ISO/TR 16340:2023

© ISO/DTR 16340 – All rights reserved
Reference number of working document: ISO/TC 154 N 1320
Date: 2022-09-0126
Reference number of project: ISO/DTR 16340:2022(E)
Committee identification: ISO/TC 154
Secretariat: SAC
Application of blockchain-based traceability platform for cold chain food

DTR stage

Warning for WDs and CDs
This document is not an ISO International Standard. It is distributed for review and comment. It is subject to
change without notice and may not be referred to as an International Standard.
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 supporting documentation.

---------------------- Page: 1 ----------------------
© ISO 2018

---------------------- Page: 2 ----------------------
ISO/DTR 16340:2022(E)
© ISO 2022
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
Fax: +41 22 749 09 47
Email: copyright@iso.org
Website: www.iso.orgwww.iso.org
Published in Switzerland
© ISO/CD TR 16340 – All rights reserved
ii © ISO 2022 – All rights reserved

---------------------- Page: 3 ----------------------
ISO/DTR 16340:2022(E)
Contents
Foreword . iv
Introduction. v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Overview . 1
5 Traceability process and data elements for cold chain system . 2
5.1 Stakeholders . 2
5.2 Traceability process at key links . 3
5.3 Data elements . 4
6 System architecture of blockchain based traceability platform . 8
7 Benefits of platform . 10
Bibliography . 11

© ISO #### – All rights reserved © ISO 2022 – All iii
rights reserved

---------------------- Page: 4 ----------------------
ISO/DTR 16340:2022(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out
through ISO technical committees. Each member body interested in a subject for which a technical
committee has been established has the right to be represented on that committee. International
organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO
collaborates closely with the International Electrotechnical Commission (IEC) on all matters of
electrotechnical standardization.
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 ISO documents 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 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 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.
This document was prepared by Technical Committee ISO/TC 154 “, Processes, data elements and
documents in commerce, industry and administration”, WG7 “Digital business”.
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.
© ISO/CD TR 16340 – All rights reserved
iv © ISO 2022 – All rights reserved

---------------------- Page: 5 ----------------------
ISO/DTR 16340:2022(E)
Introduction
With the outbreak of the epidemic outbreak since 2019, the safety of cold chain food safety is drawing
more and more attention. Due to that fact that the coronavirus (COVID-19) is cold-resistant, it hasthere
are high risks that the cold chain food isbe infected or contaminated by the coronavirus during the
circulation of the cold chain link, which maycan further exacerbate people’s panic. Therefore, how to
guarantee the cold chain food safety of cold chain food is a primary and urgent issue expected to be
resolved urgently.
The Traceability in the cold chain for food traceability is an effective way to ensureessential in ensuring
food safety，, through which realizes continuous tracking of the whole lifecycle is realized, including cold
chain food production, storage, purchase, sales, and transportation, etc. In this technical reportdocument,
a blockchain-based traceability platform is proposed, which links the required data series throughout the
circulation of the cold chain food. By applying such a platform, the following benefits are expected:
Anti— anti-counterfeiting: on this platform, each batch/lot of cold chain food is identified by a unique
code, which can enable identification of each distinct batch of cold chain food.;
Trusted— trusted lifecycle tracking: the information throughout the circulation of the cold chain food
is written into the blockchain, which is tamper-resistant,; and identity cannot be denied.;
Supply— supply chain collaboration: the traceability data are shared among the supply chain by
leveraging distribution databases/records/ledgers to achieve unified credentials and reduce
logistics costs.;
Effective— effective regulation: the platform provides credentials for regulatory agencies, and the most
important information about cold chain food safety for consumers.
© ISO #### – All rights reserved © ISO 2022 – All v
rights reserved

---------------------- Page: 6 ----------------------
TECHNICAL REPORT ISO/DTR 16340:2022(E)

Application of blockchain-based traceability platform for cold
chain food
1 Scope
This technical report (TR)document addresses a blockchain-based cold chain food traceability platform
for cold chain food which realizes continuous and effective tracking of the cold chain food. FollowingThe
following aspects are included:
It— it explores issues and considerations for cold chain food traceability, especially underduring the
epidemic outbreak.;
It— it describes scenarios and stakeholders for effective tracking of the cold chain food using the
platform. ;
It— it describes data elements and processes for the platform.;
It— it presents the platform capabilities such as data tamper resistance, sustainability, etc.;
It— it gives relevant use cases based on the platform.
2 Normative references
There are no normative references in this document.
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminology databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https://www.iso.org/obp
— IEC Electropedia: available at https://www.electropedia.org/
3.1
Coldcold chain
temperature-controlled supply chain.
Note 1 to entry: An uninterrupted series of storage and distribution activities which maintain a given temperature
range. It is used to help extend and ensure the shelf life of products such as fresh agricultural produce, seafood,
frozen food, photographic film, chemicals, and pharmaceutical drugs.
[SOURCE: ISO 26683-3:2019(en)], 3.7]

© ISO 2022 – All rights reserved 1

---------------------- Page: 7 ----------------------
ISO/DTR 16340:2022(E)
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— IEC Electropedia: available at
4 — ISO Online browsing platform: available at Overview
Cold chain food safety has drawn increasing attention under To ensure the epidemic outbreak. Because
the new coronavirus (COVID-19) is cold-resistant, it has high risks that the fresh food is being
contaminated by COVID-19 in the cold chain link, which will further exacerbate people’s panic.
Cold chain food traceability is an effective way to ensure food safety, which realizes continuous tracking
of the whole lifecycle including production, storage, purchase, sales and transportation, etc. Howevercold
train for food, stakeholders encounter many problems in the current processes, including but not limited
to: the following.
— Data integrity cannot be guaranteed for traceability of cold chain food among a large number of
parties on the supply chain, such as massive number of document flow, inefficient manual
verification, etc.
— Enterprises are concerned about the risk of core business data leakage when traceability data isare
made available.
— There is a lack of long-term food safety regulatory mechanisms.
To solve these problems, a blockchain-based traceability platform is proposed for cold chain food in this
document, which aims to link all trusted data series of food, people, places during the whole lifecycle of
cold chain food circulation and uses international standardized data elements and/or processes for their
traceability. In this proposed platform, following functions can be achieved:
— Anti-counterfeiting: each batch/lot of cold chain food is identified by a unique code, which can enable
identification of each distinct batch of cold chain food.
— Trusted lifecycle tracking: the information throughout the circulation of cold chain food is written
into the blockchain, which is tamper resistant, and identity cannot be denied.
— Supply chain collaboration: the traceability data is shared among supply chain by leveraging
distribution databases/records/ledgers to achieve unified credentials and reduce logistics costs.
— Effective regulation: the platform provides credentials for regulatory agencies, and the most
important information about cold chain food safety for consumers.
This TRdocument assumes that the traceability platform uses a consortium blockchain. Clause 5
describes the traceability process and gives the minimum required data elements for data sharing and
data transfer. Clause 6 gives the whole platform architecture of blockchain systems which are provided
by stakeholders. At last, Clause 7 summarizes the benefits by utilizing such a platform.
© ISO #### – All rights reserved
2 © ISO 2022 – All rights reserved

---------------------- Page: 8 ----------------------
ISO/DTR 16340:2022(E)
5 Traceability process and data elements for cold chain system
5.1 Stakeholders
The main stakeholders involved in the traceability process of the cold chain system include:
a) traceability platform providers;
b) source warehouses/suppliers;
c) subordinate warehouses;
d) logistics providers;
e) retailers &and distributors;
f) catering enterprises;
g) government regulators;
h) inspectors;
i) consumers.
5.2 Traceability process at key links


Figure 1 — The key links for cold chain system
The data generated at the key links throughout cold chain food circulation, e.g.,for example, original
manufacturer, dock, port warehouse, city warehouse, supermarkets, until cold chain food arrives at
consumers, will beare encrypted and identified via a unique traceability code to form a traceability
record/data/block, and will beare stored and connected into a blockchain. At each of the key links, the
cold chain food traceability process can be divided into 4 stages :. See Figure 1.
a) Cold chain food receipt process
— The logistic provider delivers the customs-related documents, such as customs declaration form,
inspection and quarantine certificate, disinfection treatment report, etc., to the documenter.
© ISO #### – All rights reserved © ISO 2022 – All 3
rights reserved

---------------------- Page: 9 ----------------------
ISO/DTR 16340:2022(E)
— The documenter, e.g.,for example, the customer officer, creates a receipt, scanscans and
uploaduploads the customs-related documents, and applyapplies for the traceability code on the
traceability platform. When applying for traceability code, the required information includes the
applicant, product name, manufacturer, number of packaging layers, whether to generate code
according to product packaging scale, etc.
— The platform automatically prints the traceability code, and sends it to the warehouse operator.
— The warehouse operator counts the received quantity of the cold chain food and other related
information and registers it in the tally sheet.
— The warehouse operator uses terminal programs such as mobile app, applet, website,
etc.,applications, applets, websites, to scan the traceability code as well as his/her employ number
and binds the information of the cold chain food and the warehouse operator to each other.
— After receiving the cold chain food, the warehouse operator hands over the traceability code and tally
sheet to the documenter.
— At this stage the initial data of cold chain food will be firstly joinedjoin the blockchain based
traceability platform.
b) Cold chain food shipment-initiation process
— The documenter creates and prints the delivery order
...

FINAL
TECHNICAL ISO/DTR
DRAFT
REPORT 16340
ISO/TC 154
Application of blockchain-based
Secretariat: SAC
traceability platform for cold chain
Voting begins on:
2022-10-11 food
Voting terminates on:
2022-12-06
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/DTR 16340:2022(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 2022

---------------------- Page: 1 ----------------------
ISO/DTR 16340:2022(E)
FINAL
TECHNICAL ISO/DTR
DRAFT
REPORT 16340
ISO/TC 154
Application of blockchain-based
Secretariat: SAC
traceability platform for cold chain
Voting begins on:
food
Voting terminates on:
COPYRIGHT PROTECTED DOCUMENT
© ISO 2022
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/DTR 16340:2022(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 2022 – All rights reserved
NATIONAL REGULATIONS. © ISO 2022

---------------------- Page: 2 ----------------------
ISO/DTR 16340:2022(E)
Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Overview . 1
5 Traceability process and data elements for cold chain system . 2
5.1 Stakeholders . 2
5.2 Traceability process at key links . 2
5.3 Data elements . 3
6 System architecture of blockchain based traceability platform .7
7 Benefits of platform . 9
Bibliography .11
iii
© ISO 2022 – All rights reserved

---------------------- Page: 3 ----------------------
ISO/DTR 16340:2022(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out
through ISO technical committees. Each member body interested in a subject for which a technical
committee has been established has the right to be represented on that committee. International
organizations, governmental and non­governmental, in liaison with ISO, also take part in the work.
ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of
electrotechnical standardization.
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 ISO documents 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 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 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.
This document was prepared by Technical Committee ISO/TC 154, Processes, data elements and
documents in commerce, industry and administration.
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.
iv
  © ISO 2022 – All rights reserved

---------------------- Page: 4 ----------------------
ISO/DTR 16340:2022(E)
Introduction
With the outbreak of the epidemic since 2019, the safety of cold chain food is drawing more and more
attention. Due to that fact that the coronavirus (COVID­19) is cold­resistant, there are high risks that
the cold chain food be infected or contaminated by the coronavirus during the circulation of the cold
chain link, which can further exacerbate people’s panic. Therefore, how to guarantee the safety of cold
chain food is a primary and urgent issue expected to be resolved.
Traceability in the cold chain for food is essential in ensuring food safety, through which continuous
tracking of the whole lifecycle is realized, including cold chain food production, storage, purchase, sales,
and transportation, etc. In this document, a blockchain-based traceability platform is proposed, which
links the required data series throughout the circulation of the cold chain food. By applying such a
platform, the following benefits are expected:
— anti-counterfeiting: on this platform, each batch/lot of cold chain food is identified by a unique code,
which can enable identification of each distinct batch of cold chain food;
— trusted lifecycle tracking: the information throughout the circulation of the cold chain food is
written into the blockchain, which is tamper-resistant; and identity cannot be denied;
— supply chain collaboration: the traceability data are shared among the supply chain by leveraging
distribution databases/records/ledgers to achieve unified credentials and reduce logistics costs;
— effective regulation: the platform provides credentials for regulatory agencies, and the most
important information about cold chain food safety for consumers.
v
© ISO 2022 – All rights reserved

---------------------- Page: 5 ----------------------
TECHNICAL REPORT ISO/DTR 16340:2022(E)
Application of blockchain-based traceability platform for
cold chain food
1 Scope
This document addresses a blockchain-based traceability platform for cold chain food which realizes
continuous and effective tracking of the cold chain food. The following aspects are included:
— it explores issues and considerations for cold chain food traceability, especially during the epidemic
outbreak;
— it describes scenarios and stakeholders for effective tracking of the cold chain food using the
platform;
— it describes data elements and processes for the platform;
— it presents the platform capabilities such as data tamper resistance, sustainability;
— it gives relevant use cases based on the platform.
2 Normative references
There are no normative references in this document.
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminology databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at https:// www .electropedia .org/
3.1
cold chain
temperature-controlled supply chain
Note 1 to entry: An uninterrupted series of storage and distribution activities which maintain a given temperature
range. It is used to help extend and ensure the shelf life of products such as fresh agricultural produce, seafood,
frozen food, photographic film, chemicals, and pharmaceutical drugs.
[SOURCE: ISO 26683­3:2019, 3.7]
4 Overview
To ensure the traceability of the cold train for food, stakeholders encounter many problems in the
current processes, including but not limited to the following.
— Data integrity cannot be guaranteed for traceability of cold chain food among a large number
of parties on the supply chain, such as massive number of document flow, inefficient manual
verification.
— Enterprises are concerned about the risk of core business data leakage when traceability data are
made available.
1
© ISO 2022 – All rights reserved

---------------------- Page: 6 ----------------------
ISO/DTR 16340:2022(E)
— There is a lack of long-term food safety regulatory mechanisms.
To solve these problems, a blockchain-based traceability platform is proposed for cold chain food in this
document, which aims to link all trusted data series of food, people, places during the whole lifecycle
of cold chain food circulation and uses international standardized data elements and/or processes for
their traceability.
This document assumes that the traceability platform uses a consortium blockchain. Clause 5 describes
the traceability process and gives the minimum required data elements for data sharing and data
transfer. Clause 6 gives the whole platform architecture of blockchain systems which are provided by
stakeholders. At last, Clause 7 summarizes the benefits by utilizing such a platform.
5 Traceability process and data elements for cold chain system
5.1 Stakeholders
The main stakeholders involved in the traceability process of the cold chain system include:
a) traceability platform providers;
b) source warehouses/suppliers;
c) subordinate warehouses;
d) logistics providers;
e) retailers and distributors;
f) catering enterprises;
g) government regulators;
h) inspectors;
i) consumers.
5.2 Traceability process at key links
Figure 1 — The key links for cold chain system
The data generated at the key links throughout cold chain food circulation, for example, original
manufacturer, dock, port warehouse, city warehouse, supermarkets, until cold chain food arrives at
consumers, are encrypted and identified via a unique traceability code to form a traceability record/
data/block, and are stored and connected into a blockchain. At each of the key links, the cold chain food
traceability process can be divided into 4 stages. See Figure 1.
a) Cold chain food receipt process
— The logistic provider delivers the customs­related documents, such as customs declaration form,
inspection and quarantine certificate, disinfection treatment report, to the documenter.
— The documenter, for example, the customer officer, creates a receipt, scans and uploads the customs-
related documents, and applies for the traceability code on the traceability platform. When applying
2
  © ISO 2022 – All rights reserved

---------------------- Page: 7 ----------------------
ISO/DTR 16340:2022(E)
for traceability code, the required information includes the applicant, product name, manufacturer,
number of packaging layers, whether to generate code according to product packaging scale, etc.
— The platform automatically prints the traceability code and sends it to the warehouse operator.
— The warehouse operator counts the received quantity of the cold chain food and other related
information and registers it in the tally sheet.
— The warehouse operator uses terminal programs such as mobile applications, applets, websites, to
scan the traceability code as well as his/her employ number and binds the information of the cold
chain food and the warehouse operator to each other.
— After receiving the cold chain food, the warehouse operator hands over the traceability code and
tally sheet to the documenter.
— At this stage the initial data of cold chain food firstly join the blockchain based traceability platform.
b) Cold chain food shipment­initiation process
— The documenter creates and prints the delivery order.
— The documenter sends the traceability code of the cold chain food and the delivery order to the
warehouse operator.
— The warehouse operator pi
...