1、CGSB CAN/CGSB- 72-33-73 ft L874b50 0023285 467 = NATIONAL STANDARD OF CANADA Microfilm and Electronic Images as Documentary Evidence C anadian General Standards Board CAN/CGSB-72.11-93 Supersedes CAN/CGSB-72.11-M88 CGSB CAN/CGSB- 72.11-93 Xt = The CANADIAN GENERAL STANDARDS BOARD (CGSB), under whose
2、 auspices this standard has been developed is a government agency within the Federal Department of Supply and Services. 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 committ
3、ees are composed of representatives of relevant interests including producers, consumers and other users, retailers, governments, educational institutions, technical, professional and trade societies, and research and testing organizations. Any given standard is developed on the consensus of views e
4、xpressed by such representatives. The Ministers Advisory Council on CGSB reviews the results of the consensus process. CGSB has been accredited by the Standards Council of Canada as a national standards-writing organization. The standards that it develops and offers as National Standards of Canada c
5、onform to the criteria and procedures established for this purpose by the Standards Council of Canada. In addition to standards it publishes as national standards, CGSB produces standards to meet particular needs, in response to requests from a variety of sources in both the public and private secto
6、rs. Both CGSB standards and national standards developed by CGSB are developed in conformance with the policies described in the Policy Manual for the Development and Maintenance of Standards by CGSB. CGSB standards are subject to review and revision at any time, so as to ensure that they keep abrea
7、st of technological progress. Suggestions for their improvement, which are always welcome, should be brought to the notice of the standards committees concerned. Changes to standards are issued either as separate amendment sheets or in new editions of standards. An up-to-date listing of CGSB standar
8、ds, including details on latest issues and amendments, and ordering instructions, will be found in the CGSB Catalogue, which is published annually and is available without charge upon request. Although the intended primary application of this standard is stated in its Scope, it is important to note
9、that it remains the responsibility of the users of the standard to judge its suitability for their particular purpose. Many tests required by CGSB standards are inherently hazardous. CGSB neither assumes nor accepts any responsibility for any injury or damage that may occur during or as the result o
10、f tests, wherever performed. CGSB takes no position respecting the validity of any patent rights asserted with any item connected with this standard. Users of this standard are expressly advised that determination of the validity of any such patent rights are entirely their own responsibility. Furth
11、er information on CGSB and its services and standards may be obtained from: The Director Marketing and Corporate Services Branch Canadian General Standards Board Ottawa, Canada K1A 1G6 1874650 O023286 3T3 The STANDARDS COUNCIL OF CANADA is the co-ordinating body of the National Standards System. a f
12、ederation of independent, autonomous organizations working towards the further development and improvement of voluntary standardization in the national interest. The principal objectives of the Council are to foster and promote voluntary standardization as a means of advancing the national economy,
13、benefiting the health, safety and welfare of the public, assisting and protecting the consumer, facilitating domestic and international trade, and furthering international co-operation in the field of standards. A National Standard of Canada is a standard which has been approved by the Standards Cou
14、ncil of Canada and one which reflects a reasonable agreement among the views of a number of capable individuals whose collective interests provide, to the greatest practicable extent, a balance of representation of producers, users, consumers and others with relevant interests, as may be appropriate
15、 to the subject in hand. it normally is a standard that is capable of making a significant and timely contribution to the national interest. Approval of a standard as a National Standard of Canada indicates that a standard conforms to the criteria and procedures established by the Standards Council
16、of Canada. Approval does not refer to the technical content of the standard; this remains the continuing responsibility of the accredited standards-writing organization. Those who have a need to apply standards are encouraged to use National Standards of Canada whenever practicable. These standards
17、are subject to periodic review; therefore, users are cautioned to obtain the latest edition from the organization preparing the standard. The responsibility for approving National Standards of Canada rests with the: Standards Council of Canada 45 OConnor Street Suite 1200 Ottawa, Ontario KIP 6N7 How
18、 to order Publications: by Telephone - (613) 941-8703 or - (613) 941-8704 by Fax - (613) 941-8705 by Mail - CGSB Sales Centre Ottawa, Canada K1A 1G6 in Person - Suite 1500 222 Queen Street Ottawa, Ontario CGSB CAN/CGSB- 72-11-73 tt m 1874650 0023287 23T m NATIONAL STANDARD OF CANADA CANKGSB-72-11-93
19、 Supersedes CANKGSB-72.11 -MSS French translation to be published at a later date MICROFILM AND ELECTRONIC IMAGES AS DOCUMENTARY EVIDENCE Prepared by the Approved by the Canadian General Standards Board es Standards Council of Canada Published October 1993 by the Canadian General Standards Board Ott
20、awa, Canada K1A 1G6 QMinister of Supply and Services Canada - 1993 No part of this publication may be reproduced in any form without the prior permission of the publisher. CGSB CANKGSB- 72-11-73 tt m 1a7450 ooz32aa 176 m CANADIAN GENERAL STANDARDS BOARD CoiMMIlTEE ON MICROGRAPHICS AND IMAGE MANAGEME
21、NT (Membership at in particular, Vigi Gurushanta (Committee Chairperson) and Ken Chasse, Don Donoahue, Ray Grenkie, Steve Knight (Subcommiitee Chairpersons). Acknowledgment is made for the French translation of this National Sthrd of Canada by the Translation Bureau of the Depanment of the Secretary
22、 of State. CANKGSB-72.11-93 C ANICGSB-72.11-93 FOREWORD This standard is intended to give only general legal information and not legal advice. The laws referred to in the standard may have been altered after publication of the standard. A lawyer should be consulted for legal advice in regard to appl
23、ying this standard to any particular information management or record-keeping system or issue. CGSB CANICGSB- 72=LL-93 * = L874b50 0023290 824 TABLE OF CONTENTS CANICGSB-72.11-93 Page Introduction i I General . 1 1 . scope 1 2 . Applicable publications . 2 3 . Terminology . 2 Management Program 9 4
24、. Fundamentals of a Micrographics and/or Electronic Image II Micrographics 11 1 . Establishing the Micrographics Program . 11 2 . Preparation of Documents for Microfilming 12 3 . Microfilming Procedures 12 4 . Evidentiary Requirements (microfilm) 13 5 . Storage and Preservation 15 III ElectronicImag
25、es 16 1 . Establishing the Electronic Image Management Program . 16 Preparation of Documents for Electronic Image Capture . 4 . Evidentiary Requirements (Electronic images) . 21 2 . 17 3 . Basic Control Objectives 17 IV NotesandExplanatory Notes . 24 1 . Notes 24 2 . Micrographic explanatory notes 2
26、5 3 . Electronic image explanatory notes 27 CGSB CAN/CGSB- 72-11-93 Sf I1874650 0023291 760 = CANICGSB-72.11-93 INTRODUCTION Images as an information medium are important to the business community and to the government because they offer the potential for reduced storage costs over paper records, in
27、creased efficiencies in information retrieval, and accurate reproduction of the original. As well, they may enhance the security aspects of computerized record-keeping by providing less expensive duplicate copies of records. However, there are numerous instances where images are not used to their fu
28、ll potential because of the uncertainty of their being admitted into evidence in court proceedings. The issue is not whether it is legal to copy records. No law prohibits any organization from copying its own records if it is keeping the source records. Rather, the legal issue is whether an image-pr
29、oduced copy will be as admissible and credible in court proceedings as its source record after that source record has been disposed of. The business record and banking record provisions of the Evidence Acts require that business records be made “in the usual and ordinarycourse of business“ in order
30、to be admissible as evidence in court proceedings. Therefore the image program must be part of the organizations “usual and ordinary course of business“. The admissibility and credibility of image-produced copies cannot be equal to that of the source records without proper authority to dispose of so
31、urce records and to keep the organizations permanent records on electronic or micrographic media. In the absence of such authority, a court might find, for example, that although the copying of source records such as paper documents is part of the organizations “usual and ordinary course of business
32、“, the disposal of those source records is not. Such a finding might prevent admissibility into evidence of the image-produced copies or greatly reduce their credibility even when they are admissible. In addition, the absence of such authority might give rise to an adverse inference that the source
33、records were disposed of in bad faith, Copying without the disposal of source records is merely the production of another copy; it is not the creation of a new source record having exclusive authority as the official and authoritative record. That should be the purpose of an image management program
34、. To allow source records to continue to exist after copying is to risk an inference that the copies made from them are not as reliable, secure or accurate as those source records. As a result, the disposal/destruction of records has been provided for in the certification procedure of this standard.
35、 If the procedure outlined (which relies heavily upon the certification of all phases of the program) is properly followed, the labour-intensive step of a one-to-one comparison of the captured images and the source records can be avoided. i CGSB CAN/CGSB- 72.LL-93 * L874b50 0023292 bT7 = It is not s
36、ufficient that only people in the legal profession and the judiciary understand the requirements of the law of evidence as it relates to business records. It is also necessary that information-handling experts understand these requirements so that the necessary circumstantial guarantees of reliabili
37、ty, security and accuracy that the law of evidence looks for are built into record-keeping systems at the time they are designed. For these reasons, some guidelines on evidentiary requirements are included in the standard in order to assist organizations to comply with the business document provisio
38、ns of the Evidence Acts. It is necessary, therefore, that there be guidelines and procedures to enable an organization to demonstrate to a court, tribunal or inquiry, that it has a credible image management program capable of copying source records accurately, reliably and in a timely fashion withou
39、t loss of value. Therefore, unless otherwise prohibited by law, an organizations senior management can give authority to dispose of its paper source records and rely exclusively on its captured records in the conduct of every day business. However, this standard is subject to, and does not diminish
40、the authority of those special laws that require that source records be kept for specified periods of time. For example: A retention period imposed by the microfilm or photographic document provision of a Provincial Evidence Act or special requirement imposed by a regulatory agency. At all times, an
41、 organization must be prepared to produce its imaged copies as evidence. This is accomplished by the witness or affidavit evidence specified by the Evidence Acts. The evidentiary requirements for business, banking and photographic documents arise from the Canada Evidence Act, the Evidence Acts and O
42、rdinances of the provinces and territories, the common law, and from any specialized legislation that deals with documents for particular uses. Generally, the Canada Evidence Act applies to matters within federal legislative authority, while the provincial and territorial Evidence Acts and Ordinance
43、s apply to matters within provincial and territorial legislative authority. The advice of a lawyer is often necessary to be certain of the applicable legislation. This standard seeks to provide information-handling experts with general legal information so that the integrity sought by the Law of Evi
44、dence is built into automated image record-keeping systems at the time they are designed. For these reasons, guidelines on preparing evidence and witnesses for court are included in the explanatory notes in order to assist organizations in complying with the provisions of the Evidence Acts. However,
45、 this standard is not intended to provide legal advice, merely general legal information. 1. 1.1 1.2 1.3 CAN/CGSB-72.11-93 Supersedes CAN/CGSB-72.11-M88 CANADIAN GENERAL STANDARDS BOARD MICROFILM AND ELECTRONIC IMAGES AS DOCUMENTARY EVIDENCE PartI: GENERAL SCOPE This standard provides rules and guid
46、elines for organizations to establish and operate a credible image management program with the ability to demonstrate that the resulting captured images are accurate reproductions of source records. This standard provides guidelines for the capture of images of business source records and the secure
47、 storage of those images. In order to maximize the probability of admissibility and weight given to business records as evidence, this standard recommends that they be stored in secure storage. Because computer output to microfilm (COM) is considered by many to be a source record, many of the certif
48、ication requirements will not be necessary. When microform systems are used which allow images to be erased, special procedures and/or affidavits that are not described in this standard may be necessary to safeguard the systems integrity and the admissibility and credibility of its records. In these
49、 circumstances, specific legal advice should be obtained. This standard does not describe the processing methods and the technical requirements necessary to apply the rules and quality control guidelines specified in this standard. For that purpose, the publications referred to in Part I, Section 2 should be used. These publications deal with such methods and technical requirements as document indexes, capture resolutions, preparation of source records for capture, capture procedures, image compression, image enhancement, and index data verification. CAN/CGSB-72.11-93 1 CGSB CAN/C
