“If I scan a document, can I toss the paper copy?” This is one of the most common questions that Records Management Section staff hear from state and local government agencies. Perhaps your office wants to migrate records to a document management system or simply wants to move records to a shared drive for easy reference and to save space. Digital tools offer convenient ways for searching, retaining, and disposing of records, but there are a few factors that government officials should consider before embarking on a “scan and toss” project.

(1) Permanent records should be maintained in their original format, whether paper or electronic.

The State and Local Government Records Commissions, which oversee the disposition of all government records in Alabama, require that records designated as permanent be maintained in their original format. For permanent records, the medium is as historically valuable as the message – consider holding the original marriage ledger that your great-grandparents signed, versus seeing a digitized version through a screen. This means that permanent records originally created in paper format must be retained in paper format, and permanent records originally created in electronic format must be retained electronically. Permanent paper records may be digitized to increase their accessibility, but the original files must be preserved.

There is no requirement that temporary paper records be retained in paper format. Governments may digitize temporary records and discard the duplicate paper copies; however, governments must be prepared to maintain the digitized records in an accessible format for the required minimum retention specified in the appropriate Records Disposition Authority (RDA). 

Note: As a general rule, local governments should consult the ADAH before destroying records which were created before 1940.

(2) Audits or expected litigation may require original documents to be kept.

Scans created to replace an original document will be considered the record copy of the document and may be subject to audit or litigation. These digitized records must meet standards that demonstrate completeness and authenticity. In some cases, auditors may insist on inspecting original documents rather than copies. Similarly, copied records may be inadmissible as evidence in court. Before copying documents and destroying the originals, consult with legal counsel to ensure that the original documents do not need to be maintained. If digitized documents are acceptable, establish and follow a standard process for digitization that preserves the accuracy and reliability of the records.

(3) Don’t spend time digitizing records that can be destroyed.

The key to an efficient records management system is promptly disposing of records that have met their minimum required retention. Why spend time and money digitizing records or migrating records from system to system that could have been disposed of years ago? These obsolete records create bulk that make active records harder to locate and use. Save time and money by disposing of records that are eligible for destruction before starting a digitization project – but be sure to follow the correct procedures (available here for state agencies and here for local governments). 

(4) Be prepared for the unique challenges of preserving electronic records.

State and local governments which scan and toss must ensure that the digitized records remain accessible and readable for their entire lifespan/retention period. Properly stored, paper records can still be accessible after centuries, but electronic records require more frequent care. Ideally, governments should follow the “3-2-1 Rule” of data storage: at least three copies stored on two different media with one copy being stored offsite. The two different media might be an agency server and cloud storage or an external hard drive. The agency’s files should be regularly backed up to the second storage location. In the event of a technological failure, natural disaster, or ransomware attack, having a backup means your agency’s records are recoverable. 

Moreover, just as the heyday of compact disks (CDs) has come and gone, today’s software systems, storage devices, and file formats will eventually become obsolete. It is not adequate for records to be stored on a computer in the basement which no one can access; records must be migrated to preserve accessibility. Migrating records takes time and resources. To avoid unplanned expenses later, research the costs of migration now.

(5) Digitization is not a replacement for organization.

Many offices digitize records for ease of searching and locating records. Search tools are limited, however, when records are poorly indexed, named, and organized. Indexing is the process of attaching metadata to a record. Metadata may sound intimidating, but it simply means descriptive information about a file such as the name, creator, creation date, and destruction eligibility date. Choose which metadata to capture before digitization to expedite records retrieval, sorting, and disposition. If digitizing files to a database or document management system, leverage its full potential by adding retention periods to records. Users can then filter search results to locate records which are eligible for destruction or receive notifications as soon as records become eligible. Vendors may offer advanced indexing options such as optical character recognition (OCR).

If digitizing records to a simple file system, you can still leverage metadata to work for you. Choose descriptive but concise file and folder names that make the contents of the file or folder clear. Avoid using special characters such as spaces, commas, and periods, which can cause files to become corrupt and irretrievable; instead, use underscores to separate words. Including dates in file names makes it easier to dispose of records when they have met their required retention. Finally, records should be systematically sorted, whether before or after digitization occurs. Create folders based on the records series in the RDA to make retention and disposition easier, or organize by subject, date, event, or other method. No matter the approach, consistency is key.

(6) Perform quality control.

As mentioned in consideration #2, offices that choose to scan and toss (or the vendors they hire to do so) should establish quality control standards that preserve the accuracy and reliability of records. Save scanned images in stable and high-quality file formats. For documents, a resolution of 300 DPI (dots per inch) in TIFF or PDF/A (the archival-quality version of PDF) format is a good choice. Contact the ADAH Records Management Section for recommendations for other document types. Lastly, verify the accuracy and consistency of scans, ensuring all files and pages are accounted for.

The takeaway from these points is that while digitization may be convenient in some ways for managing records, it can also complicate the preservation of records. Still have questions or feel you could benefit from tailored guidance? The Records Management Section offers free training and advice to Alabama’s state agencies and local governments. Reach out to Rebecca Hebert, State and Local Government Records Coordinator, at 334-353-5039 or becky.hebert@archives.alabama.gov.

The Alabama Department of Archives and History has millions of photographs in its collections, spanning from as early as 1840 to the modern day. Whether researching your ancestry or a specific person, place, or subject, a photograph can be an exciting discovery. To celebrate National Photography Month this May, the Alabama Department of Archives and History is providing a bird’s eye view of our photograph collections, answering some frequently asked questions, and sharing some photographic jewels.

Many photos in the ADAH collections have been digitized and made available through our Digital Collections portal (digital.archives.alabama.gov). The Digital Collections contain not only digitized archival materials from the ADAH but also materials from Alabama Mosaic, a network of archival repositories throughout the state. With online access anywhere and at any time, the Digital Collections are a great place to start a search; however, since the online collection represents a small portion of the ADAH’s physical holdings, the way to find most photos is to visit the ADAH Research Room.

Alabama Photographs and Pictures Collection

The Alabama Photographs and Pictures Collection brings together in one place digitized photographs from several collections in the ADAH archives (with the exception of the Jim Peppler Southern Courier Photograph Collection and the Alabama Media Group Collection, due to the large size of these collections). These photos cover a wide range of topics, places, and individuals from throughout the state’s history.

Jim Peppler Southern Courier Photograph Collection

The Jim Peppler Southern Courier Photograph Collection includes over 11,000 photo negatives taken by James H. “Jim” Peppler, who worked as staff photographer for the newspaper The Southern Courier from 1965 until 1968. Headquartered in Montgomery, The Southern Courier aimed to implant reporters within local communities in order to provide intimate and detailed coverage of social conditions and the Civil Rights Movement in Alabama and the southern United States. Peppler captured pictures of everyday life at homes, schools, offices, and social settings, as well as momentous events and influential individuals of the 1960s. All negatives in the collection have been digitized and categorized by topic in the Digital Collections.

Alabama Media Group Collection 

The Alabama Media Group (AMG) donated its collection of historical photographic negatives to the ADAH in December 2016. The AMG Collection contains over three million negatives taken by photographers working for The Birmingham News, The Huntsville Times, and Mobile’s Press-Register between the 1920s and the early 2000s, but the majority of the negatives date from the 1960s to the 1990s.

In the physical collections, the negatives are stored in sleeves with handwritten or typed notes, each representing a photojournalism assignment. The initial phase of the digitization project involves scanning these sleeves and transcribing the notes to provide a searchable index for researchers. With this long-term initiative, select negatives have been digitized and new material is added each month; currently, however, the sleeves make up most of the digitized material.

If you find a sleeve you are interested in, first click on the “Sleeve Number” within the item description to see if any negatives in the sleeve have been scanned. If the negatives have not been digitized, researchers can submit a Digitization and Reproduction Order Form through the ADAH website. If no sleeves relate to your research topic, ADAH archivists are available to conduct research on your behalf for a small fee ($10 for Alabama residents and $25 for non-residents). Submit a research request via the ADAH website or by mail.

John Engelhardt Scott Negative Collection, 1941-1989

The John Engelhardt Scott Negative Collection includes over 78,000 negatives created by John Scott, father-in-law of current ADAH Assistant Director and Archives Division Head, Mary Jo Scott! John Scott operated a commercial and advertising photography business in Montgomery from 1947 until the 1980s. The negatives document Montgomery business’s facilities (both inside and out), aerial views, portraits of individuals and families, events, organizations, schools, and churches. Over 8,000 images have been digitized and are available online. The ADAH catalog contains finding aids for both the prints and negatives. These finding aids provide a brief description for every item in the collection (such as the name of the person, place, or event portrayed) along with a date, box number, file number, and negative number.

Alabama Folklife Collection

The Alabama Folklife Collection contains photos from the Archive of Alabama Folk Culture (AAFC) which were taken by field researchers at the Alabama Folklife Association and the Alabama Center for Traditional Culture. A selection of the photos are available in the Digital Collections. The photographs date from the 1980s to 2015 and capture Alabama folk festivals, music and performance (especially bluegrass and gospel music), art, and craftsmanship. The fieldwork slides are housed at the ADAH with an item listing available in the catalog. In the “Item” field, researchers can find the name of the subject and the location/date.

Alabama Writer’s Project Photograph Collection, 1901-1941

During the Great Depression, the Works Progress Administration (WPA) funded the Federal Writers’ Project to provide employment for journalists, writers, and college instructors. This collection predominantly contains written material such as ex-slave tales and life histories composed between 1936 and 1940 but also contains photos and postcards taken or acquired for use in publications of the Alabama Writers’ Project. All 1,140 of these photos and postcards are viewable online in the Digital Collections. Photographed subjects include agriculture and daily life in schools, churches, colleges, and universities, as well as many prominent Alabamians.

Cased Photographs Collection, circa 1840-1913

Common in the mid- to late-19^th century, cased photos are typically daguerreotypes or ambrotypes mounted in a shallow, hinged box. These images feature Alabama individuals, families, and Confederate States of America soldiers. While daguerrotypes and ambrotypes were more affordable than commissioning a portrait, they were still relatively expensive for their day. As a result, this collection predominantly features wealthy Alabamians of the era. The collection also includes many tintypes, a more affordable option, but still limited to those with access to the technology. All of the cased photos have been digitized and may be accessed here. The complete finding aid provides an extensive description of each photo, including the subject’s name and the date (if known), information about the subject, any inscriptions on the photo, the type of image, and the condition of the image and case.

Cartes-de-Visite Collection, circa 1860-1890

First introduced by the French photographer Andre Adolphe Eugene Disdéri in 1854, cartes de visite (calling cards) are photos mounted on individual cards about 2 x 4 inches in size. Until the 1880s, these cards were commonly exchanged in Europe and the United States. All 405 of the cartes-de-visite have been digitized and are accessible here. The complete finding aid is organized alphabetically by the subject’s surname and includes information such as birth and death dates, the subject’s title or occupation, individuals related to the subject, the name of the photographer, and any inscriptions on the item.

Vertical Files

Common at most state and local archives, vertical files contain various documents and ephemera that have historic value but do not fit in any existing collection. The vertical files at the ADAH contain three collections: persons, places, and subjects. Most of the images in these collections date from the mid- to late-1800s to the early 1900s. The persons vertical file is an excellent resource for locating individuals, from ancestors to prominent Alabamians. The finding aid for the persons vertical file is organized alphabetically by surname, with information such as birth and death dates, titles or occupations, and places of residence. The places vertical file contains images of specific locations in Alabama, with a finding aid organized alphabetically by county. Under each county are listed cities, specific locations, or categories of places such as hospitals or schools. Lastly, the subjects vertical file contains images of unidentified people and locations. The finding aid is organized by general subjects which vary significantly, from animals, to flags, to textiles. Note that oversized items appear at the end of the finding aid and are organized alphabetically within each box.

Note: Researchers who wish to publish photos from the ADAH collections must submit a Use Agreement Form. Material from the Alabama Media Group (AMG) Collection requires the submission of an additional form. If the photographer is unknown, the ADAH recommends consulting a Fair Use Checklist (for example, from the American Library Association) before publishing or exhibiting the photos.

References

Society of American Archivists. “Carte-de-visite.” https://www2.archivists.org/glossary/terms/c/carte-de-visite.

Society of American Archivists. “Cased Photographs.” https://www2.archivists.org/glossary/terms/c/cased-photographs.

Langberg, Karen. Daguerreotypes, Ambrotypes & Tintypes: The Rise of Early Photography.” Skinner, Inc. 18 October 2011. https://www.skinnerinc.com/news/blog/daguerreotypes-ambrotypes-tintypes-the-rise-of-early-photography/.

Like our counterparts across the nation and the world, the government of the State of Alabama is facing a historic challenge as we respond to the COVID-19 pandemic. The Alabama Department of Archives and History’s foremost concern at this time is the health and safety of all Alabamians; as such, the ADAH building will be closed to the public with most staff working remotely. Although onsite programming has been suspended, ADAH staff continue to serve the public from a distance, including through the recent introduction of Alabama History@Home (alabamahistoryhome.org).

Over the past few weeks, we have been amazed and inspired by the many state and local government entities meeting this challenge with new resources and creative initiatives intended to support staff members and the public at large. As the state’s government records repository and home to the state history museum, the ADAH wants to ensure that historic records documenting the pandemic and the government’s response are preserved for the future. 

State and local officials can take important steps to preserve the historical record by saving documentation related to the pandemic as it is created. Types of records that agencies should set aside include, but are not limited to, the following:

• Informational materials related to COVID-19 (paper or electronic) such as graphics, posters, guidance, newsletters, etc.
• Press releases
• COVID-19 committee/task force meeting minutes
• Photographs
• Video recordings of announcements, press conferences, etc. 
• Administrative files of agency leaders (such as directors and commissioners) 
• Planning and policy documentation, especially documentation of modifications to services, policies, or future plans
• Legal opinions and guidance 
• Important communications and correspondence with staff or external stakeholders, including email messages
• Any other information that may be historically significant 

At this busy time, we ask that state and local officials simply set aside and save these records. The Records Management Section will work with state and local government agencies at a later time on the long-term preservation of archival records. Staff are available by email to answer questions or help in any way we can. For state and local agencies working to adapt to the new normal and to anyone doing their part to “flatten the curve,” thank you for your dedication. 

In August 2018, Alabama Department of Archives and History (ADAH) Records Management and Collections staff worked together to process and permanently transfer several boxes of records from the Alabama Department of Commerce to the ADAH archival holdings.

The Department of Commerce has a long history dating back to 1968, a period of economic decline for Alabama’s economy. Governor Albert P. Brewer created the Alabama Program Development Office to recruit new industry to the state. In 1969, this agency merged with the State Planning and Industrial Board, which had existed since 1935, to become the Alabama Development Office (ADO). The State Planning and Industrial Development Board split from ADO in 1979 and reformed as the Alabama Department of Economic and Community Affairs (ADECA). In 2012, Alabama Act 2012-167 changed ADO’s name to the Alabama Department of Commerce.

Today, the Alabama Department of Commerce (“Commerce”) promotes economic development of Alabama’s business and industrial resources by:

• Advocating for minority-owned, woman-owned, veteran-owned, and rural small businesses in Alabama
• Recruiting new businesses and foreign direct investment (FDI) to the state
• Promoting the state’s exports and helping Alabama businesses establish international trade relationships
• Maintaining partnerships with economic development coalitions in Europe and Asia

While working with Commerce staff on a revision to their Records Disposition Authority (RDA) approved by the State Records Commission in October 2018, ADAH staff collaborated with Commerce to clean up records stored in the agency’s basement. They determined which records had met their minimum required retention per the RDA and could therefore be destroyed and which records were permanent and could be transferred to the Archives.

Commerce transferred records identified as permanent or potentially permanent to the Archives on a temporary basis for further processing. These records included publications and publicity files such as newsletters, annual reports, press releases, posters, and prints; trade mission files, including itineraries, reports, and mission booklets describing the efforts of small businesses to form trade partnerships abroad; economic development files documenting the establishment of industries in the state, such as the Mercedes Benz manufacturing plant in Tuscaloosa County; and various administrative files, including one box of photographs and slides.

At the end of the processing project, ADAH staff formally transmitted sixteen boxes of records and artifacts.

Researchers interested in the Department of Commerce’s archival collections can access these materials by visiting the ADAH Research Room.

The Alabama Department of Archives and History (ADAH) Records Management Section recently completed its first published Annual Report of activities. The Fiscal Year 2019 Annual Report gives readers a look into Archival Appraisal/Records Management work and provides key updates from October 2018 to September 2019.

The 19-page report includes highlights from the State and Local Government Records Commission meetings, permanent records transmittal, and records management activities for state and local governments.

State agencies transferred 527 cubic feet of permanent records in FY2019 to the ADAH. Some examples of those transmittals include 18 cubic feet of audio recordings, video, and images of field records from the State Council on the Arts; 7 cubic feet of negatives and photographs from Governor Fob James’ administration, and Department of Mental Health patient admission records from Bryce Hospital in Tuscaloosa dating from 1861 to 1952.

Each year, Records Management Section staff assist agencies by providing free, on-site records-management training. For FY 2019, staff conducted 76 total outreach sessions with 548 attendees and answered 1,386 total inquiries from state and local governments.

Destroying eligible obsolete temporary records is an important component of records management, so that limited resources can be focused on historic permanent and active records. As such, staff reviewed destruction notices covering over 27,000 cubic feet of local government records, while state agencies reported over 28,000 cubic feet of obsolete records destruction for FY 2019.

The report also spotlights the Alabama State Electronic Records Project (ASERP), which concluded in December 2019, and our ongoing work on the long-term preservation of born-digital records, including making several collections available online including Governor Bob Riley Office Files; Governor Bob Riley Photographs; House and Senate Journals; and state agency publications such as annual reports and newsletters.

Records Management Section staff work with state and local agencies to organize, manage, and preserve their records for long-term access. This work is vital to the preservation of government records for the benefit of current and future generations of Alabamians. If you have any questions or are interested in training, please reach out to the Records Management staff.