Electronic Documents and Records

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Introduction

Electronic documents are governed by s.31.1 to 31.8 of the CEA. The provisions are meant to apply "in conjunction with either some common law general rule of admissibility of documents or some other statutory provision". The sections have the effect of deeming electronically produced documents as "best evidence" (see s.31.1 and 31.2).

The CEA must be complied with for all evidence coming from a computer.

In determining the admissibility of electronic documents the court must determine whether the record is authentic and reliable.

The regime set out in s. 31.1 to 31.8 is meant to give a "functional approach" to the admission of electronic records.

There is some suggestion that a functional approach will take into account the praticalities of alternative methods of proof.

Malleabillity of Electronic Records

The fact that records are electronic render them more malleable and so should be considered more closely for authenticity and reliability.

Evidence Act Only Affects Authentication and Best Evidence

These rules, however, are not intended to "not affect any rule of law relating to the admissibility of evidence, except the rules relating to authentication and best evidence."

These provisions are meant to address the fact that "technological change has rendered the former distinction between originals and copies a moot distraction in many areas".

It has been suggested that s. 31 is not designed as an exception to hearsay, instead only provide a process of authentication and admissibility.

In most cases where electronic documents are being tendered as documentary evidence--ie. where the data was inputted by a human--it should be treated as hearsay.

In order to admit electronic documents for the truth of its contents, in the absence of the author, may only be admitted as business records through s. 30 of the CEA or by using one of the hearsay exceptions.

Records of Automated Processes

Records created by an automated process is not hearsay as there is no person behind the records that could potentially be cross-examined on the meaning of the information.

Variable Standard

The admission of electronic documents will vary on the format that the record takes (printout, scanned copy, or native digital format). All cases the documents must be authentic and satisfy the best evidence rule.

Receipt of Electronic Documents

Section 842 permits courts to "create, collect, receive, store, transfer, distribute, publish or otherwise deal with electronic documents" in accordance with the Code or rules of court.

Transfer of data

843. (1) Despite anything in this Act, a court may accept the transfer of data by electronic means if the transfer is made in accordance with the laws of the place where the transfer originates or the laws of the place where the data is received.

Time of filing

(2) If a document is required to be filed in a court and the filing is done by transfer of data by electronic means, the filing is complete when the transfer is accepted by the court.
2002, c. 13, s. 84.

– CCC

Documents in writing

844. A requirement under this Act that a document be made in writing is satisfied by the making of the document in electronic form in accordance with an Act or the rules of court.
2002, c. 13, s. 84.

– CCC

Definition of Electronic Documents

Under s. 31.8 of the CEA, "electronic documents" are defined as:

31.8
...
...data that is recorded or stored on any medium in or by a computer system or other similar device and that can be read or perceived by a person or a computer system or other similar device. It includes a display, printout or other output of that data.

– CEA

This definition would include emails and all other electronic communications, all computer files, meta data associated with computer files, content of websites such as Facebook, Twitter, and chat logs found online.

Similarly, s. 841 of the Code defines "data" and "electronic document":

Electronic Documents

Definitions

841 The definitions in this section apply in this section and in sections 842 to 847. data means representations of information or concepts, in any form. (données) electronic document means data that is recorded or stored on any medium in or by a computer system or other similar device and that can be read or perceived by a person or a computer system or other similar device. It includes a display, print-out or other output of the data and any document, record, order, exhibit, notice or form that contains the data. (document électronique)
R.S., 1985, c. C-46, s. 841; R.S., 1985, c. 31 (4th Supp.), s. 97; 2002, c. 13, s. 84.

– CCC

Elements of Admission

The requirements for admission of an electronic document are:

1. Authenticity
2. Integrity / Reliability
3. Not Hearsay
4. Relevant and Material

The first two steps of authenticity and integrity/reliability are governed exclusively by s. 31.1 to 31.3 of the Canada Evidence Act. Establishing the second step includes the requirement that the form of the evidence satisfies the "best evidence rule" in addition to requiring that the evidence itself is sufficiently reliable. Section 31.3 provides a statutory shortcut to proof of integrity through the proof of integrity of the document system, however, even where the short cut fails, the evidence can still be admitted through common law proof of reliability.

Authentication

The burden is upon the party tendering the electronic document to prove its authenticity:

Authentication of electronic documents

31.1 Any person seeking to admit an electronic document as evidence has the burden of proving its authenticity by evidence capable of supporting a finding that the electronic document is that which it is purported to be.
2000, c. 5, s. 56.

– CEA

The proof of authentication is as condition precedent to admission of records.

There is "no objective standard to measure sufficiency"

The standard has been described as simply requiring evidence "capable of supporting a finding that the electronic document is as it claims to be". There must be "some evidence of authenticity". This standard is merely a threshold test that permits the evidence to be considered for "ultimate evaluation" and nothing more.

No Proof of Integrity

At the authentication stage, the judge is not to consider the "integrity" of the evidence, which is the focus of analysis on s. 31.2 relating to the "best evidence rule".

There is some suggestion that the party seeking admission of the record has the burden to establish the absence of any tampering. However, it should not be taken too far when it comes to electronic records, including internet sourced records, since all electronic documents have the potential to be manipulated in some way.

Authentication of Identity Evidence

Where the identity of the accused whose communication is found an electronic document is in dispute, the proof of authenticity requires that the Crown adducing the evidence show:

1. "a preliminary determination must be made as to whether, on the basis of evidence admissible against the accused, the Crown has established on a balance of probabilities that the statement is that of the accused" and
2. "If this threshold is met, the trier of fact should then consider the contents of the statement along with other evidence to determine the issue of innocence or guilt."

When proffering social media account evidence to establish identity, it is significant there be some evidence indicating where the user logged in from, particularly where the accused would claim the postings were faked or from someone else using his account.

Authentication of cell phone evidence

In relation to the admission of text messages found on a cell phone, the question of who sent the text messages is an issue of authentication and relevance not hearsay. Where the party adducing the evidence cannot prove who sent the message then they are not reliable".

Proof of identity of the sender which is relevant to authentication and reliability should include elements such as:

• recorded purchaser and subscriber;
• usage being consistent with the activities of the alleged user;
• location where the phone was used
• observational evidence of "exclusive or non-exclusive use" of the cell phone;
• contents of the cell phone text messages and telephone calls;
• patterns in cellphone and text message communications including the messages themselves; and
• evidence from witnesses who received communications from a cell phone and who can identify the source of those communications.

Linking a facebook account to an email address known to be used by the accused can be sufficient to authenticate facebook chat log.

Authentication of Social Media and Web Evidence

Screenshots of a website are not admissible simply as being forms of photograph and must comply with the s. 31.1 to 31.8 of the Evidence Act. However, it will usually be sufficient to have the account owner, or a party to a chat log, authenticate the records as accurate. This is not always necessary, and it can be authenticated by someone other than the person taking the screenshot as long as they have some first-hand familiarity with the contents of the website.

Even a person with limited technological experience and knowledge can authenticate social media.

The standard in s. 31.1 is "modest" and only requires that there be "evidence that is capable of supporting a finding" that the record "is that which it is purported to be". This evidence can be direct or circumstantial.

Absent testimony explaining the social media exhibit, including what it depicts and what it means, may render the exhibit inadmissible.

Time Stamps on Communications

To authenticate the "time stamps" for a message, there should be at least some evidence "direct or circumstantial", regarding the "accuracy or reliability of the computer-generated time stamp".

Best Evidence Rule

The "best evidence rule" can be satisfied by establishing either:

• "the integrity of the electronic documents system" that generated the document (s. 31.2(1)(a)) which is presumed (s. 31.3, see "presumption of integrity" below).
• in the case of printouts, that the "printout has been manifestly or consistently acted on, relied on or used as a record of the information recorded or stored in the printout" (s. 31.2(2))
• the presumption relating to electronic signatures (see s. 31.4)

Application of best evidence rule — electronic documents

31.2 (1) The best evidence rule in respect of an electronic document is satisfied

(a) on proof of the integrity of the electronic documents system by or in which the electronic document was recorded or stored; or

(b) if an evidentiary presumption established under section 31.4 applies.

Printouts

(2) Despite subsection (1), in the absence of evidence to the contrary, an electronic document in the form of a printout satisfies the best evidence rule if the printout has been manifestly or consistently acted on, relied on or used as a record of the information recorded or stored in the printout.

2000, c. 5, s. 56.

– CEA

It is suggested that the best evidence rule only applies to records being admitted for the truth of its contents and not real evidence.

Social Media Evidence

Given the impermanence of online evidence it can be that screenshots will be found to be the "best evidence" available.

Integrity of Electronic Document System

The authenticity and reliability of electronic documents can be established by "proof of the integrity of the electronic documents system rather than that of the specific electronic document".

Proof of integrity is established by factors including the manner of record, compliance with industry standards, business reliance, and security.

The evidence to show integrity of a records keeping system needs only show that the system was secure and that there was no observable evidence of tampering. There is no need to prove that there was reasonable no way by which records can be tampered with.

Problems with the accuracy and integrity of the system will most typically go to weight rather than the admission of electronic evidence.

Evidence of integrity can be from any source including a third party to the creation of the record.

Integrity of the Place the Evidence was Recorded or Stored

To rely on the presumption of integrity, the party adducing the electronic evidence must prove not only that the system that created the record, but also the system that stored the evidence, which may be a separate device entirely.

Presumption of Integrity

Under s. 31.3, in "absence of evidence to the contrary", the integrity of electronic documents are presumed where the is evidence of at least one of the following:

1. "that at all material times the computer system or other similar device used by the electronic documents system was operating properly" (s. 31.3(a));
2. if the device was not operating properly at all material times, that the malfunction "did not affect the integrity of the electronic document and there are no other reasonable grounds to doubt the integrity of the electronic documents system" (s. 31.3(a));
3. that "the electronic document was recorded or stored by a party who is adverse in interest to the party seeking to introduce it";(s. 31.3(b)) or
4. the document "was recorded or stored in the usual and ordinary course of business by a person who is not a party and who did not record or store it under the control of the party seeking to introduce it." (s. 31.3(c))

Presumption of integrity

31.3 For the purposes of subsection 31.2(1), in the absence of evidence to the contrary, the integrity of an electronic documents system by or in which an electronic document is recorded or stored is proven

(a) by evidence capable of supporting a finding that at all material times the computer system or other similar device used by the electronic documents system was operating properly or, if it was not, the fact of its not operating properly did not affect the integrity of the electronic document and there are no other reasonable grounds to doubt the integrity of the electronic documents system;

(b) if it is established that the electronic document was recorded or stored by a party who is adverse in interest to the party seeking to introduce it; or

(c) if it is established that the electronic document was recorded or stored in the usual and ordinary course of business by a person who is not a party and who did not record or store it under the control of the party seeking to introduce it.

2000, c. 5, s. 56.

– CEA

Standard of Proof

The presumption can be invoked where the party adducing the electronic evidence can prove on a standard of balance of probabilities that one of the categories in s. 31.3 applies.

The standard of "evidence capable of supporting" the relevant findings is a "low threshold".

It is not necessary that the Crown prove that the device at issue was in fact functioning properly at all material times.

Stored or Recorded by Adverse Party

There should be some evidence as to the "origin" of any "screen shots" and "attempt to access" the social media account.

Lay Evidence

If an operator of a computer device can testify that the device was "working properly at the relevant time", and where no contradictory evidence is found, the Crown can rely on the presumption of integrity.

Rebutting the Presumption

The mere vouching for the contents of a social media website, even if they were not present for the creation of the content, will often be enough to authenticate the evidence, absent rebuttal evidence.

However, evidence suggestive of tampering, including testimony of others with access to the social media account, may be sufficient to undermine the presumption.

Admissibility of Contents of Records

Once a computer record is authenticated, the records will usually be admissible under one of the following methods of admissibility for the truth of their contents:

• CEA business records (s. 30),
• CEA financial records (s. 29),
• common law business documents,
• principled exception to hearsay, or
• real evidence

Where compilation was carried out by automated means, it may be possible to admit them through the common law business record method.

Evidence that is "automatically recorded by any means, other than by human labour, and the evidence so recorded can be reproduced in any form, intelligible to the human mind, the reproduction is admissible as real evidence." However, "The weight to be attached to such evidence will depend on the accuracy and integrity of the process employed."

Admission of Electronic Records under the Principled Approach

The analysis of reliability should "be assessed by focusing on the circumstances in which information was generated, recorded, stored, and reproduced.".

Utility of Electronic Evidence

Inferences of Authorship and Account Ownership

The identity of the author of a communication can be inferred from consideration of a number of indicators:

Evidence visible on the social media account can infer account ownership. This can include:

1. profile and other photographs on the account and its resemblance to the accused
2. First and last names associated with the account and
3. location of residence

Inferences of State of Mind

The presence of social media posts suggesting the accused's attitudes that are relevant to the charges will permit the interference of the accused state of mind at the relevant times.

This will be subject to the requisite balancing of probative value against prejudicial effect.

Procedure

Where certain evidence to be adduced in a hearing is considered "electronic documents", there must be a voir dire to determine its admissibility. In a jury trial, the challenge to the authenticity of a social media post from the accused must be determined in absence of the jury.

Dealing with data in court

842 Despite anything in this Act, a court may create, collect, receive, store, transfer, distribute, publish or otherwise deal with electronic documents if it does so in accordance with an Act or with the rules of court.
2002, c. 13, s. 84.

– CCC

Proof by Standard, Procedure, Usage or Practice

Standards may be considered

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 stored, having regard to the type of business, enterprise or endeavour that used, recorded or stored the electronic document and the nature and purpose of the electronic document.
2000, c. 5, s. 56.

– CEA

Proof by Affidavit

Proof by affidavit

31.6 (1) The matters referred to in subsection 31.2(2) [print-outs] and sections 31.3 [presumption of integrity] and 31.5 [proof by standard, procedure, usage or practice] and in regulations made under section 31.4 [proof of electronic signatures] may be established by affidavit.

Cross-examination

(2) A party may cross-examine a deponent of an affidavit referred to in subsection (1) that has been introduced in evidence

(a) as of right, if the deponent is an adverse party or is under the control of an adverse party; and

(b) with leave of the court, in the case of any other deponent.

2000, c. 5, s. 56.
[annotated added]

– CEA

Expert Evidence for Admissibility

Where the authenticity and admissibility is not being disputed there it should not be necessary to call any expert evidence in order to admit any digital evidence such as facebook, email or text messages. The trier of fact can assess the weight of the evidence without expert evidence, and account for the possibility of fabrication, editing or deletion, based on the testimony of the parties involved in the communication.

Expert evidence may be required to "explain the meaning of the computer-generated information or the accuracy or reliability of the generating technology". Nevertheless, circumstantial evidence and lay witness testimony "is often sufficient".

The admission of certain electronic evidence from "mundane" or "commonplace" technology (such as social media websites or cell phone text messages) can be authenticated without expert evidence when testified to by a user well versed in the functionality of the device and meaning of the contents.

Proof of authenticity of the record and integrity of the system can be proven either by expert evidence or by circumstantial evidence. Expert evidence is preferred when authenticating the results from an extraction of an electronic device.

Authenticating Electronic Records Without Opinion Evidence

A person testifying to specialized knowledge will not necessarily be required to be qualified as an expert. Where they testify to their "factual knowledge" based on their "knowledge, observations and experience".

It has been accepted that technical evidence describing the "general rule and its exceptions" of the functioning of complex systems is not opinion evidence where the "understand[ing] the scientific and technical underpinnings" are not necessary to give reliable descriptions.

An expert who testifies to direct observation without opinion is not subject to the opinion rule of exclusion. This evidence is admitted in the same way as eye-witness evidence.

Definitions

Definitions

31.8 The definitions in this section apply in sections 31.1 to 31.6.
...
“computer system” means a device that, or a group of interconnected or related devices one or more of which,

(a) contains computer programs or other data; and

(b) pursuant to computer programs, performs logic and control, and may perform any other function.

...
“data” means representations of information or of concepts, in any form.

...
“electronic document” means data that is recorded or stored on any medium in or by a computer system or other similar device and that can be read or perceived by a person or a computer system or other similar device. It includes a display, printout or other output of that data.

...
“electronic documents system” includes a computer system or other similar device by or in which data is recorded or stored and any procedures related to the recording or storage of electronic documents.

...
“secure electronic signature” means a secure electronic signature as defined in subsection 31(1) of the Personal Information Protection and Electronic Documents Act.
2000, c. 5, s. 56.

– CCC

A "computer system" will include home computers, smartphones, and other computing devices.

Section 31(1) of the PIPEDA states:

secure electronic signature means an electronic signature that results from the application of a technology or process prescribed by regulations made under subsection 48(1). (signature électronique sécurisée)

– PIPEDA

Receipt of Sworn Documents

Oaths

846. If under this Act an information, an affidavit or a solemn declaration or a statement under oath or solemn affirmation is to be made by a person, the court may accept it in the form of an electronic document if

(a) the person states in the electronic document that all matters contained in the information, affidavit, solemn declaration or statement are true to his or her knowledge and belief;

(b) the person before whom it is made or sworn is authorized to take or receive informations, affidavits, solemn declarations or statements and he or she states in the electronic document that the information, affidavit, solemn declaration or statement was made under oath, solemn declaration or solemn affirmation, as the case may be; and

(c) the electronic document was made in accordance with the laws of the place where it was made.

2002, c. 13, s. 84.

Copies

847. Any person who is entitled to obtain a copy of a document from a court is entitled, in the case of a document in electronic form, to obtain a printed copy of the electronic document from the court on payment of a reasonable fee determined in accordance with a tariff of fees fixed or approved by the Attorney General of the relevant province.
2002, c. 13, s. 84.

– CCC

Electronic Signatures

Presumptions regarding secure electronic signatures

31.4 The Governor in Council may make regulations establishing evidentiary presumptions in relation to electronic documents signed with secure electronic signatures, including regulations respecting

(a) the association of secure electronic signatures with persons; and

(b) the integrity of information contained in electronic documents signed with secure electronic signatures.

2000, c. 5, s. 56.

– CEA

Sections 2 to 5 of the Secure Electronic Signature Regulations, SOR/2005-30 states that:

Technology or Process

2 For the purposes of the definition secure electronic signature in subsection 31(1) of the Act, a secure electronic signature in respect of data contained in an electronic document is a digital signature that results from completion of the following consecutive operations:

(a) application of the hash function to the data to generate a message digest;

(b) application of a private key to encrypt the message digest;

(c) incorporation in, attachment to, or association with the electronic document of the encrypted message digest;

(d) transmission of the electronic document and encrypted message digest together with either

(i) a digital signature certificate, or

(ii) a means of access to a digital signature certificate; and

(e) after receipt of the electronic document, the encrypted message digest and the digital signature certificate or the means of access to the digital signature certificate,

(i) application of the public key contained in the digital signature certificate to decrypt the encrypted message digest and produce the message digest referred to in paragraph (a),

(ii) application of the hash function to the data contained in the electronic document to generate a new message digest,

(iii) verification that, on comparison, the message digests referred to in paragraph (a) and subparagraph (ii) are identical, and

(iv) verification that the digital signature certificate is valid in accordance with section 3.

3 (1) A digital signature certificate is valid if, at the time when the data contained in an electronic document is digitally signed in accordance with section 2, the certificate

(a) is readable or perceivable by any person or entity who is entitled to have access to the digital signature certificate; and

(b) has not expired or been revoked.

(2) In addition to the requirements for validity set out in subsection (1), when the digital signature certificate is supported by other digital signature certificates, in order for the digital signature certificate to be valid, the supporting certificates must also be valid in accordance with that subsection.
4 (1) Before recognizing a person or entity as a certification authority, the President of the Treasury Board must verify that the person or entity has the capacity to issue digital signature certificates in a secure and reliable manner within the context of these Regulations and paragraphs 48(2)(a) to (d) of the Act.
(2) Every person or entity that is recognized as a certification authority by the President of the Treasury Board shall be listed on the website of the Treasury Board Secretariat.

Presumption

5 When the technology or process set out in section 2 is used in respect of data contained in an electronic document, that data is presumed, in the absence of evidence to the contrary, to have been signed by the person who is identified in, or can be identified through, the digital signature certificate.

– Regs

Section 845 also states:

Signatures

845 If this Act requires a document to be signed, the court may accept a signature in an electronic document if the signature is made in accordance with an Act or the rules of court.
2002, c. 13, s. 84.

– CCC

See Also

• Paciocco, Proof and Progress