Information technology — Business operational view — Part 9: Business transaction traceability framework for commitment exchange

This document: — specifies 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 series these concepts having the characteristics of cultural adaptability through the use of multilingual terms and definitions; — provides additional specifications for Open-edi scenarios and scenario components from the perspective of traceability as required by internal or external constraints in business transactions; — provides 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; — realizes specifications and descriptions from the traceability requirements as rules and guidelines, to provide recommendations or guidance on Open-edi practices; and, — provides revised primitive Open-edi scenario templates for traceability, integrating the modifications to the template from other existing parts of ISO/IEC 15944 series. This document 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. This document does not specify the FSV aspects of traceability, internal behaviour requirements of an organization, or traceability as a metrological concept. Detailed exclusions to the scope of this document are provided in Annex H.

Technologies de l'information — Vue opérationnelle des affaires — Partie 9: Cadre de traçabilité des transactions d'affaires pour l'échange d'engagements

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Status
Published
Publication Date
05-Jun-2023
Current Stage
6060 - International Standard published
Start Date
06-Jun-2023
Due Date
30-Apr-2022
Completion Date
06-Jun-2023
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INTERNATIONAL ISO/IEC
STANDARD 15944-9
Second edition
2023-06
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 15944-9:2023(E)
© ISO/IEC 2023

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ISO/IEC 15944-9:2023(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2023
All rights reserved. Unless otherwise specified, or required in the context of its implementation, 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, without prior written permission. Permission can be requested from either ISO at the address below
or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii
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ISO/IEC 15944-9:2023(E)
Contents Page
Foreword .vii
Introduction .viii
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 2
4 Abbreviated terms .18
5 Principles and assumptions .18
5.1 Overview . 18
5.2 Important Open-edi characteristics that provide support for traceability . 19
5.3 Principles for traceability .20
5.3.1 Overview of the principles. 20
5.3.2 Traceability principle 1: Unambiguous identification .20
5.3.3 Traceability principle 2: Record-keeping . 20
5.3.4 Traceability principle 3: Defined level of granularity . 21
5.3.5 Traceability principle 4: Ensuring traceability among parties . 21
5.3.6 Traceability principle 5: Precision in temporal and/or location referencing . 21
5.4 Two types of tracking . 22
6 Traceability reference model .22
6.1 General model . . .22
6.2 Traceability data in business transaction . 23
6.2.1 Predefined and structured traceability data . 23
6.2.2 Predefined contents of traceability data . 23
6.3 General content of traceability data . 25
6.3.1 General rules for identification of BTEs . 25
6.3.2 Integration and interoperability of identification schema .26
6.3.3 Identification and description of traceable commitments and non-traceable
commitments. .28
6.3.4 Rules governing unambiguous identification of Person in support of
traceability requirements .29
6.3.5 Business event .29
7 Traceability requirements to business transaction components .31
7.1 Overview . 31
7.2 General requirements . 31
7.2.1 Key components of a business transaction . 31
7.2.2 Commitment exchange . 31
7.3 Traceability requirements on Person . 31
7.3.1 General requirements on Person . 31
7.3.2 Requirements on a regulator . 32
7.3.3 Requirements on a buyer . 32
7.3.4 Requirements on Person as an individual — Privacy protection and
individual accessibility requirements . 32
7.4 Traceability requirements on process . 33
7.5 Traceability requirements on data .34
7.5.1 Overview .34
7.5.2 Traceability data retention .34
7.5.3 State changes .34
7.5.4 Business transaction ID .34
7.5.5 Unambiguous traceability data .34
7.5.6 Traceability data sharing . 35
7.5.7 Master data (in a business transaction) . 35
8 Open-edi collaboration space and traceability .35
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ISO/IEC 15944-9:2023(E)
8.1 Overview . 35
8.2 Basic Open-edi collaboration space: Independent view of traceability .36
8.3 Collaboration space: Roles of buyer, seller and regulator .36
9 Traceability attributes for Open-edi scenario .37
9.1 Overview . 37
9.2 Template structure and contents . 37
9.3 Template for specifying the scope of an Open-edi scenario — Traceability
requirements perspective . 37
Annex A (normative) Consolidated controlled vocabulary definitions and associated terms,
as human interface equivalents (HIEs), English and French language equivalency
in the IT standardization context .42
Annex B (informative) Introduction to GS1 Glossary .45
Annex C (informative) Date/time referencing .49
Annex D (informative) Introduction to ISO/IEC 15944-5:2008, Annex D and Annex E
regarding business location .50
Annex E (informative) Samples of international standards or specifications in support of
traceability requirements .51
Annex F (informative) Mapping of BTEs through their identifiers in a traceability
framework .52
Annex G (Informative) Introduction to sample regulations as the sources of requirements
of traceability .55
Annex H (Informative) Exclusions and aspects not currently addressed to the scope .57
Bibliography .59
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ISO/IEC 15944-9:2023(E)
List of Figures
Figure 1 — Open-edi environment .ix
Figure 2 — Integrated view — Business Operational Requirements .xi
Figure 3 — Model of traceability concepts .22
Figure 4 — Focus of BOV Open-edi standardization work required by traceability —
Predefined and structured traceability data .23
Figure 5 — Content model for traceability in a business transaction .24
Figure 6 — Identification radar: What it covers .26
Figure 7 — Commitments including traceable and non-traceable commitments .28
Figure 8 — Information model of business event .30
Figure 9 — Collaboration space with regulator as external constraints of traceability .36
Figure F.1 — Entity and entity Mapping .52
Figure F.2 — Chain of commitment exchange traceability mapping among entity identifiers .53
Figure F.3 — Traceability route in a food business transaction with multi-parties .54
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ISO/IEC 15944-9:2023(E)
List of Tables
Table 1 — Attributes for scenario scoping .37
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ISO/IEC 15944-9:2023(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.
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 or
www.iec.ch/members_experts/refdocs).
ISO and IEC draw attention to the possibility that the implementation of this document may involve the
use of (a) patent(s). ISO and IEC take no position concerning the evidence, validity or applicability of
any claimed patent rights in respect thereof. As of the date of publication of this document, ISO and IEC
had not received notice of (a) patent(s) which may be required to implement this document. However,
implementers are cautioned that this may not represent the latest information, which may be obtained
from the patent database available at www.iso.org/patents and https://patents.iec.ch. ISO and IEC shall
not be held responsible for identifying any or all such patent rights.
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation of the voluntary nature of standards, 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
www.iso.org/iso/foreword.html. In the IEC, see www.iec.ch/understanding-standards.
This document was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology,
Subcommittee SC 32, Data management and interchange.
This second edition cancels and replaced the first edition (ISO/IEC 15944-9:2015), which has been
technically revised.
The main changes are as follows:
— Clause 1 (Scope) has been amended to move the detailed description of "Exclusions" and "Aspects
not currently addressed" to a separate informative annex;
— entries in Clause 2 and Clause 3 have been removed to be more conformant to ISO Directives;
— definitions in Clause 3 have been updated to be aligned with other referenced source definitions;
— clauses and annexes have been aligned to changes in ISO/IEC JTC1 Directives, Part 2;
— there are minor edits of a temporal nature with respect to dated references, changes in URLs
referenced, minor edits, change of font to Cambria, as well as application of the new “ISO House
Style”, etc.
A list of all parts in the ISO/IEC 15944 series can be found on the ISO and IEC websites.
Any feedback or questions on this document should be directed to the user’s national standards
body. A complete listing of these bodies can be found at www.iso.org/members.html and
www.iec.ch/national-committees.
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ISO/IEC 15944-9:2023(E)
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. 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 this document originate from external constraints. However, parties to a business transaction may
well by mutual agreement apply external constraints of this nature as internal constraints.
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. The focus therefore of this traceability framework standard is on commitment
exchange among autonomous parties to a business transaction.
This document 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.
0.2  ISO/IEC 14662 “Open-edi Reference Model”
1)
ISO/IEC 14662 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). ISO/IEC 14662:2010, Figure 1 illustrates the
Open-edi environment.
rd
1) ISO/IEC 14662(E/F) is an English/French, side-by-side, International Standard. Its 2010 3 edition has become
a stabilized standard and is now also an ISO/IEC declared “horizontal” standard, i.e., one serving as a base standard for
those developing standards in the various fields of EDI, including eBusiness. The stabilized status of ISO/IEC 14662
st
was re-affirmed for another 10 years by ISO/IEC JTC1 in 2021. ISO/IEC 14662 has since its 1997 1 edition been an
ISO/SO freely available standard. [See further https://standards.iso.org/ittf/PubliclyAvailableStandards/index.html
]
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ISO/IEC 15944-9:2023(E)
Figure 1 — Open-edi environment
According to ISO/IEC 14662:2010, Clause 5:
“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)”.
See also ISO/IEC 14662:2010, Figure A.1.
This document 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 document 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 ISO/IEC 15944-1:2023, Clause 7 is, as stated in
ISO/IEC 15944-1:2023, 7.1:
“. 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 document 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 series (and related standards) will facilitate the transformation of these external
constraints as business rules (see 0.5) into specified, registered, and re-useable scenarios and scenario
components.
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ISO/IEC 15944-9:2023(E)
0.3  ISO/IEC 15944-1: Business Operational View (BOV) — Operational aspects of Open-edi for
implementation
ISO/IEC 15944-1 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:
a) commercial frameworks and associated requirements;
b) legal frameworks and associated requirements;
c) public policy requirements, particularly those of a generic nature such as consumer protection,
privacy, and accommodation of handicapped/disabled;
d) 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).
e) in specifying scenarios, scenario components, and their semantics in the context of making
commitments, one needs to distinguish between:
1) the use of unique, unambiguous and linguistically neutral identifiers (often as composite
identifiers) at the information technology (IT) interface level among the IT systems of
participating parties on the one hand; and, on the other,
2) their multiple human interface equivalent (HIE) expressions in a presentation form
appropriate to the Persons involved in the making of the resulting commitments. (See
ISO/IEC 15944-10:2023, 5.4). It is the intention of this document that the modelling of scenario
and its components about traceability takes this approach.
Figure 2 provides an integrated view of these business operational requirements. Figure 2 is based on
ISO/IEC 15944-1:2023, Figure 3. The focus of this document is that of internal and external constraints,
2)
and those constraints about traceability may be either from legal requirements , commercial
3) 4)
requirements , or public policy requirements , which are the shaded “clouds” in Figure 2, while other
sources for external constraints than traceability is represented in Figure 2 as “clouds” not shaded.
2) One example of the legal traceability requirement can be the EU EC N78/2002, which is obligatory and contains
traceability requirement for the purpose of food safety.
3) The commercial framework is mostly “for profit” activities among private companies and individuals, where
features of traceability in a product may be required by or provide added benefit to the customer.
4) One example of the traceability public policy requirement can be “The 12th Five Year Plan on National Food
Safety Supervision System” issued by state council of China.
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ISO/IEC 15944-9:2023(E)
Figure 2 — Integrated view — Business Operational Requirements
0.4  “Traceability” in the context of business transaction and commitment exchange
Traceability in a business transaction originates from the (common) legal practices in jurisdictional
domains that require the identification and verification of any non-conformance with applicable legal/
regulatory requirements pertaining to the goal of the business transaction including the ability to
withdraw and/or recall products, services and/or rights. The requirements for traceability in a business
transaction to support constraints (internal and external) include the need:
a) to fulfil any local, regional national or international regulations or policies, as applicable;
b) to meet the requirement of reporting by the seller to the regulator;
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ISO/IEC 15944-9:2023(E)
c) to meet the labelling requirements of applicable regulators;
d) to support safety and/or quality objectives;
e) to determine the history or origin of the products;
f) to facilitate the withdrawal and/or recall of products;
g) to identify the responsible organizations in case of emergency;
h) to facilitate the verification of specific information about the product;
i) to meet consumer specification(s);
j) to meeting post-actualization requirements such as refund policy, product recall, warranty issue,
etc.
k) to meet the requirements of mutual agreement among parties to a business transaction;
l) to communica
...

INTERNATIONAL ISO/IEC

STANDARD 15944-9


Second edition

2022-12-05







Information technology — Business

Operational View —

Part 9:

Business transaction traceability framework for

commitment exchange

Technologie de l'information — Vue opérationnelle des affaires —

Partie 9 : Cadre de traçabilité des transactions d'affaires pour
l'échange d'engagements

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ISO/IEC 15944-9

COPYRIGHT PROTECTED DOCUMENT


©  ISO/IEC FDIS 15944-9:2023(E)
Second edition
ISO/IEC 2013JTC 1/SC 32
Date: 2023-02-22
Secretariat: ANSI
Information technology — Business Operational View —
Part 9:
Business transaction traceability framework for commitment exchange
Technologie de l'information — Vue opérationnelle des affaires —
Partie 9 : Cadre de traçabilité des transactions d'affaires pour l'échange d'engagements
ii © ISO 2022 – All rights reserved

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© ISO 2022 – All rights reserved
© ISO/IEC 2023
All rights reserved. Unless otherwise specified, or required in the context of its implementation, 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, without prior written
permission. Permission can be requested from either ISO at the address below or ISO’sISO's member
body in the country of the requester.
ISO Copyright Office
Case postale 56CP 401 • CH 1211-1214 Vernier, Geneva 20
Tel +Phone: + 41 22 749 01 11
Fax +41 22 749 09 47
E-mail copyright@iso.org
Web www.iso.org
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland.

Reference number

ISO/IEC 15944-9:2022(E)

©
 ISO/IEC 2022

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ISO/IEC FDIS 15944-9:2023(E)
Copyright notice
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ISO/IEC FDIS 15944-9:2023(E)
Contents Page
Introduction . vii
0.1 Purpose and overview . vii
0.2 ISO/IEC 14662 “Open-edi Reference Model” . vii
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 . xi
0.6 Organization and description of document . xii
1 Scope . 1
2 Normative references . 2
3 Terms and definitions . 3
4 Symbols and abbreviations . 22
5 Principles and assumptions . 23
5.1 Overview . 23
5.2 Important Open-edi characteristics that provide support for traceability . 23
5.3 Principles for traceability . 24
5.3.1 Overview of the principles . 24
5.3.2 Traceability principle 1: Unambiguous identification . 24
5.3.3 Traceability principle 2: Record-keeping . 25
5.3.4 Traceability principle 3: Defined level of granularity . 25
5.3.5 Traceability principle 4: Ensuring traceability among parties . 26
5.3.6 Traceability principle 5: Precision in temporal and/or location referencing . 26
5.4 Two types of tracking . 26
6 Traceability reference model . 27
6.1 General model . 27
6.2 Traceability data in business transaction . 27
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ISO/IEC FDIS 15944-9:2023(E)
6.2.1 Predefined and structured traceability data . 27
6.2.2 Predefined contents of traceability data . 28
6.3 General content of traceability data . 30
6.3.1 General rules for identification of BTEs . 30
6.3.2 Integration and interoperability of identification schema . 31
6.3.3 Identification and description of traceable commitments and non-traceable
commitments. . 33
6.3.4 Rules governing unambiguous identification of Person in support of traceability
requirements . 34
6.3.5 Business event . 34
7 Traceability requirements to business transaction components . 36
7.1 Overview . 36
7.2 General requirements . 36
7.2.1 Key components of a business transaction . 36
7.2.2 Commitment exchange . 36
7.3 Traceability requirements on Person . 36
7.3.1 General requirements on Person . 36
7.3.2 Requirements on a regulator . 37
7.3.3 Requirements on a buyer . 37
7.3.4 Requirements on Person as an individual – Privacy protection and individual
accessibility requirements . 37
7.4 Traceability requirements on process . 38
7.5 Traceability requirements on data . 39
7.5.1 Overview . 39
7.5.2 Traceability data retention . 39
7.5.3 State changes . 39
7.5.4 Business transaction ID . 39
7.5.5 Unambiguous traceability data . 40
7.5.6 Traceability data sharing . 40
7.5.7 Master data (in a business transaction) . 41
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ISO/IEC FDIS 15944-9:2023(E)
8 Open-edi collaboration space and traceability . 41
8.1 Overview . 41
8.2 Basic Open-edi collaboration space: an independent view of traceability . 41
8.3 Collaboration space: The roles of buyer, seller and regulator . 42
9 Traceability attributes for Open-edi scenario . 43
9.1 Overview . 43
9.2 Template structure and contents . 43
9.3 Template for specifying the scope of an Open-edi scenario – traceability
requirements perspective . 43
Annex A (Normative) Consolidated controlled vocabulary definitions and associated terms,
as human interface equivalents (HIEs), English and French language equivalency in
the IT standardization context . 50
Annex B (Informative) Introduction to GS1 Glossary . 54
Annex C (Informative) Date/time referencing . 60
Annex D (Informative) Introduction to Annex D and Annex E in ISO/IEC 15944-5:2008
regarding business location . 61
Annex E (Informative) Samples of international standards or specifications in support of
traceability requirements . 62
Annex F (Informative) Mapping of BTEs through their identifiers in a traceability
framework . 66
Annex G (Informative) Introduction to sample regulations as the sources of requirements of
traceability . 69
Annex H (Informative) Exclusions and aspects not currently addressed to the scope . 71
Bibliography . 73
Introduction . vii
0.1 Purpose and overview . vii
0.2 ISO/IEC 14662 “Open-edi Reference Model” . vii
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 . xi
0.6 Organization and description of document . xii
1 Scope . 1
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ISO/IEC FDIS 15944-9:2023(E)
2 Normative references . 2
3 Terms and definitions . 3
4 Symbols and abbreviations . 22
5 Principles and assumptions . 23
5.1 Overview . 23
5.2 Important Open-edi characteristics that provide support for traceability . 23
5.3 Principles for traceability . 24
5.3.1 Overview of the principles . 24
5.3.2 Traceability principle 1: Unambiguous identification . 24
5.3.3 Traceability principle 2: Record-keeping . 25
5.3.4 Traceability principle 3: Defined level of granularity . 25
5.3.5 Traceability principle 4: Ensuring traceability among parties . 26
5.3.6 Traceability principle 5: Precision in temporal and/or location referencing . 26
5.4 Two types of tracking . 26
6 Traceability reference model . 27
6.1 General model . 27
6.2 Traceability data in business transaction . 27
6.2.1 Predefined and structured traceability data . 27
6.2.2 Predefined contents of traceability data . 28
6.3 General content of traceability data . 30
6.3.1 General rules for identification of BTEs . 30
6.3.2 Integration and interoperability of identification schema . 31
6.3.3 Identification and description of traceable commitments and non-traceable commitments. . 33
6.3.4 Rules governing unambiguous identification of Person in support of traceability
requirements . 34
6.3.5 Business event . 34
7 Traceability requirements to business transaction components . 36
7.1 Overview . 36
7.2 General requirements . 36
7.2.1 Key components of a business transaction . 36
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ISO/IEC FDIS 15944-9:2023(E)
7.2.2 Commitment exchange . 36
7.3 Traceability requirements on Person . 36
7.3.1 General requirements on Person . 36
7.3.2 Requirements on a regulator . 37
7.3.3 Requirements on a buyer . 37
7.3.4 Requirements on Person as an individual – Privacy protection and individual accessibility
requirements . 37
7.4 Traceability requirements on process . 38
7.5 Traceability requirements on data . 39
7.5.1 Overview . 39
7.5.2 Traceability data retention . 39
7.5.3 State changes . 39
7.5.4 Business transaction ID . 39
7.5.5 Unambiguous traceability data . 40
7.5.6 Traceability data sharing . 40
7.5.7 Master data (in a business transaction) . 41
8 Open-edi collaboration space and traceability . 41
8.1 Overview . 41
8.2 Basic Open-edi collaboration space: an independent view of traceability . 41
8.3 Collaboration space: The roles of buyer, seller and regulator . 42
9 Traceability attributes for Open-edi scenario . 43
Overview . 43
Template structure and contents . 43
9.3 Template for specifying the scope of an Open-edi scenario – traceability requirements
perspective . 43
Annex A (Normative) Consolidated controlled vocabulary definitions and associated terms, as
human interface equivalents (HIEs), English and French language equivalency in the IT
standardization context . 50
Annex B (Informative) Introduction to GS1 Glossary . 54
Annex C (Informative) Date/time referencing. 60
Annex D (Informative) Introduction to Annex D and Annex E in ISO/IEC 15944-5:2008 regarding
business location . 61
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ISO/IEC FDIS 15944-9:2023(E)
Annex E (Informative) Samples of international standards or specifications in support of traceability
requirements . 62
Annex F (Informative) Mapping of BTEs through their identifiers in a traceability framework . 66
Annex G (Informative) Introduction to sample regulations as the sources of requirements of
traceability . 69
Annex H (Informative) Exclusions and aspects not currently addressed to the scope . 71
Bibliography . 73
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ISO/IEC FDIS 15944-9:2023(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.
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 www.iso.org/directives or
www.iec.ch/members_experts/refdocs).
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/patentswww.iso.org/patents) or the IEC list of patent declarations received (see
http://patents.iec.chhttps://patents.iec.ch).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation of the voluntary nature of standards, 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 www.iso.org/iso/foreword.html. www.iso.org/iso/foreword.html. In the IEC, see
www.iec.ch/understanding-standards.
The committee responsible for thisThis document was prepared by Joint Technical Committee ISO/IEC
JTC 1, Information technology, Subcommittee SC 32, Data management and interchange.
This second edition cancels and replaced the first edition (ISO/IEC 15944-9:2015), of which has been
technically revised.
The main changes to normative text compared to the previous editions are as follows:
-— Clause 1 (Scope) has been amended to move the detailed description of "Exclusions" and "Aspects
not currently addressed" to a separate informative annex;
- Entries— entries in Clause 2 and Clause 3 have been removed to be more conformant to ISO
Directives;
- Definitions— definitions in Clause 3 have been updated to be aligned with other referenced
sour
...

FINAL
INTERNATIONAL ISO/IEC
DRAFT
STANDARD FDIS
15944-9
ISO/IEC JTC 1/SC 32
Information technology — Business
Secretariat: ANSI
operational view —
Voting begins on:
2023-03-10
Part 9:
Voting terminates on:
Business transaction traceability
2023-05-05
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
RECIPIENTS OF THIS DRAFT ARE INVITED TO
SUBMIT, WITH THEIR COMMENTS, NOTIFICATION
OF ANY RELEVANT PATENT RIGHTS OF WHICH
THEY ARE AWARE AND TO PROVIDE SUPPOR TING
DOCUMENTATION.
IN ADDITION TO THEIR EVALUATION AS
Reference number
BEING ACCEPTABLE FOR INDUSTRIAL, TECHNO-
ISO/IEC FDIS 15944-9:2023(E)
LOGICAL, COMMERCIAL AND USER PURPOSES,
DRAFT INTERNATIONAL STANDARDS MAY ON
OCCASION HAVE TO BE CONSIDERED IN THE
LIGHT OF THEIR POTENTIAL TO BECOME STAN-
DARDS TO WHICH REFERENCE MAY BE MADE IN
NATIONAL REGULATIONS. © ISO/IEC 2023

---------------------- Page: 1 ----------------------
ISO/IEC FDIS 15944-9:2023(E)
FINAL
INTERNATIONAL ISO/IEC
DRAFT
STANDARD FDIS
15944-9
ISO/IEC JTC 1/SC 32
Information technology — Business
Secretariat: ANSI
operational view —
Voting begins on:
2023-03-10
Part 9:
Voting terminates on:
Business transaction traceability
2023-05-05
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
COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2023
All rights reserved. Unless otherwise specified, or required in the context of its implementation, 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, without prior written permission. Permission can be requested from either ISO at the address below
or ISO’s member body in the country of the requester.
RECIPIENTS OF THIS DRAFT ARE INVITED TO
ISO copyright office
SUBMIT, WITH THEIR COMMENTS, NOTIFICATION
OF ANY RELEVANT PATENT RIGHTS OF WHICH
CP 401 • Ch. de Blandonnet 8
THEY ARE AWARE AND TO PROVIDE SUPPOR TING
CH-1214 Vernier, Geneva
DOCUMENTATION.
Phone: +41 22 749 01 11
IN ADDITION TO THEIR EVALUATION AS
Reference number
Email: copyright@iso.org
BEING ACCEPTABLE FOR INDUSTRIAL, TECHNO-
ISO/IEC FDIS 15944-9:2022(E)
Website: www.iso.org
LOGICAL, COMMERCIAL AND USER PURPOSES,
DRAFT INTERNATIONAL STANDARDS MAY ON
Published in Switzerland
OCCASION HAVE TO BE CONSIDERED IN THE
LIGHT OF THEIR POTENTIAL TO BECOME STAN-
DARDS TO WHICH REFERENCE MAY BE MADE IN
ii
  © ISO/IEC 2023 – All rights reserved
NATIONAL REGULATIONS. © ISO/IEC 2022

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ISO/IEC FDIS 15944-9:2022(E)
Contents Page
Foreword .v
Introduction . vi
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 2
4 Abbreviated terms .18
5 Principles and assumptions .18
5.1 Overview . 18
5.2 Important Open-edi characteristics that provide support for traceability . 19
5.3 Principles for traceability .20
5.3.1 Overview of the principles. 20
5.3.2 Traceability principle 1: Unambiguous identification .20
5.3.3 Traceability principle 2: Record-keeping . 20
5.3.4 Traceability principle 3: Defined level of granularity . 21
5.3.5 Traceability principle 4: Ensuring traceability among parties . 21
5.3.6 Traceability principle 5: Precision in temporal and/or location referencing . 21
5.4 Two types of tracking . 22
6 Traceability reference model .22
6.1 General model . . .22
6.2 Traceability data in business transaction . 23
6.2.1 Predefined and structured traceability data . 23
6.2.2 Predefined contents of traceability data . 23
6.3 General content of traceability data . 25
6.3.1 General rules for identification of BTEs . 25
6.3.2 Integration and interoperability of identification schema .26
6.3.3 Identification and description of traceable commitments and non-traceable
commitments. .28
6.3.4 Rules governing unambiguous identification of Person in support of
traceability requirements .29
6.3.5 Business event .29
7 Traceability requirements to business transaction components .31
7.1 Overview . 31
7.2 General requirements . 31
7.2.1 Key components of a business transaction . 31
7.2.2 Commitment exchange . 31
7.3 Traceability requirements on Person . 31
7.3.1 General requirements on Person . 31
7.3.2 Requirements on a regulator . 32
7.3.3 Requirements on a buyer . 32
7.3.4 Requirements on Person as an individual — Privacy protection and
individual accessibility requirements . 32
7.4 Traceability requirements on process . 33
7.5 Traceability requirements on data .34
7.5.1 Overview .34
7.5.2 Traceability data retention .34
7.5.3 State changes .34
7.5.4 Business transaction ID .34
7.5.5 Unambiguous traceability data .34
7.5.6 Traceability data sharing . 35
7.5.7 Master data (in a business transaction) . 35
8 Open-edi collaboration space and traceability .35
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ISO/IEC FDIS 15944-9:2022(E)
8.1 Overview . 35
8.2 Basic Open-edi collaboration space: Independent view of traceability .36
8.3 Collaboration space: Roles of buyer, seller and regulator .36
9 Traceability attributes for Open-edi scenario .37
9.1 Overview . 37
9.2 Template structure and contents . 37
9.3 Template for specifying the scope of an Open-edi scenario — Traceability
requirements perspective .38
Annex A (normative) Consolidated controlled vocabulary definitions and associated terms,
as human interface equivalents (HIEs), English and French language equivalency
in the IT standardization context .46
Annex B (informative) Introduction to GS1 Glossary .49
Annex C (informative) Date/time referencing .53
Annex D (informative) Introduction to ISO/IEC 15944-5:2008, Annex D and Annex E
regarding business location .54
Annex E (informative) Samples of international standards or specifications in support of
traceability requirements .55
Annex F (informative) Mapping of BTEs through their identifiers in a traceability
framework .56
Annex G (Informative) Introduction to sample regulations as the sources of requirements
of traceability .59
Annex H (Informative) Exclusions and aspects not currently addressed to the scope .61
Bibliography .63
iv
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ISO/IEC FDIS 15944-9:2022(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.
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 or
www.iec.ch/members_experts/refdocs).
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) or the IEC
list of patent declarations received (see https://patents.iec.ch).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation of the voluntary nature of standards, 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
www.iso.org/iso/foreword.html. In the IEC, see www.iec.ch/understanding-standards.
This document was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology,
Subcommittee SC 32, Data management and interchange.
This second edition cancels and replaced the first edition (ISO/IEC 15944-9:2015), which has been
technically revised.
The main changes are as follows:
— Clause 1 (Scope) has been amended to move the detailed description of "Exclusions" and "Aspects
not currently addressed" to a separate informative annex;
— entries in Clause 2 and Clause 3 have been removed to be more conformant to ISO Directives;
— definitions in Clause 3 have been updated to be aligned with other referenced source definitions;
— clauses and annexes have been aligned to changes in ISO/IEC JTC1 Directives, Part 2;
— there are minor edits of a temporal nature with respect to dated references, changes in URLs
referenced, minor edits, change of font to Cambria, as well as application of the new “ISO House
Style”, etc.
A list of all parts in the ISO/IEC 15944 series can be found on the ISO and IEC websites.
Any feedback or questions on this document should be directed to the user’s national standards
body. A complete listing of these bodies can be found at www.iso.org/members.html and
www.iec.ch/national-committees.
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ISO/IEC FDIS 15944-9:2022(E)
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. 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 this document originate from external constraints. However, parties to a business transaction may
well by mutual agreement apply external constraints of this nature as internal constraints.
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. The focus therefore of this traceability framework standard is on commitment
exchange among autonomous parties to a business transaction.
This document 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.
0.2  ISO/IEC 14662 “Open-edi Reference Model”
1)
ISO/IEC 14662 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). ISO/IEC 14662:2010, Figure 1 illustrates the
Open-edi environment.
rd
1) ISO/IEC 14662(E/F) is an English/French, side-by-side, International Standard. Its 2010 3 edition has become
a stabilized standard and is now also an ISO/IEC declared “horizontal” standard, i.e., one serving as a base standard for
those developing standards in the various fields of EDI, including eBusiness. The stabilized status of ISO/IEC 14662
st
was re-affirmed for another 10 years by ISO/IEC JTC1 in 2021. ISO/IEC 14662 has since its 1997 1 edition been an
ISO/SO freely available standard. [See further https://standards.iso.org/ittf/PubliclyAvailableStandards/index.html
]
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ISO/IEC FDIS 15944-9:2022(E)
Figure 1 — Open-edi environment
According to ISO/IEC 14662:2010, Clause 5:
“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)”.
See also ISO/IEC 14662:2010, Figure A.1.
This document 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 document 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 ISO/IEC 15944-1:2023, Clause 7 is, as stated in
ISO/IEC 15944-1:2023, 7.1:
“. 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 document 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 series (and related standards) will facilitate the transformation of these external
constraints as business rules (see 0.5) into specified, registered, and re-useable scenarios and scenario
components.
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ISO/IEC FDIS 15944-9:2022(E)
0.3  ISO/IEC 15944-1: Business Operational View (BOV) — Operational aspects of Open-edi for
implementation
ISO/IEC 15944-1 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:
a) commercial frameworks and associated requirements;
b) legal frameworks and associated requirements;
c) public policy requirements, particularly those of a generic nature such as consumer protection,
privacy, and accommodation of handicapped/disabled;
d) 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).
e) in specifying scenarios, scenario components, and their semantics in the context of making
commitments, one needs to distinguish between:
1) the use of unique, unambiguous and linguistically neutral identifiers (often as composite
identifiers) at the information technology (IT) interface level among the IT systems of
participating parties on the one hand; and, on the other,
2) their multiple human interface equivalent (HIE) expressions in a presentation form
appropriate to the Persons involved in the making of the resulting commitments. (See
ISO/IEC 15944-10:2023, 5.4). It is the intention of this document that the modelling of scenario
and its components about traceability takes this approach.
Figure 2 provides an integrated view of these business operational requirements. Figure 2 is based on
ISO/IEC 15944-1:2023, Figure 3. The focus of this document is that of internal and external constraints,
2)
and those constraints about traceability may be either from legal requirements , commercial
3) 4)
requirements , or public policy requirements , which are the shaded “clouds” in Figure 2, while other
sources for external constraints than traceability is represented in Figure 2 as “clouds” not shaded.
2) One example of the legal traceability requirement can be the EU EC N78/2002, which is obligatory and contains
traceability requirement for the purpose of food safety.
3) The commercial framework is mostly “for profit” activities among private companies and individuals, where
features of traceability in a product may be required by or provide added benefit to the customer.
4) One example of the traceability public policy requirement can be “The 12th Five Year Plan on National Food
Safety Supervision System” issued by state council of China.
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ISO/IEC FDIS 15944-9:2022(E)
Figure 2 — Integrated view — Business Operational Requirements
0.4  “Traceability” in the context of business transaction and commitment exchange
Traceability in a business transaction originates from the (common) legal practices in jurisdictional
domains that require the identification and verification of any non-conformance with applicable legal/
regulatory requirements pertaining to the goal of the business transaction including the ability to
withdraw and/or recall products, services and/or rights. The requirements for traceability in a business
transaction to support constraints (internal and external) include the need:
a) to fulfil any local, regional national or international regulations or policies, as applicable;
b) to meet the requirement of reporting by the seller to the regulator;
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ISO/IEC FDIS 15944-9:2022(E)
c) to meet the labelling requirements of applicable regulators;
d) to support safety and/or quality objectives;
e) to determine the history or origin of the products;
f) to facilitate the withdrawal and/or recall of products;
g) to identify the responsible organizations in case of emergency;
h) to facilitate the verification of specific information about the product;
i) to meet consumer specification(s);
j) to meeting post-actualization requirements such as refund policy, product recall, warranty issue,
etc.
k) to meet the requirements of mutual agreement among parties to a business transaction;
l) to communicate information to relevant stakeholders and consumers.
In the Open-edi context, commitment exchange is added to information exchange, and entities are
unambiguously identified. With the requirements imposed internally or externally, the business
transactions are automated based on Open-edi system. In order to model the business transactions that
meet the requirements of traceability, there needs to be considerations on those specific requirements
on traceability to a business transaction, including the principles, methodologies for information
modelling, and requirements to components of a business transaction, etc.
This document adopts a top-down approach for an Open-edi based traceability framework for
commitment exchange, and associated accountabilities, among parties to a business transaction. As
such, it will assist implementers and standards developers from a business operational perspective in
considering or developing the framework, and/or s
...

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