CAN CGSB-72 34-2017 Electronic records as documentary evidence.pdf

1、CAN/CGSB-72.34-2017Supersedes CAN/CGSB-72.34-2005National Standard of CanadaCanadian General Standards BoardElectronic records as documentary evidenceThe CANADIAN GENERAL STANDARDS BOARD (CGSB), under whose auspices this standard has been developed, is a government agency within Public Services and

2、Procurement Canada. CGSB is engaged in the production of voluntary standards in a wide range of subject areas through the media of standards committees and the consensus process. The standards committees are composed of representatives of relevant interests including producers, consumers and other u

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6、d Maintenance of Standards.CGSB standards are subject to review and revision to ensure that they keep abreast of technological progress. CGSB will initiate the review of this standard within five years of the date of publication. Suggestions for their improvement, which are always welcome, should be

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21、cby email ncr.cgsb-ongctpsgc-pwgsc.gc.caon the Web www.tpsgc-pwgsc.gc.ca/ongc-cgsb/index-eng.htmlHow to order Publications:Published March 2017 by the Canadian General Standards Board Gatineau, Canada K1A 1G6 HER MAJESTY THE QUEEN IN RIGHT OF CANADA, as represented by the Minister of Public Services

22、 and Procurement, the Minister responsible for the Canadian General Standards Board (2017).No part of this publication may be reproduced in any form without the prior permission of the publisher.Electronic records as documentary evidenceCETTE NORME NATIONALE DU CANADA EST DISPONIBLE EN VERSIONS FRAN

23、AISE ET ANGLAISE.ICS 37.080NATIONAL STANDARD OF CANADACAN/CGSB-72.34-2017Supersedes CAN/CGSB-72.34-2005CAN/CGSB-72.34-2017 CGSB 2017 All rights reservedCANADIAN GENERAL STANDARDS BOARDCommittee on Electronic Records and Image Management (Voting membership at date of approval)Chair (Voting)Duranti, L

24、. Interpares Trust (General interest)General interest categoryFox, U. Arma Canada Groulx, K. The Advocates SocietyLachance, M. Mindshare Consulting Services Spiteri, L. Dalhousie UniversityProducer categoryCaughell, T. Open Text CorporationDavis, R.G. Data Repro Com LimitedKnight, S. Access Systems

25、Ltd. Krishnamoorthy, R. Deloitte LLPKnoppers, J. V. Information Management Services (Infoman) Inc.Priest, G. Iron MountainPeterson, V. CriticalControl SolutionsRegulator categoryCooper, R. Treasury Board of Canada SecretariatJahn, C. Canada Border Services AgencyTremblay, G. Canada Revenue AgencyUse

26、r categoryBanks, T. Public Services and Procurement CanadaBall, J. Royal Canadian Mounted PoliceCurley, D. Privy Council Office Earle, H. Agriculture and Agri-Food CanadaGourlie, M. Association of Canadian Archivists Laferrire, H. Data Management Association (DAMA)Meldrum, A. Innovation, Science and

27、 Economic Development CanadaStephens, S. Canadian Bankers AssociationSecretary (non-voting)Lozano, A. Canadian General Standards BoardAcknowledgment is made to Brian Thurgood and Lois Evans for leading the working group in the revision of this standard. Acknowledgment is made for the translation of

28、this National Standard of Canada by the Translation Bureau of Public Services and Procurement Canada.CAN/CGSB-72.34-2017i CGSB 2017 All rights reservedContents PageForeword . iii0 Introduction iv0.1 About this standard . iv0.2 Relationship to Canadian legal evidentiary requirements . iv0.3 Use of th

29、is standard in legal proceedings . iv0.4 Terms and definitions iv0.5 English and French versions of this standard . v1 Scope 12 Normative references . 13 Terms and definitions . 24 Acronyms and abbreviated terms . 85 Legal requirements for electronic records as documentary evidence 95.1 General . 95

30、.2 Requirements for admissibility of electronic records as documentary evidence 95.2.1 Authenticity of the record 95.2.2 Integrity of the electronic records system 95.2.3 “Record made in the usual and ordinary course of business” 105.2.4 Proof of the integrity of an organizations records system 105.

31、3 Electronic discovery (e-discovery) and litigation preparedness 115.3.1 Technology-Assisted Review (TAR) and other automated tools and techniques. 115.4 Legal hold 115.5 Signatures 135.5.1 Electronic signature 135.5.2 Wet signature 135.6 Authenticated paper copies for legal proceedings 136 Records

32、Management (RM) program 146.1 General . 146.2 Establishment of the program . 146.2.1 Authorization . 146.2.2 Responsibility 146.2.2.1 Delegation of responsibility . 156.2.2.2 External service provider . 156.2.2.3 Use of external service provider services 156.2.2.4 Changes to the program . 156.3 Poli

33、cy 156.3.1 Requirement for a policy 156.3.2 Contents of the policy 156.3.3 Compliance with the policy 166.4 Manual 166.4.1 General . 166.4.2 Records capture 166.4.2.1 General . 166.4.2.2 Digitization . 176.4.3 Classification and indexing 176.4.4 Records maintenance and use 186.4.5 Records retention

34、requirements 186.4.6 Records disposition 19iiCAN/CGSB-72.34-2017 CGSB 2017 All rights reserved6.4.6.1 General . 196.4.6.2 Disposition process 196.4.6.3 Destruction of electronic records 196.4.6.4 Transfer of electronic records to another entity 196.4.6.5 Records preservation . 196.4.6.5.1 Records co

35、nversion and migration . 206.4.6.5.2 Preservation formats 206.4.7 Quality assurance . 206.5 IT system management guide 206.5.1 General . 206.5.2 Backup and system recovery 216.5.3 Security and protection 226.5.3.1 IT security policy and procedures . 226.5.3.2 Encryption and secure electronic signatu

36、res 226.5.3.3 Self-modifying electronic records . 226.5.3.4 Date and time stamps . 226.5.4 Records transmission 226.5.5 Audit trail . 226.5.5.1 General . 226.5.5.2 Management of audit trail records 236.5.5.3 Content of the audit trail . 236.5.5.4 Audit trail creation 236.5.5.5 Access 236.5.5.6 Audit

37、 trail of conversion and migration 246.5.5.7 Workflow 246.5.5.8 Verification . 247 New technologies 247.1 Risk assessment 247.2 Cloud computing 257.2.1 Jurisdictional location 257.2.2 Privacy . 257.2.3 Admissibility rules 257.2.4 Records system integration . 257.3 Social media 267.4 Mobile devices .

38、 26Annex A Sources for this standard . 27Annex B Metadata 28Annex C Preservation formats 30Annex D Cloud computing 31Annex E Social media 33Annex F Mobile devices . 34Bibliography . 37CAN/CGSB-72.34-2017iii CGSB 2017 All rights reservedForewordCAN/CGSB-72.34 specifies principles, methods, and practi

39、ces for the creation (i.e. making, receipt, and capture) and management of all forms of electronic records (e.g. e-mail, cartographic, audio-visual, textual, multimedia, etc.) to support their admissibility (see 3.5 and 3.6) and weight (see 3.74) as evidence in legal proceedings. Because this standa

40、rd provides only general legal, management and technical information, users should seek expert advice before applying its recommendations to specific records or systems.This standard is harmonized with applicable federal, provincial and territorial acts in force and their pursuant regulation at the

41、time of the Committees deliberations. Where differences exist between an act or a regulation and this standard, the former shall prevail.ivCAN/CGSB-72.34-2017 CGSB 2017 All rights reserved0 Introduction0.1 About this standardAn organization may be required to produce electronic records as evidence i

42、n legal proceedings. To support the admissibility and weight of electronic records as documentary evidence, the organization needs to ensure that these records can be proven or presumed to be reliable, accurate, and authentic, that is, trustworthy. To ensure the trustworthiness of their electronic r

43、ecords, an organization should comply with this standard.This standard uses the term “electronic record” rather than “digital record.” Whereas the term “digital record” refers to a record composed of discrete binary values aggregated into one or more bit stream, the term “electronic record” encompas

44、ses any digital record as well as any analogue record that is carried by an electrical conductor and requires the use of electronic equipment to be made intelligible to an individual. This standard is information technology agnostic, in that it neither assumes nor endorses any specific system enviro

45、nment, database management system, database design paradigm, system development methodology, data definition language, command language, system interface, user interface, syntax, computing platform, or any technology required for implementation. This standard supports an integrated, interoperable el

46、ectronic records management system approach. This standard provides a framework and guidelines for the implementation and operation of records systems for electronic records, whether or not any information held therein will ever be required as evidence. Thus, compliance with it should be regarded as

47、 a demonstration of responsible business management. Applying the standard to an organizations business will not eliminate the possibility of litigation, but the probability is that it will make the production of electronic records easier and their acceptance in a legal procedure more certain.0.2 Re

48、lationship to Canadian legal evidentiary requirementsRecords recorded by or stored in an electronic technology may be admissible as evidence in Canadian legal proceedings. If their admissibility is challenged, the records will need to satisfy certain statutory and, in some cases, common law admissib

49、ility requirements. These requirements may vary depending on the purpose for which the records are offered into evidence. The Canada Evidence Act, as well as most provincial and territorial Evidence Acts, contains the following provision, encouraging the use of standards:31.5 For the purpose of determining under any rule of law whether an electronic document is admissible, evidence may be presented in respect of any standard, procedure, usage or practice concerning the manner in which electronic documents are to be recorded or st