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Visibility, control and efficiency of operations

Visibility of operations in any organisation forms the basis of operational control and efficiency. Security in operations is one of the many outcomes of operational management, which relies heavily on having highly granular visibility on all operational matters that are regarded as directly impacting security of assets, information and people.

In traceability terms, such high levels of granular visibility relies on concepts such as item-level identification and authentication, chain of custody, location visibility and central coordination. Each of these concepts has an enabling role to play in item level visibility of operations across the entire footprint of an enterprise.

Key concepts

Item level traceability

Traceability covers a very wide and diverse field. Traceability of vehicles, for example, is well served by service providers globally and locally. The mainstream systems used are quite effective and is generally supported by user-friendly software providing GIS-referenced information in real-time. Such data can also be interfaced to other operations support systems, thereby providing high levels of business automation and operations security. Vehicle tracking, when done in this way, is an example of a continuous traceability from one moment to another. The traceability system provides the option to specify the frequency of sampling the location of the vehicle.

Physical access control is in itself another kind of traceability, focusing mainly on the egression of vehicles and people. Vehicles are typically captured electronically via CCTV (closed circuit television) and identified through OCR (optical character recognition) techniques based on number plate identity. People are captured electronically through CCTV, in conjunction with analytical software, and biometrically through mainly fingerprint readers, or through various kinds of staff cards. Access control is an example of traceability based on events and linking each event to a date, time and location. The supporting information management system provides traceability from one event to another. In this case, typically, the traceability system has no direct control on the frequency or sampling rate of events.

All commodity-based operations, and most service-based operations, have an associated physical flow of materials, components, assets, merchandise and/or documents. Visibility of all these item-handling events constitutes a large part of an operations visibility solution in such an environment. These items are invariably handled on an individual basis and at different levels of packaging and in groupings referred to as consignments. Traceability of commodities in this sense therefore happens at the individual level, and at any level of packaging or in any defined grouping or consignment. This kind of traceability is also event based (item handling events) and varies from highly automated (for example on a pharmaceutical production line) or very manual (for example an armoury marshal handing out firearms and other security equipment to security guards coming onto shift).

All of the above examples make use of item level traceability. Item level traceability refers literally to the ability to distinguish between different items of the same kind and to have a history for each specific item from its production time, date and location throughout its life cycle.

In order to have item level visibility each individual item is marked with a unique ID number embedded, for example, into a two dimensional (2D) barcode. This is the primary barcode for the item and it is scanned every time the item is handled. That provides the basis for building an item history file.

Because each item can be individually identified, delegation of responsibility can be measured and recorded at item level. The item level ID code serves as the basis for item level visibility that leads to enhanced operational control and higher operational efficiencies over the entire item handling operation.

Item level visibility requires electronic data capturing and a back-end system that can operate globally in supporting all relevant data capturing and monitoring procedures and reporting requests. Data capture automation is necessary in order to ensure data integrity and seamless processing at handover procedures and dispatch-receive processes.

Authentication

Authentication is what provides credibility to the traceability system. Level 1 authentication refers to the ability to verify that the unique ID number on any specific item is indeed an authentic code that was issued by an authentic code generator and code management system to a specific client. Level 2 authentication refers to the ability to verify that the item associated with the unique ID code is indeed an authentic item based on its associated history of production and handling events (its electronic pedigree).

Accountability

Not only is accountability a psychological contract between a worker and the company, but it is also an essential organisational design element between any employee and the company, from the very top to the lowest paid, in order to ensure trust, reliability and sustainability. For example, without accountability nobody can delegate tasks anywhere in the operational environment. The relevance and importance of accountability is therefore not limited to a specific area or group, but is a systemic characteristic of the organisation as a whole.

Accountability in item handling and item configuration management operations is recorded by linking a person’s biometric (alternatively a person ID or password) to a process or procedure, location or item. Using time and date stamping of such events, the supporting traceability system maintains a ‘chain of custody’ report to provide visibility on accountability per person and per item.

What defines traceability in a business operation?

In order for a traceability solution to be useful in a business operations environment, it needs to respond to the following requirements:

* Firstly, there should be clarity on the business process that needs to be supported, and business rules that govern the traceability process in a specific client environment. Some of these rules are based on industry best practice considerations. Others are based on the requirements of a specific client as well as the regulatory environment.

* Secondly, a reliable and sustainable unique item-level numbering format, a secure number management system, and an appropriate codification technology are required. Although the traceability information management system may accept a scan-and-reading from any codification technology (eg, barcode, RFID, electronic cards, etc.), barcodes are the most cost effective and will remain the industry workhorse in most applications and for quite some time to come. Item level identifier codes are provisioned through highly secure file-exchange procedures. These codes are provided from a central code generator and associated database, and become embedded in, for example, 2D barcode format onto labels and product items. The codes are supported by a secure code management system and, if properly controlled, could be guaranteed not to be duplicated. The same code management system can also serve as the comparator for authentication procedures.

* Thirdly, the unique item level ID needs to be linked to a specific product or asset item on the back-end traceability system. That means that all attributes of the item are linked to its unique ID or traceability code. That would include any serial numbers, batch numbers, best before dates, technical specifications, product descriptions, and other information that needs to be available when requested through an item scan. The traceability system should also allow associated documents to be linked to the item, such as lab test results, graphics, accreditation certificates, etc.

* Fourth, an item, through its unique item level ID number, also needs to be linked to the location in which it is being handled. For example, an item is normally registered on the production line by a traceability system and linked to a default location. During item handling operations, merchandise and asset items are handed over between people.

* An item needs to be linked to a responsible person at any point in time. This is an essential operational requirement and serves to record an accountability profile, or a chain of custody report, providing visibility on responsibility and delegation. In most cases in industry a biometric (fingerprint) scan is used as data capture input for a person. Barcodes on staff cards can also be used for this purpose.

* Lastly, the power of the traceability system is greatly enhanced by having a ‘Next Location’ mandatory label at each dispatch procedure. This way diversion of product or non-delivery is revealed when the product item(s) is not received at its designated next location within a reasonable expected time of arrival.

Electronic data capturing

The following guiding principles holds in item level traceability:

* Cannot manage what is not measured.

* Cannot measure what is not marked and recorded.

* Use electronic data capturing to ensure data integrity.

* The traceability database needs to reference physical item(s), people and location for each handling event.

Electronic data capturing in asset or item handling procedures involves a scan of a person, using a biometric (usually a fingerprint) or a staff card, and a barcode scan of the item level 2D barcode of the item(s) being handled. Location can also be indicated by means of a barcode and therefore scanned physically or automatically added together with the time and date stamping of the handling event. These scans are essential to maintain the chain of custody and the item movement audit trail respectively.

Central coordinating of traceability data

To a large extent the power of an item level traceability and authentication system lies in a centrally controlled database that supports the item handling events enterprise-wide, and also across the entire supply chain. In the latter case each role player organisation controls its own data and access to its own information.

The central database is structured to record and report information on a geographical (location) basis, a user basis, and an item basis. It provides a single point of visibility and control for operations across the enterprise. Shared information, residing securely in the database, should be accessible to all authorised parties in the supply chain, the regulatory environment, and other authorised stakeholders such as insurers, financiers, etc. No records are erased in order to maintain a complete traceability audit trail of items, people and item handling events for as long as regulations require or according to a client’s preference, whichever is the longest.

Maintaining parent-child relationships

Many asset items consist of an assembly of some sorts. For example, a security patrol car has associated with it a car key, a first aid kit, a spare wheel, a jack, a fire extinguisher, traffic cones, and so forth. These items form part of the configuration with the car as parent and the other items as children. By marking and scanning each of these items, the parent is linked to each child and defined as a configuration called ‘car’. At a scan of any member of this configuration, the traceability system will be able to tell what the rest of the configuration should look like, its identity and any associated information. This capability enables configuration management of assets such as the cooling and heating system of a building, squad cars and patrol vehicles, security guards and their carry-on equipment, and so forth.

Another example of parent-child relationships that is useful when made visible and traceable is that of the packing hierarchy.

Let us say 10 canisters are packed and sealed into a standard carton to constitute a standard stock-keeping unit. The carton itself contains its own unique item level identifier barcode. The traceability system links the carton ID to each of the canister IDs inside the carton. A scan of the carton’s ID will now reveal the identity of each canister inside the sealed carton. The same argument holds for packing 75 cartons onto a pallet, where the pallet has its own unique item level identifier barcode. A scan of the pallet will now reveal the identity of each carton on the pallet, and the identity of each canister in each carton. This entire configuration of identities now moves along with the pallet and enables item level visibility down to primary unit level from a single scan of the pallet ID.

The same logic holds for grouping items together when building a consignment for dispatch to a next location. By scanning each member of the grouping at highest level of packing, a consignment hierarchy is defined that can be linked to a single and unique consignment identifier barcode. Scanning the consignment code reveals the entire consignment down to primary unit level.

Such granularity of operations visibility is possible through the use of traceability architectures that cater for item level traceability.

Hennie Ras

Conclusion

Traceability and visibility of the item handling events hold the key to improved control, security and efficiency of organisational operations. The basis for the successful and sustainable planning and implementation of a traceability system lie in carefully planning and executing of the required governance framework (policy, process and procedure, business rules, roles and responsibilities, and underlying technology and infrastructure requirements), system and technology choices and implementation, training and skills transfer, conformance and efficiency audits, and ongoing improvement of operational visibility, for example by adding asset utilisation indices, capacity indices, and productivity indices all in real-time through a customised visibility dash board designed for each audience in the organisation’s operations hierarchy.

A well-executed enterprise-wide traceability strategy provides for competitive advantage through improved visibility, control and efficiency.

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