Document management -- Electronic document file format for long-term preservation

This document specifies the use of the Portable Document Format (PDF) 2.0, as formalized in ISO 32000-2:—, for preserving the static visual representation of page based electronic documents over time in addition to allowing any type of other content to be included as an embedded file or attachment. This document does not apply to: — specific processes for converting paper or electronic documents to the PDF/A format; — specific technical design, user interface, implementation, or operational details of rendering; — specific physical methods of storing these documents such as media and storage conditions; — required computer hardware and/or operating systems.

Gestion de documents -- Format de fichier des documents électroniques pour une conservation à long terme

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Published
Publication Date
16-Nov-2020
Current Stage
5060 - Close of voting Proof returned by Secretariat
Start Date
22-Sep-2020
Completion Date
22-Sep-2020
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INTERNATIONAL ISO
STANDARD 19005-4
First edition
2020-11
Document management — Electronic
document file format for long-term
preservation —
Part 4:
Use of ISO 32000-2 (PDF/A-4)
Reference number
ISO 19005-4:2020(E)
ISO 2020
---------------------- Page: 1 ----------------------
ISO 19005-4:2020(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2020

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 © ISO 2020 – All rights reserved
---------------------- Page: 2 ----------------------
ISO 19005-4:2020(E)
Contents Page

Foreword ..........................................................................................................................................................................................................................................v

Introduction ................................................................................................................................................................................................................................vi

1 Scope ................................................................................................................................................................................................................................. 1

2 Normative references ...................................................................................................................................................................................... 1

3 Terms and definitions ..................................................................................................................................................................................... 1

4 Notation ......................................................................................................................................................................................................................... 2

5 Conformance ............................................................................................................................................................................................................. 3

5.1 Conforming Files ................................................................................................................................................................................... 3

5.2 Conforming Processor ...................................................................................................................................................................... 4

6 Technical requirements ................................................................................................................................................................................ 4

6.1 File structure ............................................................................................................................................................................................ 4

6.1.1 General...................................................................................................................................................................................... 4

6.1.2 File header ............................................................................................................................................................................. 4

6.1.3 File trailer .................. .................................................... ......................................................................................................... 4

6.1.4 Cross reference table .................................................................................................................................................... 4

6.1.5 String objects ...................................................................................................................................................................... 5

6.1.6 Stream objects .................................................................................................................................................................... 5

6.1.7 Name objects ....................................................................................................................................................................... 5

6.1.8 Indirect objects .................................................................................................................................................................. 5

6.1.9 Inline image dictionaries .......................................................................................................................................... 5

6.1.10 Linearized PDF .................................................................................................................................................................. 6

6.1.11 Permissions .......................................................................................................................................................................... 6

6.1.12 Document catalog dictionary ................................................................................................................................ 6

6.2 Graphics ........................................................................................................................................................................................................ 6

6.2.1 General...................................................................................................................................................................................... 6

6.2.2 Content streams................................................................................................................................................................ 6

6.2.3 Output intent ....................................................................................................................................................................... 7

6.2.4 Colour spaces ...................................................................................................................................................................... 7

6.2.5 Extended graphics state............................................................................................................................................. 9

6.2.6 Flatness .................................................................................................................................................................................10

6.2.7 Images ....................................................................................................................................................................................10

6.2.8 XObjects ................................................................................................................................................................................11

6.2.9 Transparency ...................................................................................................................................................................11

6.2.10 Fonts ........................................................................................................................................................................................11

6.3 Annotations.............................................................................................................................................................................................15

6.3.1 Annotation types ..........................................................................................................................................................15

6.3.2 Annotation dictionaries ..........................................................................................................................................15

6.3.3 Annotation appearances ........................................................................................................................................15

6.3.4 Display of annotation contents .........................................................................................................................16

6.4 Interactive forms ................................................................................................................................................................................16

6.4.1 General...................................................................................................................................................................................16

6.4.2 XFA forms ............................................................................................................................................................................16

6.5 Digital signatures ...............................................................................................................................................................................16

6.5.1 General...................................................................................................................................................................................16

6.5.2 Signature profiles .........................................................................................................................................................17

6.5.3 Proof of existence .........................................................................................................................................................17

6.5.4 Validation ............................................................................................................................................................................17

6.6 Action ...........................................................................................................................................................................................................18

6.6.1 General...................................................................................................................................................................................18

6.6.2 Handling of JavaScript actions ..........................................................................................................................18

6.6.3 Trigger events ..................................................................................................................................................................18

6.6.4 Handling of GoToR, GoToE, URI and SubmitForm actions ........................................................19

© ISO 2020 – All rights reserved iii
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ISO 19005-4:2020(E)

6.7 Metadata ....................................................................................................................................................................................................19

6.7.1 General...................................................................................................................................................................................19

6.7.2 Metadata streams .........................................................................................................................................................19

6.7.3 Version identification ........................................................................................................................................... .....20

6.7.4 File identifiers .................................................................................................................................................................20

6.7.5 File provenance information ..............................................................................................................................21

6.8 Logical structure .................................................................................................................................................................................21

6.9 Embedded files ....................................................................................................................................................................................21

6.10 Optional content .................................................................................................................................................................................22

6.11 Use of alternate presentations and transitions ........................................................................................................23

6.12 Document requirements ..............................................................................................................................................................23

6.13 Print scaling ............................................................................................................................................................................................23

6.14 Geospatial .................................................................................................................................................................................................23

6.15 Measurement Properties .............................................................................................................................................................23

Annex A (normative) Requirements for a PDF/A with Embedded Files (PDF/A-4f) ......................................24

Annex B (normative) Requirements for a PDF/A for Engineering (PDF/A-4e) ....................................................25

Bibliography .............................................................................................................................................................................................................................27

iv © ISO 2020 – All rights reserved
---------------------- Page: 4 ----------------------
ISO 19005-4:2020(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 171, Document management applications,

SC 2, Document file formats, EDMS systems and authenticity of information.
A list of all parts in the ISO 19005 series can be found on the ISO website.

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 2020 – All rights reserved v
---------------------- Page: 5 ----------------------
ISO 19005-4:2020(E)
Introduction

PDF is a digital format for representing page-based documents. PDF files can be created natively in PDF

form, converted from other electronic formats or digitized from paper, microform, or other hard copy

format. Businesses, governments, libraries, archives and other institutions and individuals around the

world use PDF to represent considerable bodies of important information. Much of this information

needs to be kept for substantial lengths of time; some needs to be kept permanently. These PDF files

need to remain useable and accessible across multiple generations of technology. However, the inclusive,

feature-rich nature of the format requires that constraints be placed on its use to make it suitable for

the long-term preservation of electronic documents. The future use of, and access to, these objects

depends upon maintaining their visual appearance as well as their higher-order properties, such as

the logical organization of pages, sections, and paragraphs, machine recoverable text stream in natural

reading order, and a variety of administrative, preservation and descriptive metadata.

This document is part of a series of documents, of which this is part 4. This allows future parts to be

created without rendering this document or applications based on this document obsolete.

The primary purpose of ISO 19005 is to define a file format based on PDF, known as PDF/A, which

provides a mechanism for representing electronic documents in a manner that preserves their visual

appearance over time, independent of the tools and systems used for creating, storing or rendering the

files. Some parts of ISO 19005 also define a framework for representing the logical structure and other

semantic information of electronic documents within conforming files. These goals are accomplished

by identifying the set of PDF components that can be used, and restrictions on the form of their use,

within conforming PDF/A files.

Parts 3 & 4 in this series enable PDF documents to serve as containers for other file formats, so that

a single physical file can contain not only the visual representation but also other representations

including the original authored version, richer semantic formats, and others. This standard does not

address the long-term suitability of formats, that may be embedded, other than those compliant with

any part of this document.

This document is based on PDF version 2.0 (as defined in ISO 32000-2:— ) and as such provides

recommendations in how to properly archive content that uses some of the newer features present

there including page level output intents, associated files and improvements to tagged PDF.

This document also introduces some new directions in archiving non-static content that can be present

in PDF documents, such as form fields and ECMAScript. It seeks to preserve more information in the

file (by not requiring its removal during the archival process) and puts a greater burden on conforming

viewers to ensure that such information does not alter the visual appearance of the file during

consumption.

By itself, PDF/A does not necessarily ensure that the visual appearance of the content accurately

reflects any original source material used to create the conforming file; e.g. the process used to create

a conforming file might substitute fonts, reflow text, downsample images or use lossy compression.

Organizations that need to ensure that a conforming file is an accurate representation of original source

material might need to impose additional requirements on the processes that generate the conforming

file beyond those imposed by this document. In addition, it is important for those organizations to

implement policies and practices regarding the inspection of conforming files for correct visual

appearance.

This document is one component of an organization's electronic archival environment for long-term

retention of documents. Successful implementation of this document for archival purposes depends upon:

— the retention requirements of an organization's archival environment, records management policies

[2]
and procedures as specified in ISO 15489-1 ;
1) Under preparation. Stage at the time of publication: ISO/FDIS 32000-2.
vi © ISO 2020 – All rights reserved
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ISO 19005-4:2020(E)

— any additional conditions necessary to ensure the persistence of electronic documents and

[1]

their characteristics over time, including, but not limited to, those defined by ISO 14721 , and

[3]
ISO/TR 18492 ;

— quality assurance processes necessary to verify conformance with applicable requirements and

conditions; e.g. an inspection regime to verify the quality and integrity of converted source data.

This document is intended to lead to the development of various applications that read, render,

write and validate conforming files. Different applications will incorporate various capabilities to

prepare, interpret and process conforming files based on needs as perceived by the suppliers of those

applications. However, it is important to note that a conforming application needs to be able to read and

process appropriately all files complying with a specified conformance level.

This document (in conjunction with its normative references) provides sufficient information to

interpret any conforming PDF/A-4 file.

The PDF Association may maintain an ongoing series of application notes for guiding developers and

users of this document. These application notes are available at https:// www .pdfa .org/ . The PDF

Association will also retain copies of the specific non-ISO normative references of this document which

are publicly available electronic documents.
© ISO 2020 – All rights reserved vii
---------------------- Page: 7 ----------------------
INTERNATIONAL STANDARD ISO 19005-4:2020(E)
Document management — Electronic document file format
for long-term preservation —
Part 4:
Use of ISO 32000-2 (PDF/A-4)
1 Scope

This document specifies the use of the Portable Document Format (PDF) 2.0, as formalized in

ISO 32000-2:—, for preserving the static visual representation of page based electronic documents over

time in addition to allowing any type of other content to be included as an embedded file or attachment.

This document does not apply to:

— specific processes for converting paper or electronic documents to the PDF/A format;

— specific technical design, user interface, implementation, or operational details of rendering;

— specific physical methods of storing these documents such as media and storage conditions;

— required computer hardware and/or operating systems.
2 Normative references

The following documents are referred to in the text in such a way that some or all of their content

constitutes requirements of this document. For dated references, only the edition cited applies. For

undated references, the latest edition of the referenced document (including any amendments) applies.

ISO 14533-3, Processes, data elements and documents in commerce, industry and administration — Long term

signature profiles — Part 3: Long term signature profiles for PDF Advanced Electronic Signatures (PAdES)

ISO 16684-2, Graphic technology — Extensible metadata platform (XMP) — Part 2: Description of XMP

schemas using RELAX NG

ISO 19005-1, Document management — Electronic document file format for long-term preservation —

Part 1: Use of PDF 1.4 (PDF/A-1)

ISO 19005-2, Document management — Electronic document file format for long-term preservation —

Part 2: Use of ISO 32000-1 (PDF/A-2)
ISO 32000-2:—, Document management — Portable document format — Part 2: PDF 2.0

XMP Specification Part 2: Additional Properties – Adobe Systems – https:// www .adobe .com/ content/

dam/ acom/ en/ devnet/ xmp/ pdfs/ XMPSDKReleasecc -2020/ XMPSpecificationPart2 .pdf

3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.

ISO and IEC maintain terminological databases for use in standardization at the following addresses:

— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at http:// www .electropedia .org/
© ISO 2020 – All rights reserved 1
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ISO 19005-4:2020(E)
3.1
end-of-file marker
five-character sequence %%EOF marking the end of a PDF file
3.2
extension schema

conforming XMP schema that is not defined in the XMP Specification nor part 1 or part 2 of this

document
3.3
font
identified collection of graphics that may be glyphs or other graphic elements
[SOURCE: ISO 32000-2:—]
3.4
font program

software program written in a special-purpose language, such as the Type 1, TrueType, or OpenType font

format, that is understood by a specialized font (3.3) interpreter
[SOURCE: ISO 32000-2:—]
3.5
interactive processor

processor (3.8) that requires or allows human interaction with the content and other objects contained

in the document during the software's processing phase

Note 1 to entry: A file viewing tool is an example of an interactive processor; a raster image processor is an

example of a processor that is not interactive.
3.6
long-term

period of time long enough for there to be concern about the impacts of changing technologies

3.7
PDF
Portable Document Format
file format defined in ISO 32000-2:—
3.8
processor
software application that is able to read and process conforming files
3.9
writer
software application that is able to write conforming files
3.10
XMP packet
structured wrapper for serialized XMP metadata
[SOURCE: ISO 32000-2:—]
4 Notation

PDF operators, PDF keywords, the names of keys in PDF dictionaries, and other predefined names are

written in bold sans serif font; operands of PDF operators or values of dictionary keys are written in

italic font. Some names can also be used as values, depending on the context, and so the styling of the

content will be context specific.
EXAMPLE 1 The Default value for the TR2 key.
2 © ISO 2020 – All rights reserved
---------------------- Page: 9 ----------------------
ISO 19005-4:2020(E)

Token characters used to delimit objects and describe the structure of PDF files, as defined in

ISO 32000-2: —, 7.2.1, may be identified by their ISO/IEC 646 character name written in upper case in

bold font followed by a parenthetic two digit hexadecimal character value with the suffix “h”.

EXAMPLE 2 CARRIAGE RETURN (0Dh).

Text string characters, as defined by ISO 32000-2:—, 7.9.2, may be identified by their ISO/IEC 10646

character name written in uppercase in bold font followed by a parenthetic four digit hexadecimal

character code value with the prefix “U+”.
EXAMPLE 3 EN SPACE (U+2002).

The following terms, referring to this specification or parts thereof, are recommended when the full

ISO name is not being used:
— “PDF/A” – a synonym for the ISO 19005 family of standards;
— “PDF/A-1” – a synonym for ISO 19005-1;
— “PDF/A-1a” – a synonym for ISO 19005-1 Level A conformance;
— “PDF/A-1b” – a synonym for ISO 19005-1 Level B conformance;
— “PDF/A-2” – a synonym for ISO 19005-2;
— “PDF/A-2a” – a synonym for ISO 19005-2 Level A conformance;
— “PDF/A-2b” – a synonym for ISO 19005-2 Level B conformance;
— “PDF/A-2u” – a synonym for ISO 19005-2 Level U conformance;
— “PDF/A-3a” – a synonym for ISO 19005-3 Level A conformance;
— “PDF/A-3b” – a synonym for ISO 19005-3 Level B conformance;
— “PDF/A-3u” – a synonym for ISO 19005-3 Level U conformance;
— “PDF/A-4” – a synonym for ISO 19005-4;
— “PDF/A-4e” – a synonym for ISO 19005-4 Level E conformance;
— “PDF/A-4f” – a synonym for ISO 19005-4 Level F conformance;
5 Conformance
5.1 Conforming Files

This document defines a file format for representing electronic documents known as “PDF/A-4”.

Conforming PDF/A-4 files shall adhere to all requirements of ISO 32000-2:— as modified by this document.

A conforming file may include any valid ISO 32000-2:— feature that is not explicitly forbidden by this

document. Features described in specifications which are not explicitly described in ISO 32000-2:—,

should not be used. Features described as deprecated in ISO 32000-2:— shall not be used.

NOTE A conforming file is not obligated to use any PDF feature other than those explicitly required by

ISO 32000-2:— or this document.

The proper mechanism by which a file can presumptively identify itself as being a conforming PDF/A-4

file is described in 6.7.3.
© ISO 2020 – All rights reserved 3
---------------------- Page: 10 ----------------------
ISO 19005-4:2020(E)
5.2 Conforming Processor

A conforming processor shall comply with all requirements regarding processor functional behaviour

specified in this document. The requirements of this document with respect to processor behaviour

are stated in terms of general functional requirements applicable to all conforming processors. This

document does not prescribe any specific technical design, user interface or implementat

...

DRAFT INTERNATIONAL STANDARD
ISO/DIS 19005-4
ISO/TC 171/SC 2 Secretariat: ANSI
Voting begins on: Voting terminates on:
2020-03-13 2020-06-05
Document management — Electronic document file format
for long-term preservation —
Part 4:
Use of ISO 32000-2 (PDF/A-4)
ICS: 35.240.30; 37.100.99
Member bodies are requested to consult relevant national interests in ISO/TC
42 before casting their ballot to the e-Balloting application.
THIS DOCUMENT IS A DRAFT CIRCULATED
FOR COMMENT AND APPROVAL. IT IS
THEREFORE SUBJECT TO CHANGE AND MAY
NOT BE REFERRED TO AS AN INTERNATIONAL
STANDARD UNTIL PUBLISHED AS SUCH.
IN ADDITION TO THEIR EVALUATION AS
BEING ACCEPTABLE FOR INDUSTRIAL,
This document is circulated as received from the committee secretariat.
TECHNOLOGICAL, COMMERCIAL AND
USER PURPOSES, DRAFT INTERNATIONAL
STANDARDS MAY ON OCCASION HAVE TO
BE CONSIDERED IN THE LIGHT OF THEIR
POTENTIAL TO BECOME STANDARDS TO
WHICH REFERENCE MAY BE MADE IN
Reference number
NATIONAL REGULATIONS.
ISO/DIS 19005-4:2020(E)
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. ISO 2020
---------------------- Page: 1 ----------------------
ISO/DIS 19005-4:2020(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2020

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.org
Published in Switzerland
ii © ISO 2020 – All rights reserved
---------------------- Page: 2 ----------------------
ISO/DIS 19005-4:2020(E)
Contents Page

Foreword ..........................................................................................................................................................................................................................................v

Introduction ................................................................................................................................................................................................................................vi

1 Scope ................................................................................................................................................................................................................................. 1

2 Normative references ...................................................................................................................................................................................... 1

3 Terms and definitions ..................................................................................................................................................................................... 2

4 Notation ......................................................................................................................................................................................................................... 3

5 Conformance ............................................................................................................................................................................................................. 4

5.1 Conforming Files ................................................................................................................................................................................... 4

5.2 Conforming Processor ...................................................................................................................................................................... 4

6 Technical requirements ................................................................................................................................................................................ 4

6.1 File structure ............................................................................................................................................................................................ 4

6.1.1 General...................................................................................................................................................................................... 4

6.1.2 File header ............................................................................................................................................................................. 4

6.1.3 File trailer .................. .................................................... ......................................................................................................... 5

6.1.4 Cross reference table .................................................................................................................................................... 5

6.1.5 String objects ...................................................................................................................................................................... 5

6.1.6 Stream objects .................................................................................................................................................................... 5

6.1.7 Name objects ....................................................................................................................................................................... 6

6.1.8 Indirect objects .................................................................................................................................................................. 6

6.1.9 Inline image dictionaries .......................................................................................................................................... 6

6.1.10 Linearized PDF .................................................................................................................................................................. 6

6.1.11 Permissions .......................................................................................................................................................................... 6

6.1.12 Document catalog dictionary ................................................................................................................................ 6

6.2 Graphics ........................................................................................................................................................................................................ 6

6.2.1 General...................................................................................................................................................................................... 6

6.2.2 Content streams................................................................................................................................................................ 7

6.2.3 Output intent ....................................................................................................................................................................... 7

6.2.4 Colour spaces ...................................................................................................................................................................... 8

6.2.5 Extended graphics state............................................................................................................................................. 9

6.2.6 Flatness .................................................................................................................................................................................10

6.2.7 Images ....................................................................................................................................................................................10

6.2.8 XObjects ................................................................................................................................................................................11

6.2.9 Transparency ...................................................................................................................................................................11

6.2.10 Fonts ........................................................................................................................................................................................12

6.3 Annotations.............................................................................................................................................................................................15

6.3.1 Annotation types ..........................................................................................................................................................15

6.3.2 Annotation dictionaries ..........................................................................................................................................15

6.3.3 Annotation appearances ........................................................................................................................................15

6.3.4 Display of annotation contents .........................................................................................................................16

6.4 Interactive forms ................................................................................................................................................................................16

6.4.1 General...................................................................................................................................................................................16

6.4.2 XFA forms ............................................................................................................................................................................16

6.5 Digital signatures ...............................................................................................................................................................................16

6.5.1 General...................................................................................................................................................................................16

6.5.2 Signature profiles .........................................................................................................................................................17

6.5.3 Proof of existence .........................................................................................................................................................17

6.5.4 Validation ............................................................................................................................................................................17

6.6 Action ...........................................................................................................................................................................................................18

6.6.1 General...................................................................................................................................................................................18

6.6.2 Handling of JavaScript actions ..........................................................................................................................18

6.6.3 Trigger events ..................................................................................................................................................................18

6.6.4 Handling of GoToR, GoToE, URI and SubmitForm actions ........................................................19

© ISO 2020 – All rights reserved iii
---------------------- Page: 3 ----------------------
ISO/DIS 19005-4:2020(E)

6.7 Metadata ....................................................................................................................................................................................................19

6.7.1 General...................................................................................................................................................................................19

6.7.2 Metadata streams .........................................................................................................................................................19

6.7.3 Version identification ........................................................................................................................................... .....20

6.7.4 File identifiers .................................................................................................................................................................20

6.7.5 File provenance information ..............................................................................................................................21

6.8 Logical structure .................................................................................................................................................................................21

6.9 Embedded files ....................................................................................................................................................................................21

6.10 Optional content .................................................................................................................................................................................22

6.11 Use of alternate presentations and transitions ........................................................................................................23

6.12 Document requirements ..............................................................................................................................................................23

6.13 Print scaling ............................................................................................................................................................................................23

6.14 Geospatial .................................................................................................................................................................................................23

6.15 Measurement Properties .............................................................................................................................................................23

Annex A (normative) Requirements for a PDF/A with EmbeddedFiles (PDF/A-4f)........................................24

Annex B (normative) Requirements for a PDF/A for Engineering (PDF/A-4e) ....................................................25

Bibliography .............................................................................................................................................................................................................................27

iv © ISO 2020 – All rights reserved
---------------------- Page: 4 ----------------------
ISO/DIS 19005-4:2020(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 171, Document management applications,

Subcommittee SC 2, Document file formats, EDMS systems and authenticity of information in cooperation

with ISO/TC130, Graphic technology, ISO/TC42, Photography, and TC46, Information and documentation,

Subcommittee SC11, Archives/records management, in a joint working group.
A list of all parts in the ISO 19005 series can be found on the ISO website.

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.
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ISO/DIS 19005-4:2020(E)
Introduction

PDF is a digital format for representing page-based documents. PDF files can be created natively in PDF

form, converted from other electronic formats or digitized from paper, microform, or other hard copy

format. Businesses, governments, libraries, archives and other institutions and individuals around the

world use PDF to represent considerable bodies of important information. Much of this information

needs to be kept for substantial lengths of time; some needs to be kept permanently. These PDF files

need to remain useable and accessible across multiple generations of technology. However, the inclusive,

feature-rich nature of the format requires that constraints be placed on its use to make it suitable for

the long-term preservation of electronic documents. The future use of, and access to, these objects

depends upon maintaining their visual appearance as well as their higher-order properties, such as

the logical organization of pages, sections, and paragraphs, machine recoverable text stream in natural

reading order, and a variety of administrative, preservation and descriptive metadata.

This document is created as a multi-part document, of which this is part 4. This allows future parts to

be created without rendering this document or applications based on this document obsolete.

The primary purpose of ISO 19005 is to define a file format based on PDF, known as PDF/A, which provides

a mechanism for representing electronic documents in a manner that preserves their visual appearance

over time, independent of the tools and systems used for creating, storing or rendering the files.

Another purpose of ISO 19005 is to provide a framework for recording the context and history of

electronic documents in metadata within conforming files.

Some parts of ISO 19005 also define a framework for representing the logical structure and other

semantic information of electronic documents within conforming files.

These goals are accomplished by identifying the set of PDF components that can be used, and restrictions

on the form of their use, within conforming PDF/A files.

Parts 3 & 4 of this document enable PDF documents to serve as containers for other file formats, so

that a single physical file can contain not only the visual representation but also other representations

including the original authored version, richer semantic formats, and others. This standard does not

address the long-term suitability of formats, that may be embedded, other than those compliant with

any part of this International Standard.

By itself, PDF/A does not necessarily ensure that the visual appearance of the content accurately

reflects any original source material used to create the conforming file; e.g. the process used to create

a conforming file might substitute fonts, reflow text, downsample images or use lossy compression.

Organizations that need to ensure that a conforming file is an accurate representation of original source

material might need to impose additional requirements on the processes that generate the conforming

file beyond those imposed by this document. In addition, it is important for those organizations to

implement policies and practices regarding the inspection of conforming files for correct visual

appearance.

PDF/A does not directly address the topic of authenticity either for the underlying content to be visually

represented or the PDF/A file itself. Such authenticity is generally considered to be important for legal,

regulatory and governance purposes and is beyond the scope of this standard.

This document is one component of an organization's electronic archival environment for long-term

retention of documents. Successful implementation of this document for archival purposes depends upon:

— the retention requirements of an organization's archival environment, records management policies

[3]
and procedures as specified in ISO 15489-1 ‎ ;

— any additional conditions necessary to ensure the persistence of electronic documents and

[1]

their characteristics over time, including, but not limited to, those defined by ISO 14721 ‎, and

[6]
ISO/TR 18492 ‎ ;
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ISO/DIS 19005-4:2020(E)

— quality assurance processes necessary to verify conformance with applicable requirements and

conditions; e.g. an inspection regime to verify the quality and integrity of converted source data.

This document is intended to lead to the development of various applications that read, render,

write and validate conforming files. Different applications will incorporate various capabilities to

prepare, interpret and process conforming files based on needs as perceived by the suppliers of those

applications. However, it is important to note that a conforming application needs to be able to read and

process appropriately all files complying with a specified conformance level.

This document is based on PDF version 2.0 (as defined in ISO 32000-2:2020) and as such provides

recommendations in how to properly archive content that uses some of the newer features present

there including page level output intents, associated files and improvements to tagged PDF.

This part of 19005 also introduces some new directions in archiving non-static content that can be

present in PDF documents, such as form fields and ECMAScript. It seeks to preserve more information

in the file (by not requiring its removal during the archival process) and puts a greater burden on

conforming viewers to ensure that such information does not alter the visual appearance of the file

during consumption.

This document (in conjunction with its normative references) provides sufficient information to

interpret any conforming PDF/A-4 file.

The PDF Association may maintain an ongoing series of application notes for guiding developers and

users of this part of ISO 19005. These application notes are available at http:// www .pdfa .org/ . The PDF

Association will also retain copies of the specific non-ISO normative references of this part of ISO 19005

which are publicly available electronic documents.
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DRAFT INTERNATIONAL STANDARD ISO/DIS 19005-4:2020(E)
Document management — Electronic document file format
for long-term preservation —
Part 4:
Use of ISO 32000-2 (PDF/A-4)
1 Scope

This document specifies the use of the Portable Document Format (PDF) 2.0, as formalized in

ISO 32000-2:2020, for preserving the static visual representation of page based electronic documents

over time in addition to allowing any type of other content to be included as an embedded file or

attachment.
This document does not apply to:

— specific processes for converting paper or electronic documents to the PDF/A format;

— specific technical design, user interface, implementation, or operational details of rendering;

— specific physical methods of storing these documents such as media and storage conditions;

— required computer hardware and/or operating systems.
2 Normative references

The following documents are referred to in the text in such a way that some or all of their content

constitutes requirements of this document. For dated references, only the edition cited applies. For

undated references, the latest edition of the referenced document (including any amendments) applies.

ISO 14533-3, Processes, data elements and documents in commerce, industry and administration — Long term

signature profiles — Part 3: Long term signature profiles for PDF Advanced Electronic Signatures (PAdES)

ISO 16684-2:2014, Graphic technology — Extensible metadata platform (XMP) — Part 2: Description of

XMP schemas using RELAX NG

ISO 19005-1, Document management — Electronic document file format for long-term preservation —

Part 1: Use of PDF 1.4 (PDF/A-1)

ISO 19005-2, Document management — Electronic document file format for long-term preservation —

Part 2: Use of ISO 32000-1 (PDF/A-2)

ISO 19005-3, Document management — Electronic document file format for long-term preservation —

Part 3: Use of ISO 32000-1 with support for embedded files (PDF/A-3)

ISO 19444-1, Document management — XML Forms Data Format — Part 1: Use of ISO 32000-2 (XFDF 3.0)

ISO 32000-2:2020, Document management — Portable document format — Part 2: PDF 2.0

Specification Part X.M.P., 2 : Additional Properties – Adobe Systems - http:// wwwimages .adobe .com/

www .adobe .com/ content/ dam/ acom/ en/ devnet/ xmp/ pdfs/ XMP %20SDK %20Release %20cc -2014 -12/

XMPSpecificationPart2 .pdf
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ISO/DIS 19005-4:2020(E)
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.

ISO and IEC maintain terminological databases for use in standardization at the following addresses:

— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at http:// www .electropedia .org/
3.1
end-of-file marker
five-character sequence %%EOF marking the end of a PDF file
3.2
extension schema

conforming XMP schema that is not defined in the XMP Specification nor part 1 or part 2 of this

document.
3.3
font
identified collection of graphics that may be glyphs or other graphic elements.
[SOURCE: ISO 32000-2:2020]
3.4
font program

software program written in a special-purpose language, such as the Type 1, TrueType, or OpenType font

format, that is understood by a specialized font interpreter.
[SOURCE: ISO 32000-2:2020]
3.5
interactive processor

processor that requires or allows human interaction with the content and other objects contained in

the document during the software's processing phase

Note 1 to entry: to Entry A file viewing tool is an example of an interactive processor; a raster image processor is

an example of a processor that is not interactive.
3.6
long-term

period of time long enough for there to be concern about the impacts of changing technologies, including

support for new media and data formats, and of a changing user community, on the information being

held in a repository, which may extend into the indefinite future
3.7
PDF
Portable Document Format
file format defined in ISO 32000-2:2020
3.8
processor
software application that is able to read and process conforming files
3.9
writer
software application that is able to write conforming files
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ISO/DIS 19005-4:2020(E)
3.10
XMP packet
structured wrapper for serialized XMP metadata
[SOURCE: ISO 32000-2:2020]
4 Notation

PDF operators, PDF keywords, the names of keys in PDF dictionaries, and other predefined names are

written in bold sans serif font; operands of PDF operators or values of dictionary keys are written in

italic font. Some names can also be used as values, depending on the context, and so the styling of the

content will be context specific.
EXAMPLE 1 The Default value for the TR2 key.

Token characters used to delimit objects and describe the structure of PDF files, as defined in

ISO 32000-2:2020, 7.2.1, may be identified by their ISO/IEC 646 character name written in upper case in

bold font followed by a parenthetic two digit hexadecimal character value with the suffix “h”.

EXAMPLE 2 CARRIAGE RETURN (0Dh).

Text string characters, as defined by ISO 32000-2:2020, 7.9.2, may be identified by their ISO/IEC 10646

character name written in uppercase in bold font followed by a parenthetic four digit hexadecimal

character code value with the prefix “U+”.
EXAMPLE 3 EN SPACE (U+2002).
The following terms, referring to this specification or parts thereof, are rec
...

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