PDF and PDF/A: a technology used in creating records
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1 Drexel University From the SelectedWorks of James Gross February 5, 2012 PDF and PDF/A: a technology used in creating records James Gross, Drexel University Available at:
2 PDF and PDF/A: A technology used in creating records James Gross Drexel University, INFO 755 Professor Miller Assignment #1 Feb 5, 2012
3 2 Organizations deal with large quantities of information. There has been a gradual shift from the paper based format, to the digital format. Organizations need a viable file format to store their data. In recent years, advances in technology have enabled organizations to utilize and access information via a standardized digital format called PDF. In this short paper we will focus on six aspects of PDF technology: (1) A brief overview of PDF and PDF/A technologies, (2) the technical advantages and solutions for organizations, (3) the benefits for records management, (4) the technological challenges for records management, (5) a response to those challenges, and (6) whether one would incorporate the technology as part of electronic record-keeping. (1). A brief overview of PDF and PDF/A technology: A PDF file is a digital file format that captures all the elements of a printed document (Sullivan 2006, p.51). This electronic image can then be saved, viewed, navigated, searched, printed, or forwarded. The PDF specification was introduced by Adobe Systems back in 1993 (Adobe Systems, 2012). Adobe Systems was instrumental in helping to develop and deliver subsets of PDF to be used as standards for several industries and functions (Ibid, 2012). Since the initial PDF specification, Adobe Systems worked with various working groups, under the umbrella of the ISO The International Organization for Standardization (McLeod & Hare, 2005, p. 19), to help develop standards for this specification (Adobe Systems, 2012). In addition to the PDF standard, Adobe has since worked on, and developed, the specialized PDF subsets, PDF/A and PDF/X (Ibid, 2012). Two other standards, PDF/E and PDF/UA, are currently proposed standards (Ibid, 2012). The PDF format was developed from the PostScript file format that provides navigation and structure to enable electronic documents to be viewed and printed (Fanning, 2007, p.58).
4 3 The PDF file consists of a subset of the PostScript page description programming language, which defines the layout and graphics used in the file, and a structure storage system that combines all of the elements into a single file (Ibid, p. 58). PDF is described by Adobe as a general document representation language (Library of Congress, 2011). The PDF format represents formatted, page-oriented documents (Ibid, 2011). These documents may contain text, raster images, line art, and colors (Fanning, 2006, p. 60). It can also contain other content, such as video and audio (Library of Congress, 2011). The format provides support for annotations, metadata, and hypertext links (Ibid, 2011). PDF/A, or Archive is a subset or subtype of PDF. It is intended to be suitable for long-term preservation of page-oriented documents, and complies with ISO (Library of Congress, 2011). It was developed in a collaborative manner by AIIM and NPES (Fanning, 2006, p. 60). PDF/A was developed to create an electronic format which would users to represent electronic documents in a manner that preserves their visual appearance over time, independent of tools and systems used to create the files (Ibid, p. 60). It was intended to be suitable for long-term preservation of page-oriented documents for which the PDF format is presently being used (Library of Congress, 2011). The PDF/A format was conceived as an ideal format for pageoriented textual documents where layout and visual characteristics would be more important than logical structure (Library of Congress, 2011). (2a). Advantages of the technology: In gauging the advantages of this technology, one can safely argue that since its inception back in 1993, the PDF standard has become a de facto standard for both government and private industry (Adobe Systems, 2012). The clear advantage of the PDF standard is that it provides a standardized digital format for digital data storage.
5 4 There are many advantages associated with having a standardized digital format. Five benefits include: (A) improved access by staff and customers, (B) greater flexibility in file access, (C) greater efficiency in file usage, (D) cost savings, and (E) reliability and authenticity of content. A standardized digital format permits organizations to improve their usage and retrieval of data. It affects how they identify, retain, retrieve, and made use of their data. As opposed to digitally created records, paper records, especially within larger corporations, are an inefficient conveyer of data. They typically require labor-intensive processing functions on the part of staff, a large amount of storage space, and longer access or retrieval time (Stephens, 2010, p.10). And, paper records are very difficult to protect from natural disasters. Electronic records can help improve the organization s level of efficiency due to the ability to rapid retrieve the records, their space effectiveness, and the ease of backing them up or updating them (Ibid, p.10). The digital format can also enable the organization to improve staff efficiency, save on storage space for paper records, and more effectively control the storage, retrieval, and preservation of data within the digital format than the traditional paper format. (2b.) Problems and solutions for organizations: Historically, organizations had typing pools and held paper records in centralized files. Later, computers eliminated the need for the centralized file room. But, issues would eventually surface in regard to varying file formats. The PDF format has enabled organizations to change from depending on multiple digital formats, with the need for multiple software systems, to an environment where there is more standardization in terms of required software and hardware for data retrieval. Organizations thrive on efficiency and cost savings. Tools and resources which can help improve information access, such as the standardized PDF and PDF/A formats, will be upon with great interest.
6 5 The advent of the digital PDF format has enabled organizations to save data without having to worry about the storage issues related to bulky paper records or conflicting technologies. For organizations, having a standardized record format decreases the problems related to trying to access older files which could otherwise be stored on an incompatible digital format. This saves on staff time for information retrieval which translates into saved costs for the organization. For example, a study by PricewaterhouseCoopers LLP found that for every twelve filing cabinets, one employee was required (Adobe Systems, 2002, p. 1). (3.) Benefits for records management: In general, records managers seek to preserve the content, context, and structure of records (Ibid, p. 2). According to Adobe Systems, there are four important advantages of the PDF file for records management: (A) reliability as the format can be used to capture records from a source application, (B) the ability to specify whether users can make alterations to the file, (C) ease of use by all staff and users, (D) PDF files can be placed into a system which employs user verification (Ibid, p. 3). The adoption of the PDF and PDF/A file formats is important as its use helps facilitate records managers in their efforts to assist the organization with: (A) improved access by staff and customers, (B) greater flexibility in file access, (C) greater efficiency in file usage, and (D) overall cost savings. The corporation typically reviews its records needs and may enlist a records manager and IT professional to help them establish and build an electronic archive or repository of electronic files. The organization can then enable the readily access of records among staff and customers via file sharing (Ibid, pg.1). The electronic archive can contribute to substantial cost savings for the organization due to the decrease in required paper storage.
7 6 Records managers typically view records in terms of four key areas: reliability, authenticity, integrity, and usability (National Archives, 2000, p. 5). The advent of the digitized standard for PDF and PDF/A means that records managers will have less problems in determining and verifying that a digital record is genuine. Over the last thirty years, paper records have declined in corporate use while the use of electronic records has been exponentially increasing (Stephens, 2010, p. 5). A key problem for organizations is the ever increasing quantity of new records. So, how does the technology standards (PDF and PDF/A) actually benefit records management? The standardization of PDF and PDF/A ISO standards has enabled records managers, via the use of electronic archives, to improve the organization s ability to provide reliable and authentic records (Adobe, 2002, p. 2). In addition, the records manager uses the records life cycle, and the system development life cycle, to better identify, manage, and control records access as well as records disposition. As the PDF and PDF/A have developed into industry standards, the retrieval of needed electronic data does not require the retention of multiple software packages. It has meant that the records manager can more easily control, with the use of the records cycle, which records need to be retired, placed off-site, or destroyed. The PDF file format is very useful for records managers as it allows for widespread use on any computer platform. The PDF/A format preserves the static visual appearance of the PDF format, while providing a new framework to permit the embedding of metadata (Sullivan, 2006, p. 52). The benefits of this technology are numerous. By standardizing accepted file formats, less time and costs will need to be spent on retraining staff, acquiring new software packages, and
8 7 migrating existing data to new file formats. Digital record standardization is crucial for record management. Usage of this standard means that records manager can more effectively determine how long to retain the records, comply with relevant laws and regulations, manage or discard the inactive files, and protect essential records (Dearstyne, 2009, p.43). (4.) Technology challenges for records management: IT challenges deal with the need to ensure that the electronic archives, and the system development life cycle are adequately administered. The primary issue of concern to records managers is user access and record integrity. Access should not alter or affect the reliability, authenticity, integrity and usability of the records (National Archives, 2000, p 6). There is also the risk of having obsolete technology, lost data, loss of privacy, increased costs, and inadequately stored data (Millar, 2009, p.9). Records managers require compatible hardware, updated software, and a robust database that can help the records manager identify and manage the record retention cycles. As advances are made in technology, record managers will need to keep up with these changes. For example, there are numerous cases where previous data formats which were once modern, eventually became obsolete. In one case, a University of Southern California neurobiologist was unable to read magnetic tapes from NASA s 1976 Viking landings on Mars. He was forced to locate old paper printouts and have his students re-enter the data (Swartz, 2003, p.13). In another example, the U.S. Census Bureau was asked for its 1960 census data by the National Archives back in 1976 (Ibid, p.13). But, unfortunately, a major problem arose when the Census Bureau realized that it no longer had machines which could read the data (Ibid, p.13). These are two examples of challenges faced by record managers face when trying to decide on file formats.
9 8 These changes in technology may affect one or more of the following ten categories: software selection, software development, technical compatibility, end-user communications, software documentation, project management, training risks, productivity declines, staff turnover, or changes in the organizational structure (ICA, 2008, p ). 5. Responding to the technology challenges: Record managers should be cognizant that they are managing information which has the potential to be at risk. Managers should work closely with other corporate departments, such as management, and the IT department. Records managers should also be aware of laws and policies that apply to the organization s records, and maintain adherence to planned system backups the in order to prevent any loss of data. There are two important areas which should be prioritized by the record manger: ensuring the integrity of the records, and ensuring that existing records are reliable and usable. Towards this goal, record schedules should be implemented and maintained (Logan, 2009, p. HT6). Among these challenges, I would select maintenance of hardware and software; and the backup of existing data, as the two most important issues facing records management. In order to effectively address these issues, it is essential that the IT department and records managers work closely with the organization s management to determine which records are needed and which ones can be safely placed off-site or destroyed. In regard to the PDF and PDF/A file formats, records management may need to ensure that if the current digital file formats one day become obsolete, the organization either migrates their files to the new format, or retains sufficient hardware and software which can read the existing files. They will need to ensure that they keep up with ISO standard updates that are made to the PDF
10 9 formats. Records managers will need to keep tabs on the file systems to ensure that there is not a risk to reliability and authenticity of the records due unauthorized file access. 6a. Usage of PDF/and PDF/A as a part of electronic recordkeeping: In regard to whether I would recommend incorporating the PDF and PDF/A technology as part of electronic recordkeeping, I would say yes. There is published literature to support my statement. Fanning noted that the PDF format is based on the PDF specification and how subsets to the PDF standard were being examined and drafted (Fanning, 2006, p. 61). Fanning also stated that PDF is a standard already (Ibid, p.61). And, another author noted, Acrobat PDF provides many advantages to the user and has become the ubiquitous EDM standard of the future (Spencer, 2004, p.39). 6b. How would I incorporate the technology: If I were the records manager, I would address the organization s recordkeeping needs in conjunction with of its two key components: the system development life cycle and the records life cycle. I would actively engage with the IT department, the records department, and archivists, and establish the organizational, and departmental, needs and priorities. I would try to identify which records, based on subject, department, or date, should be prioritized. I would also sit down with management and the legal department and discuss the corporate priorities as well as any compliance needs. I would develop a tentative plan including staff hours, cost, and required hardware or software. In order to address the recordkeeping needs of the organization. I would create a flow chart based on each record group or series to determine the priority that each record should receive. I would address the following issues: departmental needs, budgetary limitations, available staffing, and the status of the existing backup data files. I would try to establish which records have a priority in regard to corporate needs. Those records having priority would be placed with staff whom could work on them. Lastly, I would build into the plan the requirement for a quarterly
11 10 review to measure actual work output vs. assigned goals. References: Adobe Systems Inc, (2002). Whitepaper- PDF as a standard for archiving, Adobe Systems Inc., (2003). Whitepaper- PDF as a standard for managing and archiving documents and forms. Retrieved 1/ from: Adobe Systems Inc., (2012). Adobe to release PDF for industry standardization FAQ. Retrieved 1/28/2012 from: Dearstyne, B.W. (2009). Managing Records & Information Programs: Principles, techniques and tools, Excerpt from Chapter 3: The Art of Managing RIM Programs, Lenexa, KS: ARMA International, Fanning, B., (2006). A family affair: PDF standards update, AIIM, 20 (6), Fanning, B., (2007). PDF standards, AIIM, 21 (4), ICA (2008). Principles and functional requirements for records in electronic office Environments- Module 1: Overview and statement of principles, International Council on Archives & Australasian Digital Recordkeeping Initiative, Canberra: New Zealand. Retrieved 1/28/2012 from: Library of Congress (2011). Sustainability of digital formats planning for Library of Congress collections, Library of Congress, Washington, D.C. Retrieved 1/26/2012 from:
12 11 Logan, D. (2009). Principles for gaining control of electronic information, Hottopic, Lenexa, KS: ARMA International, pp. HT6-12. Retrieved 1/26/2012 from: McLeod, J., & Hare, C. (Eds.). (2005). Managing electronic records. London: Facet. Millar, L., et al., (2009). Module 1: Understanding the context of electronic records management, in L. Millar (Ed.), Training in Electronic Records Management, London: International Records Management Trust. Retrieved 1/28/2011 from: odule%201.pdf National Archives and Records Administration. (2000). Records management guidance for agencies implementing electronic signature technologies, Policy and Communications Staff, Modern Records Program, Office of Records Services, Washington, D.C. Retrieved 1/26/2012 from: Saffady, W. (2009). Managing electronic records. Lenexa, KS: ARMA International. Spencer, H., (May/June 2004). PDF viewing technology becomes ubiquitous, AIIM, 18 (3), Stephens, D.O. (2010). Records management: Making the transition from paper to electronic, Lenexa, KS: ARMA International.
13 12 Sullivan, S. J. (2006). An archival/records management perspective on PDF/A, Records Management Journal, 16 (1), Swartz, N., (May/June 2003). Will PDF prevent a digital dark age?, IMJ, 37 (3), 13.
14 Drexel honesty statement: (scanned) 13
Which database components are records
Drexel University From the SelectedWorks of James Gross February 26, 2012 Which database components are records James Gross, Drexel University Available at: https://works.bepress.com/jamesgross/30/ Which
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