1、BSI Standards Publication BS ISO/IEC 15944-9:2015 Information technology Business Operational View Part 9: Business transaction traceability framework for commitment exchangeBS ISO/IEC 15944-9:2015 BRITISH STANDARD National foreword This British Standard is the UK implementation of ISO/IEC 15944-9:2
2、015. The UK participation in its preparation was entrusted to Technical Committee IST/40, Data management and interchange. A list of organizations represented on this committee can be obtained on request to its secretary. This publication does not purport to include all the necessary provisions of a
3、 contract. Users are responsible for its correct application. The British Standards Institution 2015. Published by BSI Standards Limited 2015 ISBN 978 0 580 86142 0 ICS 35.240.60 Compliance with a British Standard cannot confer immunity from legal obligations. This British Standard was published und
4、er the authority of the Standards Policy and Strategy Committee on 31 October 2015. Amendments/corrigenda issued since publication Date T e x t a f f e c t e dBS ISO/IEC 15944-9:2015Reference number ISO/IEC 15944-9:2015(E) ISO/IEC 2015INTERNATIONAL STANDARD ISO/IEC 15944-9 First edition 2015-10-01 I
5、nformation technology Business Operational View Part 9: Business transaction traceability framework for commitment exchange Technologies de linformation Vue oprationnelle des affaires Partie 9: Cadre de traabilit des transactions daffaires pour lchange dengagements BS ISO/IEC 15944-9:2015 ISO/IEC 15
6、944-9:2015(E) COPYRIGHT PROTECTED DOCUMENT ISO/IEC 2015 All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, witho
7、ut prior written permission. Permission can be requested from either ISO at the address below or ISOs member body in the country of the requester. ISO copyright office Ch. de Blandonnet 8 CP 401 CH-1214 Vernier, Geneva, Switzerland Tel. + 41 22 749 01 11 Fax + 41 22 749 09 47 copyrightiso.org www.is
8、o.org ii ISO/IEC 2015 All rights reservedBS ISO/IEC 15944-9:2015 ISO/IEC 15944-9:2015(E) ISO 2015 All rights reserved iii6.2 Traceability data in business transaction . 31 Contents Page 0 Introduction . viii 0.1 Purpose and overview . viii 0.2 ISO/IEC 14662 “Open-edi Reference Model” . viii 0.3 Part
9、 1 of ISO/IEC 15944 “Business Operational View (BOV) - Operational aspects of Open- edi for implementation” . ix 0.4 “Traceability” in the context of business transaction and commitment exchange xi 0.5 Representation of rules and guidelines xii 0.6 Organization and description of document . xiii 1 S
10、cope 1 1.1 Statement of scope . 1 1.2 Exclusions 1 1.2.1 Functional Services View (FSV) . 1 1.2.2 Internal behaviour of organizations (and public administration) . 2 1.2.3 Metrological traceability . 2 1.3 Aspects not currently addressed 2 2 Normative references 3 3 Terms and definitions . 4 4 Symbo
11、ls and abbreviations 26 5 Principles and assumptions . 27 5.1 Introduction 27 5.2 Important Open-edi characteristics that provide support for traceability . 27 5.3 Principles for traceability . 28 5.3.1 Introduction 28 5.3.2 Traceability principle 1: Unambiguous identification 28 5.3.3 Traceability
12、principle 2: Record-keeping 29 5.3.4 Traceability principle 3: Defined level of granularity . 30 5.3.5 Traceability principle 4: Ensuring traceability among parties 30 5.3.6 Traceability principle 5: Precision in temporal and/or location referencing . 30 5.4 Two types of tracking 30 6 Traceability r
13、eference model 31 6.1 Introduction 31 6.2.1 Predefined and structured traceability data . 31 6.2.2 Predefined contents of traceability data . 32 6.3 General content of traceability data 34 6.3.1 General rules for identification of BTEs 34 6.3.2 Integration and interoperability of identification sche
14、ma . 34 6.3.3 Identification and description of traceable commitments and non-traceable commitments. . 36 6.3.4 Rules governing unambiguous identification of Person in support of traceability requirements 37 6.3.5 Business event 38 7 Traceability requirements to business transaction . 40 7.1 Introdu
15、ction 40 7.2 General requirements . 40 7.2.1 Key components of a business transaction . 40 7.2.2 Commitment exchange . 40 7.3 Traceability requirements on Person 40 7.3.1 General requirements on Person . 40 7.3.2 Requirements on a regulator . 41 7.3.3 Requirements on a buyer . 41 7.3.4 Requirements
16、on Person as an individual Privacy protection and individual accessibility requirements . 41 7.4 Traceability requirements on process 42 7.5 Traceability requirements on data . 43 BS ISO/IEC 15944-9:2015 ISO/IEC 15944-9:2015(E) iv ISO 2015 All rights reserved7.5.1 Introduction 43 7.5.2 Traceability
17、data retention 43 7.5.3 State changes .43 7.5.4 Business transaction ID 43 7.5.5 Unambiguous traceability data 43 7.5.6 Traceability data sharing 44 7.5.7 Master data (in a business transaction) 44 8 Open-edi collaboration space and traceability .45 8.1 Introduction 45 8.2 Basic Open-edi collaborati
18、on space: an independent view of traceability .45 8.3 Collaboration space: The roles of buyer, seller and regulator .46 9 Traceability attributes for Open-edi scenario scoping 47 9.1 Introduction .47 9.2 Template structure and contents 47 9.3 Template for specifying the scope of an Open-edi scenario
19、 traceability requirements perspective .48 Annex A (Normative) List of terms and definitions with cultural adaptability of traceability: ISO English and ISO French language equivalency 54 A.1 Introduction 54 A.2 ISO English and ISO French .54 A.3 Cultural adaptability and quality control .54 A.4 Org
20、anization of Annex A Consolidated list in matrix form 55 A.5 Matrix of new definitions and terms introduced in Part 9 with cultural adaptability of ISO English and ISO French language equivalency 56 Annex B (Informative) Introduction to GS1 Glossary .61 B.1 Introduction 61 B.2 List of concepts in th
21、e glossary of GS1 global traceability standard 61 Annex C (Informative) Date/time referencing 67 C.1 Introduction Need for precise date/time referencing in support of traceability requirements 67 C.2 Extract from 6.6.4.5 “Date/time referencing” in Part 5 of ISO/IEC 15944 .67 Annex D (Informative) In
22、troduction to Annex D and Annex E in Part 5 of ISO/IEC 15944 regarding business location.71 D.1 Introduction 71 D.2 ISO 3166 in Annex D of Part 5 of ISO/IEC 15944 .71 D.3 Introduction to Annex E of Part 5 of ISO/IEC 15944 .72 Annex E (Informative) Samples of international standards or specifications
23、 in support of traceability requirements 75 E.1 Diverse samples of ISO, IEC, ITU standards that are used in support of traceability requirements 75 E.1.1 ISO 26324:2012 “Information and documentation - Digital object identifier system” .75 E.1.2 ISO/IEC 15459 “Information technology Unique identifie
24、rs” multipart standard .75 E.1.3 ITU-T X.660 Information technology Open Systems Interconnection Procedures for the operation of OSI Registration Authorities: General procedures and top arcs of the ASN.1 Object Identifier tree 76 E.2 Other international standard or specifications in support of trace
25、ability requirements .77 E.2.1 United Nations Central Product Classification (UN/CPC) 77 E.2.2 United Nations Standard Products and Services Code (UN/SPSC) .77 E.2.3 World Customs Organization Harmonized System (WCO/HS) .78 Annex F (Informative) Mapping of BTEs through their identifiers in a traceab
26、ility framework .79 F.1 Basic mapping .79 F.2 Chain of commitment exchange traceability mapping 80 Annex G (Informative) Introduction to sample regulations as the sources of requirements of traceability 82 G.1 An brief introduction to Chinas Defect Automobile Product Recall Regulation 82 G.2 A brief
27、 introduction to Regulation (EC) No 178/2002 of the European Parliament and of the Council .82 G.3 A brief introduction to section 519(e) of the US Federal Food, Drug, and Cosmetic Act (the Act), 21 USC 360i(e) .83 Bibliography 84 BS ISO/IEC 15944-9:2015 ISO/IEC 15944-9:2015(E) ISO 2015 All rights r
28、eserved vList of Figures Figure 1 Open-edi environment vii Figure 2 Integrated View Business Operational Requirements . x Figure 3 Model of traceability concepts 31 Figure 4 Focus of BOV Open-edi standardization work required by traceability predefined and structured traceability data . 32 Figure 5
29、Content model for traceability in a business transaction 33 Figure 6 The identification radar: What it covers. 35 Figure 7 Commitments including traceable and non-traceable commitments . 37 Figure 8 Information model of business event . 39 Figure 9 Different views of business collaboration . 47 Figu
30、re 10 Collaboration space with regulator as external constraints of traceability . 48 Figure F.1 Entity and entity Mapping . 83 Figure F.2 Chain of commitment exchange traceability mapping among entity identifiers 84 Figure F.3 Traceability route in a food business transaction with multi-parties 85
31、List of Tables Table 1 Attributes for scenario scoping . 50 Table A.1 Columns in Table A.2 58 Table A.2 List of traceability terms and definitions with cultural adaptability of: ISO English and ISO French language equivalency 59 BS ISO/IEC 15944-9:2015 ISO/IEC 15944-9:2015(E) vi ISO 2015 All rights
32、reservedForeword ISO (the International Organization for Standardization) and IEC (the International Electrotechnical Commission) form the specialized system for worldwide standardization. National bodies that are members of ISO or IEC participate in the development of International Standards throug
33、h technical committees established by the respective organization to deal with particular fields of technical activity. ISO and IEC technical committees collaborate in fields of mutual interest. Other international organizations, governmental and non-governmental, in liaison with ISO and IEC, also t
34、ake part in the work. In the field of information technology, ISO and IEC have established a joint technical committee, ISO/IEC JTC 1. The procedures used to develop this document and those intended for its further maintenance are described in the ISO/IEC Directives, Part 1. In particular the differ
35、ent approval criteria needed for the different types of document should be noted. This document was drafted in accordance with the editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives ). Attention is drawn to the possibility that some of the elements of this document may be
36、the subject of patent rights. ISO and IEC shall not be held responsible for identifying any or all such patent rights. Details of any patent rights identified during the development of the document will be in the Introduction and/or on the ISO list of patent declarations received (see www.iso.org/pa
37、tents ). Any trade name used in this document is information given for the convenience of users and does not constitute an endorsement. For an explanation on the meaning of ISO specific terms and expressions related to conformity assessment, as well as information about ISOs adherence to the World T
38、rade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see the following URL : www.iso.org/iso/foreword.html . The committee responsible for this document is ISO/IEC JTC 1, Information technology, SC 32, Data management and interchange. ISO/IEC 15944 consists of the following pa
39、rts, under the general title Information technology Business Operational View: Part 1: Operational aspects of Open-edi for implementation Part 2: Registration of scenarios and their components as business objects Part 4: Business transaction scenarios Accounting and economic ontology Part 5: Identif
40、ication and referencing of requirements of jurisdictional domains as sources of external constraints Part 6: Technical Introduction of e-Business Modelling Technical Report Part 7: eBusiness vocabulary. Part 8: Identification of privacy protection requirements as external constraints on business tra
41、nsactions Part 9: Business transaction traceability framework for commitment exchange Part 10: IT-enabled coded domains as semantic components in business transactions BS ISO/IEC 15944-9:2015 ISO/IEC 15944-9:2015(E) ISO 2015 All rights reserved viiThe following parts are under preparation: Part 11:
42、Descriptive Techniques for Foundational Modelling in Open-edi Part 12: Privacy protection requirements on information life cycle management (ILCM) in EDI Part 20: Linking business operational view to functional service view BS ISO/IEC 15944-9:2015 ISO/IEC 15944-9:2015(E) viii ISO 2015 All rights res
43、erved0 Introduction 0.1 Purpose and overview Modelling of a business transaction through scenarios and scenario components is done through specifying the applicable constraints using explicitly stated rules. The Open-edi Reference Model identified two basic classes of constraints, namely, “internal
44、constraints” and “external constraints”. External constraints apply to most business transactions. Jurisdictional domains are the primary source of external constraints on a business transaction. Traceability requirements in turn are a common requirement of most jurisdictional domains, although they
45、 may result from explicit scenario demands from or on the parties to a business transaction, as well as the goal, i.e., nature of the business transaction. In the actualization and post-actualization phases of a business transaction, traceability is needed for the movement of goods, services and/or
46、rights from seller to buyer, and for the associated payment from buyer to seller. Depending on the nature of the business transaction, traceability may also be required by and involve an agent, a third party and/or a regulator (This may be a mandatory process invoked by the power of the regulator).
47、This Business Operational View (BOV) standard, i.e., this Part of ISO/IEC 15944, addresses the specific aspects of business semantic descriptive techniques needed in support of traceability requirements in Open- edi modelling of business transactions that support of internal constraints as well and
48、especially those which are subject to external constraints. 0.2 ISO/IEC 14662 “Open-edi Reference Model” The ISO/IEC 14662 Information technology - Open-edi Reference Model provides the conceptual architecture necessary for carrying out electronic business transactions among autonomous parties. That
49、 architecture identifies and describes the need to have two separate and related views of the business transaction. The first is the Business Operational View (BOV). The second is the Functional Service View (FSV). Figure 1 from ISO/IEC 14662 illustrates the Open-edi environment. Open-edi Reference Model Business Operational View Business aspects business transactions Information technology aspects of Business transactions Functional Service View B U S I N
