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What Agencies Should Know About PDF/A. September 20, 2005 Susan J. Sullivan, CRM susan.sullivan@nara.gov. Introduction. Agenda Why long term preservation of PDF is an issue Discussion of PDF/A Standard and NARA’s Transfer Guidance for Permanent PDF records
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What Agencies Should Know About PDF/A September 20, 2005 Susan J. Sullivan, CRM susan.sullivan@nara.gov
Introduction • Agenda • Why long term preservation of PDF is an issue • Discussion of PDF/A Standard and NARA’s Transfer Guidance for Permanent PDF records • Roles of both PDF/A and the NARA’s PDF Transfer Guidance in Federal recordkeeping • Overview of PDF/A and the ISO Process • Conclusion and Questions
Wide Use of PDF • PDF is a ubiquitous open format for electronic documents • Proprietary, but with publicly available specification • The feature-rich nature of PDF can complicate preservation efforts • All PDFs not created equal • Much important information maintained in PDF • Permanent archival records, in some cases.
PDF Not a Suitable Archival Format • PDF itself is not suitable as an archival format. • Some Features not compatible with current archival requirements • Not necessarily self-contained • All PDFs are not created equal • Long-term solution needed • Permanent archival records, in some cases • Administrative Office of U.S. Courts initiated idea for an ISO Standard based on PDF (PDF/A)
How NARA is Addressing PDF • Issued PDF Transfer Guidance • Allowing agencies to transfer permanent records to NARA in PDF In March of 2003, NARA • Participating in PDF/A ISO Standard Development • To influence the process • To gain knowledge
Transfer Format versus File Format NARA’s transfer guidance and PDF/A have a similar goal…..to ensure that valuable electronic information in PDF is not lost But different purposes: • Transfer Format - NARA’s PDF Transfer Guidance • Specifies NARA transfer requirements • Applies to existing and future records in PDF • File Format - The PDF/A ISO Standard (PDF/A) • Specifies a subset of the PDF file format • More format reliability/fewer in “bells & whistles” • PDF should be maintained longer as PDF (e.g., within agencies)
Scope and Usage NARA’s PDF Transfer Guidance • Usage: Transfer existing permanent PDF records to NARA Permanent PDF Records • Scope • Applies to permanent records • PDF 1.0 - 1.4 • Quality criteria, laws and regulations, transfer documentation, NARA contact information PDF/A ISO Standard • Usage: Programming Specification • Scope • Addresses one aspect of long term preservation (i.e., file format) • Should be used as one piece of the archival puzzle
Requirements - PDF/A and NARA’s PDF Transfer Guidance Embedded fonts • PDF/A and NARA’s PDF Transfer Guidance both require that fonts be embedded • NARA Guidance phases in requirements for workstation resident fonts. Encryption • PDF/A and NARA’s PDF Transfer Guidance both prohibit encryption • NARA Guidance phases in requirement as long as we can open, view and print
Requirements - PDF/A and NARA’s PDF Transfer Guidance Special Features • PDF/A restricts special features • Embedded files, external links, Java Script • PDF/A promotes tagged PDF as a higher level of conformance • NARA evaluates special features on a case-by-case basis at the time of scheduling Metadata/Documentation • PDF/A requires that embedded metadata must be in Adobe XMP • NARA requires transfer documentation (e.g., SF-258), and would evaluate embedded metadata at the time of scheduling
Requirements - PDF/A and NARA’s PDF Transfer Guidance Quality Requirements • PDF/A as a file format does not address quality/creation requirements such as exact replication of source material • Informative Annex B - identifies recommended creation guidelines • Agencies must implement these guidelines to comply with NARA’s PDF transfer guidance • NARA’s PDF Transfer Guidance includes • quality requirements regarding scanning quality, • lossy compression • substitution of characters with OCR’d text
NARA’s Expectations for PDF/A • PDF/A should address some of the PDF archival issues and enable PDF records to be maintained longer as PDF • Standard maintained by ISO, not just vendors • Agencies should implement PDF/A along with records management policies and procedures • Such as…. • NARA’s PDF Transfer Guidance • AOUSC’s document management program
The PDF/A Standard • Multi-part ISO International Standard • ISO 19005-1:2005, Document management – Electronic document file format for long-term preservation – Part 1: Use of PDF 1.4 (PDF/A-1) • Part 2 (19005-2) intended to bring PDF/A into conformance with PDF 1.6 • And additional future parts, as necessary
Time Line for Part 1 • Submitted to ISO Central Secretariat for publication as International Standard • Should be publicly available September 2005 • Throughout the process, PDF/A has been reviewed by technical experts from 15 national standards bodies
Specifies requiredfeatures Specifies restricted features PDF 1.4 Reference Specifies prohibitedfeatures PDF/A PDF/A - Approach • PDF/A specifies: • The subset of PDF components, from the PDF 1.4 Reference), that are either required, restricted, or prohibited, and • How these components may be used by software
PDF/A - Requirements • Disallows or limits features that could complicate long term preservation, and • Maximizes: • Device independence • Can be reliably and consistently rendered without regard to the hardware/software platform • Self-contained • Contains all resources necessary for rendering • Self-documenting • Contains its own description • Transparency • Amenable to direct analysis with basic tools
1 Scope 2 Normative References 3 Terms and Definitions 4 Notation 5 Conformance Levels 6 Technical Requirements 6.1 File Structure 6.2 Graphics 6.3 Fonts 6.4 Transparency 6.5 Annotations 6.6 Actions 6.7 Metadata 6.8 Logical Structure 6.9 Interactive Forms Informative annexes Annex A - PDF/A-1 Conformance Summary Annex B - Best Practices for PDF/A Bibliography PDF/A - Table of Contents
Annexes of the Draft PDF/A Standard – Informative Annexes • Informative Annexes provide supplemental information including: • Summary of the PDF structures and components disallowed, required, or limited • Best Practices for PDF/A • Guidelines for capturing or converting electronic documents to PDF/A • To replicates the exact quality and content of source documents • Required for compliance with NARA’s PDF Transfer Guidance
Two levels of conformance Level A (e.g., Tagged PDF, UNICODE Mapping) Level B (e.g. No Tagged PDF) Uniform file format (header, trailer, no encryption) Device-independent rendering of graphics Embedded fonts, character encoding Annotations restricted, content should be displayed by readers External actions restricted, no dependence on external content Readers not required to act on hyperlinks, but may XMP metadata “Adobe XML Metadata Framework” Forms based on appearance,not data PDF/A - Overview of Requirements
Take Away • For permanent records in PDF, agencies need to understand that: • PDF/A is one option for long-term preservation of electronic documents • PDF/A, by itself, does not guarantee exact replication of source material • Agencies must implement PDF/A in conjunction with additional requirements to meet NARA standards for transferring permanent records to NARA (i.e., NARA’s PDF Transfer Guidance)
More Information is Available • More information on NARA’s PDF Transfer Guidance on NARA’s Web Site • http://www.archives.gov/records-mgmt/initiatives/pdf-records.html • More information on PDF/A on AIIM Web Site • http://www.aiim.org/standards.asp?ID=25013 • Contact Susan Sullivan at susan.sullivan@nara.gov