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How to Implement PDF/A | Talking PDF

T he Place for PDF Information

White Paper: How to Implement PDF/A

Pos ted on A ugus t 24, 2010 by Duff Johns on in PDF/A (archive), T alking PDF

A s st a t ed in t h e In t r odu ct ion t o ISO 1 9 0 0 5 -1 , t h e pr im a r y pu r pose of PDF/A is t o pr ov ide: a m ech a n ism for r epr esen t in g [PDF] elect r on ic docu m en t s in a m a n n er t h a t pr eser v es t h eir v isu a l a ppea r a n ce ov er t im e, in depen den t of t h e t ools a n d sy st em s u sed for cr ea t in g , st or in g , or r en der in g t h e files. T h e t ex t g oes on t o iden t ify a set of st ipu la t ion s a n d lim it a t ion s; t h e r u les of con for m a n ce w it h PDF/A . Fon t s m u st be em bedded, for ex a m ple, a n d color s m u st be dev ice-in depen den t . En cr y pt ion is n ot a llow ed in a PDF/A file, n or is Ja v a Scr ipt , a u dio or v ideo con t en t . T h e poin t of t h ese lim it a t ion s is t o en su r e t h a t t h e w or k of displa y in g PDF/A files r em a in s a s sim ple a n d u n a m big u ou s a s possible. A s su ch , t h e St a n da r d is lim it ed t o file-for m a t a n d r ea der r equ ir em en t s bea r in g on a ccu r a t e r en der in g t o scr een a n d pr in t . W h ile per m it t in g dig it a l sig n a t u r es, t h e fir st it er a t ion of PDF/A does n ot a ddr ess t h e t opic of a u t h en t icit y a t a ll. T h e for t h com in g u pda t e, ISO 1 9 0 0 5 -2 , st a t es ex plicit ly t h a t a u t h en t icit y is sim ply ou t of scope for PDF/A . ISO st a n da r ds con t a in a lot of dr y t ech n ica l la n g u a g e a bou t w h a t sh a ll or sh a ll n ot be pr esen t in a con for m in g PDF/A file. T h e pr ecise r ole of of t h e St a n da r d in t h e docu m en t life-cy cle a n d t h e m a n n er in w h ich soft w a r e sh ou ld in t er a ct w it h PDF/A docu m en t s is u n st a t ed. T h a t is a s it sh ou ld be. In t er n a t ion a l St a n da r ds a r e n ot pr escr ipt iv e; t h ey don t offer specific g u ida n ce or best -pr a ct ices w h en it com es t o w r it in g soft w a r e. Most of PDF/A is con cer n ed w it h t h e for m a t of t h e PDF it self; t h er e a r e v er y few r u les for so-ca lled con for m in g r ea der s . T h e ju icy qu est ion s a r e left u n t ou ch ed: W h a t a r e t h e u ses of PDF/A docu m en t s? W h a t sh ou ld a u ser open in g a PDF/A -fla g g ed docu m en t u n der st a n d a bou t it ? Does t h e St a n da r d im ply t h a t PDF/A docu m en t s a r e or sh ou ld be r ea d-on ly ? W h a t s t h e r ig h t beh a v ior for PDF/A -a w a r e soft w a r e ou t side of t h e st r ict con for m a n ce r equ ir em en t s? T h ese a r e t h e qu est ion s Ill t r y t o a n sw er h er e.

What is PDF/A for?

T h er e a r e lit er a lly h u n dr eds of differ en t pieces of soft w a r e t h a t ca n cr ea t e PDF files, a n d qu a lit y v a r ies. PDF/A w a s in t en ded t o specify a su bset of PDF t h a t w a s a s r elia ble a s PDF cou ld be a s
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close t o elect r on ic m icr ofilm a s possible. T h e or ig in a l im pet u s for a n a r ch iv a l v er sion of PDF ca m e fr om t h e U.S. Feder a l Cou r t s, qu ick ly join ed by t h e Libr a r y of Con g r ess a n d t h e Na t ion a l A r ch iv es a n d Recor ds A dm in ist r a t ion , a ll of w h om w er e con cer n ed a bou t t h e cost a n d of m a in t a in in g collect ion of n on -st a n da r d PDFs. Recor ds-m a n a g er s a n d a r ch iv ist s obsess on r elia bilit y for g ood r ea son . T h er e a r e t en s of m illion s of ba d, odd a n d en v ir on m en t -depen den t PDFs in t h e w or ld, files t h a t don t m eet t h e ba sic pr om ise of PDF t o look t h e sa m e in a ll pla ces a n d on a ll sy st em s. Sin ce t h e en t ir e poin t of PDF/A is t o g u a r a n t ee t h a t docu m en t s r en der cor r ect ly on r equ est , t h e obv iou s a n d pr e-em in en t u se-ca se for PDF/A is t o a ssess ph y sica l qu a lit y a n d lon g ev it y befor e en t r y in t o for m a l pu blic or pr iv a t e r ecor ds. Bu t w h a t else m ig h t u ser s leg it im a t ely w a n t t o do w it h files t h a t h a v e been su ccessfu lly con v er t ed t o PDF/A som et im e in t h e pa st ?

Whats permitted?
Pa r k in g a PDF in t h e cor por a t e a r ch iv e or su bm it t in g it t o a cou r t doesn t n ecessa r ily m ea n t h e docu m en t h a s com e t o t h e en d of it s w or k in g life. A n h ou r or a y ea r or a deca de la t er , a n a u t h or ized u ser m ig h t n eed t o For w a r d t h e docu m en t t o a n ot h er or g a n iza t ion , for w h om t h e in bou n d docu m en t is liv e . Ex t r a ct pa g es in or der t o sh a r e on ly a por t ion of t h e docu m en t . A dd com m en t s, or m a r k u p for r eda ct ion pr ior t o r elea se. A dd Ba t es n u m ber s for lit ig a t ion pu r poses. A dd w a t er m a r k s in dica t in g da t es, cla ssifica t ion st a t u s or ot h er in for m a t ion . Dig it a lly -sig n t h e PDF t o en su r e a u t h en t icit y fr om t h a t poin t for w a r ds. Colla t e t h e file t og et h er w it h ot h er PDFs. Repla ce, in ser t or delet e pla ceh older , da m a g ed, r ot a t ed or pr oblem pa g es. PDF/A per m it s a ll of t h ese a ct iv it ies a n d m or e. PDF/A doesn t m ea n ou t -of-cir cu la t ion , it m ea n s su it ed for a r ch iv a l pu r poses . T h er es a big differ en ce.

Dont Confuse Standards with Policies

Or g a n iza t ion policy a n d pr ocedu r e dict a t e u ser r ig h t s a n d r espon sibilit ies for m a n a g in g a n d (w h en n ecessa r y ) m a n ipu la t in g docu m en t s. T h ese a r en t t h e sor t s of qu est ion s on e defer s t o a ch oice of filefor m a t . Edit in g (or m a r k in g u p) a PDF/A file m a y be per fect ly r ea son a ble, desir a ble a n d a u t h or ized a s a fu n ct ion of cir cu m st a n ce. W h et h er or n ot a ch a n g e in a docu m en t ca n or sh ou ld lea d t o a ch a n g e in a W ORM a r ch iv e is u p t o t h e u ser , t h eir em ploy er , t h e per m ission s a r ch it ect u r e a n d t h e n a t u r e of t h e st or a g e m edia . It s ou t of scope for PDF/A , a s 1 9 0 0 5 -2 m a k es clea r . In t h e r ea l w or ld, r ecor ds w ill be u pda t ed a n d files w ill be st a m ped. Ma n y n on -A dobe a pplica t ion s w ill edit a PDF/A file, bu t lea v e t h e PDF/A fla g in pla ce. T h er es n ot h in g in ISO 1 9 0 0 5 t o su g g est
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t h ese a r e im per m issible pr ocesses (a lt h ou g h lea v in g t h e PDF/A fla g in -pla ce a ft er a n edit a n d w it h ou t r e-v a lida t ion is r ea lly ba d for m ). Sin ce en cr y pt ion is pr oh ibit ed a n d dig it a l sig n a t u r es a r e opt ion a l, y ou ca n t t r u st a n u n sig n ed PDF/A docu m en t a s PDF/A w it h ou t fir st r e-r u n n in g PDF/A v a lida t ion .

Correct Behavior
Iv e m a de t h e ca se t h a t a u t om a t ica lly t u r n in g off edit in g fea t u r es w h en y ou see t h e PDF/A fla g is a n u n w elcom e a ppr opr ia t ion of u ser -in t en t . Now Ill offer som e t h ou g h t s ou t lin in g t h e cor r ect beh a v ior for soft w a r e en cou n t er in g a PDF/A file. Ill st ipu la t e t w o t h in g s befor e w e st a r t : 1 . Im discu ssin g soft w a r e w it h PDF edit in g ca pa bilit ies, n ot ju st r ea der s. 2 . It s pr esu m ed t h a t beca u se t h e u ser is in possession of a n u n en cr y pt ed, u n sig n ed PDF, t h e u ser h a s t h e a u t h or it y (leg a lly , m a t er ia lly ) t o edit it .

Adobes Interpretation
T h e ph ilosoph y of PDF/A a s ex pr essed in A cr oba t 9 is pr et t y sim ple, bu t does n ot follow m y pr escr ipt ion for cor r ect beh a v ior . A dobes im plem en t a t ion a ssu m es t h a t t h e defa u lt policy for PDF/A files is r ea d-on ly ex cept for cer t a in fea t u r es. A dobe A cr oba t 9 offer s PDF/A Mode a s t h e defa u lt w h en a PDF/A -fla g g ed file is open ed. T h e in t er fa ce does n ot offer a dv ice on h ow t o disa ble PDF/A Mode (it s in Pr efer en ces > Docu m en t s).

While in PDF/A Mode

T h e Docu m en t Messa g e Ba r in dica t es Y ou a r e n ow v iew in g t h is docu m en t in PDF/A Mode. No in for m a t ion on t u r n in g t h is fea t u r e off is offer ed. Ex t er n a l h y per lin k s a r e disa bled. Pa g e-ex t r a ct ion is disa bled (n o ex t r a ct in g of a specific pa g e-r a n g e for u se elsew h er e). Most edit in g fu n ct ion s a r e disa bled, in clu din g pa g elev el edit in g (n o in ser t ion , r epla cem en t , delet ion or r esor t in g of pa g es). It s n ot possible t o a dd secu r it y t o t h e PDF file. PDF/A pr oh ibit s en cr y pt ion , n on et h eless, u ser s see t h is dia log w h en a t t em pt in g Docu m en t -> Redu ce File Size:

Five General Principles for PDF/A Implementations

W h en dev elopin g soft w a r e t o m a n a g e or m a n ipu la t e PDF files, soft w a r e dev eloper s sh ou ld bea r in m in d cer t a in g u idelin es w h en en cou n t er in g docu m en t s w it h t h e PDF/A fla g set . Fi r st , it sh ou ld be possible t o r em ov e t h e PDF/A fla g . User s sh ou ld be a ble t o decide if t h e file is t o be r epr esen t ed a s PDF/A or n ot . Secon d , if t h er e is t o be a n y opt ion of select ion bet w een v iew er (or edit or ) beh a v ior s w h en en cou n t er in g a PDF/A file, t h a t opt ion sh ou ld be r ea dily a ccessible, n ot bu r ied deep w it h in Pr efer en ces. See t h e Con clu sion for m y pr oposed opt ion s. T h i r d , if a u ser ch ooses a n a ct ion t h a t w ou ld m a k e it im possible t o r e-v a lida t e for PDF/A , t h e a pplica t ion sh ou ld w a r n of t h e con sequ en ces t o PDF/A st a t u s in
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T h is dia log n ot w it h st a n din g , PDF/A ca n n ot be m a n a g ed fr om t h e Docu m en t Pr oper t ies dia log (a lt h ou g h it s a g ood idea ). User s ca n t a dd for m -fields du e t o secu r it y set t in g s . T a g s m a y n ot be a dded (ie, t h e docu m en t ca n n ot be m a de a ccessible). Lin ea r iza t ion in for m a t ion is ig n or ed (ie, Fa st W eb V iew is disa bled).

But some editing is ok

User s m a y a dd ba ck g r ou n ds a n d w a t er m a r k s a s w ell a s h ea der s, foot er s a n d ba t es n u m ber s. Som e of t h ese ch a n g es m a y con t a in a r bit r a r y con t en t , a n d cou ld com plet ely a lt er or r epla ce t h e PDF pa g e. Pr eflig h t fu n ct ion s a r e a v a ila ble, m a n y of w h ich ca n
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specific t er m s. Ex a m ple: Y ou ca n n ot u se a u dio-clip a n n ot a t ion s in a PDF/A docu m en t . Plea se ch oose a n ot h er a n n ot a t ion t y pe, or t u r n off PDF/A for t h is docu m en t . Fou r t h , a n a lt er ed docu m en t sh ou ld lose it s PDF/A fla g w h en sa v ed u n less it is (r e)v a lida t ed. Fi ft h , Giv e t h e u ser a ccu r a t e in for m a t ion ; don t g et in t h eir w a y a n y m or e t h a n is st r ict ly (a n d I m ea n st r ict ly ) n ecessa r y . Y ou ca n t st op som eon e fr om edit in g a PDF/A file, don t pr et en d

da m a g e or ch a n g e t h e PDF. Of cou r se, y ou ca n st ill a dd a dig it a l sig n a t u r e. A cr oba t plu g in s (su ch a s A pplig en t s Reda x ) ca n st ill oper a t e, ev en if t h e r esu lt is a n edit ed (ie, r eda ct ed) PDF file. Ot h er A dobe a pplica t ion s (Ph ot oSh op, for ex a m ple) w ill open PDF/A files w it h ou t A cr oba t s r est r ict ion s.

T hird Party Software

A t t h is t im e, m ost 3 r d pa r t y desk t op PDF soft w a r e dev eloper s pr efer n ot t o a ck n ow ledg e PDF/A , ig n or in g bot h file-for m a t a n d r ea der r equ ir em en t s a n d fa ilin g t o ev en pr esen t t h e PDF/A fla g . See m y a r t icle on fr ee PDF v iew er s.

ot h er w ise. If y ou r r equ ir em en t in clu des secu r it y or a u t h en t icit y , y ou r opt ion s r a n g e fr om ph y sica l a ccess con t r ol t o t h e t a m per det ect ion of dig it a l sig n a t u r es t o pr ov idin g a r ea d-on ly opt ion in con t r olled en v ir on m en t s. PDF/A pr oh ibit s t h e u se of en cr y pt ion on t h e PDF/A file it self, bu t t h a t doesn t in a n y w a y st op y ou fr om deliv er in g a PDF/A file in side a n en cr y pt ed PDF Por t folio, for ex a m ple. T h e k ey t h in g is t o u n der st a n d a n d r espect t h e lim it s of ISO 1 9 0 0 5 . It s n ot a policy pr escr ipt ion , it s a set of file-for m a t a n d r ea der r equ ir em en t s. Ot h er dev eloper s m ig h t ch a n g e t h e file bu t lea v e t h e PDF/A fla g a lon e, for ex a m ple, a n d y ou r im plem en t a t ion n eeds t o be a ble t o a ccom m oda t e t h a t .

What should archivists implementing PDF/A understand?

Fu n da m en t a lly , PDF/A set s t ech n ica l specifica t ion s for r en der in g of PDF files. T h e St a n da r d m a k es n o st a t em en t r eg a r din g a u t h en t icit y ; dig it a l sig n a t u r es a r e opt ion a l, n ot r equ ir ed. If y ou n eed t o est a blish a u t h en t icit y , y ou cou ld con sider st or in g t h e PDFs m essa g e dig est in a docu m en t m a n a g em en t sy st em . Ot h er opt ion s in clu de sig n in g PDF files a s y ou r eceiv e t h em , or est a blish in g pr ocedu r es con t r ollin g ph y sica l a ccess t o y ou r PDF/A files. If y ou n eed t o r elea se docu m en t s w it h a u sefu l st a t em en t of in t eg r it y , y ou ca n con sider a dig it a l sig n a t u r e on r elea se t o est a blish t h a t docu m en t s w er e v a lid a s t h ey or ig in a t ed fr om y ou r a r ch iv e. If a PDF/A file is ch a n g ed in a n y w a y , it sh ou ld n ot be con sider ed PDF/A a n y lon g er (r eg a r dless of t h e m essa g es in on es u ser -in t er fa ce) u n t il a n d u n less it is r ev a lida t ed.

What should professionals opening a PDF/A file understand?

PDF/A m ea n s t h a t t h e file w ill a ppea r t h e sa m e w a y on a n y pla t for m , w it h a n y PDF/A con for m in g v iew in g soft w a r e, m or e-or -less for ev er . PDF/A does n ot m ea n t h a t a ch a in -of-ev iden ce or ot h er m ech a n ism in a n y w a y a ssu r es t h e docu m en t s a u t h en t icit y . A n u n sig n ed PDF/A file m a y be ch a n g ed by a n y u ser , a t a n y t im e, w it h n o w a r n in g offer ed t o t h e n ex t u ser t o open t h e file.

What should a recipient of a PDF/A file understand?

If y ou see a m essa g e st a t in g t h a t y ou a r e look in g a t a PDF/A file, y ou sh ou ld k n ow t h a t y ou r e dea lin g w it h a file t h a t w ill r en der cor r ect ly . It w ill look ex a ct ly t h e sa m e 2 5 y ea r s h en ce, ev en u sin g a com pu t er y ou v e n ot y et im a g in ed. Per h a ps y ou a ssu m ed t h a t a ll PDF files w er e t h a t r epr odu cible? Sor r y , y ou w er e m ist a k en . PDF/A est a blish es con fiden ce t h a t a file a ppea r s t h e sa m e a s it did t h e la st t im e it w a s ch a n g ed. Y es,
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a bsolu t ely , a PDF/A file ca n be ch a n g ed. PDF/A isn t a bou t en su r in g a file ca n t be ch a n g ed it s a bou t en su r in g t h a t t h e pa g es ca n be v iew ed in t o t h e lon g -t er m .

Conclusion
Un lik e a n ISO st a n da r d, I g et t o offer ex plicit su g g est ion s t o soft w a r e dev eloper s! PDF/A -a w a r e soft w a r e sh ou ld offer t h r ee ba sic opt ion s t o u ser s w h o open a PDF file w it h t h e PDF/A fla g set . A dv i sor y . T h e defa u lt m ode w h en open in g a PDF/A file. T h is Mode w ill a ppea l t o g en er a l u ser s. W h en open in g a PDF/A file, t h e u ser w ou ld be a dv ised (per h a ps v ia a Docu m en t Messa g e Ba r , or sim ila r ) t h a t t h e file cla im s t o com ply w it h PDF/A . T h e a pplica t ion sh ou ld n ot iden t ify t h e file a s PDF/A -con for m in g u n t il it s been v a lida t ed. If ca pa ble, t h e a pplica t ion sh ou ld offer v a lida t ion (w it h t h e a ppr opr ia t e w a r n in g r eg a r din g h ow lon g it m ig h t t a k e). Edit in g is per m it t ed, h ow ev er , ch a n g es t h a t v iola t e PDF/A sh ou ld g en er a t e a w a r n in g of con sequ en ces for fu t u r e PDF/A con for m a n ce. W it h ou t v a lida t ion , a n y edit sh ou ld ca u se t h e PDF/A fla g t o be r em ov ed w h en t h e file is sa v ed. In A dv isor y m ode, t h e v iew er m a y u se lin ea r iza t ion in for m a t ion , if a v a ila ble in t h e PDF. A ft er a ll, t h is is ju st a dv isor y m ode, a n d Fa st W eb V iew is u sefu l for h ig h -per for m a n ce deliv er y of la r g e docu m en t s. St r i ct PDF/A Mode. A s A dv isor y m ode, bu t t h e a pplica t ion t r ea t s a ll t h e sh ou ld a n d sh ou ld n ot r ea der -r equ ir em en t st a t em en t s a s sh a ll a n d sh a ll n ot . A s su ch , it does n ot u se lin ea r iza t ion dict ion a r y in for m a t ion , n or does it a llow lin k s. T h is Mode m a y a ppea l t o a r ch iv ist s. St r i ct PDF/A & Rea d On l y Mode. A s St r ict PDF/A Mode, bu t t h e a pplica t ion is r ea d-on ly in a ll r espect s. T h is Mode m a y a ppea l t o a r ch iv ist s oper a t in g a policy in w h ich r ea d-on ly soft w a r e is pa r t of a n ov er a ll st r a t eg y for m a in t a in in g docu m en t in t eg r it y .

More information about PDF/A

PDF/A on W ik ipedia A IIMs PDF/A Com m it t ee [Not e: Du ff Joh n son is a m em ber of t h e US T ech n ica l A dv isor y Gr ou p (T A G) for T C 1 7 1 W G 5 (PDF/A )] T h e PDF/A Com pet en ce Cen t er : w w w .pdfa .or g Bu y : 1 9 0 0 5 -1 fr om ISO By Duff Johns on A r ch iv e, ISO St a n da r d, PDF/A

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