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
3、sers, retailers, governments, educational institutions, technical, professional and trade societies, and research and testing organizations. Any given standard is developed on the consensus of views expressed by such representatives.CGSB has been accredited by the Standards Council of Canada as a na
4、tional standards-development organization. The standards that it develops and offers as National Standards of Canada conform to the criteria and procedures established for this purpose by the Standards Council of Canada. In addition to standards it publishes as National Standards of Canada, CGSB pro
5、duces standards to meet particular needs, in response to requests from a variety of sources in both the public and private sectors. Both CGSB standards and CGSB national standards are developed in conformance with the policies described in the CGSB Policy and Procedures Manual for the Development an
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
7、 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 standards, including details on latest issues and amendments, and ordering instructions, is found in the CGS
8、B Catalogue at our Web site www.tpsgc-pwgsc.gc.ca/ongc-cgsb/index-eng.html along with more information about CGSB products and services.Although the intended primary application of this standard is stated in its Scope, it is important to note that it remains the responsibility of the users of the st
9、andard to judge its suitability for their particular purpose.The testing and evaluation of a product against this standard may require the use of materials and/or equipment that could be hazardous. This document does not purport to address all the safety aspects associated with its use. Anyone using
10、 this standard has the responsibility to consult the appropriate authorities and to establish appropriate health and safety practices in conjunction with any applicable regulatory requirements prior to its use. CGSB neither assumes nor accepts any responsibility for any injury or damage that may occ
11、ur during or as the result of tests, wherever performed.Attention is drawn to the possibility that some of the elements of this Canadian standard may be the subject of patent rights. CGSB shall not be held responsible for identifying any or all such patent rights. Users of this standard are expressl
12、y advised that determination of the validity of any such patent rights is entirely their own responsibility.LanguageIn this Standard, “shall” states a mandatory requirement, “should” expresses a recommendation and “may” is used to express an option or that which is permissible within the limits of t
13、his Standard. Notes accompanying clauses do not include requirements or alternative requirements; the purpose of a note accompanying a clause is to separate from the text explanatory or informative material. Annexes are designated normative (mandatory) or informative (non-mandatory) to define their
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16、 found at www.scc.ca. An SCC-approved standard reflects the consensus of a number of experts whose collective interests provide, to the greatest practicable extent, a balance of representation of affected stakeholders. National Standards of Canada are intended to make a significant and timely contri
17、bution to the Canadian interest. SCC is a Crown corporation within the portfolio of Industry Canada. With the goal of enhancing Canadas economic competitiveness and social well-being, SCC leads and facilitates the development and use of national and international standards. SCC also coordinates Cana
18、dian participation in standards development, and identifies strategies to advance Canadian standardization efforts. Accreditation services are provided by SCC to various customers, including product certifiers, testing laboratories, and standards development organizations. A list of SCC programs and
19、 accredited bodies is publicly available at www.scc.ca. Users should always obtain the latest edition of a National Standard of Canada from the standards development organization responsible for its publication, as these documents are subject to periodic review.The responsibility for approving stand
20、ards as NSCs rests with:Standards Council of Canada 55 Metcalfe Street, Suite 600 Ottawa, Ontario K1P 6L5, CANADAby telephone 819-956-0425 or 1-800-665-2472by fax 819-956-5740by mail CGSB Sales Centre Gatineau, Canada K1A 1G6in person Place du Portage Phase III, 6B1 11 Laurier Street Gatineau, Quebe
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
