ISO/TC 171/SC 2 - Document file formats, EDMS systems and authenticity of information

This document specifies Advanced Function Presentation (AFP) interchange as a container for document objects by defining the AFP file format Mixed Object Document Content Architecture (MO:DCA)[1]. It includes a means of identifying support for specifically including single and multi-page Portable Document Format (PDF) document objects as a container function set. It also includes a mechanism for pairing and managing resources associated with PDF. NOTE For an example of how PDF external file references map into AFP secondary resources, see Annex A. The use of AFP is applicable to AFP and PDF workflows where the final production is managed within an Intelligent Printer Data Stream (IPDS) environment. [1] The Architecture references shown (MO:DCA as an example) are copyright of the AFP Consortium. This information is given for the convenience of users of this document and does not constitute an endorsement by ISO of this product.

This document defines how the XMP data model can be serialized to JSON-LD.

This document defines a set of ECMAScript object types for automating and interacting with PDF documents and the contents of such documents.

This document specifies a digital form for representing electronic documents to enable users to exchange and view electronic documents independent of the environment in which they were created or the environment in which they are viewed or printed. It is intended for developers of software that creates PDF files (PDF writers), software that reads existing PDF files and (usually) interprets their contents for display (PDF readers), software that reads and displays PDF content and interacts with the computer users to possibly modify and save the PDF file (interactive PDF processors) and PDF products that read and/or write PDF files for a variety of other purposes (PDF processors). (PDF writers and PDF readers are more specialised classifications of interactive PDF processors and all are PDF processors). This document does not specify the following: ? specific processes for converting paper or electronic documents to the PDF file 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; ? methods for validating the conformance of PDF files or PDF processors; ? required computer hardware and/or operating system.

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.

This document defines a subset of ISO 32000 suitable for storage, transport and exchange of multi-page raster-image documents, including but not limited to scanned documents. Bitonal, grayscale and RGB images are supported. Compression options for image data streams include JPEG, CCITT Group 4 Fax and uncompressed.

This document specifies an XML format for representing forms data and annotations in the Portable Document Format, ISO 32000-2 (PDF 2.0). This document does not change or add any definitions for any components of ISO 32000-2.

This document defines two essential components of XMP metadata: — Data model: The data model is the most fundamental aspect. This is an abstract model that defines the forms of XMP metadata items, essentially the structure of statements that XMP can make about resources. — Serialization: The serialization of XMP defines how any instance of the XMP data model can be recorded as XML. In addition, this document defines a collection of core properties, which are XMP metadata items that can be applied across a broad range of file formats and domains of usage. The embedding of XMP packets in specific file formats and domain-specific XMP properties are beyond the scope of this document.

This document gives guidelines for a set of procedures and activities to be considered and/or performed by organizations when planning, designing and implementing various enterprise content management (ECM) technologies. The aspects or project phases range from initial business analysis through to vendor/integrator selection and technology implementation. The implementation of processes to manage electronically stored information (ESI) requires significant participation from the affected business units, if the content is stored and managed when created/received and controlled through the information life cycle following organizational policies and/or records retention and control policies are applied. As these efforts require multiple people with different disciplines, including technical teams, records managers and organizational management, this document has been prepared taking those perspectives into account. This document is applicable to both in-house and outsourced systems, including cloud solutions. It can also be useful when dealing with specialized business systems. The term "enterprise content management (ECM)" (or "document management") used throughout this document is intended as an all-encompassing term referring to capture technologies [scanning, indexing, optical character recognition (OCR), forms, digital creation, etc.], management technologies (document services, workflow and other work management tools), and storage [primarily non-alterable or write once read many (WORM) technologies]. This document provides information to users related to the technical reports, guidelines and standards that have been developed for technologies commonly available in ECM systems. This document is not intended to be an all-inclusive paper on electronic document or content management and does not attempt to influence any single technology or provide legal guidance or legal opinions. While there are storage technologies other than optical/magnetic currently available (i.e. microfilm, microfiche and hybrid storage systems) that are not included in this document, those technologies can be reviewed if determined to be appropriate by the end-user organization.

This document gives guidelines for selecting the most appropriate file format(s) for the storage, usability, and exchange of data with a long-term management objective. It is applicable to the selection of file formats to be used to store electronic documents. It provides guidance that takes into account: — the durability of documents in a readable form; — fidelity to the original and data integrity; — interoperability, i.e. independence from creation applications, information systems and rendition platforms; — compliance with relevant laws and regulations; — compliance with format specifications; — reducing costs by reducing the number of conversions/migrations over time. This document is applicable to all office activities (e.g. text processing, spreadsheets, presentations), email and static web pages, as well as all types of electronic components, including images, video and sound. It does not apply to database formats.

ISO 22938:2017 defines the interchange format for content/document management (CDM) data and all associated resources.

ISO 18829:2017 identifies activities and operations that an organization needs to perform, or have performed, to evaluate whether the electronically stored information (ESI) is or was maintained in a reliable and trustworthy environment(s). These environments utilize content or records management technologies commonly referred to as either enterprise content management (ECM) or electronic document and records management (EDRM) enforcing organizational records management policies and schedules. ISO/TR 15801 and ISO 15489 (all parts) established the standards and best practices associated with implementing trustworthy records/document management environments. However, a standard is necessary to define the methodology used to evaluate these types of records/document management environments regardless of what technologies are currently employed by the organization. ISO 18829:2017 establishes the assessment methodology to be followed to identify the level of organizational compliance with these standards as related to trustworthiness and reliability of information stored in these environments. ISO 18829:2017 is applicable to existing or planned ECM systems. Establishing the existence of a trustworthy system is an important step in documenting the reliability of ESI maintained within that system or environment. ISO 18829:2017 is designed for use by organizations evaluating the trustworthiness of existing record/document management environments. ISO 18829:2017 identifies all of the mandatory activities and areas that need to be examined by a resource, or resources, with a thorough technical and operational knowledge of the specific technologies and methodologies being examined, along with understanding record management processes and activities.

ISO 5127:2017 provides a concept system and general vocabulary for the field of documentation within the whole information field. It has been created with a balanced representation of major work areas in mind: documentation, libraries, archives, media, museums, records management, conservation as well as legal aspects of documentation. The scope of the vocabulary provided in this document corresponds to that of ISO/TC 46: standardization of practices relating to libraries, documentation and information centres, publishing, archives, records management, museum documentation, indexing and abstracting services, and information science.

ISO 15489-1:2016 defines the concepts and principles from which approaches to the creation, capture and management of records are developed. This part of ISO 15489 describes concepts and principles relating to the following: a) records, metadata for records and records systems; b) policies, assigned responsibilities, monitoring and training supporting the effective management of records; c) recurrent analysis of business context and the identification of records requirements; d) records controls; e) processes for creating, capturing and managing records. ISO 15489-1:2016 applies to the creation, capture and management of records regardless of structure or form, in all types of business and technological environments, over time.

ISO/TS 18344:2016 defines test methods and minimum requirements for paper deacidification processes regarding their effectiveness and consistency. It is applicable for all large scale processes which offer deacidification of acid documents made of printed or hand-written paper. Possible negative side effects of deacidification processes on the treated objects are not the subject of this Technical Specification. However, some general recommendations for how to cope with these side effects are given in Annex A. It is not specified either, which types of paper objects can be treated by large scale deacidification methods. Whatever currently available deacidification method is used, some objects might be excluded from treatment to avoid mechanical damage to paper and bindings or other unwanted side effects. The provider of the deacidification treatment should inform the customer about the limitations of the chosen method.

ISO 7098:2015 explains the principles of the Romanization of Modern Chinese Putonghua (Mandarin Chinese), the official language of the People's Republic of China as defined in the Directives for the Promotion of Putonghua, promulgated on 1956-02-06 by the State Council of China. This International Standard can be applied in documentation of bibliographies, catalogues, indices, toponymic lists, etc.

ISO 18565:2015 specifies the AFP document architecture by defining a subset appropriate for long-term preservation and retrieval. This subset will avoid ambiguity by assuring page independence and eliminating the use of resolution dependent fonts and images, device default fonts and external resources.

ISO 17469-1:2015 specifies an Extensible Markup Language (XML) vocabulary and schema (XSD) for the elements that are common and considered to be part of the essential core of the strategic plans of all organizations worldwide. This International Standard will not address - how the information contained in strategic and performance plans and reports should be presented, - specify font sizes or colours, page margins or numbering, or how graphics should be displayed, and - provide guidance on how to compile high-quality plans, beyond specifying the basic elements that they should contain.

ISO 14289-1:2014 specifies the use of ISO 32000‑1:2008 to produce accessible electronic documents. This part of ISO 14289 is not applicable to: - specific processes for converting paper or electronic documents to the PDF/UA 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.

ISO 14739-1:2014 describes PRC 10001 of a product representation compact (PRC) file format for three dimensional (3D) content data. This format is designed to be included in PDF (ISO 32000) and other similar document formats for the purpose of 3D visualization and exchange. It can be used for creating, viewing, and distributing 3D data in document exchange workflows. It is optimized to store, load, and display various kinds of 3D data, especially that coming from computer aided design (CAD) systems. This International Standard does not apply to: Method of electronic distribution Converting CAD system generated datasets to the PRC format Specific technical design, user interface, implementation, or operational details of rendering Required computer hardware and/or operating systems

ISO 16684-2:2014 specifies the use of RELAX NG to describe serialized XMP metadata. This applies to how conforming schemas can use the features of RELAX NG.

ISO/TR 18128:2014 intends to assist organizations in assessing risks to records processes and systems so they can ensure records continue to meet identified business needs as long as required. ISO/TR 18128:2014: a) establishes a method of analysis for identifying risks related to records processes and systems, b) provides a method of analysing the potential effects of adverse events on records processes and systems, c) provides guidelines for conducting an assessment of risks related to records processes and systems, and d) provides guidelines for documenting identified and assessed risks in preparation for mitigation. ISO/TR 18128:2014 can be used by all organizations regardless of size, nature of their activities, or complexity of their functions and structure. These factors, and the regulatory regime in which the organization operates which prescribes the creation and control of its records, are taken into account when identifying and assessing risk related to records and records systems. ISO/TR 18128:2014 can be used by records professionals or people who have responsibility for records in their organizations and by auditors or managers who have responsibility for risk management programs in their organizations.

ISO 19005-3:2012 specifies the use of the Portable Document Format (PDF) 1.7, as formalized in ISO 32000-1, 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.

ISO 19005-2:2011 specifies the use of the Portable Document Format (PDF) 1.7, as formalized in ISO 32000-1, for preserving the static visual representation of page-based electronic documents over time. ISO 19005-2:2011 is not applicable 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.

ISO/TR 14105:2011 defines the cognitive, physical, organizational, and human factors as they apply to usability criteria for electronic document management systems (EDMS) development, selection and implementation. ISO/TR 14105:2011 provides a framework for understanding the basic issues and concepts of organizational and human factors associated with implementing EDMS technologies. It describes the principles of human factors and ergonomics in their application to usability criteria for the planning and implementation of EDMS technologies, to environmental and implementation issues, and to training for long-term productivity benefits.

ISO 12029:2010 specifies requirements concerning the design of forms for user friendliness, with optimal machine readability for processing by electronic document management systems (EDMS). These requirements are limited to forms using roman characters.

ISO 10244:2010 specifies the detailed information associated with the activities organizations perform when documenting existing work or business processes (business process baselining), defining the level of information required to be gathered, methods of documenting the work or business processes, and the procedures used when evaluating or analyzing the work - business processes. ISO 10244:2010 provides tools for organizations to identify relevant aspects of work - business processes and to document them in a standardized format, thus permitting them to facilitate detailed analysis and identification of relevant technology(ies) so as to improve the processes or procedures.

ISO/TR 12033:2009 gives information to enable a user or electronic image management (EIM) integrator to make an informed decision on selecting compression methods for digital images of business documents. It provides technical guidance to analyse the type of documents and which compression methods are most suitable for particular documents in order to optimize their storage and use. For the user, ISO/TR 12033:2009 provides information on image compression methods incorporated in hardware or software in order to help the user during the selection of equipment in which the methods are embedded. For the equipment or software designer, ISO/TR 12033:2009 provides planning information. ISO/TR 12033:2009 is applicable only to still images in bit map mode. It only takes into account compression algorithms based on well-tested mathematical work.

ISO/TR 10255:2009 gives recommendations and provides guidance for maintaining archival optical disk collections. It describes the various services that would be necessary for the management of an optical media‑based system to ensure a successful implementation of this technology. ISO/TR 10255:2009 also provides guidance in the maintenance of data residing on on-line, off-line, and near-line digital optical storage devices; establishes a plan to ensure the migration path of digital information from early and current technology and optical media to future technologies and media; provides guidance for the short- and long-term effect of the finite life of digital optical storage devices. ISO/TR 10255:2009 also describes all forms of optical disk media including write-once-read-many (WORM), magneto-optical (MO), compact disk (CD), digital versatile disk (DVD) and newer technologies.

ISO 32000-1:2008 specifies a digital form for representing electronic documents to enable users to exchange and view electronic documents independent of the environment in which they were created or the environment in which they are viewed or printed. It is intended for the developer of software that creates PDF files (conforming writers), software that reads existing PDF files and interprets their contents for display and interaction (conforming readers) and PDF products that read and/or write PDF files for a variety of other purposes (conforming products). ISO 32000-1:2008 does not specify the following: • specific processes for converting paper or electronic documents to the PDF format; • specific technical design, user interface or implementation or operational details of rendering; • specific physical methods of storing these documents such as media and storage conditions; • methods for validating the conformance of PDF files or readers; • required computer hardware and/or operating system.

ISO 24517-:2008 specifies the use of the Portable Document Format (PDF) Version 1.6 for the creation of documents used in engineering workflows. ISO 24517-:2008 does not define the following: method of electronic distribution; method of creation or conversion from paper or electronic documents to the PDF/E format; specific technical design, user interface, or implementation; required computer hardware and/operating systems; or methods for validating the conformance of PDF/E files or readers.

ISO 19005-1:2005 specifies how to use the Portable Document Format (PDF) 1.4 for long-term preservation of electronic documents. It is applicable to documents containing combinations of character, raster and vector data.

ISO 10196:2003 provides guidance on the creation of printed documents so that they may be easily reproduced as microforms or scanned images. Although studies were based more specifically on the Latin alphabet, the general principles may be used as guidelines for the production of documents using other alphabets or ideograms. ISO 10196:2003 does not apply to technical drawings for which requirements are given in ISO 5457 and ISO 6428. It also does not apply to special micrographics or scanning-related applications (scanning of bank cheques or bar codes).

This document specifies Advanced Function Presentation (AFP) interchange as a container for document objects by defining the AFP file format [Mixed Object Document Content Architecture (MO:DCA)[1]]. It includes a means of identifying support for specifically including single and multi-page Portable Document Format (PDF) document objects as a container function set. It also includes a mechanism for pairing and managing resources associated with PDF. NOTE For an example of how PDF external file references map into AFP secondary resources, see Annex A. The use of AFP is applicable to AFP and PDF workflows where the final production is managed within an Intelligent Printer Data Stream (IPDS) environment. [1] The Architecture references shown (MO:DCA as an example) are copyright of the AFP Consortium. This information is given for the convenience of users of this document and does not constitute an endorsement by ISO of this product.

ISO 32000-2:2017 specifies a digital form for representing electronic documents to enable users to exchange and view electronic documents independent of the environment in which they were created or the environment in which they are viewed or printed. It is intended for developers of software that creates PDF files (PDF writers), software that reads existing PDF files and (usually) interprets their contents for display (PDF readers), software that reads and displays PDF content and interacts with the computer users to possibly modify and save the PDF file (interactive PDF processors) and PDF products that read and/or write PDF files for a variety of other purposes (PDF processors). (PDF writers and PDF readers are more specialised classifications of interactive PDF processors and all are PDF processors). ISO 32000-2:2017 does not specify the following: - specific processes for converting paper or electronic documents to the PDF file 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; - methods for validating the conformance of PDF files or PDF processors; - required computer hardware and/or operating system.

ISO 19444-1:2016 specifies an XML format for representing forms data and annotations in the Portable Document Format, ISO 32000-2 (PDF 2.0). ISO 19444-1:2016 does not change or add any definitions for any components of ISO 32000-2.

ISO/TR 17068:2012 details the authorized custody services of a Trusted Third Party Repository (TTPR) in order to ensure provable integrity and authenticity of the clients' digital records and serve as a source of reliable evidence. It describes the services and processes to be provided by a TTPR for the clients' digital records during the retention period, to ensure trust. It also details the criteria of "trustworthiness" and the particular requirements of TTPR services, hardware and software systems, and management. ISO/TR 17068:2012 has the limitation that the authorized custody of the stored records is between only the third party and the client.

ISO 14289-1:2012 specifies how to use ISO 32000-1 (PDF/UA-1) to produce accessible electronic documents. ISO 14289-1:2012 is not applicable to: specific processes for converting paper or electronic documents to the PDF/UA 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.

ISO/TR 22957:2009 presents a recommended set of procedures and activities that are advisable when performing analysis, selection and implementation of project phases associated with electronic document management systems technologies. ISO/TR 22957:2009 provides user-level information outlining specific recommended activities to be completed throughout the various project phases typically performed when implementing these technologies. It outlines the steps and activities, together with compliance with relevant industry standards and guidelines that need to be examined and “certified” to ensure relevant technologies have been analysed, designed, implemented and managed, ensuring document/record validity when used in a business or government environment. ISO/TR 22957:2009 provides both user- and technical-level information and guidance detailing specific recommended activities and project tasks/phases recognized throughout the EDMS industry as being the EDMS industry best practice related to analysing business processes, evaluating appropriate/relevant technologies and ensuring complete technology implementation where required by the organization.

ISO 22938 defines the interchange of content/document management (CDM) data and all associated resources.

ISO/TS 12029:2007 provides guidelines for the design of forms to be completed by users and scanned for processing by electronic image management (EIM) systems. These guidelines are limited to forms using roman characters.