items

Control item inventory

DoDI 5158.06, Distribution Process Owner (DPO), establishes the DoD policy to achieve effectiveness,

efficiency, and alignment of DoD-wide distribution activities, including force projection, sustainment, and

redeployment/retrograde operations. The DPO is the lead functional proponent for Radio Frequency

Identification and related Automatic Identification Technology (AIT) implementation in the DoD supply

chain, developing a centralized approach for the use of asset visibility technologies.

The Environment

Order Requisitioning Request supply item

Supply Shipping Locate and ship items

Use Receipt Receive, install and use items

Maintain Preventive Maintenance Clean, inspect, and service items

Repair Maintenance Restore reparable items

Rebuild Overhaul Refurbish items

Maintain original UII through

process

Decommission Demilitarization Remove ownership markings,

leave the unique identification

data elements

Dispose Disposal Sell/recycle scrap

Destruction and/or abandonment

Pay Financial Accounting Settle invoices

Account Inventory

Financial Statements

Manage & control

Property valuation

Table 1. Functional Processes Impacting Item Management

2. The Need to Uniquely Identify Items

2.1. DIFFERENTIATING ITEMS THROUGHOUT THE

SUPPLY CHAIN

The Department uniquely identifies the items to which it takes title to provide sufficient

asset accountability, valuation and life cycle management. Unique identification provides

the Department the opportunity to differentiate an individual item from all others. Unique

identification of items provides the Department with the information architecture to

facilitate accomplishment of the following:

• Improve the acquisition of equipment and performance based logistics services

for the warfighter,

• Capture timely, accurate and reliable data on items (i.e., equipment, reparables,

materials, and consumables),

• Improve life cycle asset management, and

• Track items in the Department and industry systems for operational, logistical

and financial accountability purposes.

2.2. ACCOUNTING FOR ACQUIRED ITEMS

Accountability of items begins when hardware (equipment and reparables) and supplies

(materials and consumables) are acquired through purchase, lease, or other means,

including transfer or fabrication, whether the hardware and supplies are already in

existence or yet to be created, developed, demonstrated, and evaluated

. DoDI 5000.64

requires that accountable property records shall be established in an accountable property

system of record for all Government property purchased, or otherwise obtained, having a

unit acquisition cost of $5,000 or more; property of any value that is controlled or

managed at the item level; leased items (capital leases) of any value; and assets that are

sensitive or classified

. Property accountability records and systems shall contain the

data elements specified in DoDI 5000.64, Enclosure 3, paragraph 6.0, including part

number, cost

, national stock number, UII or DoD recognized IUID equivalent, and

other data elements listed

For items covered under DoDI 4140.01, all materiel recurrently used, bought, stocked, or

distributed is cataloged with an accountable record

DoDM 4140.01, Volume 9, February 10, 2014 addresses IUID policy for logistics.

See American Society for Testing and Materials Standard E-2135-02, Standard Terminology for Property

and Asset Management.

DoDI 5000.64, May 19, 2011, op. cit., Enclosure 3, paragraph 2.a.

Value at full cost and depreciation information, if applicable; or original acquisition cost if the property

does not require capitalization

Ibid., Enclosure 3, paragraph 6.0, specifies the minimum data elements required.

See paragraph 4.c.

The Need to Uniquely Identify Items

2.3. CONTRACTOR-ACQUIRED PROPERTY ON COST-

EIMBURSEMENT TYPE CONTRACTS

Title to property whose cost is reimbursable to the contractor passes to and vests in the

Government upon: (1) delivery to the contractor of an item purchased by the contractor

and reimbursed as a direct cost under the contract, (2) issuance of the property for use in

contract performance; (3) commencement of processing of the property or use in contract

performance; or (4) reimbursement of the cost of the property by the Government,

whichever occurs first. The Government acquires title to all property purchased or

fabricated by the contractor in support of contract performance and may take title to

Special Tooling in accordance with the contract clauses. However, if such items are to be

delivered to the Government, they shall be delivered under a contract line item or subline

item

. Unless required otherwise in the contract, such property shall be marked with an

IUID Data Matrix only upon its delivery to the Government, provided that it meets the

IUID marking criteria.

2.4. ESTABLISHING ITEM ACQUISITION COST

It is essential that contracts contain specific arrangements to capture the acquisition cost

of all delivered items because the acquisition cost shall form the basis for the entries

made in the Department’s financial statements and shall determine the degree to which

those statements comply with the requirements of the Federal Accounting Standards

Advisory Board. Ideally, acquisition cost for items would be recorded at the time these

items are delivered to and accepted by the Government.

2.4.1. Using Contract Line Items

All property delivered to the Government shall be delivered on a Contract Line Item

Number (CLIN) or Sub Line Item Number (SLIN). The acquisition cost of each item

entering the Government property inventory is captured on the CLIN or SLIN.

CLINs and SLINs are established when the contract is structured prior to award and shall

be included for all items for which the Government shall take delivery, either during the

performance or at the completion of the contract. The estimated acquisition cost of

property shall be identified upon delivery.

Table 2 shows the acquisition cost of items delivered under contracts that are separately

priced under CLINs or SLINs. Informational subline items are used to capture the

acquisition cost for items to be delivered when separately priced CLINs or SLINs are not

practicable. Informational SLINs used only for identification of acquisition cost have to

be clearly marked as such so they are not confused with delivery, acceptance, and

payment requirements of the contract. When the acquisition costs for like items differ,

separate informational SLINs are used to identify the acquisition cost for each of the

items with a different acquisition cost.

For additional information, see DFARS Procedures, Guidance and Instructions 245.401-70 Contractor-

acquired property.

The Need to Uniquely Identify Items

Deliverable

UII or IUID

Equivalent Required

Unit Acquisition Cost

(or price) Required

Valuation Method

(Contract type)

CLIN/SLIN items

requiring UII or

IUID equivalent

(includes items

delivered

separately as

spares).

Yes. All items valued

over $5K/unit value.

Use DoD decision

tree

to determine

requirements under

$5K per unit value.

Yes

Fixed Price- use

CLIN/SLIN values.

Cost Type-use

contractor estimated

costs. DoD shall

address delta $ from

final total price.

Sub items

requiring UII or

IUID equivalent

contained within

CLIN/SLIN

delivered items.

(LRU/Spares)

Yes. Application of

maintenance plan (e.g.

lowest repairable or

replaceable unit by

DoD); No dollar

threshold for

applicability

N/A

Other

commercially

marked items not

requiring IUID.

(CLIN/SLIN)

No. The DoD shall

accept existing

commercial markings.

Yes – All delivered

items shall be valued

per unit.

Fixed Price- use

CLIN/SLIN values

Cost Type-use

contractor estimated

costs. DoD shall

address delta $ from

final total price.

Table 2. Contract Requirements – Identifying Unit Acquisition Cost

To comply with IUID policy that UIIs be delivered on a CLIN/SLIN, the Contracting

Officer shall modify a contract to establish separate CLINs/SLINs prior to delivery of

items that were not identified as contract deliverables at the time of contract award.

2.4.2. Valuation of Items

Both the unique identification and the value of items that shall be delivered under the

contract need to be reflected in the Department’s property accountability and

management information systems. According to DoDI 5000.64, acquisition cost shall be

the basis for valuation of property.

For fixed price contracts, the acquisition cost for items to be delivered is the fixed price

paid by the Government.

The decision tree for new acquisition items is found in Figure 1.

DFARS 252.211–7003 requires a contract attachment to list embedded DoD serially managed

subassemblies, components, and parts that are to be uniquely identified. The IUID data are reported at the

time of delivery, either as part of, or associated with the Material Inspection and Receiving Report.

The Need to Uniquely Identify Items

For cost type contracts, the acquisition cost for items to be delivered is the Contractor’s

estimated cost at the time the item is delivered. The acquisition cost of components

within delivered items need not be identified.

A delivered item may be composed of embedded items, such as subassemblies,

components, and parts. The prime contractor shall pass down appropriate specifications

and contract requirements, including the IUID marking requirements where applicable, to

the tiered vendors for subcontracted subassemblies, components, and parts.

Spares may be purchased directly from the vendor(s) or through the prime. IUID-

qualifying spare items (subassemblies, components, and parts) have to be marked

appropriately with an IUID Data Matrix.

When the prime delivers the complete item that is one UII. The spares are delivered with

their own UIIs. The prime is responsible for ensuring the IUID Data Matrix marking and

registering of the UII for those DoD serially managed embedded items and their parent

items in the delivered complete item.

3. Requirements for IUID

3.1. WHAT IS AN ITEM?

As stated earlier in this guide, an item is a single hardware article or a unit formed by a

grouping of subassemblies, components, or constituent parts

. In this definition,

hardware is a generic term dealing with physical items (as distinguished from a capability

or function) such as equipment, tools, implements, instruments, devices, sets, kits, outfits,

fittings, trimmings, assemblies, subassemblies, components, and parts

3.2. DECIDING WHAT ITEMS ARE TO BE IDENTIFIED AS

UNIQUE

3.2.1. Items Delivered Under Contracts

IUID is driven by an integrated set of logistics, acquisition, and financial requirements to

identify and track item information. The criteria in the decision tree apply when the items

are delivered under contract. Items being delivered under contract, including new

equipment, major modifications, reprocurements of equipment and spares, shall include

the contract clause Defense Federal Acquisition Regulation Supplement (DFARS)

252.211-7003 to invoke the IUID requirement

All items delivered to the Government under contract require item unique identification,

or a DoD recognized IUID equivalent, if one or more of the following criteria

apply

(each discussed separately):

(1) All items for which the Government’s unit acquisition cost is $5,000 or more;

(2) Items 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;

(3) Regardless of value for any—

(a) DoD serially managed item (reparable or nonreparable) or subassembly,

component, or part embedded within a subassembly, component, or part;

(b) Parent item (as defined in 252.211-7003(a)) that contains the embedded

subassembly, component, or part;

DFARS 252.211-7003(a).

Joint Publication 1-02, DoD Dictionary.

DoDI 8320.04, paragraph 5.4.1, permits alternative implementation provided that the acquired items are

marked and registered no later than 30 days after receipt.

These criteria are codified in DFARS 211.274-2, current edition.

The requiring activity will make this determination and list the items in the DFARS 252.211-7003

contract clause. For legacy items, the requiring activity will make this determination in order to identify

principal items in inventory or use for item unique identification.

Requirements for IUID

(d) 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

(e) High risk item identified by the requiring activity as vulnerable to supply

chain threat, a target of cyber threats, or counterfeiting.

Figure 1. Uniquely Identifying Items Delivered Under Contract

3.2.2. Legacy Items

The criteria in the Figure 2 decision tree apply to existing legacy principal end items

and secondary items

in inventory, in use, or undergoing maintenance, repair, or

Principal items are end items and replacement assemblies of such importance that management

techniques require centralized individual item management throughout the supply system, to include depot

level, base level, and items in the hands of using units. These specifically include the items where, in the

judgment of the Services, there is a need for central inventory control, including centralized computation of

requirements, central procurement, central direction of distribution, and central knowledge and control of

all assets owned by the Services. (Joint Publication 1-02)

Secondary items are items that are not defined as principal items and include reparable components,

subsystems, and assemblies, consumable repair parts, bulk items and material, subsistence, and expendable

end items, including clothing and other personal gear. (DoDM 4140.01, Volume 3)

Requirements for IUID

overhaul. IUID marking for legacy secondary items, which are subject to the materiel

management policies of DoDM 4140.01, Volumes 1 through 11, only apply when such

items are:

(a) DoD serially managed items that are also – at the same time – categorized as

sensitive, critical safety, or pilferable items;

(b) Reparable items;

traceability at any point in their life cycle.

Figure 2. Uniquely Identifying Legacy Items in Inventory or Use

Program and item managers shall prepare implementation plans for implementation of

IUID on legacy items in operational use, including items undergoing maintenance, repair

or overhaul, and in inventory. Only those legacy items determined in these

implementation plans to meet the IUID criteria specified in Figure 2 shall require an

IUID Data Matrix.

Requirements for IUID

3.2.3. Context and Scope of Decision Criteria

3.2.3.1. DoD Serially Managed

A distinction is made between “serialized items” and “DoD serially managed” items.

While DoD may use an item that has been serialized by the manufacturer, DoD may not

manage the item by means of its serial number. When DoD elects to manage an item by

its serial number it becomes "DoD serially managed".

This means it is a tangible item

used by DoD, which is designated by a DoD or Service Item Manager to be uniquely

tracked, controlled or managed in maintenance, repair and/or supply by means of its

serial number

DoD serially managed items require UIIs. Serial numbers may be unique within a

product or organization, but UIIs are globally unique. This permits an item to be

uniquely distinguishable in different databases.

A broad variety of items fall into the DoD serially managed category through programs

for serial number tracking, serialized item management, and unique item tracking.

Examples of DoD serially managed items may include reparable items down to and

including sub-component reparable unit level; life-limited, time-controlled, or items

requiring records (e.g., logbooks, aeronautical equipment service records); and items that

require technical directive tracking at the part level

Embedded items include subassemblies, components, or parts that are integral to the item

being delivered. All items that are serially managed by DoD require IUID. These items

shall be listed in the contract in order to clearly indicate which items are to be marked.

This criterion is applied without regard to the value of the embedded item.

Each uniquely identified embedded item is contained within a higher assembly known as

its parent item

. The parent item shall be chosen at any appropriate level of

configuration above the level of the embedded item provided that the parent item is a

higher assembly, intermediate component, or subassembly The parent item of a DoD

serially managed embedded item is also required to have a UII. This criterion is applied

without regard to the value of the parent item.

This would include high risk items that are vulnerable to supply chain threat, a target of cyber threats, or

counterfeiting.

A serial number is an assigned combination of numbers and/or letters to an item instance that separately

identifies that item instance from all others within a product or organization.

DoDI 4151.19, January 9, 2014, Serialized Item Management (SIM) for Life-Cycle Management of

Materiel

Parent item means the item assembly, intermediate component, or subassembly that has an embedded

item with a unique item identifier or DoD recognized IUID equivalent.

Requirements for IUID

3.2.3.2. $5,000 Unit Acquisition Threshold

This IUID criterion establishes the $5,000 value as the unit acquisition cost threshold for

IUID. All items at this threshold or above are required to have item unique identification

in accordance with the threshold requirement for establishing property records. Although

DoDI 5000.64 does not require items under $5,000 to have property records unless they

are leased assets of any value, or items that are classified or sensitive, a program manager

shall examine the other IUID criteria to determine if items below the $5,000 threshold

require item unique identification.

3.2.3.3. Mission Essential Items

Item essentiality is a measure of an item's military worth in terms of how its failure

would affect the ability of a weapon system, end item, or organization to perform its

intended functions. Military mission essentiality is the composite effect of an item on the

overall military mission based on the most critical significant application of the item

The primary use of military mission essentiality is in supply chain management for

determining resource allocations, determining degree of management intensity, and

communicating essentiality among the DoD Components. An assessment of mission

essentiality shall include item essentiality and the degree to which it impacts on the

overall military mission. The requiring activity shall determine on a case-by-case basis

that IUID is required for the traceability of mission critical items.

Some secondary legacy mission essential items are exempt from IUID requirements, see

section 3.3.2 for more information.

3.2.3.4. Controlled Inventory Items

The DoD employs item accountability, control, and stewardship procedures to ensure that

assets are protected against waste, loss, negligence, unauthorized use, misappropriation,

and compromise

. Controlled inventory items are those items designated as having

characteristics that require they be identified, accounted for, segregated, or handled in a

special manner to ensure their safeguard and integrity. They include classified items

(require protection in the interest of national security); sensitive items (require a high

degree of protection and control due to statutory requirements or regulations, such as

precious metals; items of high value, highly technical, or hazardous nature; and small

arms); pilferable items (items having a ready resale value or application to personal

possession, which are especially subject to theft)

; and safety controlled items. The

requiring activity shall determine on a case-by-case basis that IUID is required for the

traceability of controlled inventory items.

Some secondary legacy controlled inventory items are exempt from IUID requirements;

see section 3.3.2 for more information.

DoDM 4140.01

DoD 4100.39-M, Volume 10, Table 61

Requirements for IUID

3.2.3.5. Warranted Serialized Items

Any warranted serialized item identified pursuant to DFARS 252.246-7006, Warranty

Tracking of Serialized Items, shall be marked with an IUID Data Matrix. The UII

enables the ability to trace a warranted item from delivery through completion of the

requirements of the warranty.

3.2.3.6. Special Tooling for Major Defense Acquisition Programs

Section 815 of the Duncan Hunter National Defense Authorization Act for Fiscal Year

2009 (Pub. L. 110-417) requires the Department to plan for the preservation and storage

of unique tooling associated with the production of hardware for major defense

acquisition programs through the end of the service life of the related weapons system

Unique tooling is one-of-a-kind tooling without which the item could not be produced.

For DoD purposes, the term “unique tooling” is appropriately defined by the well-known

term “special tooling”, as defined in FAR 2.101(b).

The USD(AT&L) policy memorandum, dated August 3, 2009

, provided guidance for

the implementation of the statute. The provisions in this memorandum are: (a) special

tooling retention shall continue to be reviewed during the life of the program, (b) special

tooling designated for preservation and storage shall be serially managed and uniquely

identified as directed in DoDI 8320.04, Item Unique Identification (IUID) Standards for

Tangible Personal Property, and (c) special tooling shall be refurbished if it has reached

the end of its service life prior to its preservation and storage, as required.

3.2.3.7. High Risk Items

The requiring activity has the responsibility to identify high risk items that are vulnerable

to supply chain threat, a target of cyber threats, or counterfeiting. These high risk items

shall be marked with an IUID Data Matrix to enable item level life cycle traceability

throughout the DoD supply chain.

3.3. SPECIAL TOPICS

3.3.1. IUID of Sets, Kits, and Outfits

Sets, kits, and outfits (SKO) are assemblages of components, support items, or mission

specific and common tools in a container (for example, a bag, pouch, box, chest, van,

trailer, or shelter) that are used in association. SKOs are primarily designed to

accomplish a specific mission or maintenance function. They are identified, cataloged,

This requirement is codified in DFARS 207.106 (S-73).

USD(AT&L) Memorandum, dated August 3, 2009, Subject: Preservation and Storage of Tooling for

Major Defense Acquisition Programs.

Item level traceability is the requirement to trace life cycle management to an individual item for

specified events related to acquisition, validation of authenticity, property accountability, storage,

operation, maintenance, safety, physical security, retirement, and disposal by a single instance of an item,

e.g., an item marked with a UII.

Requirements for IUID

authorized, and issued as a single unit. They may be made up of components, support

items, and tools included in more than one class of supply; may include end items; may

include components, support items, and tools for which logistic responsibilities are

assigned to more than one agency; and may include nonexpendable, durable, and

expendable components, support items, and tools. The SKO is an item of supply,

configuration controlled by a part number or line identification number.

For purposes of both property accountability and materiel management of secondary

items, a SKO shall have a UII if it meets the qualifying criteria for tracking and valuation

purposes as long as it resides in the inventory. If any of the components of the SKO are

DoD serially managed items, they would be uniquely identified separately as embedded

items in the parent item. In this case the parent item is the SKO of which the DoD

serially managed components are a part. The embedded item would not be separately

valued, since the value of the embedded item is capitalized in the value of the SKO.

An SKO could be a set of components for a single assembly part, packaged together as a

single part number, for inclusion into one assembly during a maintenance function or

configuration change. This type of SKO is most often referred to as a kit. Once the kit is

applied to an assembly, the kit is “consumed” and capitalized as part of the value of the

assembly in which it is installed; and the UII for the kit would be retired. The assembly

in which the kit is installed would become the new parent item for any embedded items

from the kit.

3.3.2. Legacy Items Not Requiring IUID Marking and

Registration

Secondary legacy items which are not DoD serially managed and for which property

accountability records are met by determining the quantity on hand are not required to be

marked with an IUID Data Matrix and registered unless the item manager has required

they be marked and registered

. Included in this exclusion are items such as threaded

fasteners designated as critical safety items, but managed only by quantity, National

Stock Number (NSN), or part number. Examples of such items by classes of supply are

listed in Table 3.

OUSD(AT&L) Policy Memorandum “Policy Refinement for Secondary Items in Use or in Inventory”

dated 30 December 2010.

Requirements for IUID

I. Accountability/traceability required by quantity by case, weight, or volume – do not

mark and register

• Class I – Subsistence

• Class II – Clothing, expendable individual equipment, consumable administrative

and housekeeping supplies

• Class III – Bulk fuels, chemicals, and coal

• Class IV – Fortification and barrier materials

• Class VIII – Consumable medical supplies

II. Accountability/traceability required by quantity by each, unit of issue, or by case – do

not mark and register

• Class II – Non-expendable individual equipment and sets, kits, and outfits that are

not DoD serially managed

• Class III – Packaged petroleum products

• Class V – Ammunition items that are not DoD serially managed

• Class IX – Consumable repair parts and components that are not DoD serially

managed

Table 3. Legacy Items Exempt from Marking and Registering

4. Determining Uniqueness of Items

4.1. WHAT IS THE UII?

The UII is a string of capital letters, digits, dashes and/or forward slashes, not longer than

50 characters in length. The UII is a globally unique and unambiguous identifier that

distinguishes an item from all other like and unlike items.

4.1.1. Defining the Data Elements for the UII

There is more than one way to achieve a globally unique, unambiguous string of

characters suitable for a UII.

(a) The DoD recognizes six established identifiers sufficient to be used as UIIs as

they are: Global Individual Asset Identifier (GIAI); Global Returnable Asset

Identifier (GRAI)

; Vehicle Identification Number (VIN); Electronic Serial

Number (ESN), Mobile Equipment Identifier (MEID), or Cellular Mobile

Telephone Identifier (CMTI) (for cell phones); each is discussed in section 4.1.2.

(b) Construct a UII by combining other identifiers (e.g., part number, serial number,

CAGE code). The collection of identifiers, which when combined produces a UII,

are referred to as the “UII data set”. There are two general ways to construct a

UII.

1) Construct #1 is made from the following UII data set in this order: issuing

agency code (IAC) (see below), enterprise identifier (see below), and

serial number. Construct #1 can only be used if the serial numbers are

unique throughout the enterprise.

2) Construct #2 is made from the following UII data set in this order: IAC,

enterprise identifier, original part number, and serial number. Construct #2

can only be used if the serial numbers are unique within the original part

number and the original part numbers are unique throughout the

enterprise. (The original part number may be replaced in the above

description with either lot number or batch number, and be equally valid

within IUID policy.)

4.1.2. DoD Recognized IUID Equivalents

Generally, a commercial identifier is considered for inclusion into the list of officially

recognized DoD recognized IUID equivalents

if it meets these criteria: (1) Shall contain

an enterprise identifier; (2) Shall uniquely identify an individual item within an enterprise

identifier, product, or part, lot or batch number; and (3) Shall have an existing Data

Identifier (DI) or Application Identifier (AI) listed in ANS MH10.8.2, Data Identifier and

The Global Returnable Asset Identifier (GRAI) shall contain a unique serial number for DoD recognized

IUID equivalent application. Other variations of the GRAI are unacceptable for IUID.

DoD recognized IUID equivalents (or IUID equivalents) are subject to DoD approval.

Determining Uniqueness of Items

Application Identifier Standard. In addition, the item marks shall comply with the

Business Rules listed in Appendix C.

The DoD recognizes six commercial unique identifiers as item unique identification

equivalents. They are:

(a) Global Individual Asset Identifier (GIAI) for serially-managed assets.

(b) Global Returnable Asset Identifier (GRAI) for returnable assets which shall

contain a unique serial number for DoD IUID equivalent application. Other

variations of the GRAI are unacceptable.

(d) Electronic Serial Number (ESN) (for cellular telephones only).

(e) Mobile Equipment Identifier (MEID) (for cellular telephones only)

(f) Cellular Mobile Telephone Identifier (CMTI) (for cellular telephones only).

4.1.3. The Notion of an Enterprise

An enterprise, in the context of IUID, is the entity responsible for assigning a UII to an

item (e.g., a manufacturer, vendor, supplier, depot, or program management office). This

responsibility commits the entity to ensuring the uniqueness of the UII at the time of its

assignment and continued uniqueness among future UIIs

it assigns. For purposes of

item unique identification, an enterprise identifier (e.g, a CAGE code, DUNS number, or

DoDAAC) shall associate an enterprise with a definition of each entity’s location such

that it has its own unique, separate, and distinct operation. An enterprise identifier is a

code uniquely assigned to an enterprise by a registered issuing agency.

4.1.4. The Notion of an Issuing Agency

An issuing agency (e.g., Allied Committee 135, Dun & Bradstreet, GS1, or Defense

Logistics Agency Transaction Services) is an organization responsible for assigning a

non-repeatable identifier to an enterprise. An IAC, (e.g., D, UN, or LD) designates which

issuing agency is ensuring the uniqueness of the enterprise identifier. As an example, the

issuing agency code “D” designates Allied Committee 135 as the organization

responsible for ensuring the uniqueness of CAGE codes. IACs are assigned, in turn, by

The ESN is being superseded by the Mobile Equipment Identifier (MEID). The MEID universe consists

of approximately 16 million blocks of 16 million numbers, compared to the ESN universe of 256 blocks of

16 million numbers. See Telecommunications Industry Association (TIA) White Paper on the Exhaust of

Electronic Serial Numbers (ESNs) and Migration to Mobile Equipment Identifiers (MEIDs), November

2007

The enterprise identifier (EID) in the UII is the entity that is responsible for compliance with the UII

rules. An entity cannot commit another entity to that responsibility without authority. The fundamental

principle is: Never use another entity’s enterprise identifier in the UII without permission or direction from

the competent authority for that enterprise identifier.

Determining Uniqueness of Items

the registration authority of ISO/IEC 15459-2

. For the purposes of IUID, only seven

issuing agencies have been designated for use. See Table 4 for the list of issuing agencies

and their corresponding IACs used in IUID marking.

Issuing Agency Code Issuing Agency Type of Enterprise

Identifier

0 - 9 GS1 Global Office GS1 Company Prefix

D Allied Committee 135 NCAGE/CAGE

LB Telcordia

Technologies, Inc

ATIS 0300220 MIC

LD Department of

Defense

DoDAAC

LH European Health

Industry Business

Communications

Council

LIC

RH Health Industry

Business

Communications

Council

LIC and HIN

UN Dun & Bradstreet DUNS

Table 4. Issuing Agency Codes

4.2. CREATING AN IUID DATA MATRIX

An IUID Data Matrix is the UII data set marked on items within an ECC 200 Data Matrix

symbol encoded in the syntax specified within ISO/IEC 15434, using the semantics of

ISO/IEC 15418

or Airlines for America (A4A) (formerly Air Transport Association

(ATA)) Common Support Data Dictionary (CSDD)

, and following the business rules

enumerated in Appendix C.

The current Registration Authority of ISO/IEC 15459-2 is NEN–Nederlands Normalisatie-instituut.

See Appendix D, The Mechanics of Item Unique Identification, for a detailed explanation of encoding

the IUID Data Matrix. The full titles of the standards are: ISO/IEC International Standard 15434,

Information Technology–Automatic identification and data capture techniques–Syntax for high capacity

ADC media and ISO/IEC International Standard 15418, Information technology–Automatic identification

and data capture techniques–GS1 Application Identifiers and ASC MH10 Data Identifiers and maintenance

(note that ISO/IEC 15418 refers the user to ANS MH10.8.2 for technical content).

ISO/IEC 16022 shall also apply.

Determining Uniqueness of Items

Generally speaking, syntax specifies rules when arranging and ordering pieces of

information. The ISO/IEC 15434 syntax used in IUID requires both the information to be

encoded and to specify what kind of information it is. For example, if the CAGE code

"0CVA5" were to be encoded into an IUID Data Matrix, both the information 0CVA5

and the fact it is a CAGE code would be encoded. To specify 0CVA5 is a CAGE code a

"data qualifier" is used in front of the data. An example of how this could be done is:

17V0CVA5; where 17V is a data qualifier indicating the information following it is a

CAGE code. There are lists of specified data qualifiers to use with different types of data

within ISO/IEC 15418 and within the CSDD. The list of data qualifiers and the rules for

their use are referred to as semantics. More information relevant to this topic is available

in Appendix D.

Construct #1 and Construct #2 may be represented in a UII data set encoded as multiple

elements, which are composed of the necessary data components with appropriate data

qualifiers. Construct #1 and Construct #2 may also be represented in a UII data set

encoded as single element, which is composed of the necessary data components, with an

appropriate IUID data qualifier (i.e., 18S, 25S, USN , UST , or UID ).

As a functional requirement, IUID Data Matrices must be able to render the correct UII

when decoded by a reader compliant with the defining standards of the Data Matrix (i.e.,

ISO/IEC 16022) and the resultant data is subjected to relevant business rules found in

Appendix C. The process of decoding a UII is not perfectly reversible. That is to say, a

known UII may come from one of several different looking IUID Data Matrices. This is

because the Data Matrix standard allows for encoding the exact same data several

different ways, and also because there are several different ways to arrange the data to

yield the same UII.

For example, all four of the barcodes in Figure 3 yield the same UII. The first three

encode exactly the same data. The fourth encodes different data, yet still yields the same

UII (viz. 0614141MH80312).

Figure 3. Different IUID Data Matrices, Same UII

Appendix D provides details and examples of encoding UIIs within IUID Data Matrices.

4.3. MARKING AN ITEM WITH AN IUID DATA MATRIX

The current version of MIL-STD-130 provides the criteria and requirements for item

marking. The DoD minimum MRI requirement for IUID is the IUID Data Matrix. It is

to be applied either through labeling or direct part marking (DPM) of the item, or when

an item cannot be physically marked the IUID Data Matrix may be applied to a

supplemental bag or tag for the item.

Determining Uniqueness of Items

4.3.1. Deciding Where to Place an IUID Data Matrix on

an Item

Often the application of the IUID Data Matrix can be incorporated into existing marking

requirements and strategies. MIL-STD-130 provides examples of alterations to existing

marking templates to include the IUID Data Matrix. When existing markings cannot

accommodate the IUID Data Matrix, engineering may be required to update drawings or

technical data packages to include the IUID Data Matrix.

4.3.1.1. Marking Items with Severe Space Limitations

For severe space limitations beyond those that can be accommodated through the

minimum Data Matrix module size (see paragraph 5.1.2.e, MIL-STD-130) for any item

deemed to be at risk (e.g., electronic components susceptible to counterfeiting), the IUID

Data Matrix dimension requirements shall be relaxed to allow smaller compliant symbols

with a minimum module size of 0.001 inches to be direct part marked on those

components. This relaxation of the minimum module size is necessary to allow forensic

analysis and confirmation of authenticity of these components, particularly at the

component or subcomponent level. The resulting smaller IUID Data Matrix shall not be

used by the standard DoD automatic identification and data capture infrastructure nor

used in standard business processes. Specialized imaging equipment will be required for

reading these smaller symbols.

4.3.1.2. Strategies for Minimizing Non-Recurring Engineering

The implementation of part marking to uniquely identify items with MRI may require

changes in the supplier’s manufacturing and maintenance processes if these processes

have not already been enabled to mark items with MRI. If item designs are final and do

not enable MRI marking, changes to enable MRI marking shall be incorporated in the

engineering drawings and technical data that define the item. Strategies for minimizing

the impacts of non-recurring engineering include:

(a) Replacing/modifying existing data plates with IUID Data Matrix labels.

Existing data plate documentation can be used. The current technical data already

specifies the material and placement of the data plate. Human readable data other than

IUID information can exist on the new data plate. The labels provide high contrast

allowing interrogation of the mark by lower cost readers.

(b) Issuing a global engineering change notice. This would provide instructions on

a single drawing on how to mark qualifying items.

enterprise resource planning processes, which minimizes the need to change drawings.

(d) Changing company part marking quality standards to include IUID requirements.

(e) When the necessary marking information and criteria do not change the form, fit,

or function of the part, the change does not require an immediate drawing update, but

Determining Uniqueness of Items

rather can be accomplished by a coversheet with the marking instructions, thus permitting

consolidation of drawing requirements.

(f) DPM will require more engineering analysis than labeling. The main issue that

necessitates additional engineering analysis for DPM is the fact that the mark is made

directly on the component rather than attached like a label. Wherever possible, the

engineering decisions for location and type of application should be made on documented

results from previous analysis. Currently the Joint Marking Qualification Working Group

has taken the lead in this area and their documentation

has provided a wealth of

information that has precluded much of the testing that would normally be required when

one marks directly into the material of a component.

Figure 4 illustrates some considerations in developing a compliant approach to DoD

IUID requirements using MRI part marking.

Figure 4. Considerations in MRI Part Marking

4.3.2. Deciding When to Place the IUID Data Matrix on

the Item

Strategies that produce the greatest business advantage for the items at the lowest cost

and in the shortest possible time shall be considered first. The question of when to mark

often leads to a conclusion that the probable scenario would be a mixture of vendor-

applied-at-source, opportunity-based, seek-and-apply, and gated strategies.

https://acc.dau.mil/CommunityBrowser.aspx?id=30743

See Ronald W. Durant and Owen R. Thompson, “Concept of Operations for AIT in an Automated

Maintenance Environment for Army Weapon Systems”, Executive Summary and Report (Volume 2),

AR130T1, March 2002.

Determining Uniqueness of Items

4.3.2.1. Vendor-Applied-at-Source

Vendor-applied-at-source provides a relatively inexpensive and unobtrusive application

option for future purchases; however, it will not provide the speed of response necessary

to successfully implement a retrospective application program for legacy items.

4.3.2.2. Opportunity-Based

Opportunity-based, or trigger event item application can be done in the field or factory,

wherever it is convenient to gain access to items either in operational use or available in a

storage facility. Projected situations or processes where a trigger event occurs include,

but are not limited to:

(a) Change in location where the item is taken out of service at one accountable

location and moved to another location to begin service. The item may be marked during

this movement process either at the origin or destination, depending on the availability of

marking equipment.

(b) Change in status where the item is taken out of service and placed in

maintenance or returned to inventory. Maintenance status may include phase

maintenance, scheduled servicing, depot rebuild or overhaul processes, and work-order

processes during modification. The item shall be marked while in maintenance or upon

receipt at the inventory point

another program. The item may be marked by either the losing or gaining program upon

the transfer of accountability

(d) Change in organizational alignment where the item is moved from the custody of

one organization to the custody of another organization, such as transfer of Government

property from the custodian back to the DoD. The item shall be marked by the

organization that is losing custody, unless there is a previous agreement with the

receiving organization.

4.3.2.3. Seek-and-Apply

The seek-and-apply strategy can be used for particular items held within service, either in

operational use or in storage. This strategy is dependent on establishing the location and

availability of items before deployment of application equipment and teams. The location

of items can be determined through the supply chain management information systems

and inventory control systems. This approach is dependent upon accurate legacy data,

and will demand greater overhead of coordinated effort to obtain access to the assets. By

concentrating application efforts, the advantage is faster implementation of configuration

management for specific items.

This also applies to contractual maintenance arrangements; but it does not apply to normal contractor

maintenance and calibration efforts.

This does not apply if the item is under control and accountability of the same entity.

Determining Uniqueness of Items

4.3.2.4. Gated

The interception of items as they transit specific gates within the supply chain (e.g.,

distribution depot or port of embarkation) can ensure no item enters service without a

UII. Having identified an item at the gate which requires a UII, the situation can be

resolved by either diverting the item back to the sender for application, provision of an

application capability at the specific supply gate, or diversion of the item to a centralized

application facility.

4.3.3. Virtual UIIs

When applying IUID to legacy items already in inventory or operational use, all items

that meet the IUID criteria shall be assigned a UII and marked with an IUID Data Matrix.

If a serialized item can be uniquely identified by its existing serial number and markings,

a virtual UII may be assigned

A virtual UII enables the database entry of a UII and its associated data, while postponing

the physical marking of the legacy item

with an IUID Data Matrix to the next

opportunity to mark based on logistic and economic considerations. In addition to legacy

items already in the inventory or operational use, DoD resident equipment

and spares in

the custody of contractors may also be assigned virtual UIIs until an item is subject to

transfer at which time the physical marking of the item shall be accomplished. The use

of virtual UIIs is described in the latest version of the Guidelines for the Virtual Unique

Item Identifier (UII)

4.4. USE OF UIIS IN AISS

In the Service or Agency material management and supporting AISs (developed or

maintained in compliance with BEA requirements), once the UII is created, the UII shall

not be parsed to determine the original elements, since parsing and recombination of the

elements invariably results in the introduction of errors in the UII. However, the UII, the

enterprise identifier, the serial number

and, in the case of Construct #2, the original part

number or lot or batch number is captured separately at the time of initial Government

receipt and acceptance. The UII shall be a common data element for item traceability in

all computational functions including inventory acceptance, item accountability, storage,

issue, receipt, valuation, maintenance, and disposal.

The UII shall be used to enable traceability of the item throughout its life within the DoD

inventory system, and facilitate item tracking in DoD business systems to provide reliable

and accurate data for a variety of purposes that include but are not limited to: program

management, property accountability, anti-counterfeiting, reliability analysis, life cycle

management, and serialized item management.

The enterprise identifier used in marking a legacy item shall be the enterprise identifier of the entity

ensuring the uniqueness of the UII. See Business Rules #28 and #29 in Appendix C.

Virtual UIIs are not used for new items. New items shall conform to DFARS 252.211-7003.

Resident equipment is government owned property that is usually stationary within a contractor’s

facility.

This guide is available for download at http://dodprocurementtoolbox.com/page/unique-id/tools.

It may not be possible to capture a serial number for a UII data set encoded as single element.

Determining Uniqueness of Items

4.4.1. Derivation of the UII

The UII for an item shall be derived from the data elements encoded into an IUID Data

Matrix. The automatic identification technology (AIT) device

machine-reads all of the

encoded data found in the IUID Data Matrix. The data element(s) found within the

encoded string are interpreted separately using business rules to derive the UII. It is not

necessary to include the UII on the item as a separate data element expressed in common,

human readable, text. It is only required that the data elements required to derive the UII

be included on each item. When deriving the UII, the data qualifiers are omitted from the

UII.

Although not used to determine the UII, other data elements, such as the current part

number, may also be placed on the item. It may be beneficial for an enterprise to select

one of the two constructs for exclusive use, rather than attempting to use both constructs

within the same enterprise identifier.

In applying the IUID rules and requirements, care shall be given to the distinction among

the UII, the UII data set, the IUID Data Matrix, and item data encoded string (IDES)

containing the UII data set. An important distinction is the relationship between the UII

and the IDES. The UII is a string of capital letters and numbers and perhaps a dash and/or

forward slash. The IDES, however, is everything encoded into the Data Matrix. The

IDES will include UII data as well as additional data, not found in the UII. It is also the

case that the UII may include data not found in the IDES

. Even so, the UII can always

be derived from the IDES in accordance with the rules found in Tables 6, 7 and 8 in

Appendix D of this Guide.

4.4.2. UII Derivation Process

Figure 5 depicts how the UII for an item is derived and the business rule for generating

the UII from the data elements placed on the item

. The AIT reader device shall

machine-read the data elements and output the UII for onward transmission to the

appropriate automated information system (AIS). The decisions of which construct to use

to uniquely identify items, and use of the data qualifiers and associated business rules, are

AIT devices include readers, scanners, interrogators, and hybrid devices which may incorporate more

than one automatic data capture technology. AIT devices with imaging capability are required to decode

Data Matrices.

Some arrangements of encoding data within the IUID Data Matrix include the IAC and others do not.

When the IAC is not explicitly encoded into the IUID Data Matrix, it shall be derived from the data

qualifier for the enterprise identifier. The IAC is not marked separately on the item. The IAC for the GS1

Company Prefix is not derived because it is contained in each GS1 Company Prefix. The IAC for the data

qualifiers 3V, 18V, 25S, EUC , and UID is not derived because it is contained in the data elements

associated with each of these data qualifiers. The IAC shall not be repeated when forming the UII using

these data qualifiers.

The identification of the agency issuing the enterprise identifier, or the IAC, is frequently derived by the

AIT device from the data qualifier for the enterprise identifier. The IAC is not placed on the item as a

separate data element. The IAC for the GS1 Company Prefix need not be derived because it is contained as

the first number in each GS1 Company Prefix. The IAC for the data qualifiers 3V, 18V, 25S, EUC and

UID need not be derived because it is contained in each data element. The IAC shall not be repeated when

forming the UII.

Determining Uniqueness of Items

made by the enterprise assigning serialization to the item and guaranteeing its

uniqueness.

Figure 5. UII Determination Process

4.5. ROLES AND RESPONSIBILITIES FOR PROPERTY

RECORDS

4.5.1. Property Accountability

DoDI 5000.64

provides a comprehensive framework for DoD property accountability

policies, procedures, and practices; and assists DoD property managers, accounting and

financial officers, and other officials in understanding their roles and responsibilities

relating to property accountability. It establishes accountability policy for property and

equipment; and contains concepts useful for asset management throughout the

Department, particularly for property in the possession of individual military units and

end-users. Paragraph 2.0 of Enclosure 3 addresses accountable property records. It

excludes property and materiel for which accountability and inventory control

requirements are prescribed in DoDM 4140.01 and DoD 4000.25-2-M

DoDI 5000.64 requires that the accountability of property shall be enabled by IUID for

identification, tracking, and management. It also requires that the Heads of the DoD

It integrates the broad requirements of the Federal Property and Administrative Services Act of 1949, as

amended (Act of 30 June 1949, 63 Stat. 372), and the Chief Financial Officers (CFO) Act of 1990 into an

overarching property accountability policy. This instruction complements the accounting and financial

reporting requirements contained in DoD 7000.14-R.

Military Standard Transaction Reporting and Accounting Procedures (MILSTRAP).

Determining Uniqueness of Items

Components post changes to the property records for all transactions as required (e.g.,

loan, loss, damage, disposal, inventory adjustments, item modification, transfer, sale).

4.5.2. Materiel Management of Secondary Items

DoDM 4140.01contains accountability and inventory control requirements for secondary

items in the DoD wholesale supply system. It provides for maintaining official records of

inventory to identify the quantities of items on hand, unit prices, locations, physical

condition, receipt and issue records, authorized stock numbers, item descriptions and

other such information necessary to properly account for materiel and exercise other

inventory management responsibilities.

4.6. THROUGH-LIFE TRACEABILITY OF UII ITEMS IN

THE

DOD IUID REGISTRY

The UII shall be associated to authentication data registered in the DoD IUID Registry

The DoD IUID Registry may be accessed by the manufacturer, supplier, distributor, and

shipper, as well as the DoD Components' supply chain processes, for receipt and

acceptance, inventory management, maintenance, and operations. Authorized users shall

add items, update, and add events to existing items registered in the DoD IUID Registry.

The DoD Components and industry shall ensure procedures for updating the DoD IUID

Registry

to record custodial life cycle events and transfer events are accomplished in

accordance with the following guidelines.

4.6.1. Obtaining User Access to the DoD IUID Registry

As of November 2014, the DoD IUID Registry is a constituent application within the

Wide Area Workflow

(WAWF) suite of DoD enterprise business systems. DoD

Components and industry representatives can register for access at the WAWF site

(www.wawf.eb.mil

4.6.2. Initial Item Registration

New acquisition items with UIIs are automatically registered in the IUID Registry upon

acceptance by DoD of the item through the Invoice, Receipt, Acceptance and Property

Transfer (iRAPT, the application formerly known as Wide Area Workflow (WAWF))

Receiving Report

. The Receiving Report containing the IUID data is transmitted by

industry to iRAPT electronically via an X.12 formatted file or a Flat File, or manually via

the iRAPT web site. Up to 100 embedded items may be registered on the Receiving

Report as long as they are a single layer deep. Embedded items that exceed these

conditions are registered using the “Item Update” capability described in 4.6.3.

https://wawf.eb.mil

See Paragraph 5.7, DoD Instruction 8320.04.

WAWF has changed with the migration of the IUID Registry. The name “Wide Area Work Flow” now

represents the single sign-on site for the suite of constituent applications of which the IUID Registry in one.

What used to be known as the Wide AreaWork Flow is now a different constituent application alongside

the IUID Registry; it is now known as iRAPT (Invoice, Receipt, Acceptance and Property Transfer).

Items are to be registered within 30 days of receipt of materiel.

Determining Uniqueness of Items

Legacy items should be registered upon assignment of the UII to the item. Legacy items

are registered electronically through either an XML or Flat File

or manually on the

IUID Registry web site. Data submission requirements vary based on the type of item

being registered (e.g., legacy or embedded).

4.6.3. Item Update

DoD Components and industry representatives shall use the DoD IUID Registry Update

function to record a reportable event that happened to a registered item. The IUID

Registry shall be updated to reflect the following changes to the item:

• Current part number change (usually as part of a maintenance activity)

• Mark change (addition or removal of identifiers)

• Custody change

• Embedded IUID items update (to complete the initial submission or update during

maintenance activities)

• Item owner change (DoD entity)

• Condition (generally during contracted repair)

• Special tooling status change

• Type designation change

• Life cycle event update (for events that change the DoD inventory position)

When a registered item experiences any of the changes listed above, the DoD IUID

Registry shall be updated by the DoD Component or industry representative that caused

the change to take place. The update can occur electronically via XML or Flat File

submission, or the update can be entered manually via the IUID Registry web site. A

registered item's status, or life cycle event, shall be changed in the DoD IUID Registry

within 90 days of an event occurrence.

http://dodprocurementtoolbox.com/page/overview/data-submission

A “custody change” reportable event is at the DoD Component level. If an item changes from the

custody of one DoD component to another – that is reportable. If an item changes from the custody of one

unit within a DoD component to another within the same DoD Component – that is not reportable. If the

item changes custody from a DoD entity to a non-DoD entity (e.g., Foreign Military Sales (FMS),

Government Furnished Property (GFP)) that is reportable.

Possible life cycle events are: abandoned, consumed, destroyed by accident, destroyed by combat,

donated, exchanged – repair, exchanged – sold, exchanged – warranty, expended – experimental/target,

expended – normal use, leased, loaned, lost, reintroduced, retired, scrapped, sold – foreign government,

sold – historic, sold – nongovernment, sold – other federal, sold – state/local, and stolen.

Appendix A - Definitions

Key Definitions

Word or Phrase Definition Source

Accountable

property

Property that meets accountability

requirements. This property is recorded in

the accountable property system of record.

DoDI 5000.64

Accountable

property record

The record contained within the accountable

property system of record.

DoDI 5000.64

Accountable

property system

of record

The Government system used to control and

manage accountable property records; a

subset of existing organizational processes

related to the life cycle management of

property; the system that is integrated with

the core financial system.

DoDI 5000.64

Automatic

identification

device

A device, such as a reader or interrogator,

used to retrieve data encoded on machine-

readable media.

DFARS 252.211-7003

Compliant

unique item

identifier

For DoD purposes, a compliant UII is either

a Construct #1, Construct #2, Global

Individual Asset Identifier (GIAI); Global

Returnable Asset Identifier

(GRAI);

Vehicle Identification Number (VIN); and

Electronic Serial Number (ESN), Mobile

Equipment Identifier (MEID), or Cellular

Mobile Telephone Identifier (CMTI) (for

cell phones only), all of which have their

data elements encoded in a Data Matrix

symbol using the ISO/IEC 15434 syntax

with ISO/IEC 15418 or A4A CSDD

semantics.

DoD Guide to Uniquely

Identifying Items

The GRAI shall contain a unique serial number for DoD recognized IUID equivalent application. Other

variations of the GRAI are unacceptable for IUID.

Definitions

Word or Phrase Definition Source

Controlled

inventory items

Those items designated as having

characteristics that require they be

identified, accounted for, secured,

segregated, handled or transported in a

special manner to ensure their integrity and

they are safeguarded. The list of controlled

inventory item codes includes nuclear

weapons-related material, non-nuclear

missiles and rockets, arms, ammunition, and

explosives. Controlled inventory item

categories in descending order of the degree

of control normally exercised are classified

items, sensitive items, and pilferable items.

(See DoD 4100.39-M, Volume 10, Table

61).

DoDI 5000.64

DoDM 4140.01, Volume 11

DoD 4100.39-M

Custodian

The enterprise that has stewardship

accountability of an item, i.e., responsibility

for the control of, transfer and movement

of, and access to, equipment and material.

Custody also includes the maintenance of

accountability for equipment and material.

Based on the definition of

“custody” from the Joint

Publication 1-02, Department

of Defense Dictionary of

Military and Associated

Terms

Data carrier

The medium selected to record, transport or

communicate data. For item unique

identification purposes, the data carrier is

the Data Matrix.

The American Heritage

Dictionary

Definitions

Word or Phrase Definition Source

Data Matrix

A two-dimensional matrix symbology

containing dark and light square data

modules. It has a finder pattern of two solid

lines and two alternating dark and light lines

on the perimeter of the symbol. A two-

dimensional imaging device such as a

charge-coupled device camera is necessary

to scan the symbology. The Data Matrix is

designed with error correction capability.

The Data Matrix is used for item marking

applications using a wide variety of printing

and marking technologies. The Data Matrix

symbol looks like this:

The ECC 200 Data Matrix which uses

Reed-Solomon error correction is the

specified symbol for IUID.

ISO/IEC 16022 Information

technology - International

symbology specification -

Data Matrix

Data qualifier

A specified character (or string of

characters) that immediately precedes a

data field that defines the general category

or intended use of the data that follows.

DFARS 252.211-7003

DoD item

unique

identification

A system of marking and registering items

delivered to the DoD with UIIs that have

machine-readable data elements to

distinguish an item from all other like and

unlike items. Items are marked with an

IUID Data Matrix, the contents of which are

encoded in the syntax of ISO/IEC 15434

and the semantics of ISO/IEC 15418 or the

A4A CSDD

. The IUID Data Matrix

contents may be either a UII (Construct #1

or Construct #2) or a DoD recognized IUID

equivalent.

DFARS 252.211-7003

Formerly known as DoD unique item identification.

Text Element Identifiers are taken from the A4A CSDD.

Definitions

Word or Phrase Definition Source

DoD serially

managed items

Includes reparable items down to and

including sub-component reparable unit

level; life-limited, time-controlled, or items

requiring records (e.g., logbooks,

aeronautical equipment service records,

etc.); and items that require technical

directive tracking at the part level.

Note: A distinction is made between

“serialized items” and “DoD serially

managed” items. While DoD may use an

item that has been serialized by the

manufacturer, DoD may not manage the

item by means of its serial number. When

DoD elects to manage an item by its serial

number it becomes "DoD serially

managed". This means it is a tangible item

used by DoD, which is designated by a

DoD, or Service Item Manager to be

uniquely tracked, controlled or managed in

maintenance, repair and/or supply by means

of its serial number

DoDI 4151.19

DoD recognized

item unique

identification

equivalent (or

IUID

equivalent)

An item unique identification method that

is in commercial use and has been

recognized by DoD. The IUID equivalents

are the Global Individual Asset Identifier

(GIAI); Global Returnable Asset

Identifier

(GRAI); Vehicle Identification

Number (VIN); and Electronic Serial

Number (ESN), Mobile Equipment

Identifier (MEID), and Cellular Mobile

Telephone Identifier (CMTI) (for cell

phones only). While the constructs are

equivalent, they shall be placed on the

items in an ECC 200 Data Matrix symbol

encoded with ISO/IEC 15434 syntax and

semantics of ISO/IEC 15418 in order to be

compliant with DoD IUID policy.

DFARS 252.211-7003

A serial number is an assigned combination of numbers and/or letters to an item instance that separately

identifies that item instance from all others.

The Global Returnable Asset Identifier (GRAI) shall contain a unique serial number for DoD recognized

IUID equivalent application. Other variations of the GRAI are unacceptable for IUID.

Definitions

Word or Phrase Definition Source

Enterprise

The entity (e.g., a manufacturer, depot, or

vendor) responsible for assigning unique

item identifiers to items.

DFARS 252.211-7003

Enterprise

identifier

A code that is uniquely assigned to an

enterprise by a registered issuing agency.

DFARS 252.211-7003

Equipment

A tangible article of personal property that

is complete in-and-of itself, durable,

nonexpendable, and needed for the

performance of a contract. Equipment

generally has an expected service life of one

year or more, and does not ordinarily lose

its identity or become a component part of

another article when put into use.

Note: Includes military equipment, support

equipment, general-purpose equipment,

special test equipment, and special tooling.

Includes Class VII, Major End Items, a final

combination of end products that is ready

for its intended use, that is, launchers, tanks,

mobile machine shop, and vehicles, etc. It

does not include real property, reparables,

consumables or materials.

DoDI 5000.64

Issuing agency

An organization responsible for assigning a

non-repeatable identifier to an enterprise

(e.g., Dun & Bradstreet GS1, Allied

Committee 135 or DoD ).

DFARS 252.211-7003

Issuing agency

code

A code that designates an agency with

authority to issue unique enterprise

identifiers.

DFARS 252.211-7003

Item

A single hardware article or unit formed by

a grouping of subassemblies, components,

or constituent parts.

DFARS 252.211-7003

Item essentiality

A measure of an item's military worth in

terms of how its failure (if a replacement is

not immediately available) would affect the

ability of a weapon system, end item, or

organization to perform its intended

functions.

DoDM 4140.01, Volume 2

The enterprise identifier in the UII is the entity that is responsible for compliance with the UII rules. An

entity cannot commit another entity to that responsibility without authority. The fundamental principle is:

Never use another entity’s enterprise identifier in the UII without permission or direction from the

competent authority for that enterprise identifier.

Definitions

Word or Phrase Definition Source

Item

identification

Sufficient data to establish the essential

characteristics of an item that give the item

its unique character and differentiate it from

other supply items.

DoDM 4140.01, Volume 2

Item unique

identification

equivalent

See DoD recognized item unique

identification equivalent.

Legacy items

DoD-owned items and end items that have

already been produced and deployed for

use, or that have been produced and placed

in inventory or storage pending issue for

use.

MIL-STD-130, current

edition

Lot/Batch

number

An identifying number assigned by the

enterprise to a designated group of items

(lot or batch), all of which were

manufactured under the same controlled

conditions of production.

DFARS 252.211-7003

(derived from)

Machine-

readable media

An automatic identification technology

media, such as barcodes, contact memory

buttons, radio frequency identification, or

optical memory cards.

DFARS 252.211-7003

Marking

The application of legible numbers, letters,

labels, tags, symbols, or colors to ensure the

proper handling and identification during

shipment and storage.

DoDM 4140.01, Volume 10

Military

Mission

Essentiality

A code indicating the composite effect of an

item on the overall military mission based

on the most critical significant application

of the item. Used in determining resource

allocations, determining degree of

management intensity, and communicating

essentiality among the DoD Components.

DoDM 4140.01, Volume 3

Operating

materials and

supplies

Personal property to be consumed in normal

operations. Excluded are (a) goods that have

been acquired for use in constructing real

property, (b) stockpile materials, and (c)

inventory.

DoD 7000.14-R, Volume 4,

Chapter 4, current edition

Original part

number

A combination of numbers or letters

assigned by the enterprise at asset creation

to a class of items with the same form, fit,

function, and interface.

DFARS 252.211-7003

Definitions

Word or Phrase Definition Source

Parent item

The item assembly, intermediate component

or subassembly that has an embedded item

with a UII or DoD recognized item unique

identification equivalent.

DFARS 252.211-7003

Personal

property

Property of any kind or any interest therein,

except real property.

Joint Publication 1-02

Pilferable items

Items that have a ready resale value or

application to personal possession and that

are, therefore, especially subject to theft.

(See DoD 4100.39-M, Volume 10, Table

61)

DoDI 5000.64

DoD 4100.39-M

Principal items

Principal items are end items and

replacement assemblies of such importance

that management techniques require

centralized individual item management

throughout the supply system, to include

depot level, base level, and items in the

hands of using units. These specifically

include the items where, in the judgment of

the Services, there is a need for central

inventory control, including centralized

computation of requirements, central

procurement, central direction of

distribution, and central knowledge and

control of all assets owned by the Services.

Joint Publication 1-02

Property

accountability

The assignment of duties and

responsibilities to an individual or

organization that mandates jurisdiction,

security, and answerability over public

property.

DoDM 4140.01, Volume 5

Registration

authority

Refers to the Nederlands Normalisatie-

instituut (NEN), Registration Authority for

ISO/IEC 15459, which is responsible for

assigning codes to issuing agencies with

conforming systems for issuance of unique

enterprise identifiers.

DFARS 252.211-7003

ISO/IEC 15459

Secondary items

Secondary items are items that are not

defined as principal items and include

reparable components, subsystems, and

assemblies, consumable repair parts, bulk

items and material, subsistence, and

expendable end items, including clothing

and other personal gear.

DoDM 4140.01, Volume 1

Definitions

Word or Phrase Definition Source

Sensitive items

Items that require a high degree of

protection and control due to statutory

requirements or regulations, such as

narcotics and drug abuse items; precious

metals; items that are of a high value, highly

technical, or a hazardous nature; and small

arms, ammunition, explosives, and

demolition material. (See DoD 4100.39-M,

Volume 10, Table 61)

DoDM 4140.01, Volume 5

Serialization

within the

enterprise

identifier

Each item produced is assigned a serial

number that is unique among all the

tangible items produced by the enterprise

and is never used again. The enterprise is

responsible for ensuring unique

serialization within the enterprise identifier.

DFARS 252.211-7003

Serialization

within the part

or lot or batch

number

Each item of a particular part or lot or batch

number is assigned a unique serial number

within that part, lot or batch number

assignment. The enterprise is responsible

for ensuring unique serialization within the

part or lot or batch number within the

enterprise identifier.

DFARS 252.211-7003

Sets, kits, and

outfits

Assemblages of components, support

items, or mission specific and common

tools in a container (for example, a bag,

pouch, box, chest, van, trailer, or shelter)

primarily designed to accomplish a specific

mission or maintenance function.

DoD Guide to Uniquely

Identifying Items and

DA PAM 700-60

Total item

property record

The record or record set maintained by the

materiel manager that identifies the quantity,

condition, and value of the items for each

organizational entity having physical custody

of those items. The total item property record

includes materiel that is due in, in transit, in

organic wholesale and retail repair facilities,

in a contractor’s custody, on loan, on hand in

wholesale distribution centers, on-hand at

retail activities, and for reported assets in the

custody of users.

DoDM 4140.01, Volume 5

Unique item

identifier

A globally unique and unambiguous

identifier that distinguishes an item from all

other like and unlike items. The UII is a

value derived from a UII data set of one or

more data elements.

DFARS 252.211-7003

(derived from)

Definitions

Word or Phrase Definition Source

Unique item

identifier data

set

A set of one or more data elements marked

on an item in an IUID Data Matrix from

which the UII shall be derived. For items

that are serialized within the enterprise

identifier, the UII data set includes the data

elements of enterprise identifier and a

unique serial number (Construct #1). For

items that are serialized within the part, lot,

or batch number within the enterprise

identifier, the UII data set includes the data

elements of enterprise identifier, the

original part number or lot or batch number,

and the serial number (Construct #2). In

addition to the two constructs composed of

multiple data elements, the UII data set may

be represented by a UII data set encoded as

a single element, such as would be defined

by the use of data qualifiers 18S, 25S, USN

, UST , or UID , or by a DoD recognized

IUID equivalent, such as would be defined

by the use of data qualifiers I, 22S, 8002,

8003, or 8004.

DFARS 252.211-7003

(derived from)

Unique item

identifier type

A designator to indicate which method of

uniquely identifying a part has been used.

The current list of accepted UII types is

maintained at

http://dodprocurementtoolbox.com/page/uni

que-id/overview.

DFARS 252.211-7003

Unit acquisition

cost

1. For fixed-price type line, subline, or

exhibit line items, the unit price identified

in the contract at the time of delivery; and

2. For cost-type or undefinitized line,

subline, or exhibit line items, the

contractor's estimated fully burdened unit

cost to the Government at the time of

delivery; and

3. For items produced under a time-and-

materials contract, the contractor’s

estimated fully burdened unit cost to the

Government at the time of delivery.

DFARS 252.211-7003

Definitions

Word or Phrase Definition Source

Virtual unique

item identifier

A UII of a legacy item that has been

entered, along with its associated data, in

the DoD Item Unique Identification (IUID)

Registry, while postponing the physical

marking of the item with an IUID Data

Matrix to a more advantageous time based

on logistic and economic considerations.

DoD Guide to Virtual Unique

Item Identifiers, Version 1.3,

August 6, 2013

Appendix B - Where Does the Guidance

Exist Today?

Document Reference

Document Name

P. L. 110-417, Title VIII,

Subtitle B, Section 815

The Duncan Hunter National Defense Authorization Act for

Fiscal Year 2009, Preservation and Storage of

Tooling for

Major Defense Acquisition Programs

DFARS 252.211-7003

Defense Federal Acquisition Regulation Supplement

DFARS 252.211-7007

Defense Federal Acquisition Regulation Supplement

MIL-STD-129

Military Marking for Shipment & Storage

MIL-STD-130

Identification Marking of US Military Property

DoD 4100.39-M

Federal Logistics Information System (FLIS) Procedures

Manual

DoDI 4140.01

DoD Supply Chain Material Management Policy

DoDM 4140.01 V1 – V11

DoD Supply Chain Materiel Management Procedures

DoDI 5000.2

Operation of the Defense Acquisition System

DoDI 5000.64

Accountability and Management of DoD Equipment and

Other Accountable Property

DoD 7000.14-R

Financial Management Regulations

DoDD 8320.03

Unique Identification (UID) Standards for a Net-Centric

Department of Defense

DoDI 8320.04

Item Unique Identification (IUID) Standards for Tangible

Personal Property

CJCSI 3170.1C

Requirements Generation System

DCMA One Book

DCMA reference material for contractors

DoD MIL-HDBK-61A (SE)

Configuration Management Guidance

EIA Standard 836

Configuration Management Data Exchange and

Interoperability

ANSI/EIA 649

National Consensus Standard for Configuration Management

GS1 US BarCodes and

eCom™

Guidelines for Department of Defense Unique Identification

(UID) Markings Using the GS1 System

ISO/IEC 15415

Information technology—Automatic identification and data

capture techniques—Barcode print quality test

specification—Two-dimensional symbols

ISO/IEC 15418

Information technology—Automatic identification and data

capture techniques—

GS1 Application Identifiers and ASC

MH10 Data Identifiers and maintenance

ISO/IEC 15434

Information technology—Automatic identification and data

capture techniques–Syntax for high capacity ADC media

ISO/IEC 15459-2

Information technology—Part 2: Registration Procedures

ISO/IEC 16022

Information technology—Automatic identification and data

capture techniques—Data Matrix barcode symbology

specification

Where Does the Guidance Exist Today?

Document Reference

Document Name

ISO/IEC TR 24720

Information technology—Automatic identification and data

capture techniques—Guidelines for direct part marking

(DPM)

AIM DPM-1-2006

Direct Part Mark (DPM) Quality Guideline

SAE AS9132

Data Matrix (2D) Coding Quality Requirements for Parts

Marking

A4A CSDD

Airlines for America Common Support Data Dictionary

ANS MH10.8.2

Data Identifier and Application Identifier Standard

These documents may have been revised since publication of this guide. Check for the

latest version of the reference.

Appendix C - Business Rules (Version 4.1)

WHAT ARE BUSINESS RULES?

A business rule is a statement that defines or constrains some aspect of the business. It is

intended to assert business structure or to control or influence the behavior of the

business. Typical business rules include definitions of terms, facts relating terms to each

other, constraints, and derivations.

IUID BUSINESS RULES

The following section includes the business rules for IUID. The business rules for IUID

are divided into the following implementation categories:

• Contracts and Administration

• Unique Item Identifier (UII) Construction and Physical Marking for:

o Items considered part of a new solicitation after January 1, 2004 (i.e.,

New Items)

o Items existing under contract, in operational use, or in inventory (i.e.,

Legacy Items)

o Items considered tangible personal property owned by the Government

in custody of a contractor after January 1, 2005 (i.e., Property

Management Items)

As the IUID implementation has progressed, additions, clarifications and modifications to

these business rules have been made.

CONTRACTS AND ADMINISTRATION

1. 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).

2. For FAR Part 12 contracts and subcontracts

o The Government shall mark the item, or

o The Government shall request the contractor mark the item.

3. Foreign Military Sales (FMS) contracts are not exempt from IUID.

4. Classified and unclassified contracts require IUID.

Pursuant to the execution of a determination and findings.

Business Rules (Version 4.1)

UII CONSTRUCTION AND PHYSICAL MARKING

Items Considered Part of a New Solicitation

Creating and Generating the UII

1. The UII shall be derived from its discrete, component data elements or UII data

set encoded as single element

. The UII is not required to be marked on the

item as a separate data element.

2. If an enterprise chooses to mark the UII data set encoded as single element on

the item, any component data elements specified by the contract

shall also be

marked on the item as discrete data elements in addition to the UII encoded into

an IUID Data Matrix.

3. Data qualifiers (semantics) shall define each machine-readable data element

marked on the item

4. If an enterprise serializes items within the EID, the UII shall be derived by

combining the following data elements, in order

• The IAC, which shall be derived from the data qualifier for the enterprise

identifier if it is not contained within the data element

• The enterprise identifier, which shall be included as a UII data element in

the IUID Data Matrix on the item

• The serial number unique within the enterprise, which shall be included as

a UII data element in the IUID Data Matrix on the item (Note: This is

referred to as UII Construct #1.)

5. If an enterprise serializes items within original part numbers or lot or batch

numbers, the UII shall be derived by combining the following data elements, in

order

DI 25S, TEI UID and the DoD recognized IUID equivalents contain the complete UII in a single data

element. DI 18S, TEI USN and TEI UST are sufficient to derive the UII from a single data element by

adding the IAC prefix for CAGE (D).

Configuration management or other purposes may require marking of individual data elements. The

contract shall specify the data elements that are required beyond the UII and other MIL-STD-130

requirements.

See Appendix D of this Guide for a list of IUID data qualifiers.

The IDES may contain the component data elements in any order. The ordering of the elements into a

valid UII is done after the decoding of the symbol.

Enterprise identifiers that are assigned by GS1 contain the IAC prefix. The IAC for the data qualifiers

3V, 18V, 25S, EUC, and UID need not be derived because it is contained in each data element. The IAC

shall not be repeated when forming the UII.

The enterprise identifier in the UII is the entity that is responsible for compliance with the UII rules. An

entity cannot commit another entity to that responsibility without authority. The fundamental principle is:

Never use another entity’s enterprise identifier in the UII without permission or direction from the

competent authority for that enterprise identifier.

Business Rules (Version 4.1)

• The IAC, which shall be derived from the data qualifier for the enterprise

identifier if it is not contained within the data element

• The enterprise identifier, which shall be included as a UII data element in

the IUID Data Matrix on the item

• The original part number or lot or batch number

, which shall be included

as a UII data element in the IUID Data Matrix on the item

• The serial number unique within original part number or lot or batch

number, which shall be included as a UII data element in the IUID Data

Matrix on the item (Note: This is referred to as UII Construct #2.)

6. The IAC shall be derived from the data qualifier for the enterprise identifier if it

is not contained within the data element. The IAC is not required to be

separately marked on the item

7. A specific set of data qualifiers shall allow the AIT device to determine which

UII construct should be used to build the UII or if the UII is already marked on

the item

8. If UII Construct #2 is used, the enterprise shall maintain the data element

containing the original part number or lot or batch number on the item for the

life of the item. For example, when using the Text Element Identifier (TEI)

UID for a UII Construct #2 (i.e., the original part number or lot or batch

number is contained within the data element), the TEI UID data element shall

be maintained on the item for the life of the item.

9. The enterprise is responsible for ensuring that the serial number is unique within

the enterprise identifier (for UII Construct #1) or unique within the original part

number or lot or batch number (for UII Construct #2).

10. The enterprise is responsible for ensuring that the original part number is not

duplicated within the enterprise and that the combination of the original part

number and the serial number is unique within the enterprise. If the lot or batch

number is used to create the UII then the combination of the lot or batch number

and the serial number shall be unique within the enterprise.

11. The UII shall not change over the life of the item. Therefore, the component

data elements of the UII shall not change over the life of the item.

12. The enterprise identifier used in the UII identifies the enterprise that assigned

the UII to the item. The UII machine-readable code shall not contain more than

one enterprise identifier if ambiguity in constructing the UII would result.

The IDES may contain the component data elements in any order. The ordering of the elements into a

valid UII is done after the decoding of the symbol.

Original part numbers and lot or batch numbers are mutually exclusive in the UII. In order to avoid

ambiguity, only one of those three types of original numbers shall appear in the UII. For serialization

within the part number, use only the original part number in the UII. For serialization within the lot or batch

number, use only the lot or batch number in the UII.

See Table 3 of this Guide for a list of IACs.

See Appendix D of this Guide for more details on these data qualifiers.

Business Rules (Version 4.1)

13. Data elements not required to construct the UII shall remain discrete but may be

contained within the same mark or media as the UII-required elements,

provided that (1) all data elements contained in the mark or media are properly

identified with a data qualifier, (2) the added data elements do not introduce

ambiguity in the UII, and (3) the added data elements do not violate other

business rules stated herein. UII data sets encoded as single elements that are

sufficient to derive UIIs (i.e., 18S, 25S, UID , UST , USN , and DoD recognized

IUID equivalents) shall always be interpreted as the UII regardless of any

apparent ambiguity introduced by additional data elements in the symbol. The

UII data elements should appear first in the sequence.

14. The UII component data elements or UII data set encoded as single element

and additional data elements shall be contained in an IUID Data Matrix, as

required by the latest revision of MIL-STD-130

. Data may also be contained

in human-readable information and/or other AIT media (e.g., contact memory

buttons, linear barcodes, radio frequency identification) in addition to the IUID

Data Matrix. The physical marks that contain the UII-required elements shall

conform to the permanency and legibility requirements of MIL-STD-130 for the

normal life expectancy of the item.

15. Where space is available, human-readable information for UII data elements

should be marked on the item. However, if a single element UII (i.e., data

qualifiers 18S, 25S, UID , UST , USN , and DoD recognized IUID equivalents)

marked on an item includes an item traceability number that is different from an

actual serial number that may already be marked on the item, then the

traceability number of the single element UII shall not be separately marked on

the item in order to avoid having two different serial numbers physically

marked on an item. Furthermore, a traceability number used only to create the

UII that is not consistent with the item manufacturer's existing serialization may

never be encoded in an IUID Data Matrix using data qualifiers "SER “, “SEQ "

or "S".

16. The Data Matrix shall utilize DoD-accepted syntax

17. There are identification numbers used in the commercial sector that are DoD

recognized IUID equivalents. IUID equivalents shall comply with the IUID

Business Rule #14 for minimum data carrier requirements

Parent-Child Relationships

18. DFARS 211.274-2(a)(3) requires the item unique identification, regardless of

value, for any — (a) DoD serially managed item (reparable or nonreparable) or

subassembly, component, or part embedded within a subassembly, component,

DI 25S, TEI UID , and the DoD recognized IUID equivalents contain the complete UII in a single data

element. DI 18S, TEI USN , and TEI UST are sufficient to derive the UII from a single data element by

adding the IAC prefix for CAGE (D).

See MIL-STD-130 for additional information on DoD-approved data carriers.

ISO/IEC International Standard 15434, Information technology–Automatic identification and data

capture techniques–Syntax for high-capacity ADC media.

See Chapter 4 of this Guide for a list of approved DoD recognized IUID equivalents.

Business Rules (Version 4.1)

or part; and, (b) the parent item (as defined in DFARS 252.211-7003(a)) that

contains the embedded subassembly, component or part.

• For purposes of complying with this requirement, the parent item for the

embedded item UII shall be the next higher replaceable subassembly,

intermediate component, or assembly within the end item that contains the

embedded UII.

• In order to provide traceability of the embedded UII to its next higher

replaceable assembly level within the end item, the end item shall not be

identified as the parent item in instances where a replaceable assembly,

intermediate component, or subassembly exists that contains an embedded

item UII.

Metadata Requirements

19. The UII is a non-parsable field, not to exceed 50 characters in length (excludes

overhead characters). Overhead characters in the encoded data string, such as

syntax and data qualifiers, are not part of the UII and are eliminated when the

UII is constructed. The source protocols for specific data qualifiers may be

more restrictive than the allowable field lengths of these rules. Refer to ANS

MH10.8.2 for AIs and DIs, and to A4A CSDD for TEIs, for specific limitations

on field lengths and usage

• The IAC string of characters shall not exceed 3 characters.

• The enterprise identifier string of characters shall not exceed 13

characters, excluding the data qualifier.

• The original part number or lot or batch number string of characters

(including special characters) shall not exceed 32 characters, excluding the

data qualifier.

• The serial number string of characters (including special characters) shall

not exceed 30 characters, excluding the data qualifier

• The sum of the maximum number of characters for possible UII data

elements is 78, which exceeds the 50 character limit. In order to meet the

overall length limitation of 50 characters for the UII, it may be necessary

to use field lengths for original part numbers, lot or batch numbers and

serial numbers that are shorter than the maximum allowable field lengths

for the individual data elements.

20. The UII shall have worldwide uniqueness (non-repeatable).

21. When constructing the UII:

• Any spaces contained in the component data elements shall be deleted.

For example, serial number strings are not to exceed 30 characters however TEI SER is limited to 15

characters in accordance with the A4A CSDD.

Leading zeroes in serial numbers are significant characters in the serial number string and in the UII.

Avoiding the use of leading zeroes when creating serial numbers may preclude errors in data entry or data

processing applications that do not recognize significant leading zeroes.

Business Rules (Version 4.1)

• All special characters shall be deleted from the enterprise identifier.

• All special characters, except for dashes (-) and forward slashes (/) shall

be deleted from the original part number, lot or batch number, and serial

number. The deletion of the special characters shall be done when the

IUID Data Matrix is decoded to form a UII. The special characters shall

be retained within the data elements when encoded in an IUID Data

Matrix unless the data element within the IUID Data Matrix is a UII data

set encoded as single element.

• The UII shall only contain uppercase English alphabet characters A

through Z, numeric characters 0 through 9, and the special characters “-”

and “/”

. If the UII data set elements contain lowercase alpha characters,

they shall be converted to uppercase before a UII is derived and encoded

in the IUID Data Matrix and/or submitted to the IUID Registry. When

lowercase alpha characters are encoded in the IUID Data Matrix, they

shall be converted by the reader to uppercase alpha characters when the

IUID Data Matrix is decoded to form a UII.

Capturing the UII

22. For activities in support of the product life cycle after initial delivery, any entity

that collects data about the item shall be capable of associating the data with the

UII in accordance with program requirements.

23. If the IUID Data Matrix is unreadable and other AIT media are present, these

can be used in a backup mode to derive the UII or query the IUID Registry. If

only the human readable data qualifiers and data elements are adjacent to the

symbol, the data elements shall be manually input to derive the UII using

existing business rules. Prior to derivation of UIIs from backup information the

existence of a UII shall be checked by querying the IUID Registry for

confirmation of the UII using any identifiable information already marked on

the item.

24. Discovery of a duplicate UII shall occur when an attempt is made to register the

UII in the IUID Registry. If a true duplicate exists, the Government shall work

with the appropriate enterprise(s) to resolve the duplication.

25. Once the UII is derived, it shall not be parsed to determine the original

elements.

26. A database containing information on IUID items shall be capable of using the

UII or, for a legacy database, the combination of the UII data elements or other

The basic character set for Data Identifiers (MH10.8.2) does not include special characters, unless

individually specified for a Data Identifier, or unless the application prescribes an expanded character set.

For application in IUID the use of dashes (-) and slashes (/) is permitted in DIs as significant characters for

part numbers, lot or batch numbers, and serial numbers, and in DIs that are composed from these numbers

(i.e., S, 18S, 25S, 1P, 30P, 1T, and 30T). Dashes and slashes shall not be used as separators between

component parts in a single data element that is formed from component parts. Free text formats, if used

for additional data, are the responsibility of the user. AIT devices generally support American Standard

Code for Information Interchange (ASCII) and extended ASCII for encoding and decoding Data Matrices,

while database applications may vary greatly.

Business Rules (Version 4.1)

physically marked data associated to the UII in the IUID Registry to retrieve the

data record associated with the item represented by the UII.

Using the UII

27. One and only one UII shall be assigned to an item. The UII shall not be

transferred from one item to another item once assigned and shall not be reused.

Legacy Items in Operational Use or in Inventory

These rules apply in addition to Business Rules #1-#27.

28. Election to use or not use the existing part number and/or existing serial number

as part of the UII for a legacy item is the responsibility of the enterprise

assigning the UII

, as is the responsibility for the uniqueness of the resulting

UII within its EID.

29. Other than EID, legacy items may use the existing marked data elements in the

format of either Construct #1 or #2, or using a DoD recognized IUID equivalent

provided that:

• Regardless of enterprise identification in existing marks, the enterprise

identifier of the entity that is responsible for assigning the UII and

ensuring its uniqueness shall be used.

• The serial number used in the UII complies with Business Rule #9. If the

existing serial number is missing or does not ensure uniqueness of the UII,

the enterprise shall assign a serial number for the UII that complies with

Business Rule #9.

• The original part number or lot or batch number, if it is used in the UII,

complies with Business Rule #10. If the original part number or lot or

batch number is missing, cannot be determined or does not comply with

Business Rule #10, obtain a part, lot, or batch number for the UII from the

in-service engineer or other appropriate authority (see Business Rule #30).

• The original equipment manufacturer (OEM) enterprise identifier and

manufacturer assigned serial number, if marked on the item and not a part

of the UII, shall be registered in the IUID Registry.

30. If the original part number or lot or batch number cannot be precisely

determined, use the following method for establishing an original part number

or lot or batch number for the purposes of building the Construct #2 UII:

• First, use the part, lot or batch number at the time of acquisition, if it can

be determined.

• Second, use the part, lot or batch number marked on the part at the time

the UII is created.

The EID used in marking a legacy item shall be the EID of the entity assigning and registering the UII of

the item.

Business Rules (Version 4.1)

Although this may result in the current part number or lot or batch number

being used as the original part number or lot or batch number, the data qualifier

for the UII data element shall be the original part number or lot or batch number

(i.e., 1P, PNO , 1T, LTN , or BII ). If the lot or batch number is used to create

the UII then the combination of the lot number and serial number or batch

number and serial number shall be unique within the enterprise. See Business

Rule #10.

31. If the item is unidentifiable

, a UII should not be assigned.

32. For an on-going contract that is modified to include the IUID requirements:

• If the contract is for delivery of new items to the Government, follow

IUID business rules for items considered part of a new solicitation.

• If the contract is for support involving existing inventory items, the

program manager shall specify the extent to which IUID business rules for

items in operational use or in inventory apply.

Items Considered Tangible Personal Property Owned by the

Government in the Custody of a Contractor that Have Not

Been Previously Marked

These rules apply in addition to Business Rules #1-#32.

33. A UII shall be created for tangible personal property items owned by the

Government in the custody of a contractor.

34. Tangible personal property items owned by the Government in the custody of a

contractor may use the asset identification number used to track the item as the

item's serial number within the enterprise identifier of the entity ensuring the

uniqueness of the UII.

35. A UII is not required to be physically marked on tangible personal property

items owned by the Government in the custody of a contractor unless the item is

moved or delivered to a different location with a different enterprise identifier

36. Tangible personal property initially furnished to the contractor by the

Government shall use the UII provided by the Government. If none is provided,

establish a UII using the criteria in Business Rules #33-35.

37. Tangible personal property items owned by the Government in the custody of a

contractor also require markings or labels indicating Government ownership.

The available information (or information that can be reconstructed) shall be sufficient to identify an item

and its essential data, including the part identity and configuration status, and any other factors relevant to

the serviceability of the item.

For instructions on assignment of virtual UIIs, see the latest version of the DoD Guidelines for the

Virtual Unique Item Identifier, available at http://dodprocurementtoolbox.com/page/unique-id/tools

Appendix D - The Mechanics of IUID

STRUCTURING THE DATA ELEMENTS FOR IUID

This appendix explains how data elements are correctly structured using semantics and

syntax. The concepts of semantics and syntax, which are used to identify and structure

data so it can be read by any AIT device, are explained. Examples of current structures

in industrial use are presented for American National Standard (ANS) MH10.8.2 Data

Identifiers (DIs) (Tables 9, 10 and 11) and GS1

Application Identifiers (AIs) (Tables 12

and 13). The historic use of A4A CSDD TEIs is discussed and examples using TEIs are

presented (Tables 14, 15 and 16).

Semantics

For the UII data elements to be “machine-readable” by an AIT device, they shall be

identified by some means such that the reader device can recognize, through its resident

software, what data element it is reading. This is accomplished by employing the concept

of “semantics”, which is literally “the meaning of language”. For the purposes of

constructing machine-readable data elements, semantics take the form of data qualifiers.

These data qualifiers

have to define each data element placed on the item. Specific data

qualifiers are used to indicate to the AIT devices whether to derive the UII by using

Construct #1, Construct #2, UII data set encoded as single element, or an IUID

equivalent. Table 5 shows the different data qualifiers for each of the data elements that

are used for determining uniqueness.

Formerly EAN.UCC.

There are three types of data qualifiers being used: DIs (Format Indicator 06), AIs (Format Indicator 05),

and, within the aerospace industry, TEIs (Format Indicator 12, formerly DD). ISO/IEC International

Standard 15418, Information technology–Automatic identification and data capture techniques–GS1

Application Identifiers and ASC MH10 Data Identifiers and maintenance, governs DIs and AIs. The A4A

CSDD defines TEIs. ISO/IEC International Standard 15434, Information technology–Automatic

identification and data capture techniques–Syntax for high capacity ADC media, contains format indicators

for using DIs, AIs and TEIs in syntax encoding.

The Mechanics of Item Unique Identification

Table 5. Data Qualifiers for IUID Usage

DI 18V – the concatenation of the issuing agency code (IAC) + enterprise identifier (EID). This DI

would be used for EIDs, which were assigned by an issuing agency, having a registered IAC, that is not

listed in this table.

MFR – Manufacturer CAGE Code. Identifies the manufacturer, government agency or other

organization controlling the design and the part number assignment of the subject part.

SPL – Supplier CAGE Code. Identifies the organization creating the UII, where the organization is not

the manufacturer, government agency, or other organization controlling the design of the serialized

component.

Data Element

DI (ISO/IEC 15418)

Format Indicator 06

AI (ISO/IEC 15418)

Format Indicator 05

TEI (A4A CSDD)

Format Indicator 12

Enterprise Identifier

CAGE/NCAGE

DUNS

GS1 Company Prefix

DoDAAC

Other Agencies

17V

12V

18V

MFR

, SPL

or CAG

DUN

EUC

Serial Number within Enterprise

Identifier

- - SER

100

or UCN

101

Serial Number within Original Part

Number (or Serial Number within

Lot/Batch Number)

S - SEQ

Original Part Number 1P - PNO

Lot/Batch Number 1T - LTN or BII

102

IUID using a Single Data Qualifier

Complete UII

CAGE + Serial Number within

CAGE (does not contain the

IAC)

IUID Equivalents

VIN

ESN/MEID/CMTI

103

GRAI

GIAI

25S

104

18S

105

106

22S

107

8002

108

8003

109

8004

110

UID

USN or UST

Current Part Number (additional

data element—not used in UII)

111

30P 240 PNR

Lot/Batch Number (additional

data element—not used in UII)

112

30T - -

Export Controlled Item (additional

data element—not used in UII)

49P

113

- ECI

114

The Mechanics of Item Unique Identification

Syntax

The machine-readable symbology for UII is the Data Matrix ECC 200 (ISO/IEC 16022),

which uses Reed-Solomon error correction. The symbol is a two-dimensional

representation of encoded ASCII characters. To permit translation of the encoded string

of ASCII characters, the characters are ordered according to the precise rules of ISO/IEC

15434, Information Technology–Automatic identification and data capture techniques–

100

SER – Part Serial Number (Serial Number within Enterprise). The SER is the manufacturer’s

serialized identity for an individual part, component or component end item.

101

UCN – Unique Component Identification Number. The UCN is the permanent tracking identity

assigned to an in-service part by an organization other than the manufacturer, government agency or other

organization controlling the design of the subject part and used in lieu of the manufacturer’s serial number.

102

LTN and BII . LTN – Enterprise Lot Number is a lot number that is unique within the Enterprise

Identifier. BII – Batch Item Identifier, is a subdivision of an LTN .

103

ESN is a cellular mobile telephone Electronic Serial Number. MEID is the Mobile Equipment Identifier.

CMTI is the GS1 Cellular Mobile Telephone Identifier.

104

25S is the identification of a party to a transaction (as identified by DI 18V), followed by a supplier

assigned serial number (For UII purposes, this has to be unique serialization within the EID that assigns the

UII data elements). Thus, for UII purposes, 25S shall represent the following string of elements – IAC +

EID + Unique serial number within the EID, which directly corresponds to a UII using serialization within

the enterprise.

105

In the case where the EID is the CAGE Code, DI 18S shall be used. 18S is the concatenation of the

CAGE Code (EID) + Unique serial number within the CAGE Code. This data element does not contain the

IAC, which shall be added in decoding to form a UII using serialization within the enterprise.

106

DI I is the U. S. Vehicle Identification Number (VIN).

107

DI 22S is the Unique Individual Identity For Cellular Mobile Telephones – previously designated as an

Electronic Serial Number (ESN) and changing to Mobile Equipment Identifier (MEID).

108

AI 8002 is the GS1 Cellular Mobile Telephone Identifier (CMTI). The CMTI is up to 20 characters and

is an electronic serial identifier of a cellular mobile telephone.

109

AI 8003 is the Global Returnable Asset Identifier (GRAI).

110

AI 8004 is the Global Individual Asset Identifier (GIAI). The GIAI is up to 30 characters and is a

combination of the GS1 Company Prefix and an Individual Asset Reference, which is assigned by the

holder of the GS1 Company Prefix. A serialized Global Trade Identification Number (GTIN™) shall also

be converted to a GIAI using GS1 procedures.

111

DI 30P current part number is not part of the UII. It is an additional data element that may be encoded in

the ISO 15434 syntax in the same Data Matrix along with the UII data elements (see MIL-STD-130). Use

1P when original part number is part of the UII.

112

DI 30T lot/batch number is not part of the UII. It is an additional data element that may be encoded in

the ISO 15434 syntax in the same Data Matrix along with the UII data elements (see MIL-STD-130). Use

1T when lot/batch number is part of the UII.

113

DI 49P designates that an item is subject to export control and or restrictions as identified in the

Wassenaar Arrangement, see http://www.wassenaar.org/controllists/index.html

. The data element is

formed by the two-character alpha Country code from ISO 3166-1, which has imposed the export control or

restriction, where the Wassenaar code is either the single numeric (1 to 9) category code or the Military List

code (an “ML” followed by a numeric 1 to 22) that identifies the particular nature of the material that is

controlled or restricted. When applicable the code can be suffixed by either an “SL” or a “VSL” to indicate

that the item is also on the list of sensitive or very sensitive items. It is an additional data element that may

be encoded in the ISO 15434 syntax in the same Data Matrix along with the UII data elements (see MIL-

STD-130).

114

Tentative approval has been given to the use of TEI ECI to designate that an item is subject to export

control and or restrictions as identified in the Wassenaar Arrangement, See Footnote 152.

http://www.wassenaar.org/controllists/index.html

The Mechanics of Item Unique Identification

Syntax for high capacity ADC media–the “syntax”

115

. Each data string is assembled

beginning with a message header consisting of the compliance indicator and a record

separator. The compliance indicator is the ASCII code for the three characters [, ), and >

which are assembled in that order [)>. The record separator that follows the compliance

indicator is also an ASCII-coded character but it does not have a printable representation.

The convention for depicting the record separator uses

to represent the single ASCII-

coded character. Because the record separator also appears at the end of the formatted

data in the data string, it is known as the format trailer character. There are two other

ASCII-coded characters that are used in UII encoding that do not have printable

representations. They are the data element separator—

—and the message trailer

character—

. The hexadecimal and decimal codes for ASCII encoding for

and

30, 29, and 4 respectively when expressed as decimal numbers and 1e, 1d, and 04

respectively when expressed as hexadecimal numbers.

The message header is followed by a two-character format indicator to identify the

semantics of the formatted data elements. The format indicator, the data qualifiers, and

the data values in the remainder of the data string are separated using the data element

separator—

—between each element of the formatted data. The formatted data is

terminated using the format trailer character—

—after the last data element, and the

data string is terminated using the message trailer character—

—to indicate the end.

Once the data elements are identified to the AIT device, the AIT device needs

instructions on how to put the data element fields together to define the unique item

identifier.

Tables 6, 7, and 8 show how the UII is constructed within Format Indicators 05, 06, and

12 with the various data qualifiers. Conformance to the syntax and semantics

requirements is crucial to item unique identification, since the process of encoding,

decoding, identifying, and forming the data elements shall be unambiguous

116

115

Syntax—the way words are put together to form constructions, such as phrases and sentences. This

standard defines the manner in which the data is transferred to the high capacity ADC media from a

supplier’s information system and the manner in which the data is transferred to the recipient’s information

system.

116

The enterprise identifier used in the UII identifies the enterprise that assigned the UII to the item. The

UII machine-readable code shall not contain more than one enterprise identifier if ambiguity in

constructing the UII would result. Data elements in addition to those required to construct the UII are

permitted unless ambiguity in constructing the UII would result. See Business Rules #12 and #13 in

Appendix C.

The Mechanics of Item Unique Identification

Required Application

Identifiers

Resultant UII

Construct 1—Serialization within the enterprise

Use an IUID equivalent if

appropriate

Otherwise use Format

Indicator 06 (see Figure 7)

or Format Indicator 12

(see Figure 8)

— —

Construct 2—Serialization within the original part number or lot or batch number

Serialization within the

original part number

117

Or use an IUID equivalent if

appropriate

Otherwise use Format

Indicator 06 (see Figure 7)

or Format Indicator 12

(see Figure 8)

— —

IUID Equivalents

CMTI

GRAI

GIAI

8002

8003

8004

<8002>

118

<8003>

<8004>

Table 6. UII Construction for AIs (Format Indicator 05)

117

When using the GS1 System to replicate Construct #2, enterprises shall use serialization within the

GTIN™.

118

The enclosure of the AI in angle brackets, e.g. <8002>, is the notation used to indicate the value

(character string) associated with the data qualifier.

The Mechanics of Item Unique Identification

Required Data

Identifiers

Resultant UII

Construct 1—Serialization within the enterprise

Complete UII

CAGE + Serial Number

within CAGE (does not

contain the IAC)

25S

18S

<25S>

119

D + <18S>

Construct 2—Serialization within the original part number or lot or batch number

Serialization within the

original part number

Serialization within the lot

or batch number

UII data set encoded as

single element

17V, 1P & S

12V, 1P & S

3V, 1P & S

7L, 1P & S

18V, 1P & S

17V, 1T & S

12V, 1T & S

3V, 1T & S

7L, 1T & S

18V, 1T & S

25S

D + <17V> + <1P> + <S>

UN + <12V> + <1P> + <S>

<3V> + <1P> + <S>

LD + <7L> + <1P> + <S>

<18V> + <1P> + <S>

D + <17V> + <1T> + <S>

UN + <12V> + <1T> + <S>

<3V> + <1T> + <S>

LD + <7L> + <1T> + <S>

<18V> + <1T> + <S>

<25S>

IUID Equivalents

VIN

ESN/MEID

22S

<I>

<22S>

Table 7. UII Construction for DIs (Format Indicator 06)

119

The enclosure of the DI in angle brackets, e.g. <25S>, is the notation used to indicate the value

(character string) associated with the data qualifier.

The Mechanics of Item Unique Identification

Required Text

Element Identifiers

Resultant UII

Construct 1—Serialization within the enterprise

Serialization within the

enterprise (component

data elements)

Complete UII

CAGE + Serial Number

within CAGE (does

not contain the IAC)

MFR & SER

SPL & UCN

CAG & SER

CAG & UCN

DUN & SER

DUN & UCN

EUC & SER

EUC & UCN

UID

USN

UST

D + <MFR >

120

+ <SER >

D + <SPL > + <UCN >

D + <CAG > + <SER >

D + <CAG > + <UCN >

UN + <DUN > + <SER >

UN + <DUN > + <UCN >

<UID >

D + <USN >

D + <UST >

Construct 2—Serialization within the original part number or lot or batch number

Serialization within the

original part number

Serialization within the

lot or batch number

Complete UII

MFR , PNO & SEQ

SPL , PNO & SEQ

CAG , PNO & SEQ

DUN , PNO & SEQ

EUC , PNO & SEQ

MFR, LTN & SEQ

SPL, LTN & SEQ

CAG, LTN & SEQ

DUN, LTN & SEQ

EUC, LTN & SEQ

If LTN is sub-divided into

smaller units (batches),

insert BII after LTN, as

appropriate.

UID

D + <MFR > + <PNO > + <SEQ >

D + <SPL > + <PNO > + <SEQ >

D + <CAG > + <PNO > + <SEQ >

UN + <DUN > + <PNO > + <SEQ >

D + <MFR > + <LTN > + <SEQ >

D + <SPL > + <LTN > + <SEQ >

D + <CAG > + <LTN > + <SEQ >

UN + <DUN > + <LTN > + <SEQ >

If LTN is sub-divided into smaller units

(batches), insert BII after LTN, as appropriate.

<UID >

Table 8. UII Construction for TEIs (Format Indicator 12)

120

The enclosure of the TEI in angle brackets, e.g. <MFR >, is the notation used to indicate the value

(character string) associated with the data qualifier.

The Mechanics of Item Unique Identification

EXAMPLES OF SEMANTICS AND SYNTAX

CONSTRUCTIONS FOR IUID

Using ANS MH10 DIs

Construct #1 – Serialization within the Enterprise Identifier. Table 9 shows two

examples of how the data elements would have to be encoded with DIs on the AIT media

placed on or with the item for UII Construct #1. Table 10 shows an example of how the

data elements would have to be encoded with DIs on the AIT media placed on or with the

item for UII Construct #1 and additional item data.

Data Element DI Format

Indicator 06

Data Element

Value

Encoded Data

Element on AIT

Media

Complete UII

25S UN077991289

674A36458

25SUN077991289674

A36458

CAGE + Serial Number

within CAGE (does not

contain the IAC)

18S 0CVA5674A3

6458

18S0CVA5674A36458

Table 9. Examples of the Use of DIs in Construct #1

Serialization within the Enterprise

(Format Indicator 06 of ISO/IEC 15434)

The UII data elements would be encoded as follows using Format Indicator 06 of the

ISO/IEC 15434 syntax for DIs:

[)>

25SUN077991289674A36458

[)>

18S0CVA5674A36458

Where:

[)> = The three-character compliance indicator

= A Format Trailer Character which indicates the end of a data format

envelope

06 = A Format Header which indicates DIs are being used

= A Data Element Separator used between data fields

25S = DI for the complete UII (IAC + Enterprise Identifier + Serial

Number)

UN077991289674A36458 = Complete UII—As defined by the DI 25S (the IAC (UN)

and DUNS Enterprise Identifier (077991289) and the Serial Number (674A36458))

The Mechanics of Item Unique Identification

18S = DI for CAGE + Serial Number within CAGE (does not contain the IAC)

0CVA5674A36458 = CAGE + Serial Number within CAGE (does not contain the

IAC)—As defined by the DI 18S (CAGE Enterprise Identifier (0CVA5) and the Serial

Number (674A36458))

= A Message Trailer which identifies the end of the message within the data

stream

When the AIT device reads the data qualifier for the enterprise identifier, it shall have

what agency (that is, the IAC) issued the enterprise identifier available in its software.

The AIT device shall then attach the IAC to the beginning of the UII concatenation.

When the AIT device reads the data qualifier for 25S, it shall recognize that the data

following the 25S is a complete UII for Construct #1, including the IAC. When the AIT

device reads the data qualifier for 18S, it shall recognize that the data following the 18S

is a CAGE + Serial Number within CAGE (does not contain the IAC) for Construct #1

and shall insert the IAC for CAGE (D) to form the UII.

For these examples using ANS MH10.8.2 DIs in Format Indicator 06 of ISO/IEC 15434,

the UII output from the AIT device, once the overhead and syntax are stripped away,

would be UN077991289674A36458 and D0CVA5674A36458 respectively.

Data Element DI Format

Indicator 06

Data Element Value Encoded Data

Element on AIT

Media

Complete UII

25S UN077991289674A36458 25SUN077991289674

A36458

CAGE 17V 0CVA5 17V0CVA5

Free Text

121

K: F33657-80-C-0310 07K: F33657-80-C-

0310

Table 10. Example of the Use of DIs in Construct #1

Serialization within the Enterprise with Additional Item Data

(Format Indicator 06 of ISO/IEC 15434)

The UII data elements may be encoded in any order. In this example the UII data

elements would be encoded as follows using Format Indicator 06 for DIs utilizing the

ISO/IEC 15434 syntax:

[)>

25SUN077991289674A36458

17V0CVA5

07K: F33657-80-C-0310

Where:

[)> = The three-character compliance indicator

= A Format Trailer Character which indicates the end of a data format envelope

06 = A Format Header which indicates DIs are being used

121

Free text is encoded as a separate record within the IDES and requires DI Format Indicator 07.

The Mechanics of Item Unique Identification

= A Data Element Separator used between data fields

25S = DI for the complete UII

122

UN077991289674A36458 = complete UII

17V = DI for CAGE Code

0CVA5 = CAGE Code

07 = A Format Header which indicates free text is being used

123

K: F33657-80-C-0310 = free text

= A Message Trailer which identifies the end of the message within the data stream

When the AIT device reads the data qualifier for 25S, it shall recognize that the data

following the 25S is a complete UII for Construct #1, including the IAC.

For this example using ANS MH10.8.2 DIs in Format Indicator 06 of ISO/IEC 15434,

the UII output from the AIT device, once the overhead and syntax are stripped away,

would be UN077991289674A36458.

Construct #2 – Serialization within the Original Part Number or Lot or Batch

Number. Tables 11 and 12 show examples of how the data elements would have to be

encoded with DIs on the AIT media placed on or with the item for UII Construct #2.

Table 13 shows an example of how the data elements would have to be encoded with DIs

on the AIT media placed on or with the item for UII Construct #2 and additional item

data.

Data Element DI Format

Indicator

Data Element

Value

Encoded Data

Element on AIT

Media

Enterprise Identifier

• DUNS

12V

077991289

12V077991289

Original Part Number 1P 4202435 1P4202435

Serial Number within

Original Part Number

S 10936 S10936

Table 11. Example of the Use of DIs in Construct #2

Serialization within the Original Part Number

(Format Indicator 06 of ISO/IEC 15434)

122

If DI 12V had been used to encode the DUNS number separately an unacceptable ambiguity in how to

construct the UII would have been introduced (i.e. which EID to use in the UII, the DUNS or the CAGE).

By using DI 25S the ambiguity has been removed.

123

The first record within an IUID Data Matrix of a multiple record ISO15434 message must contain the

UII data elements.

The Mechanics of Item Unique Identification

The UII data elements may be encoded in any order. In this example the UII data

elements would be encoded as follows using Format Indicator 06 for DIs of the ISO/IEC

15434 syntax:

[)>

12V077991289

1P4202435

S10936

Where:

[)> = The three-character compliance indicator

= A Format Trailer Character which indicates the end of a data format envelope

06 = A Format Header which indicates DIs are being used

= A Data Element Separator used between data fields

12V = DI for DUNS Code

077991289 = DUNS Code

1P = DI for Part Number assigned by supplier (Original)

4202435 = Original Part Number

S = DI for Serial Number

10936 = Serial Number within original part number

= A Message Trailer which identifies the end of the message within the data

stream

When the AIT device reads the data qualifier for the enterprise identifier, it shall have

what agency (that is, the IAC) issued the enterprise identifier available in its software.

The AIT device shall then attach the IAC to the beginning of the UII concatenation. In

this example the IAC for Dun & Bradstreet is “UN”.

The UII data elements would be in the order IAC/Enterprise Identifier/Original Part

Number/Serial Number. For this example using ANS MH10 DIs in Format Indicator 06

of ISO/IEC 15434, the UII output from the AIT device, once the overhead and syntax are

stripped away and the IAC has been added, would be UN077991289420243510936.

Data Element DI Format

Indicator

Data Element

Value

Encoded Data

Element on AIT

Media

Enterprise Identifier

• DUNS

12V

077991289

12V077991289

Lot Number 1T AA20070230 1TAA20070230

Serial Number within

Lot Number

S 6109 S6109

Table 12. Example of the Use of DIs in Construct #2

Serialization within the Lot Number

(Format Indicator 06 of ISO/IEC 15434)

The Mechanics of Item Unique Identification

If serialization within the lot or batch number is used then the lot or batch number is used

in place of the original part number to construct the UII. The UII data elements would be

in the order IAC/Enterprise Identifier/Lot or Batch Number/Serial Number. The UII data

elements would be encoded as follows using Format Indicator 06 for DIs of the ISO/IEC

15434 syntax:

[)>

12V077991289

1TAA20070230

S6109

Where:

[)> = The three-character compliance indicator

= A Format Trailer Character which indicates the end of a data format envelope

06 = A Format Header which indicates DIs are being used

= A Data Element Separator used between data fields

12V = DI for DUNS Code

077991289 = DUNS Code

1T = DI for Lot Number assigned by supplier

AA20070230 = Lot Number

S = DI for Serial Number

6109 = Serial Number within lot number

= A Message Trailer which identifies the end of the message within the data

stream

When the AIT device reads the data qualifier for the enterprise identifier, it shall have

what agency (that is, the IAC) issued the enterprise identifier available in its software.

The AIT device shall then attach the IAC to the beginning of the UII concatenation. In

this example the IAC for Dun & Bradstreet is “UN”.

For this example using ANS MH10 DIs in Format Indicator 06 of ISO/IEC 15434, the

UII output from the AIT device, once the overhead and syntax are stripped away and the

IAC has been added, would be UN077991289AA200702306109.

The Mechanics of Item Unique Identification

Data Element DI Format

Indicator

Data Element

Value

Encoded Data

Element on AIT

Media

Enterprise Identifier

• CAGE

17V

0CVA5

17V0CVA5

Original Part Number 1P 4202435 1P4202435

Serial Number within

Original Part Number

S 674A36458 S674A36458

Current Part Number 30P 4202435-1 30P4202435-1

Table 13. Example of the Use of DIs in Construct #2

Serialization within the Original Part Number with Additional Item Data

(Format Indicator 06 of ISO/IEC 15434)

The UII data elements may be encoded in any order. In this example the UII data

elements would be encoded as follows using Format Indicator 06 for DIs utilizing the

ISO/IEC 15434 syntax:

[)>

17V0CVA5

1P4202435

S674A36458

30P4202435-1

Where:

[)> = The three-character compliance indicator

= A Format Trailer Character which indicates the end of a data format envelope

06 = A Format Header which indicates DIs are being used

= A Data Element Separator used between data fields

17V = DI for Manufacturer CAGE code

0CVA5 = CAGE Code

1P = DI for Original Part Number

4202435 = Original Part Number

S = DI for Serial Number within the Original Part Number

674A36458 = Serial Number within the Original Part Number

30P = DI for Current Part Number

4202435-1 = Current Part Number

124

= A Message Trailer which identifies the end of the message within the data stream

When the AIT device reads the data qualifier for the enterprise identifier, it shall have

what agency (that is, the IAC) issued the enterprise identifier available in its software.

124

For application in IUID the use of dashes (-) and slashes (/) is permitted in DIs as significant characters

for part numbers, lot or batch numbers, and serial numbers, and in DIs that are composed from these

numbers (i.e., S, 18S, 25S, 1P, 30P, 1T, and 30T).

The Mechanics of Item Unique Identification

The AIT device shall then attach the IAC to the beginning of the UII concatenation. In

this example the IAC for CAGE is “D”.

For this example using ANS MH10 DIs in Format Indicator 06 of ISO/IEC 15434, the

UII output from the AIT device, once the overhead and syntax are stripped away and the

IAC has been added, would be D0CVA54202435674A36458.

Using GS1 AIs

Serialization within the Enterprise Identifier. When using GS1

125

AIs for purposes of

IUID, enterprises shall use the General GS1 Specifications

126

to construct the DoD

recognized IUID equivalent or the UII data elements. Serialization within the enterprise

identifier requires the use of a DoD recognized IUID equivalent.

Serialization within the Global Trade Item Number (GTIN). When using the GS1

System for serialization within a GTIN and enterprise, the serial number shall be

incorporated into the Individual Asset Reference component of the GIAI that is described

in Table 15 below. The GTIN™ is the 14-character identifier which uniquely identifies

the company (enterprise) and its product (part number). When properly associated with a

serial number, a globally unique UII can be created. The Individual Asset Reference

component element containing the GTIN and serial number is constructed as described in

the GS1 published Guidelines for Department of Defense Unique Identification (UID)

Markings Using the GS1 System.

Table 14 shows an example of the use of AIs in the context of the General GS1

Specifications for a GIAI using the Individual Asset Reference Number.

Data Element AI Format

Indicator 05

Data Element Value Encoded Data Element

on AIT Media

IUID equivalent GIAI

127

8004

06141411A0B9C3D6 800406141411A0B9C3D6

Table 14. Example of the Use of AIs for GIAI using the Individual Asset Reference

Number

(Format Indicator 05 of ISO/IEC 15434)

For IUID, the GIAI is considered by the DoD to be an IUID equivalent

128

. The data

elements considered components of the IUID equivalent (i.e., GS1 Company Prefix,

125

Formerly EAN.UCC.

126

See http://www.gs1.org/ for information about the GS1 System (formerly EAN.UCC System) and GS1

documents.

127

Within the General GS1 Specifications, the GIAI is considered a DoD recognized IUID equivalent. The

AI 8004 indicates that the data field contains a GIAI. The GIAI is made up of the GS1 Company Prefix and

an individual asset reference number. The holder of the GS1 Company Prefix determines the structure and

numbering of the individual asset reference number.

128

A DoD recognized IUID equivalent means an item unique identification method that is in commercial

use and has been recognized by DoD.

The Mechanics of Item Unique Identification

Individual Asset Reference Number) are not required to be marked on the item, unless

specifically required by the contract

129

Using the General GS1 Specifications, the minimum DoD IUID equivalent data elements

would be encoded as follows under Format Indicator 05 of the ISO/IEC 15434 syntax for

AIs:

[)>

800406141411A0B9C3D6

Where:

[)> = The three-character compliance indicator

= A Format Trailer Character which indicates the end of a data format envelope

05 = A Format Header which indicates AIs are being used

= A Data Element Separator used between data fields

8004 = AI for the GIAI

06141411A0B9C3D6

= GIAI, which is composed of the GS1 Company Prefix

including the IAC as the leading character (0614141) and the Individual Asset

Reference Number (1A0B9C3D6)

= A Message Trailer which identifies the end of the message within the data

stream

For this example using AIs in Format Indicator 05 of ISO/IEC 15434, the DoD IUID

equivalent output from the AIT device, using the GIAI as the IUID equivalent, stripping

away the overhead and syntax, would be 06141411A0B9C3D6

130

IUID Equivalent – GIAI using the Serialized GTIN™. Table 15 shows an example of

the use of AIs in the context of the General GS1 Specifications for a GIAI using the

Serialized GTIN™. The AI 8004 is also used for this construct but the composition of

the data element value shall be derived from the GTIN™ and a serial number. The

General GS1 Specifications provide information on the GTIN™ and the method for

creating the GIAI is described in the Guidelines for Department of Defense Unique

Identification Markings Using the GS1 System.

131

. In this construct, the GTIN™ is the

14-character identifier which uniquely identifies the company (enterprise) and its product

(part number). When properly associated with a serial number, a globally unique UII can

be created.

129

This is an exception to IUID Business Rule #2. See Appendix C. If the contract requires marking IAW

MIL-STD-130, the enterprise ID shall be included in the Data Matrix as a separate data element as well as

the part number.

130

Since the IAC is the first digit of the Company Prefix, it is not necessary to add it in forming the UII.

131

See http://www.gs1.org/ for information about the GS1 System (formerly EAN.UCC System) and GS1

documents.

The Mechanics of Item Unique Identification

Data Element AI Format

Indicator 05

Data Element Value Encoded Data Element

on AIT Media

IUID equivalent GIAI 8004

061414100332411A0B

9C3D6

8004061414100332411A0B

9C3D6

Table 15. Example of the Use of AIs for GIAI using the Serialized GTIN™

(Format Indicator 05 of ISO/IEC 15434)

Using the General GS1 Specifications, the minimum UII data elements would be encoded

as follows under Format Indicator 05 of the ISO/IEC 15434 syntax for AIs:

[)>

8004061414100332411A0B9C3D6

Where:

[)> = The Message Header consisting of a three-character compliance indicator and the

Format Trailer Character

to indicate the end of a data format envelope

= A Format Trailer Character which indicates the end of a data format envelope

05 = A Format Header which indicates AIs are being used

= A Data Element Separator used between data fields

8004 = AI for GIAI

061414100332411A0B9C3D6 = GIAI, which is derived by a two-step method of

modifying the GTIN™ (10614141003324) to create a new data element

(06141410033241)

132

and concatenating a serial number (1A0B9C3D6) with the new

data element.

= A Message Trailer which identifies the end of the message within the data

stream

For this example using AIs in Format Indicator 05 of ISO/IEC 15434, the UII output

from the AIT device, stripping away the overhead and syntax would be

061414100332411A0B9C3D6

133

Historic Use of TEIs

TEIs

134

are the preferred approach of the aerospace industry. The aerospace industry

uses CAGE Code (TEI = MFR )

135

to identify the manufacturer with serial number

(TEI = SER ) to provide unique identity of the item. The aerospace industry philosophy

is no duplication of serial numbers within an enterprise, regardless of the product, so

that a simple combination of enterprise identifier and serial number provides item

unique identification of that item forever. As revisions are implemented that change the

132

The new data element is created by moving the first character of the GTIN™ to the last position of the

GTIN™.

133

Since the IAC is the first digit of the Company Prefix, it is not necessary to add it in forming the UII.

134

All TEIs are four characters in length, consisting of three uppercase letters followed by a space.

135

CAGE Code is also indicated by TEI = CAG . An enterprise identified by CAG need not be the

manufacturer.

The Mechanics of Item Unique Identification

form, fit or function of the part, the aerospace industry changes the part number (TEI =

PNR ) to reflect those changes. This is called “rolling the part number.”

As aerospace moved TEIs into broader multi-industry use, they determined a need to

establish additional TEIs for DUNS Number (TEI = DUN ), UCC Company Prefix

(TEI = EUC ), Serial Number within Part Number (TEI = SEQ ), Original Part Number

(TEI = PNO ), and UII (TEI= UID ) to encode TEIs other than Manufacturer (TEI =

MFR ), Serial Number (TEI = SER ) and Current Part Number (TEI = PNR )

136

. It was

also determined that they needed a separator that would not be used within data, as

opposed to the “/” used in ATA SPEC2000, Chapter 9. Finally, it was determined that

an unambiguous header/trailer was needed to identify that the data fields represented

were in TEI form.

The needed non-data separator and unambiguous header/trailer were available in

ISO/IEC 15434, Information Technology–Automatic identification and data capture

techniques–Syntax for high capacity ADC media, and this gave rise to the

Collaborative Solution.

The Collaborative AIT Solution

The DoD has approved the use of ISO/IEC 15418 and ISO/IEC 15434 in its acquisitions.

The collaborative solution was established to enable the use of TEIs selected from the

A4A CSDD using the syntax of ISO/IEC 15434 until such time as the ISO could consider

a new format indicator in ISO/IEC 15434 to support TEIs. In the interim DoD

recognized “DD” as the format indicator for TEIs thereby permitting use of ISO/IEC

15434 as the IUID syntax standard

137

. DoD also recognized selected TEIs for IUID

usage from the A4A CSDD and new TEIs that were proposed to support IUID. In

addition, in support of the collaborative solution, the A4A Spec 2000 International

Coordinating Group approved the use of ISO/IEC 15434 syntax with TEIs as an

alternative item marking method.

Since that time, the ISO has added a new format indicator, “12”, in ISO/IEC 15434 to

support TEIs. The new format indicator “12” has replaced the interim format indicator

“DD” previously prescribed in this guidance

138

. Items that have been marked with the

format indicator “DD” do not have to be re-marked but further use of “DD” is not

136

On October 26, 2004, the ATA Spec2000 Coordinating Group approved the following TEIs for usage:

PNO (Original Part Number), SEQ (Serial Number) within Original Part Number) and UID (Unique Item

Identifier). The PNO and SEQ TEIs will allow for the use of UII Construct 2 (i.e., serialization within

original part number).

137

ISO/IEC 15434, Information Technology–Automatic identification and data capture techniques–Syntax

for high capacity ADC media, specifies a two-digit format indicator. All two-digit numbers (00-99) are

assigned or reserved for future use. This means that a format indicator for TEIs of the collaborative

solution could not be assigned a two-digit number without ISO approval. To enable the collaborative

solution utilizing the ISO/IEC 15434 syntax, the Department specified a special DoD-specific format

indicator, designated as “DD”, to indicate TEIs were being used in the collaborative solution.

138

Format Indicator DD has been used in the past within IUID Data Matrices. Some items with this Format

Indicator persist in the DoD inventory. Users of this guide intending to develop decoding algorithms to

construct UIIs should treat any IUID Data Matrix with Format Indicator DD exactly the same as if it had

Format Indicator 12.

The Mechanics of Item Unique Identification

permitted. Also, the TEIs that were proposed for IUID usage have been approved and

incorporated into the A4A CSDD.

Using TEIs

Construct #1 – Serialization within the Enterprise Identifier by Manufacturer.

Table 16 shows an example of the use of TEIs for UII Construct #1 when the

manufacturer serializes the item.

Data Element TEIs Data

Element

Value

Encoded Data

Element on AIT

Media

Enterprise Identifier

• CAGE

MFR

0CVA5

MFR 0CVA5

Serial Number within

Enterprise Identifier

SER 674A36458 SER 674A36458

Table 16. Example of the Use of TEIs for UII Construct #1, Manufacturer

Serialization

(Format Indicator 12 of ISO/IEC 15434)

The UII data elements may be encoded in any order. In this example the UII data

elements would be encoded as follows using Format Indicator 12 for TEIs utilizing the

ISO/IEC 15434 syntax:

[)>

MFR 0CVA5

SER 674A36458

Where:

[)> = The three-character compliance indicator

= A Format Trailer Character which indicates the end of a data format envelope

12 = A Format Header which indicates TEIs are being used

= A Data Element Separator used between data fields

MFR = TEI for Manufacturer CAGE code

0CVA5 = CAGE Code

SER = TEI for Serial Number within the Enterprise Identifier

674A36458 = Serial Number within Enterprise Identifier

= A Message Trailer which identifies the end of the message within the data stream

When the AIT device reads the data qualifier for the enterprise identifier, it shall have

what agency (that is, the IAC) issued the enterprise identifier available in its software.

The Mechanics of Item Unique Identification

The AIT device shall then attach the IAC to the beginning of the UII concatenation. In

this example the IAC for CAGE is “D”.

The UII data elements would be in the order IAC/Enterprise Identifier/Serial Number.

For this example using Format Indicator 12 for TEIs in the ISO/IEC 15434 syntax, the

UII output from the AIT device, once the overhead and syntax are stripped away and the

IAC has been added, would be D0CVA5674A36458.

Construct #1 – Serialization within the Enterprise by an Organization other than

the Manufacturer. Table 17 shows an example of the use of TEIs for UII Construct #1

when serialization is done by an organization other than the manufacturer of the item.

Data Element TEIs Data

Element

Value

Encoded Data

Element on AIT

Media

Enterprise Identifier

• CAGE

SPL

0F3N5

SPL 0F3N5

Serial Number within

Enterprise Identifier,

other than

Manufacturer

UCN 10936 UCN 10936

Table 17. Example of the Use of TEIs for UII Construct #1,

Enterprise other than Manufacturer

(Format Indicator 12 of ISO/IEC 15434)

The UII data elements may be encoded in any order. In this example the UII data

elements would be encoded as follows using Format Indicator 12 for TEIs utilizing the

ISO/IEC 15434 syntax:

[)>

SPL 0F3N5

UCN 10936

Where:

[)> = The three-character compliance indicator

= A Format Trailer Character which indicates the end of a data format envelope

12 = A Format Header which indicates TEIs are being used

= A Data Element Separator used between data fields

SPL = TEI for CAGE code, Enterprise other than Manufacturer

0F3N5 = CAGE Code

UCN = TEI for Unique Component Number assigned by Enterprise other than the

Manufacturer

10936 = Unique Component Number

= A Message Trailer which identifies the end of the message within the data

stream

The Mechanics of Item Unique Identification

When the AIT device reads the data qualifier for the enterprise identifier, it shall have

what agency (that is, the IAC) issued the enterprise identifier available in its software.

The AIT device shall then attach the IAC to the beginning of the UII concatenation. In

this example the IAC for CAGE is “D”.

The UII data elements would be in the order IAC/Enterprise Identifier/Serial Number.

For this example using Format Indicator 12 for TEIs in the ISO/IEC 15434 syntax, the

UII output from the AIT device, once the overhead and syntax are stripped away and the

IAC has been added, would be D0F3N510936.

Construct #2 – Serialization within the Original Part Number or Lot or Batch

Number. Table 18 shows an example of the use of TEIs for UII Construct #2 when the

manufacturer serializes the item within the original part number, PNO

139

Data Element TEIs Data

Element

Value

Encoded Data

Element on AIT

Media

Enterprise Identifier

• CAGE

CAG

140

0CVA5

CAG 0CVA5

Original Part Number PNO 4202435 PNO 4202435

Serial Number within

Original Part Number

SEQ 674A36458 SEQ 674A36458

Table 18. Example of the Use of TEIs for UII Construct #2,

Serialization within the Original Part Number

(Format Indicator 12 of ISO/IEC 15434)

The UII data elements may be encoded in any order. In this example the UII data

elements would be encoded as follows using Format Indicator 12 for TEIs utilizing the

ISO/IEC 15434 syntax:

[)>

CAG 0CVA5

PNO 4202435

SEQ 674A36458

Where:

[)> = The three-character compliance indicator

= A Format Trailer Character which indicates the end of a data format envelope

12 = A Format Header which indicates TEIs are being used

= A Data Element Separator used between data fields

CAG = TEI for Manufacturer CAGE code

139

An enterprise that serializes within lot or batch number would use LTN or BII , as appropriate, in place

of PNO .

140

The TEI of MFR may also be used to designate the manufacturer.

The Mechanics of Item Unique Identification

0CVA5 = CAGE Code

PNO = TEI for Original Part Number

4202435 = Original Part Number

SEQ = TEI for Serial Number within the Original Part Number

674A36458 = Serial Number within the Original Part Number

= A Message Trailer which identifies the end of the message within the data

stream

When the AIT device reads the data qualifier for the enterprise identifier, it shall have

what agency (that is, the IAC) issued the enterprise identifier available in its software.

The AIT device shall then attach the IAC to the beginning of the UII concatenation. In

this example the IAC for CAGE is “D”.

The UII data elements would be in the order IAC/Enterprise Identifier/Original Part

Number/Serial Number. For this example using Format Indicator 12 for TEIs in the

ISO/IEC 15434 syntax, the UII output from the AIT device, once the overhead and

syntax are stripped away and the IAC has been added, would be

D0CVA54202435674A36458.

Appendix E - Glossary of Terms

A4A

ACRN

Airlines for America

accounting classification reference number

ADC

AIM

automatic data capture

Association for Identification and Mobility

AIS

automated information system

AIT

automatic identification technology

ANS

American National Standard

ANSI

American National Standards Institute

ANSI/EIA

American National Standards Institute/Electronic Industries Alliance

ASC

ASCII

Accredited Standards Committee

American Standard Code for Information Interchange

ATIS 0300220

Number

North American Telecommunication Industry Manufacturers, Suppliers, and

Related Service Companies number

BEA

business enterprise architecture

BII

text element identifier for Batch Number

CAG

text element identifier for CAGE

CAGE

Commercial and Government Entity

CDRL

contract data requirements list

CFO

Chief Financial Officers

CJCSI

Chairman of the Joint Chiefs of Staff Instruction

CLIN

CMTI

contract line item number

Cellular Mobile Telephone Identifier

CSDD

Common Support Data Dictionary published by the A4A

issuing agency code for CAGE Codes

DCMA

Defense Contract Management Agency

DFARS

Defense Federal Acquisition Regulation Supplement

DLMS

Defense Logistics Management System

DoD

Department of Defense

DoDAAC

Department of Defense Activity Address Code

DoDD

Department of Defense Directive

DoDI

DPM

Department of Defense Instruction

direct part mark

DUN

text element identifier for DUNS Number

DUNS



Number

DUSD

Dun & Bradstreet Data Universal Numbering System number

Deputy Under Secretary of Defense

EAN

European Article Numbering

Glossary

EAN.UCC

ECC

European Article Numbering Uniform Code Council

error correction code

EHIBCC

European Health Industry Business Communications Council

EIA

Electronic Industries Alliance

EID

EOT

enterprise identifier

end of transmission

ESN

Electronic Serial Number

EUC

text element identifier for GS1 Company Prefix

FACT

FAR

Federation of Automatic Coding Technologies

Federal Acquisition Regulation

FMR

DoD Financial Management Regulation

FMS

foreign military sales

GAO

Government Accountability Office

GIAI

Global Individual Asset Identifier

GRAI

Global Returnable Asset Identifier

group separator

GS1

GTIN

Global Commerce Standards Organization formerly known as EAN.UCC

Global Trade Item Number

HIBCC

HIN

Health Industry Business Communications Council

Health Industry Number

IAC

issuing agency code

IDES

identification

item data encoded string

IEC

International Electrotechnical Commission

ISO

International Organization for Standardization

ISO/IEC 15418

Information technology–Automatic identification and data capture techniques–

GS1 Application Identifiers and ASC MH10 Data Identifiers and maintenance

ISO/IEC 15434

Information technology–Automatic identification and data capture techniques–

Syntax for high capacity ADC media

ISO/IEC 15459-2

Information technology—Unique Identifiers—Part 2: Registration Procedures

IUID

item unique identification

JCS

Joint Chiefs of Staff

JRIB

Joint Requirements Implementation Board

JTC 1

ISO/IEC Joint Technical Committee One

issuing agency code for ATIS 0300220Numbers

issuing agency code for DoDAAC Numbers

issuing agency code for EHIBCC Numbers

Glossary

LIC

LOT

LRU

LTN

Labeler Identification Code

text element identifier for Lot Number within the Original Part Number

line- replaceable unit

text element identifier for Lot Number within the Enterprise

MAPAC

MEID

MFR

MIC

Military Assistance Program Address Code

Mobile Equipment Identifier

text element identifier for CAGE Code of the Manufacturer

Manufacturer Identification Code

MIL HDBK

military handbook

MIL-STD

military standard

MILSTRAP

Military Standard Transaction Reporting and Accounting Procedures

MH10

MRI

The US Technical Advisory Group to ANSI

machine-readable information

NATO

North Atlantic Treaty Organization

NCAGE

NATO Commercial And Government Entity

NEN

Nederlands Normalisatie-instituut

OEM

original equipment manufacturer

OSD

Office of the Secretary of Defense

PAM

PNO

pamphlet

text element identifier for Original Part Number

PP&E

property, plant and equipment

record separator

SC 31

ISO Sub Committee 31 (Automatic Data Capture)

SER

text element identifier for Serial Number assigned by the Manufacturer

SEQ

text element identifier for Serial Number assigned within the Original Part

Number

SIM

serialized item management

SKO

sets, kits and outfits

SLIN

sub line item number

SPL

text element identifier for CAGE Code of Enterprise other than the

Manufacturer

SUM

software user manual

TAG

technical advisory group

ISO technical committee

TEI

text element identifier

TIA

US TAG technical group

Telecommunications Industry Association

Glossary

UCC

Uniform Code Council

UCN

text element identifier for Unique Component Number assigned by Enterprise

other than the Manufacturer

UID

unique identification; text element identifier for unique item identifier

UII

unique item identifier

issuing agency code for DUNS numbers

USD (AT&L)

Undersecretary of Defense for Acquisition, Technology and Logistics

USN

text element identifier of Universal Serial Number formed by concatenating

MFR+SER

UST

text element identifier of Universal Serial Tracking number formed by

concatenating SPL+UCN

US TAG

U.S. Technical Advisory Group

VIN

Vehicle Identification Number

ISO working group