Track and TraceRequirements ScopingThomas Kelepouris, Lila Theodorou, DuncanMcFarlane, Alan Thorne, and Mark HarrisonAuto-ID Lab, University of Cambridge, UKThis report provides an overview of the industrial requirementswith regard to the optimization of track and trace processesacross the aerospace supply chain. It also demonstrates howthe application of ID-based solutions has improved track andtrace practices in different industries. The aims of the reportare to outline inefficiencies of current track and trace practices,describe the industrial requirements for improved track andtrace and to demonstrate both the potential impact of RFIDtechnology in this area and the business benefits thatcompanies can gain from it. The report analyzes the key issuesthat result from the requirements analysis and the majorresearch challenges that emerge from these.AEROID-CAM-004 2006 CopyrightPublished February 1, 2006. Distribution restricted to Sponsors until August 1, 2006

Contents1.Introduction. 31.1.Aims of the Report . 31.2.Definitions. 31.3.Scope . 41.4.Report Overview . 52. Existing Approaches to ID-Based Tracking and Tracing . 62.1.Introduction. 62.2.Existing Industrial Track and Trace Applications . 62.2.1.Point-to- point reusable asset tracking . 62.2.2.Real time asset location . 72.2.3.Full Traceability and Product Authenticity Assurance . 82.2.4.Tool tracking and tracing . 92.2.5.Documentation Tracking . 92.2.6.People Tracking and Tracing. 92.2.7.Baggage, Air Cargo and Reusable Asset Tracking. 102.3.Summary . 113. Industrial Requirements. 123.1.Approach . 123.2.User Requirements . 133.2.1.Item Identification . 133.2.2.Document and Asset Tracking . 133.2.3.Information System Update . 143.2.4.Part Maintenance History/ Configuration/ Failure Information. 143.2.5.Operations Efficiency . 153.2.6.Automatic Certificate Generation. 153.3.Towards System Requirements . 173.3.1.Business Drivers . 173.3.2.Application Characteristics . 183.3.3.Information Management . 203.3.4.Data Processing. 203.3.5.ID System . 213.3.6.Numbering Standards . 223.3.7.System Requirements for Other Industries. 243.4.Summary of Requirements . 254. Impact . 264.1.Impact of RFID on Track and Trace . 264.2.Business Benefits from Improved Track and Trace . 284.2.1.Operational Performance Improvement. 284.2.2.Legislation Compliance . 314.2.3.Risks and Safety . 314.3.Summary . 325. Conclusions. 345.1.Key Issues – Research Challenges . 345.2.Summary . 35AEROID-CAM-004 2006 CopyrightPublished February 1, 2006. Distribution restricted to Sponsors until August 1, 20062

1. Introduction1.1. Aims of the ReportThis report provides a scoping of the current track and trace practices in theaerospace industry, highlighting their inefficiencies based on industrial sponsorsfeedback and other data. It describes the industrial requirements for improved trackand trace practices across the aerospace supply chain and outlines the basic systemrequirements of the infrastructure that shall meet these industrial requirements. Thereport analyzes how RFID technology will improve track and trace processes anddemonstrates the business benefits that the companies will be able to gain throughimproved track and trace performance. Furthermore, the report identifies key issuesthat require special research attention and proposes research activities throughwhich these should be studied and analyzed.1.2. DefinitionsEngine and aircraft parts pass through numerous different states during theirlifecycle. More specifically, they can change location, custodian, condition (i.enew/used, serviceable/unserviceable, scrap), function and form, they can beinstalled, removed, repaired, maintained, stored, shipped or they can be exposed tovarious conditions (i.e. temperature, humidity, vibration).Tracking is the ability to determine the current state of a part at any time, whiletracing is the ability to determine the past “states” and the origin (raw materials,subparts) of the part. Tracing is based on traceability data, which constitute thehistory of a part (previous locations and custodians, processing, maintenance andusage history). ATA defines traceability as the “ability to show where a part has beensince it was manufactured or last certified”. Relevant to tracking and tracing is theconcept of predicting, which is the ability to determine the likely future “states” of anitem (Figure 1.1).AEROID-CAM-004 2006 CopyrightPublished February 1, 2006. Distribution restricted to Sponsors until August 1, 20063

PastFutureNowTraceTrackPredictFigure 1.1 Track and Trace time dimensionA part can be tracked and traced either internally in a company (internal track andtrace) or across the whole aerospace supply chain (external track and trace). Trackand trace in the aerospace sector is a broader concept in comparison to othersectors, such as the food supply chain or the pharmaceutical sector. This is due tothe fact that a part must be tracked and traced even after the plane has beenmanufactured and delivered to the airline company. In this stage part maintenanceand usage information must also be recorded and possibly exchanged betweenmaintenance centres, airlines and manufacturers.1.3. ScopeTrack and trace across the whole aerospace supply chain requires a standard forautomated identification and data capture. More specifically, it is critical to assign aunique tracking identity to each item that needs to be tracked and traced (aircraft andengine parts, tools, shipping containers). Industry task force has defined a permanentbar code specification for that purpose. The proposition of an effective ID solutionthat will match aerospace tracking and traceability requirements is considered vital.As far as traceability is concerned, according to Air Transport Association (ATA) thereconstruction of the physical history of a part requires a minimum amount of data,generated by every company that accomplishes a “transaction” on the part. Atransaction is defined as any significant event which changes the state or ownershipof the part (ATA spec 2000, chapter 9). It is very important to determine the ways inwhich information should be inserted into the track and trace system, in order toensure accurate, complete and real-time data collection. Data insertion can be doneeither manually or using automated identification and sensor technologies.Furthermore, traceability across the aerospace supply chain requires data sharingamong business partners. Traceability data can be kept either in centralizeddatabases hosted by authorized companies, in companies’ internal databases , indocuments transmitted among partners or even on the part itself, for instance in aRFID tag. The overall system architecture (central and distributed databases,AEROID-CAM-004 2006 CopyrightPublished February 1, 2006. Distribution restricted to Sponsors until August 1, 20064

pedigree system), data access and security policies, the amount of information thatcan be stored on the tag are issues that should be addressed and solved.1.4. Report OverviewThis report has a scoping perspective and is structured so as to bring key issues intrack and trace under a common framework. The structure of the report is outlined inFigure 1.2.Section 2Existing ID-Based Track and TraceApproachesSection 3IndustrialRequirementsCaptureSection 4UserRequirementsImpact of RFIDTechnology onImproved Trackand TraceSystemRequirementsBusinessBenefits fromImproved Trackand TraceRequirements forID Based Trackand TraceRationale for IDBased Track andTraceStrategy for Developing ID BasedTrack and Trace modelFigure 1.2 Report StructureAEROID-CAM-004 2006 CopyrightPublished February 1, 2006. Distribution restricted to Sponsors until August 1, 20065

2. Existing Approaches to ID-BasedTracking and Tracing2.1. IntroductionA great number of tracking and tracing systems linked to ID systems have beenimplemented or just trialled in order to track and trace items/products, reusableassets, as well as people, either in the internal environment of a company orthroughout a supply chain. This section gives an overview of the existing approachesto ID-based tracking and tracing, by describing a number of tracking and tracingsystems, which fall in different application categories. The systems described areautomated, mostly RFID-based and refer both to aerospace and other supply chains.Examples of both internal (intra-company) and external (inter-company) track andtrace systems are presented. The aim of this section is to demonstrate how ID basedsystems have been used to optimize track and trace processes.2.2. Existing Industrial Track and TraceApplicationsAs stated in the introductory section, we summarize a number of existing approachesto ID-based tracking and tracing in terms of key application types.2.2.1. Point-to- point reusable asset trackingThis application type refers to recording the position of a reusable asset, as it istransferred between critical points in either a maintenance or manufacturing process,or throughout a supply chain.Savi ‘s Shared RFID-based Network: Savi Technologies, an RFID-supplier and a portdeveloper have collaborated in building an RFID-based information network to track,trace and manage containerized ocean cargo at any point along the supply chain.More specifically, they have installed active RFID equipment and software inparticipating ports around the world to provide users with information on the identity,AEROID-CAM-004 2006 CopyrightPublished February 1, 2006. Distribution restricted to Sponsors until August 1, 20066

location and status of their ocean cargo containers and its contents, as they passthrough such ports. In that way, shippers, logistics service providers andtransportation companies are able to connect to the network by installing compatibleequipment at their own locations. Moreover, the network is built on an interoperablearchitecture and is designed to work with other Automatic Identification DataCollection (AIDC) technologies as well, such as barcodes and Global PositioningSystems (GPS). The company is expected to establish relationships with additionalport partners to further extend the network [1].CHEP’s Innovative Pallet Tracking System: CHEP, a company involved in pallet andcontainer pooling services has developed an innovative pallet tracking system, inorder to improve the administration of its customers’ (manufacturers and retailers)supply chains through real-time sharing of RFID information with all the tradingpartners. Sharing of data is accomplished utilizing the EPCglobal Network throughseveral Verisign services, such as Object Naming Service (ONS) and EPCInformation Services (EPC-IS). EPC-IS enables the storage and retrieval of detailedproduct information on each pallet, including associated case information, as theformer travels through the supply chain. At the same time, RFID data can also beintegrated with the multiple backend systems of the trading partners. As a result,business processes, such as dispatch, receipt and picking have been fullyautomated, while the complete supply chain path of the pallet has becomecompletely visible [6, 7].Using Colour Codes (Visidot) for Reusable Asset Tracking: A supplier of reusableplastic containers, IFCO Systems GmbH, of Pullach, Germany, has implemented acolour-code system called Visidot, in order to track the rentals that flow every yearthrough its network. Visidot is a kind of code that stores information in dots containingpatterns of various hues of colour. Information is captured by the Visidot scanners,which can take a high-resolution picture of an entire stack of containers, as theassets pass in front of them. The system’s accuracy was tested to be 99.74 percentover 1.5 million readings, assuring accurate inventory counts in real time, betterrecords of shipments and improved cycle times [7].2.2.2. Real time asset locationThis application type refers to techniques which estimate the position of an asset in agreat degree of accuracy within one area.General Electric’s Ultra Wideband (UWB) Engine Assembly Tracking System: Theworld’s first, FCC-certified, ultra wideband (UWB) precision asset location system hasbeen successfully installed in General Electric’s (GE) new Flowline Building at the GEAircraft Engine Peebles Test Operation, Ohio. The aforementioned system is used forAEROID-CAM-004 2006 CopyrightPublished February 1, 2006. Distribution restricted to Sponsors until August 1, 20067

real time precision tracking of engines, equipment and kits to better than one footresolution in a severe multi-path environment. The UWB installed system automatesprocessing operations and provides time critical information upon demand. Moreover,the infrastructure used is minimal, as the system employs only five receivers to coveran area of approximately 30,000 square feet [9].U.S. Army’s Real-Time Location System of Radar Systems: U.S. Army hasconducted a pilot program to evaluate a real-time location system in a full-servicerepair, overhaul and fabrication facility of surveillance and radar systems. Thesystem tracks individual parts and assemblies of radar systems as they arerefurbished in order to prevent items from being lost and make refurbishmentprocesses more time and cost efficient. More specifically, the system is configured torecord when tagged items arrive in a monitored area, how long they remain there,and when they are removed from that area. The system can also be used to findspecific items or send alerts when tagged items remain stationary for a designatedamount of time. Active 2.4 GHz tags have been attached either directly to largeantenna components or to containers used to transport assemblies or subassembliesof small items that are deconstructed for refurbishment. The pilot program wasconsidered successful, as the system managed to locate assets to within 10 feetdespite their high metallic context. As a result, the U.S. Army considers making thedeployment permanent [10].2.2.3. Full Traceability and Product AuthenticityAssuranceThis application type refers to tracking and tracing systems that support fulltraceability, providing a detailed product pedigree for each item and ensuring productauthenticity.Drug Security Network (DSN): In the pharmaceutical industry, pedigree legislationand mass-serialization have been introduced, in order to make the pharmaceuticalsupply chain safer and more secure. A pedigree is a record of every transaction forevery transaction for every instance of a drug from the point of dispensing back to theoriginal manufacturer, providing a complete, traceable chain of custody for theproduct. A number of major players in the pharmaceutical industry have formed aforum, called Drug Security Network (DSN) to consider the upcoming major changesand challenges to their business practices. More specifically, DSN activities arefocusing in developing pro-active thought leadership and specific requirements notonly on pedigree and serialization issues, but also on data sharing and security. RFIDtechnology and EPC network are emerging as the key technologies to address theDrug Security Network requirements [5, 12, 13].AEROID-CAM-004 2006 CopyrightPublished February 1, 2006. Distribution restricted to Sponsors until August 1, 20068

2.2.4. Tool tracking and tracingTools are reusable assets that are used on a shared basis among the engineers ofthe same or different companies. Tool tracking and tracing systems are among thefew existing RFID-based tracking and tracing systems in the aerospace sector.Airbus Tracking Tools: Airbus pioneered the use of the RFID technology in aircrafttool management in 1999. All its tools and toolboxes are now equipped with RFIDtags, offering electronic support for loan and repair management of tools. RFID tagstrack the tools’ movement and condition and apart from the manufacturer serialnumbers, they contain data about the history of the tool, its manufacturing date,periodicals technical code, as well as shipping, routing and customs information.These data automatically updates the tools’ status in multiple systems like SAP’sERP System, a MasterPack supply chain management system and even the EDInetwork that links those systems enterprise-wide. The manufacturer has alsointroduced the RFID technology to its supply of aircraft spare parts, in order tosimplify their inventory and repair management [8].2.2.5. Documentation TrackingThis type of application is also related to the aerospace sector and refers to thetracking of the documentation that accompanies aircraft and engine parts andcontains part-related information (released document, aircraft readiness logs).Boeing RFID Pilot: Boeing has launched an RFID pilot in its facility in Wichita,Kansas, testing a passive system for tracking work in process by attaching RFID tagsto the documents that travel with the parts. The above-mentioned documents containinformation, such as Boeing’s certification of parts, Federal Aviation Administrationrequirements and quality assurance information. They follow the parts, as they arereceived and moved through shops that make up out production process until theyare placed in the parts control area before being put on the plane. At that point thepaperwork is sent on to closed records and the RFID tag is disassociated from theorder. This RFID trial was completed in June 2003 and was considered verysuccessful, for the implemented RFID system achieved 99 percent accuracy on thereads [2].2.2.6. People Tracking and TracingPeople tracking systems have be used for ensuring that only authorised personnelwith the correct training can access certain areas or use certain equipment.AEROID-CAM-004 2006 CopyrightPublished February 1, 2006. Distribution restricted to Sponsors until August 1, 20069

BP Trial: BP has trialled a people tracking and tracing system, in order to test if theaccess to one of its enclosed pressure vessels could be controllable through RFIDtechnology. More specifically, they RFID-tagged each of their maintenance workersas well as their safety equipment (boots, breathing apparatus, helmet).Theymanaged to demonstrate that operations could only be carried out by authorizedpersonnel with the correct training and correct equipment. In separate trials BP hasalso demonstrated how workers carrying RFID tags could be located and accountedfor during emergency evacuation drills.2.2.7. Baggage, Air Cargo and Reusable AssetTrackingA number of airports and airlines have tested and in some cases are already usingRFID technology for baggage-tracking purposes. RFID tags can be used to identifythe baggage of high-risk passengers or offer one-stop baggage handling services,enabling hands-free travel. Moreover, a number of air cargo companies have trialledthe use of active RFID tags on aircraft containers to track Unit Load Devices (ULDs)and thus reduce unit losses. Airlines have also adopted RFID systems for trackingthe location of food trolleys at a great number of locations around the world [13].eLSG. SkyChefs’ trolley tracking solution: eLSG.SkyChefs is the first airline cateringindustry that has offered airlines an Internet-based solution to track catering trolleysthroughout an airline's global catering network. More specifically, eLSG.SkyChefsemploys Scanpak's Galley Equipment Tracking System (GETS), which is designed totrack airline catering trolleys worldwide. The trolley tracking solution is comprised ofan RFID transmitter tag secured on each trolley and a corresponding receivercapable of accurately accounting for each tagged trolley entering and exiting cateringstations around the world. The installation is completed by a Web application thatenables the airline to access its equipment status in real-time from anywhere in theworld via the eLSG.SkyChefs Web site. The solution can significantly reduce trolleyloss and maintenance costs, while optimising trolley equipment distributionthroughout the airline's global network. Moreover, airlines will be able to reduceequipment-related flight delays and the need to purchase new trolleys. In addition,the system is able to track the performance and common defects of various trolleytypes/manufacturers, enabling airlines to objectively evaluate their suppliers. Trolleymaintenance records are also tracked and as result, preventive maintenance can beeasily scheduled to ensure equipment safety and extend the life of the equipment[14].As far as baggage tracking is concerned, it is important to state that IATA hasendorsed the use of ultra-high frequency tags and readers compliant with the ISOAEROID-CAM-004 2006 CopyrightPublished February 1, 2006. Distribution restricted to Sponsors until August 1, 200610

18000-6C candidate protocol as a global standard. The above-mentioned protocolincorporates EPCglobal’s Gen 2 standard. Furthermore, the Transportation SecurityAdministration (TSA) has conducted an end-to-end trial, proving that UHF EPC tagscan be read in different (Asian , U.S. and European) regulatory environments, andthat airlines can share bag tag data through the EPCglobal data model [11].2.3. SummaryThis section has presented and classified a number of different examples of industrialtracking and tracing applications. The examples indicate the diversity of the solutionsdeveloped, the range of ID options available and a range of requirements. The aboveanalysis demonstrates how tracking and tracing systems can provide increasedvisibility of the location and state of the item needed to be tracked and traced within aspecific area/facility, the internal environment of a company or throughout a supplychain. It can be used as a directory for the aerospace companies, in order to examinein more detail the existing practices in the track and trace application type that theyare mostly interested in. The track and trace theme aims to provides greatersystematisation in this area.AEROID-CAM-004 2006 CopyrightPublished February 1, 2006. Distribution restricted to Sponsors until August 1, 200611

3. Industrial Requirements3.1. ApproachThis section describes the requirements of the aerospace industry with respect toitem tracking and tracing using RFID technology. We analyze industrial/userrequirements and we propose the system requirements of the RFID infrastructurethat can help meet user requirements and will enable item tracking and tracing usingRFID technology.The requirements analyzed in this section were captured using multiple informationsources. Personal contacts with managers of the aerospace industry companieswere the main source of information for the requirement analysis. Apart from this,feedback obtained from questionnaire circulated among the partners of the projectwas used to complete the picture of the needs that companies currently have.Moreover, documents from regulation authorities and trade associations (such as theUS Department of Defence, the Air Transport Association of America, theInternational Transport Association etc) were taken into account for composing therequirements described in this report. In particular, the part marking and traceabilityrequirements described in Chapter 9 of the ATA Spec2000 [15] e-business standardwere adopted and regarded as a global standard (although the ATA does notmandate the use of Spec 2000 standard, most of the companies today use it). Finally,academic and industrial literature regarding traceability models and requirementswere used as complementary to the above.Section 3 contentsUserRequirementsFuture implementationSystemRequirementsTrack & TraceSolutionFigure 3.1 Section 3 structureAEROID-CAM-004 2006 CopyrightPublished February 1, 2006. Distribution restricted to Sponsors until August 1, 200612

In the next sections the requirements are analyzed, as captured by the requirementsanalysis. Section 3.2 describes the requirements of the aerospace industrycompanies with respect to item traceability and operations optimization. Section 3.3outlines the system requirements that an RFID infrastructure should meet in order toeffectively and efficiently support the above. In section 3.3.7 additional traceabilityrequirements from other industries are briefly described.3.2. User RequirementsThis subsection describes the user/functional requirements for the application ofRFID technology for item traceability in the aerospace supply chain. We analyze howthe companies expect RFID technology to optimize part traceability and operationsacross their supply chain. The user requirements for the key areas that thecompanies expect RFID technology to improve their efficiency, as captured by therequirements analysis, are described in the following subsections.3.2.1. Item IdentificationCurrently, in most of the cases companies use human readable text or barcode foritem identification. In some cases the use of barcode is below 50% of the company’sproduct assortment. As a result, item identification requires human involvement whichis both time consuming and error susceptible. There is a need for accurate andautomatic item identification, which at the same time shall minimize labour costsrelated to item handling. RFID technology can solve these problems. RFID tagsattached to parts and documentation can automatically provide companies withaccurate and real time information about the location and identity of specific items.3.2.2. Document and Asset TrackingDocuments regarding maintenance information or documents accompanying parts(e.g. certificates of conformance or certificates of release) are very often lost ormisplaced when detached from the part. In those cases companies need to replacethe document from the company that originally issued it, resulting in significant costsand loss of time. Moreover, when a part’s paperwork is missing, the part is regardedto be “out of control”, as the company that holds it has no information about itscondition and reliability. For this reason, after a certain period of time being out ofcontrol, the part must be sent back to its original supplier to verify its condition. Inorder to avoid all this high cost and time consuming procedures, companies need toaccurately track documentation on real time basis.AEROID-CAM-004 2006 CopyrightPublished February 1, 2006. Distribution restricted to Sponsors until August 1, 200613

Apart from documentation, aerospace companies need to track and trace returnableassets, such as shipping containers, and tools throughout their supply chain.Returnable assets and tools are often misplaced or lost, leading in resourceunderutilization and cost increase. Effective track and trace through RFID technologycan minimize the aforementioned problems.3.2.3. Information System UpdateCompanies invest serious amount of time and labour work on manual data entryupdating their ERP and other internal information systems with information regardingparts received and their attributes. Apart from the obvious cost, there is a highprobability of error. There is a need for an aut

A part can be tracked and traced either internally in a company ( internal track and trace) or across the whole aerospace supply chain (external track and trace). Track and trace in the aerospace sector is a broader concept in comparison to other sectors, such as the food supply chain or the pharmaceutical sector. This is due to