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GB/T 40204-2021 (GB/T40204-2021, GBT 40204-2021, GBT40204-2021)
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GB/T 40204-2021: PDF in English (GBT 40204-2021)

GB/T 40204-2021
NATIONAL STANDARD OF THE
PEOPLE’S REPUBLIC OF CHINA
ICS 35.040
CCS L 71
General rules of two dimensional barcodes for traceability
ISSUED ON: MAY 21, 2021
IMPLEMENTED ON: DECEMBER 01, 2021
Issued by: State Administration for Market Regulation;
Standardization Administration of the People’s Republic of China.
Table of Contents
FOREWORD ... 3 
1 Scope ... 4 
2 Normative references ... 4 
3 Terms and definitions... 4 
4 Basic requirements ... 5 
5 Data structure ... 5 
6 Information processing ... 12 
7 Symbols ... 13 
8 Symbol quality requirements ... 13 
9 Application ... 14 
Appendix A (Normative) Unit data string of two dimensional barcodes for traceability
and parse and query table ... 15 
Appendix B (Normative) Coded character set of the application identifier data field 21 
Appendix C (Informative) Application examples of two dimensional barcodes for
traceability ... 23 
References ... 34 
General rules of two dimensional barcodes for traceability
1 Scope
This document specifies the basic requirements, data structure, information processing,
symbols and symbol quality requirements for two dimensional barcodes for traceability.
This document applies to the establishment, management and application of traceability
systems using two-dimensional barcodes as information carriers.
2 Normative references
The following documents, in whole or in part, are normatively referenced in this
document and are indispensable for its application. For dated references, only the
version corresponding to that date is applicable to this document; for undated references,
the latest version (including all amendments) is applicable to this document.
GB/T 1988-1998, Information technology - 7-bit Coded character set for information
interchange
GB/T 12905-2019, Bar code terminology
GB/T 16986-2018, Bar code for commodity - Application identifier
GB/T 23704, Two-dimensional bar code symbol print quality test
GB/T 33993-2017, Two dimensional code for commodity
GB/T 38155-2019, Important product traceability - Traceability terminology
3 Terms and definitions
Terms and definitions determined by GB/T 12905-2019, GB/T 16986-2018 and GB/T
38155-2019, as well as the following ones are applicable to this document.
3.1
Two dimensional barcodes for traceability
Two-dimensional barcodes that carry key traceability information.
3.2
Application identifier, AI
Characters that identify the meaning and format of data, consisting of 2 ~ 4 digits.
[Source: GB/T 16986-2018, 3.1]
4 Basic requirements
4.1 General
The two dimensional barcodes for traceability shall be based on the identification object
corresponding to the traceability system; an appropriate data structure shall be selected,
to be in one-to-one correspondence with its traceability accuracy. A two dimensional
barcode for traceability shall be given when the traceability unit is generated; the
barcode shall accompany the entire life cycle of the traceability unit. The coding of the
two dimensional barcodes for traceability shall adopt the international common coding
technology; the identification of the two dimensional barcodes for traceability shall
adopt the two-dimensional code symbology with international standards or national
standards.
4.2 Identification objects
The identification objects of the two dimensional barcodes for traceability are
traceability participants, traceability units, physical locations and transaction
information. Among them, traceability units include trade traceability unit, logistics
traceability unit, freight traceability unit, asset traceability unit and document
traceability unit.
5 Data structure
5.1 General requirements
5.1.1 Data structure types
The data structure of the two dimensional barcodes for traceability is divided into coded
data structure and URL data structure. Refer to 5.1.2 for coded data structure, and 5.1.3
for URL data structure.
5.1.2 Coded data structure
The coded data structure consists of one or more required unit data string(s) and
optional unit data string(s) in sequence. Each unit data string consists of an application
identifier (AI) and an application identifier data field. The application identifier shall
comply with the provisions of GB/T 16986-2018; the meaning, format and unit data
string name of the application identifier and its corresponding data coding shall comply
with the provisions of Appendix A. The characters shall contain all the characters in
Table 2 of GB/T 1988-1998, and shall comply with the provisions of Appendix B.
6 Information processing
6.1 Analysis of coded data structures
When the terminal scans and reads the two dimensional barcode for traceability of the
traceability unit, the information carried by the two-dimensional code shall be analyzed.
For each unit data string contained in the two dimensional barcode for traceability of
the traceability unit, according to the analyzed application identifier, look up table A.1
to obtain the name of the unit data string and the corresponding application identifier
data field and transmit it to the local information management system or network
information system for processing. The name of the unit data string and the
corresponding application identifier data field shall be separated by “:”, and the
information of different unit data strings shall be displayed in separate lines.
EXAMPLE:
The encoded information character string in the two dimensional barcode for
traceability of a trade traceability unit is:
(01)06901234567892(10)A1000B0000(21)C51031902101083826
The encoded information format obtained after the terminal scans the two dimensional
barcode for traceability of the trade traceability unit is:
Global Trade Item Number: 06901234567892
Batch or Lot Number: A1000B0000
Serial Number: C51031902101083826
Note: The brackets on both sides of the application identifier (such as “01”, “10”, “21”,
etc.) in the example of the encoded data structure are only for the convenience
of distinguishing the application identifier; they are not part of the identifier, and
shall not be stored in the two-dimensional code.
6.2 Information services for URL data structures
When the terminal scans the two dimensional barcode for traceability, according to the
interface and parameter definition of the relevant traceability service, access the service
address pointed to by the URI in the two dimensional barcode for traceability to obtain
the relevant traceability service information.
7 Symbols
7.1 Symbology
The two-dimensional code symbology with international or national standards such as
ISO Han Xin Code, QR Code or Data Matrix Code shall be used for two dimensional
barcodes for traceability.
7.2 Size
The size of the two dimensional barcodes for traceability shall be comprehensively
determined according to the coding content, error correction level, reading device and
system, and the allowable space of the label. If necessary, it needs to be determined by
relevant adaptive experiments. The minimum module size should not be less than 0.254
mm.
7.3 Location
The identification carrier of the two dimensional barcodes for traceability shall be
pasted or etched on the traceability unit, or attached to the tray containing the
traceability unit or the attached document, until the traceability unit is no longer
required. The selection of the location of the two dimensional barcodes for traceability
shall meet the following conditions:
-- The selection of the identification location shall ensure that the identification
symbol is not deformed or defaced;
-- The selection of the identification location shall be easy to scan and easy to read.
8 Symbol quality requirements
8.1 Requirements for symbol quality grade
The symbol grade of the two-dimensional barcode for traceability shall not be lower
than 1.5/××/660. Where:
Figure C.6 – Two dimensional barcode for traceability of the consignment
traceability unit of Han Xin code
C.3.2 Example of two dimensional barcode for traceability of the shipment
traceability unit
C.3.2.1 Example of two dimensional barcode for traceability of the shipment
traceability unit based on coded data structure
Assume that the encoded information character string of the two dimensional barcode
for traceability of a shipment traceability unit is:
(402)69012345678901238(420)45458
Use the GS1 data matrix code, to obtain the two dimensional barcode for traceability
of the shipment traceability unit, as shown in Figure C.7.
Figure C.7 – Example of two dimensional barcode for traceability of the
shipment traceability unit of data matrix code
Use the GS1 QR code, with the error correction level of L (7%), to gain the two
dimensional barcode for traceability of the logistics traceability unit, as shown in Figure
C.8.
Figure C.8 – Example of two dimensional barcode for traceability of the
shipment traceability unit of QR code
C.3.2.2 Example of two dimensional barcode for traceability of the shipment
traceability unit based on URL data structure
Assume that the encoded information character string of the two dimensional barcode
for traceability of a shipment traceability unit is:
(402)69012345678901238(420)45458
The information service address of the two dimensional barcode for traceability of the
shipment traceability unit is:
https://example.com/402/69012345678901238?420=45458
Use the Han Xin code encoding, with the error correction level of L2 (15%), to gain the
two dimensional barcode for traceability of the shipment traceability unit, as shown in
Figure C.9.
Figure C.9 – Two dimensional barcode for traceability of the shipment
traceability unit of Han Xin code
C.4 Example of two dimensional barcode for traceability of the asset traceability
unit
C.4.1 Example of two dimensional barcode for traceability of the returnable asset
traceability unit
C.4.1.1 Example of two dimensional barcode for traceability of the returnable
asset traceability unit based on coded data structure
Assume that the encoded information character string of the two dimensional barcode
for traceability of a returnable asset traceability unit is:
(8003)06901234567892000008(420)45458
Use the GS1 data matrix code, to obtain the two dimensional barcode for traceability
of the returnable asset traceability unit, as shown in Figure C.10.
Figure C.10 – Example of two dimensional barcode for traceability of the
returnable asset unit of data matrix code
Figure C.17 – Example of two dimensional barcode for traceability of the
logistics traceability unit of QR code
C.5.2 Example of two dimensional barcode for traceability of the document
traceability unit based on URL data structure
Assume that the encoded information character string of the two dimensional barcode
for traceability of a document traceability unit is:
(253)2536901234567892document1
The information service address of the two dimensional barcode for traceability of the
document traceability unit is:
https://example.com/253/2536901234567892document1
Use the Han Xin code encoding, with the error correction level of L2 (15%), to gain the
two dimensional barcode for traceability of the document traceability unit, as shown in
Figure C.18.
Figure C.18 – Two dimensional barcode for traceability of the document
traceability unit of Han Xin code
C.6 Example of two dimensional barcode for traceability of the location
traceability unit
C.6.1 Example of two dimensional barcode for traceability of the location
traceability unit based on coded data structure
Assume that the encoded information character string of the two dimensional barcode
for traceability of a location traceability unit is:
(414)0614141123452(254)32a/b
Use the GS1 data matrix code, to obtain the two dimensional barcode for traceability
of the location traceability unit, as shown in Figure C.19.
Figure C.19 – Example of two dimensional barcode for traceability of the
location traceability unit of data matrix code
Use the GS1 QR code, with the error correction level of L (7%), to gain the two
dimensional barcode for traceability of the location traceability unit, as shown in Figure
C.20.
Figure C.20 – Example of two dimensional barcode for traceability of the
location traceability unit of QR code
C.6.2 Example of two dimensional barcode for traceability of the location
traceability unit based on URL data structure
Assume that the encoded information character string of the two dimensional barcode
for traceability of a location traceability unit is:
(414)0614141123452(254)32a/b
The information service address of the two dimensional barcode for traceability of the
location traceability unit is:
https://example.com/414/0614141123452/254/32a%2Fb
Use the Han Xin code encoding, with the error correction level of L2 (15%), to gain the
two dimensional barcode for traceability of the location traceability unit, as shown in
Figure C.21.
......
 
Source: Above contents are excerpted from the PDF -- translated/reviewed by: www.chinesestandard.net / Wayne Zheng et al.