Chapter 13. PDF Standards

Adobe Systems introduced PDF to the world in 1993, including a public specification for the format. However, while many developers were able to create their own tools for reading and writing PDF documents, only Adobe could add or change features in the PDF language itself. Those changes were beneficial to Adobe’s business, but not always to various industries and market segments. For this reason, the print industry pursued the idea of developing a subset of PDF that could then be standardized through an international body such as the International Organization for Standardization (ISO). The result of this work, and the first of the subsets, was PDF/X. A few years later a variety of government and business interests came together to produce PDF/A, the PDF subset focused on long-term archiving of PDF documents. It was the very public work on the development of PDF/A that led to other industries working to bring about the other standards listed here.

In 2007, Adobe recognized that it was time for the full PDF specification to be brought to the ISO. This led to the publication of ISO 32000-1, which turned PDF 1.7 into a fully open international standard.

PDF (ISO 32000)

ISO 32000-1 represents the formalization and publication of the complete PDF 1.7 edition of the Adobe PDF Reference and an open international standard. The ISO committee (TC171/SC2/WG8) spent many years producing a standard that was technically identical to the previous Adobe PDF 1.7, but had undergone an extensive rewriting process to clarify numerous items. This standard is the foundation for all future generations of PDF standards.

With “Adobe’s PDF” now standardized, the next move by the committee was to begin work introducing features that they had been wanting in PDF for years. Some examples include the inclusion of geospatial or GIS data, black point compensation for richer color rendition, and improved tagging and structure. At this time, ISO 32000-2 is under development and due to be published sometime in 2015.

PDF/X (ISO 15930)

The first of the PDF subset standards, PDF/X, focused on the needs of print professionals, graphic designers, and creatives by providing specifications for the creation, viewing, and printing of final print-ready or press-ready pages. PDF/X provides guidelines affecting critical aspects of printing, such as color spaces, font embedding, and the use of trapping. It also restricts other content—such as embedded multimedia—that does not directly serve high-quality print production output.

PDF/X-1a (ISO 15930-1), the first of the family, was published in 2001. It specified a subset of PDF that required that all fonts were embedded, no annotations were included, and the only colorspaces allowed to be used were DeviceCMYK, DeviceGray, and Separation. It also required that the file specify whether it has been trapped or not. In 2002, PDF/X-3 (ISO 15930-3) was introduced; it built on PDF/X-1a but allowed for color-managed colors via colorspaces such as ICCBased and Lab. These original versions of PDF/X-1a and PDF/X-3 were based on PDF 1.3. In 2003 there were updates to both PDF/X-1a (15930-4) and PDF/X-3 (15930-6), that brought them in line with PDF 1.4, but they continued to disallow transparency.

It took a while for the print industry to understand the benefits of and concerns about the use of transparency in PDF, so it wasn’t until 2008 that the first version of PDF/X-4 (ISO 15930-7) was published. The version brought PDF/X-3’s color-managed model for PDF to a version of PDF (1.6) incorporating transparency, better compression (e.g., JPEG2000 and ObjectStream; see Cross-reference table), and more. However, a few issues were discovered in that original 2008 release, and it was superseded by an update in 2010.

PDF/X-1a, PDF/X-3, and PDF/X-4 all represent completely self-contained files. All fonts, colorspaces, and images must be inside the PDF—no external references are allowed. While that is certainly the normal case for printing, there are situations where the ability to refer to external content or external resources can be beneficial, such as in the variable and transactional data worlds. For those industries, PDF/X-5 (ISO 15930-8) was created to provide a standard that enables either single files or sets of multiple files utilizing external references.

Note

There was also a PDF/X-2 (ISO 15930-2), which attempted to provide a method for handling external content. Unfortunately, the design was quite poor and it was never publicly implemented. So the industry pretends it never happened!

PDF/A (ISO 19005)

In 2003, representatives from the US government approached Adobe Systems about their need to create a subset of PDF that would be more reliable and consistent than what PDF producers were generating at the time. They needed this reliability to be able to properly maintain PDF documents in their archives for 10, 20, 50, or more years.

PDF/A-1, published in 2005 and based on PDF 1.4, represents a standard for the creation, viewing, and printing of digital documents for the purpose of long-term preservation. These documents are completely self-contained with embedded fonts and consistent color, and without any encryption, enabling them to serve as final documents of record. No references to external content are allowed since those items may not exist in the future. In addition, XMP-based metadata is required to ensure that the file is self-describing (see XMP).

PDF/A-2, published in 2010 and based on PDF 1.7 (ISO 32000-1), brings with it many requested capabilities such as transparency and improved compression utilizing JPEG2000 and object streams. By using ISO 32000-1 as the base standard, PDF/A-2 became the first PDF subset standard to be entirely ISO-based. One feature that was requested by many, but did not make it into PDF/A-2, was the ability to have arbitrary attachments, such as XML data. In order to provide a solution for those workflows, the committee (ISO TC171/SC2/WG5) produced PDF/A-3 in 2012.

Each of the PDF/A standards comes in at least two conformance levels, a and b. The a conformance level can be thought of as the “all” or “accessible” level, as it requires conformance with the complete set of requirements for the standard, including that the file be tagged and structured for accessibility (see Chapter 11 for details). The b, or “basic,” level of conformance is commonly used by simpler content such as scanned documents or documents whose original digital source is no longer available. PDF/A-2 and PDF/A-3 introduced a third conformance level that can be seen as being in between the others: level u, for “Unicode.” It requires that all text in the file can be mapped to Unicode.

PDF/E (ISO 24517)

Although PDF had seen some basic usage in the engineering market all along, the introduction of support for optional content, 3D, and measurements caused a significant uptake of the format amongst architects, engineers, construction professionals, and product manufacturing teams.

PDF/E was a direct result of the engineering community’s desire for a specification that built on top of PDF/A. It focuses on their needs around the exchange of documentation and drawings in the supply chain for document sharing or streamlined review and markup. It specifies requirements for PDF that make it more suitable for building, manufacturing, and geospatial workflows by supporting interactive media, animation, and 3D. Because one of the key use cases for the standard was to enable sharing of content, it allows for the use of encryption and digital rights management.

Published in 2007, PDF/E-1 is based on PDF 1.6. PDF/E-2, which is under development by ISO TC171/SC2/WG7, is expected to be published in 2014 and will be based on ISO 32000-2.

PDF/VT (ISO 16612-2)

While PDF/X-4 and PDF/X-5 address the majority of the print production industry’s needs, those working with variable and transactional printing needed some specific additions. In their high-volume workflows involving bank statements and business invoices, the inclusion of rich metadata and identifiable document parts was a necessity. In addition, many parts of these documents are reused, and an optimal way to identify them and reuse them in the printing process was required. PDF/VT, which is based on PDF/X, was published in 2010 and addressed these needs.

There are three flavors of PDF/VT. PDF/VT-1 is a completely self-contained file format based on PDF/X-4, while PDF/VT-2 allows for individual form XObjects to be referenced in other files and is built on PDF/X-5. There is also a special case of PDF/VT-2 called PDF/VT-2s that can be driven entirely in a stream, rather than requiring actual writing to files.

PDF/UA (ISO 14289)

Many governments around the world have laws that require that their publications be accessible to all of their people, regardless of any disabilities they may possess. PDF has long had features (especially via tagging and structure) that enable any document to comply with the general-purpose international accessibility standards, but until recently no PDF-focused standard existed to give concrete direction.

PDF/UA-1, published in 2012, is based on ISO 32000-1 and provides a set of guidelines for creating PDF files that are universally accessible and thus more readable for people with disabilities such as vision impairment or limited mobility.

There are a few other PDF-related standards to be aware of.

PAdES (ETSI TS 102 778)

The European Union (EU) has long been a strong proponent of digital or electronic signatures, including the standardization of signatures based on other serializations such as CMS (CAdES) and XML (XAdES).

In 2008, the European Telecommunications Standards Institute (ETSI) published ETSI 102778, which builds upon the ISO 32000-1 standard to facilitate more secure paperless business transactions. This standard defines a series of profiles for PAdES (PDF Advanced Electronic Signatures) that comply with European Directive 1999/93/EC.

PDF Healthcare

While not a file format standard, the PDF Healthcare initiative provides best practices and implementation guidelines to facilitate the capture, exchange, preservation, and protection of healthcare information. Following these guidelines provides a more secure electronic container that can store and transmit health-related information including personal documents, XML data, DICOM images and data, clinical notes, lab reports, electronic forms, scanned images, photographs, digital x-rays, and ECGs.

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