Electronic Records Transfer Procedures

Application files rapidly lose their value over time since they either become obsolete or are replaced by an upgraded version. If a specific application file is needed for access to the records, please discuss with the Wisconsin Historical Society prior to sending.

Supplementary files often appear alongside other electronic objects or within large projects. Examples might be notes, reference information for a report, documents sent from other organizations that are not needed in the understanding of the content kept, or a folder of images that were later embedded in a document. If they are not critical in the functioning or understanding of the primary documents of record, they do not need to be sent.

Wis. Stat. § 19.62(5) defines personally identifiable information (PII) as information that can be associated with a particular individual through one or more identifiers. This often includes items such as addresses, phone numbers, and Social Security numbers. Files containing this type of information should be strictly evaluated.

The Wisconsin Historical Society encourages and promotes public access to records in our collections. However, there are some cases where restrictions may be put on records.

All electronic public records transferred to the State Archives from government units are open to the public unless specifically restricted by statute, rule, or administrative code. All records which are confidential while in the possession of the creating agency maintain their confidential nature when transferred to the Wisconsin Historical Society (Wis. Stat. 16.61(13)(d)). Electronic records donated to our Manuscripts Collections by private individuals and organizations may have additional access restrictions placed on them.

Additionally, electronic records require more active maintenance and preservation than paper records. Prior to transfer, a discussion on levels of processing by archives staff to prevent obsolescence and ensure access to electronic records will need to occur if there are any holds placed on the collections.

While the Society can accept many file types, proprietary formats offer a special challenge because we do not have a copy of every version of software in the marketplace. Additionally, as a state agency, the Society has limitations on what programs and applications it can run on state IT systems.

If you are using a proprietary program, check to see if it is possible to save the information in a more universal format. Government units especially will need to work with archives staff to transfer these formats and test options. See Best Practices for Selecting Electronic File Formats for further information.

Like files in proprietary formats, some files require connection to outside resources to work correctly, such as form letters or a spreadsheet populated by a database. These documents will not function when separated from their source documents. If it is necessary to keep an example of this type of document, it would work better to save an example of it in another format such as a .pdf and label it as such (e.g. “StandardConferenceInvitation.pdf”).

Try grouping records in a meaningful way (e.g. chronologically, by topic, by project). Clear folder names are extremely helpful. At the very least, the top-level folders in the transfer should be labeled with an RDA or records schedule number. The file structure beneath this top level will vary depending on the files being transferred, but all the files inside a single top-level folder should belong to a specific topic.

Example state record folder structure for transfer:

1Local Gov Records Correspondence_RDA245-0030/

1 Email Correspondence 2010/

1 Email Correspondence 2011/

1 Appointed Staff Business Records_ADMIN200/

1 Reports/

1 MOU/

1 Correspondence/

1 Planning Documentation_ADMIN250/

1 Publication X/

1 Photographs/

1 Correspondence/

1 Publication Y/

1 Correspondence/

1 Donor Files/

Establishing a file naming convention is a key part of managing e-records throughout their lifecycle. A naming convention will help keep records orderly and accessible in contrast to bad or inconsistent file naming which can lead to accidental overwriting and misplaced files. A consistent naming convention:

• helps organize e-records during active record use,
• allows for better management and maintenance while the records are inactive, and
• provides more efficient access to electronic records.

Keep the process simple and easy to administer. For full information see Best Practices for Naming Electronic Records.

Inventories help you and the state archives understand what is included in the records being transferred. The best records inventories provide information about an electronic file, including file name, full file paths, size in bytes, file extensions, date created and/or modified, and checksums.

Providing this information can help identify what kinds of electronic records you have. It also determines what needs to be transferred to WHS, what you should retain, and what can be deleted.

This information is also useful as a means of proving authenticity and checking that no information was lost during the transfer process. Additionally, the information provided by an inventory helps archives staff when processing, preserving, and providing access to electronic records.

There are several ways to populate an inventory with data either manually or through automated tools. Manual data entry is free, but labor-intensive. It is best used for small drives or shared folders where only top-level folder analysis is needed. Automated tools come in a variety of formats and levels of skill required but speed up the process. See the Electronic Records Tools page for a list of software that WHS uses to conduct electronic records management.

Independent of the method, an inventory should contain the list of folders and files on a computer, network drive, or piece of media being transferred.

The State Archives actively collects electronic records.

• From State Agencies we accept files deemed historically significant as identified in the records schedules.
• For Local Government Units we accept files deemed historically significant as identified during the notification process.

The Electronic Records Survey is intended to assist in the collection of metadata—data about data—for the records being transferred. Metadata can help electronic records staff understand the content of your files and the context of their creation. This will help staff process your records and make them publicly accessible. The more information, the better.

The survey collects:

• Transfer info (e.g. total file size, identify when and how files will transfer)
• Contextual information (when and how the files were created)
• Arrangement (how the files are organized)
• Legal concerns and restrictions (privacy, copyright, intellectual property)
• Personally identifiable information in the files (e.g. social security and credit card numbers)
• File inventory (e.g. file names, file sizes, file types, checksums)
• File formats identification (especially old, proprietary, or unknown formats)

There are a variety of ways to transfer files. Please let us know if you have files on older media, in example, but not limited to floppy disks. Consult electronic records staff to determine the best transfer method for your materials. Options include:

• Dropbox, commercial file hosting service approved for use by WI DET
• WiBox, a web based SFTP from WI DET and account managed by the Society
• Creating unit SFTP, creating unit grants access to the Society to an SFTP access files
• External media, such as hard drives, USB drives, CD-ROM, zip disc, floppy, etc.

The National Archives and Records Administration (NARA) created FileLister in response to federal agency requests for support with preparing metadata and compliance with federal transfer requirements. It allows users to pull the file name, full file path, size in bytes, file extension, date modified, and SHA-256 Hash of in a file directory. The information can then be exported into a comma separated value (.csv) file.

FileLister is a Java tool in a JAR file format. It does not require installation or administrative privileges to use, but it does require installation of Java on your computer to run. Full information about the tool is available in the National Archive’s GitHub repository for Electronic Records Accessioning Support Tools.

State Archives digital repository can support a variety of file formats, though some formats are better than others for long-term digital preservation. See Best Practices for Selecting Electronic File Formats for more information. When you talk to electronic records staff, be prepared to discuss the formats of your files.

Files with historical significance will be processed and preserved in the digital repository. During processing, files may be renamed or reorganized to make them more easily accessible.

Electronic records transferred to the State Archives will be made publicly accessible via our digital repository, the Wisconsin Electronic Records Portal.

The Wisconsin Historical Society encourages and promotes public access to records in our collections. However, there are some cases where restrictions may be put on records.

All electronic public records transferred to the State Archives from government units are open to the public unless specifically restricted by statute, rule, or administrative code. All records which are confidential while in the possession of the creating agency maintain their confidential nature when transferred to the Wisconsin Historical Society (Wis. Stat. 16.61(13)(d)). Please discuss any concerns with State Archives staff.

When government units transfer files, the State Archives becomes the official owner of those records. Because of this, all other copies of files must be deleted once the transfer is complete. This can be compared to paper records, where the official record is held only by the State Archives once custody is transferred. If you retain a copy of the records in any format—paper, microform, electronic, etc.—you remain the responsible for providing access, preserving the records, and, if electronic, complying with Wisconsin Administrative Code Chapter Admin 12.