OPWA Supply Chain Foundation Guide

People and organizations communicate better when they both use the same words and numbering systems. In language, standard words are defined in the dictionary. For measurement, the metric system is an international standard. The EAN.UCC System is an internationally accepted method of identifying products, serializing shipping containers and clearly communicating other important business transaction data such as purchase order numbers, expiration dates, lot numbers, etc. in a standard, machine readable (bar code) format.

The EAN.UCC System has been used since 1974 in the food industry but nothing about it makes it appropriate only for food items or only for retailers. In fact, the EAN.UCC System was originally conceived and developed by members of the electrical products industry for use between manufacturers and distributors. In the United States alone, over 95,000 (Note: Obtain update # from UCC) manufacturers of everything including industrial, general merchandise, food and of course OPWA products, are using this product numbering system.

Understanding the concepts of the EAN.UCC System is important to the success of the compliance labeling project, so take your time reading and digesting this chapter before going on to the rest of the book.

This chapter is organized into the following sections:

Overview of the EAN.UCC System, Sunrise 2005 and GTIN
UCC-12 (U.P.C.) and Consumer Units
EAN/UCC-14 and Intermediate Packs
SSCC and Carton Serial Numbers
Product ID versus Shipping Labels
UCC/EAN-128 and Secondary Information
Getting a UCC Company Prefix from the UCC
Summary of the EAN.UCC System

4.2 Overview of the EAN.UCC System, Sunrise 2005 and GTIN

The objective of the EAN.UCC System is to improve communication between trading partners by establishing a precise but flexible method of uniquely identifying products and package quantity in both human readable and machine readable formats. The EAN/UCC published updated requirements for product numbering called Sunrise 2005. This was necessary to ensure that the system was compatible with domestic and foreign goods. Sunrise 2005 does not change the basic structure of the bar code number. It does require that the data files containing information about the product use a 14 digit number. The file number is called a Global Trade Item Number (GTIN) To simplify things just realize that the carton label always has been 14 digits, so with carton quantities nothing changes. If you have assigned 12 digit U.P.C. numbers to the consumer unit, that U.P.C. bar code has not changed either. However the EAN/UCC is requiring the data files containing U.P.C. numbers be expanded to 14 digits by adding two zeros to the leftmost positions of the data field. The bar code does not change. It stays 12 digits long. The following is a brief overview of the EAN.UCC product numbering system.

There are rules for assigning Item Reference numbers (U.P.C.) to individual items, called consumer units in EAN.UCC terms. A consumer unit is the lowest saleable unit of sale for a specific product. A single red pen, a 5-Pack, and a 10-Pack of the same red pen are three different consumer units and would each get a different Item Reference number. The Item Reference numbers assigned to "consumer units" are all numeric and the length is determined by the Company Prefix that precedes it. The rules for assigning them are explained later in this chapter under the section titled UCC-12 (U.P.C.) and Consumer Units.
There are also rules for assigning Item Reference numbers to intermediate packs and shipping containers of consumer units. When identical consumer units are packaged into standard quantities of intermediate packs or shipping containers, the General EAN/UCC Specification specifies that they should be assigned a new, 14 digit number. Cases containing 100 individual red pens would be assigned a different 14 digit number than cases containing 10each, 10-Packs of the same red pen. The rules for assigning these 14 digit numbers are explained later in this chapter in the section titled EAN/UCC-14 and Intermediate Packs.
There are also rules for assigning unique serial numbers to cartons and shipping containers, like the Package Identification Number (PIN) assigned by common carriers. This system is used in conjunction with EDI (Electronic Data Interchange) to tie the container or pallet to a specific purchase order number. The rules for assigning these are explained later in this chapter in the section titled SSCC and Carton Serial Numbers.
There are also rules for communicating secondary information such as purchase order numbers, batch numbers, lot numbers, expiration dates, and other types of data commonly communicated between trading partners. The format for these numbers varies, i.e. not always a specific number of digits or letters, but the rules are precise and allow the information to be encoded in a bar code for fast and accurate data entry. The rules for assigning these numbers are explained later in this chapter in the section titled NOTE: This is UCC/EAN-128.) EAN/UCC-128 and Secondary Information.

4.3 UCC-12 (U.P.C.) and Consumer Units

The UCC-12 Global Trade Item Number (U.P.C.) is a twelve-digit number assigned by a manufacturer to individual "consumer units" in its product catalog. For many, if not most, manufacturers it also becomes the base number for identifying intermediate packs and shipping containers. No letters are allowed in the EAN.UCC System used to identify products or serialized cartons. Catalog numbers containing numbers and letters can still be carried in the inventory file and printed on packages or labels. Different manufacturers offering similar products DO NOT use the same UCC-12 number.

A "consumer unit" is the lowest level of packaging for a given product. For example: consider two manufacturers of similar, if not identical, red pens. Both manufacturers offer their red pens in singles and 5-Packs.

Item	Company	Product	Package Description
1	Manufacturer A	Red Pen	1 Red Pen
2	Manufacturer A	Red Pen	5-Pack of Red Pens
3	Manufacturer B	Red Pen	1 Red Pen
4	Manufacturer B	Red Pen	5-Pack of Red Pens

In the table above, Items 1 & 3 are similar products in identical package quantities but since they are manufactured by different companies, they would have different GTINs. The EAN.UCC System does not require that all Red pens should have the same item number.

As mentioned earlier, the EAN/UCC has made some changes to the numbering system so it is truly global. One change is the number of digits in the Item level bar code that is read at the point of sale. In North America, this always had been a 12 digit number. However, in other parts of the world the item level bar code is 13 digits. In the future, POS scanners will see more of the 13 digit bar codes. To keep the explanations simple, since most of the companies in the OPWA supply chain are already using the 12 digit item numbers, we will not address the 13 digit numbers here. So, for companies who have assigned and printed 12 digit U.P,C, nothing will change.

Items 1 & 2 above are the same product made by the same company but they are different package quantities. In EAN.UCC terms, each of these different package quantities is called a "consumer unit" and would be assigned a different U.P.C. 12 digit number and, when presented in a data file would have two leading zeros added so it would become a 14 digit GTIN. Since the UCC is the globally recognized organization we are going to refer to the U.P.C. 12 digit number as the UCC 12. But it is the same thing. The UCC-12 is divided into three sections structured as follows:

The first section consists of a prefix of digits that is assigned to individual companies by the Uniform Code Council (UCC). No two companies are assigned the same UCC Company Prefix. To date, approximately 200,000 numbers have been assigned. Instructions for obtaining a UCC Company Prefix are at the end of this chapter.
The second section consists of the Item Reference number that each individual company assigns to its products. The length is determined by the UCC Company Prefix that precedes it.

In accordance with the EAN.UCC System, manufacturers assign different Item Reference numbers to every consumer unit. Using the red pen example above, an Item Reference number would be assigned to a single red pen and a different Item Reference number to 5-Pack of the same product.

The third and last section of the UCC-12 number is a single calculated check digit that is based on the first eleven digits of the number. The check digit helps intercept transposition errors before they are sent to the computer. See the General EAN.UCC Specification Manual (UCC Solutions Center) for an explanation of the rules for calculating this check digit.

The result is a twelve digit number that uniquely identifies the manufacturer and a specific item or product.

Example

UCC-12 that could be assigned by the manufacturer to a Red Pen

The General EAN.UCC Specification specifies that UCC-12 data structure be encoded in the UPC- A or the UPC - E symbology. UPC version A looks like this:

Note: UPC-E is a special version of the UCC-12 that reduces the 12 digit number to 8 digits using specific rules. It is used to mark small items and it is only available to companies whose UCC Company Prefix starts with a zero (0).

Note: The EAN/UCC-13 GTIN is fundamentally the same as the UCC-12 but is assigned by EAN Member Organizations outside the United States and Canada. The EAN contains 13 digits. Companies who have been issued a UCC Company Prefix do not need to reapply if dealing outside the United States.

Whether the number above is entered from the keyboard or scanned with a bar code scanner, the computer finds the record for the consumer unit of one pen from this specific manufacturer.

4.4 EAN/UCC-14 and Intermediate Packs

Adding two additional digits to the front (left) of the base UCC-12 creates a new 14 digit code. As mentioned earlier, if they are both zeros the number would be the global trade item number (GTIN) for the consumer unit. If the leading number is greater than a zero it is still a GTIN but it is also the number that identifies intermediate packs and shipping containers holding standard configurations of consumer units. The 14 digit number, displayed in a bar code is called the shipping container code (SCC) but because that sounds so much like the SSCC we call it the EAN/UCC-14.

Continuing with the pen example, consumer units of one pen might be boxed by one manufacturer in two standard configurations: cartons containing 500 individual pens and cartons containing 750 individual pens. These are two different package levels for the same consumer unit.

Using the EAN.UCC System, the carton containing 500 would be assigned an indicator digit (package level) of "1" (for example) and the carton containing 750 would be assigned an indicator digit (package level) of "2." (for example) Customers could now order individual pens in cartons containing 500 or 750 individual pens to the carton.

Example of 14 digit EAN/UCC-14

UCC Company Prefix = 012345

Item Reference = 67890

10012345678902 = 1 carton containing 500 individual pens

20012345678909 = 1 carton containing 750 individual pens

The package level is communicated in the first digit (indicator digit). The indicator digit of "1" doesn’t always mean a quantity of 500 consumer units and the indicator digit of "2" doesn’t always mean 750 consumer units.

Indicator digits can mean different quantities for different products. The zero (0) following the Indicator digit is automatically added for all North American packages. The original UCC-12 number is the same because it refers to the same consumer unit of one individual pen. The check digit at the end is recalculated based on the previous 13 digits.

The shipping container standard specifies that the EAN/UCC-14 can be encoded in the Interleaved 2 of 5 symbology (ITF-14_ or the UCC/EAN-128 symbology. Both symbologies are shown below.

Chapter 5:Implementing an EAN.UCC Labeling Project explains how to implement a customer request for both the UCC-12 and the EAN/UCC-14 described above.

At the option of the trading partners, the EAN/UCC-14 can also be encoded in the UCC / EAN- 128 Symbology using an Application Identifier (AI) of "01". With this option, the SCC shown above would now be coded as follows using UCC / EAN- 128.

The number above is interpreted by the computer as the EAN/UCC-14 number. The (01) in the beginning of the number is an application identifier used to signify that the bar code contains the EAN/UCC-14. The check digit at the end is based on the previous 13 digits (does not include the AI of "01"); hence, the EAN/UCC-14 is the same regardless of symbology.

4.5 SSCC and Carton Serial Numbers

The EAN.UCC System also defines a method of serializing cartons (Serial Shipping Container Code or SSCC), so the contents can be traced to a specific line item (or items) on a specific purchase order. The standard format for serializing cartons and shipping containers is an 18 digit number encoded in UCC/EAN-128 symbology shown in the following illustration. The (00) is the AI for the SSCC. This number may or may not appear on the same label used for product identification and is not generally added to the box or container until the time of shipment.

Serial numbering of cartons provides unique identification. This is important, especially to identify cartons containing variable quantities or non-standard mixtures of product and as a reference number for EDI (Electronic Data Interchange) transactions. When used in conjunction with EDI, serial numbering cartons and shipping containers eliminates the need to physically inspect the contents of every carton. Eliminating this procedure has improved the productivity of some warehouse receiving operations by 100% or more!

The Serial Shipping Container Code (SSCC) is different from the EAN/UCC-14 assigned to intermediate packs and shipping containers of consumer units. The same EAN/UCC-14 is assigned to all identical packaging configurations of the same product. The Serial Shipping Container Code (SSCC) is a unique number assigned to each carton as it is shipped. Because it is unique, it can be used as a reference number tying the contents of a specific carton to information about the shipment including the purchase order(s) it should be applied to, carrier, date of shipment, etc. It is used in conjunction with the EDI 856 Advance Shipping Notice (ASN).

The 18 digit number consists of the following items:

Chapter 6: Implementing a Serial Shipping Container Project explains how to implement a customer request for this numbering system.

4.6 Product ID versus Shipping Labels

4.7 UCC/EAN-128 and Secondary Information

In addition to defining standard methods of identifying products and serializing cartons and shipping containers, the EAN.UCC standard also defines a method of identifying other important types of data with a bar code. For example:

Purchase Order Number
Production Date
Destination Postal Codes
Batch Number
Lot Number
Expiration Date

Bar codes containing secondary information are encoded in the UCC/EAN-128 symbology and include prefix codes, called Application Identifiers (AI's), to designate the type of data they contain. For example, the serial shipping container code contains the AI of "00" to indicate that the bar code contains a serial shipping container code. A bar code containing a purchase order number would start with the AI of "400." Bar codes containing batch numbers start with the AI of "10."

Application identifiers can be used by the computer system to automatically read many bar codes and place them in the proper fields in a database. AI’s will be used extensively with some ANSI MH10.8 labels (the basis for the label found on the shipping container).

4.8 Getting a UCC Company Prefix from the UCC

When a UCC number is needed (whether the company manufactures or packages a product), companies should contact the Uniform Code Council (UCC) to get a UCC Company Prefix. The UCC assigns UCC Company Prefixes and maintains a database assuring that no other company is assigned the same number. Applicants should contact the UCC and request an application form. Their address and phone number is shown below:

Uniform Code Council
1-800-543-8137
web: www.uc-council.org

4.9 Summary of the EAN.UCC System

The EAN.UCC System assigns different product identification numbers to "trade items". Consumer units are assigned a 12-digit number. Packaging levels above the consumer unit are assigned a 14-digit number.

Consumer units are defined as the smallest unit intended to be sold to the ultimate end user. A single red pen and a 5-count pack of red pens are considered different consumer units.

Trade items above the consumer unit may be intermediate packs, cartons, packs containing multiple consumer units or standard mixtures of consumer units. A carton containing 4 reams of paper is an intermediate pack. A carton containing 12 of the same reams of paper is another intermediate pack. These are two different inventory keeping units or trade items.

The standard also defines how to assign serial numbers to shipping containers. This Serial Shipping Container Code (SSCC) uniquely identifies shipping containers and provides a method of linking the physical carton or shipping container to information about its contents. The SSCC is an 18-digit number preceded by AI "00".

Finally, the standard also defines a method of identifying secondary information such as purchase order numbers, expiration dates, etc. either for internal uses or on the ANSI MH10.8 label.

By using a standardized numbering system, manufacturers don’t need to maintain a different item number file for each customer that buys that product. Distributors and retailers can use the EAN.UCC System to place orders, automate receiving and maintain inventory by scanning the UPC bar code on individual items and the ITF-`14 or UCC/EAN-128 bar code on cases and cartons.

Using the EAN.UCC System with Existing Internal Numbers

If desired for internal purposes, individual companies may also continue to use their own proprietary number for any purpose other than communicating with an independent trading partner. This is done by using an "alternate" part number field in the inventory or part number database. This enables the use of either UCC-12 (U.P.C.) or existing proprietary number.

4.10 Additional Reading on the EAN.UCC System

U.P.C. Symbol Specification
Application Standard for Shipping Container Codes
UCC/EAN-128 Application Identifier Standard
UCC Symbol Placement Guidelines
Apparel Guidelines: Format and Symbol Placement
UCC Quality Specification for the U.P.C. Printed Symbol
General EAN.UCC Specification
UCC Solutions Center

These materials are available from the Uniform Code Council at 1-800-543-8137 or visit their web site at www.uc-council.org.

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