ISO/IEC 15944-9:2015
(Main)Information technology — Business operational view — Part 9: Business transaction traceability framework for commitment exchange
Information technology — Business operational view — Part 9: Business transaction traceability framework for commitment exchange
ISO/IEC 15944-9:2015 presents a framework consisting of several models, including a reference model, a model of concepts, a content model, an information model, as well as rules, templates and other technical specifications for traceability requirements based on internal or external constraints as applicable to a business transaction. The internal constraints are imposed in Open-edi due to mutual agreements among parties to a business transaction and the external constraints are invoked by the nature of a business transaction due to applicable laws, regulations, policies, etc. of jurisdictional domains which need to be considered in Open-edi business transactions. All requirements in ISO/IEC 15944-9:2015 originate from external constraints. However, parties to a business transaction may well by mutual agreement apply external constraints of this nature as internal constraints. The focus therefore of this traceability framework standard is on commitment exchange among autonomous parties to a business transaction. As such, this statement of scope includes the ability of the traceability framework to specify a group of structured and inter-related concepts pertaining to traceability as a legal or regulatory requirement in the Open-edi context, in addition to concepts that appear in other Parts of ISO/IEC 15944 these concepts having the characteristics of cultural adaptability through the use of multilingual terms and definitions; provide additional specifications for Open-edi scenarios and scenario components from the perspective of traceability as required by internal or external constraints in business transactions; provide a more detailed specification for business transactions regarding aspects of traceability, including refined models of Person, Data and Process in support of the ability for Open-edi to incorporate elements or characteristics of traceability in its information bundles (including their semantic components) and business processes; realize specifications and descriptions from the traceability requirements as rules and guidelines, to provide recommendations or guidance on Open-edi practices; and, provide revised primitive Open-edi scenario templates for traceability, integrating the modifications to the template from other existing Parts of ISO/IEC 15944. ISO/IEC 15944-9:2015 can be used by Open-edi implementers (including business modellers and system designers) and Open-edi standard developers in specifying Open-edi scenarios, developing Open-edi related standards, and implementing Open-edi rules and guidelines for Open-edi activities.
Technologies de l'information — Vue opérationnelle des affaires — Partie 9: Cadre de traçabilité des transactions d'affaires pour l'échange d'engagements
General Information
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Standards Content (Sample)
INTERNATIONAL ISO/IEC
STANDARD 15944-9
First edition
2015-10-01
Information technology — Business
Operational View —
Part 9:
Business transaction traceability
framework for commitment exchange
Technologies de l'information — Vue opérationnelle des affaires —
Partie 9: Cadre de traçabilité des transactions d'affaires pour l'échange
d'engagements
Reference number
ISO/IEC 15944-9:2015(E)
©
ISO/IEC 2015
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ISO/IEC 15944-9:2015(E)
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ISO/IEC 15944-9:2015(E)
Contents Page
0 Introduction . viii
0.1 Purpose and overview . viii
0.2 ISO/IEC 14662 “Open-edi Reference Model” . viii
0.3 Part 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 Scope . 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 Symbols 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 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 reference model . 31
6.1 Introduction . 31
6.2 Traceability data in business transaction . 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 schema . 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 Introduction . 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 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
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ISO/IEC 15944-9:2015(E)
7.5.1 Introduction .43
7.5.2 Traceability 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 collaboration 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 – 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 Organization 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 the 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) Introduction 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 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 identifiers” 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 traceability 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 traceability 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 China’s Defect Automobile Product Recall Regulation .82
G.2 A brief 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
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ISO/IEC 15944-9:2015(E)
List 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 — 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
Figure 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
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
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ISO/IEC 15944-9:2015(E)
Foreword
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 through 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 take 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 different 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 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/patents).
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 ISO's adherence to the World Trade 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 parts, 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: Identification 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 transactions
─ Part 9: Business transaction traceability framework for commitment exchange
─ Part 10: IT-enabled coded domains as semantic components in business transactions
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ISO/IEC 15944-9:2015(E)
The following parts are under preparation:
─ Part 11: 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
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ISO/IEC 15944-9:2015(E)
0 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 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 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 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).
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 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 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.
B
Open-edi Reference Model
U
S
Business
Operational View
I
Comply with
N
BOV RELATED
Business aspects
E Covered by
STANDARDS
of
S
business transactions
S
Viewed as
T
Inter-related
R
A
View
Functional Service
N
S
Information technology
Comply with
A
FSV RELATED
aspects of
C
Covered by STANDARDS
Business transactions
T
I
O
N
S
Figure 1 — Open-edi environment
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ISO/IEC 15944-9:2015(E)
ISO/IEC 14662, Clause 5 contains the following text:
“The intention is that the sending, by an Open-edi Party, of information from a scenario, conforming to Open-
edi standards, shall allow the acceptance and processing of that information in the context of that scenario by
one or more Open-edi Parties by reference to the scenario and without the need for agreement. However, the
legal requirements and/or liabilities resulting from the engagement of an organization in any Open-edi
transaction may be conditioned by the competent legal environment(s) of the formation of a legal interchange
agreement among the participating organizations. Open-edi Parties need to observe rule-based behaviour
and possess the ability to make commitments in Open-edi, (e.g., business, operational, technical, legal, and/or
audit perspectives)”.
In addition, Annex A of the ISO/IEC 14662 “Open-edi Reference Model” contains a Figure A.1 “Relationships
of Open-edi standardization areas with other standards and import of the legal environment”. This Part of
ISO/IEC 15944 is a BOV standard which focuses on the business operational view (including internal
constraints as well as external constraints) for the application of traceability from an Open-edi perspective,
and, as required, follow-up standards development in support of the “Open-edi Reference Model”.
The purpose of this Part of ISO/IEC 15944 includes identifying the means by which laws and regulations of a
jurisdictional domain impact scenarios and scenario components as external constraints and how they are
modelled and represented.
Finally it is noted that the approach taken in Part 1 of ISO/IEC 15944 in Clause 7 “Guidelines for scoping
Open-edi Scenarios” is, as stated in 7.1 of Part 1 of ISO/IEC 15944:
“The approach taken is that of identifying the most primitive common components of a business transaction
and then moving from the general to the more detailed, the simplest aspects to the more complex, from no
external constraints on a business transaction to those which incorporate external constraints, from no special
requirements on functional services to specific requirements, and so on”.
This Part of ISO/IEC 15944 standard focuses on addressing generally definable aspects of both internal
constraints relating to traceability which is mutually agreed to by parties to a business transaction, and
external constraints for which the source is a jurisdictional domain. A useful characteristic of external
constraints is that at the sector level, national and international levels, etc., focal points and recognized
authorities often already exist. The rules and common business practices in many sectorial areas are already
known. Use of ISO/IEC 15944 (and related standards) will facilitate the transformation of these external
1
constraints as business rules into specified, registered, and re-useable scenarios and scenario components.
0.3 Part 1 of ISO/IEC 15944 “Business Operational View (BOV) - Operational aspects of
Open-edi for implementation”
Part 1 of ISO/IEC 15944 identifies and enumerates the many requirements of the BOV aspects of Open-edi in
support of electronic business transactions. These requirements need to be taken into account in the
development of business semantic descriptive techniques for modelling e-business transactions and
components thereof as re-useable business objects. They include:
commercial frameworks and associated requirements;
legal frameworks and associated requirements;
public policy requirements, particularly those of a generic nature such as consumer protection, privacy,
and accommodation of handicapped/disabled;
requirements arising from the need to support cultural adaptability. This includes meeting localization
and multilingual requirements (e.g., as may be required by a particular jurisdictional domain or desired to
provide a good, service and/or right in a particular market).
1
See 0.5.
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ISO/IEC 15944-9:2015(E)
In specifying scenarios, scenario components, and their semantics in the context of making commitments,
one needs to distinguish between:
a) the use of unique, unambiguous and linguistically neutral identifiers (often as composite identifiers) at
the information technology (IT) interface lev
...
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