Maynard Brichford
3 August 1999

The goal of the Strategic Planning Project for the State of Illinois is to "address statewide historical records needs and issues", "involve a wide range of historical records stakeholders", and "through the planning process itself achieve consensus for that plan". In supporting the project, the objectives of the National Historical Publications and Records Commission (NHPRC) are "to promote broad public participation in historical documentation", "strengthen the nation's archival infrastructure and expand the range of records that are protected and accessible", and request that state boards "take on statewide planning, advocacy and educational roles."¹

Just as consensus on a strategic plan to strengthen an "archival infrastructure" requires a common understanding of archives, planning for the retention of historical records requires a basic understanding of archival practice and the major developmental problems of historical records repositories. The "needs and issues" faced by archival practitioners in both individual and collective programs are the same. They must meet challenges in seven areas of archival practice to the extent permitted by their human and financial resources. They administer, authenticate, appraise, arrange, describe, protect and provide their holdings for long-term research use.

All custodians of historical records have administrative responsibilities. Every repository needs a clear and concise mission statement, a continuing source of financial support, and periodic program reviews. In small programs, the management of archives and manuscripts may be regarded as part-time activities and are often neglected. Larger programs may devote most of their resources to one area of their responsibility to the neglect of the others. Holders of archives must authenticate acquisitions to arrive at a proper appraisal of their research value, document provenance, and determine the amount of time required for description and preservation. Appraisal is an essential step involving the decision to keep or destroy a "record series" or "collection". It requires a thorough survey of related documentation, a knowledge of potential research usage, and calculation of the costs of processing and retention. The careful arrangement or organization of archival holdings is required to maintain the integrity of the material and to facilitate access in the future. Description in archival guides, inventories and finding aids is necessary to provide contextual and topical access to historical records. The physical protection of documentation by proper housing, storage and handling will ensure that it is available for future use. Providing archives for long-term research use is the primary goal of an archival program. It should be encouraged, documented and analyzed.

Three major problems facing historical records repositories are a lack of planning or a vision of future development, a lack of financial resources to meet the requirements of an archival program, and patchwork programs resulting from short term grants and limited continuing education opportunities.
 

An analysis of needs and issues relating to historical records requires some definitions. "Archives" are the organized records of an institution or an individual retained for research or administrative use. "Historical records" are archives or other documentary information retained for long-term research use. The dictionary defines "stakeholder" as one who holds a wager, but in connection with historical records, it appears to mean one who seeks to gain from an activity. For the purposes of this report "stakeholders" are the institutions with an interest in the retention of noncurrent records for research use. The term is used in the Council of State Historical Records Coordinators' 1996 national survey of historical records repositories. In analyzing the COSHRC questionnaires, "major stakeholders" are research institutions holding more than 5,000 cubic or linear feet, or having annual budgets exceeding $100,000, and have at least one professional staff member. "Large stakeholders" are records repositories holding from 500 to 4,999 cubic or linear feet, and having annual budgets exceeding $20,000. "Small stakeholders" are repositories holding less than 500 cubic or linear feet, and having budgets of less than $20,000. The latter category corresponds to the "medium" and "small" categories in the COSHRC report. The ultimate individual stakeholders are the entire population of the state.²

An understanding of the needs and issues of Illinois institutions also requires a knowledge of current conditions. The demographic, geographic and political relationships in Illinois are major factors in planning state programs. Regional and municipal influences are strong. The data collected by the Illinois State Archives for the COSHRC report provided one information base for this report. Of the twenty-one states providing data, Florida, Illinois, Michigan, New York, Ohio and Pennsylvania were of comparable size. They account for 27% of the United States' population, 29% of the colleges, 28% of the libraries, and 31% of the historical records repositories listed in the 1988 National Historical Publications and Records Commission Directory.

Type of Repository

State	Hist. Soc./ Archives	Academic	Pub. Lib.	Museum	Originating Agency	Total
Illinois*	77	35	69	46	24	251
New York	192	65	87	74	66	484
Ohio	148	46	123	50	37	404
Pennsylvania	128	64	39	48	20	299
Michigan	73	23	64	43	15	218
Florida	9	14	9	2	4	38

Size of Repository

State	Major	Large	Medium	Small or not given
Illinois*	16	25	69	141
New York	11	59	136	278
Ohio	15	30	84	275
Pennsylvania	17	49	88	145
Michigan	12	21	46	139
Florida	3	6	11	18

Total Holdings of Paper Records (in thousands of cubic or linear feet)

  *Illinois data updated in 1999.
**With an archives building since 1938, Illinois had a head start in acquiring state archives.

Holdings by Repository Type (in thousands of cubic or linear feet)

***	Illinois figure includes the State Archives. Given the mixture of historical society and museum classifications, Illinois still trails Pennsylvania in local records repository holdings reported.

Other charts in the 1996 COSHRC report show acquisition policies, types of records held, collection subject areas, disaster plans, and preservation activities. For a copy of the survey form, see Appendix A.

Appendix A is provided in a PDF (Portable Document Format) file, which can be viewed or printed using your Web browser and Adobe's Acrobat Reader software. Macintosh and Windows versions of Acrobat Reader may be downloaded free of charge from Adobe. Click here to find out how to obtain the Adobe Acrobat Reader. Download Appendix A in PDF format. Requires Adobe Acrobat Reader 3.0 or later.

Strategic plans for Michigan, New York, North Carolina, Ohio, Texas and Wisconsin have listed priorities. The terms of the NHPRC grants emphasized public support of the state boards, cooperation, conservation, education, electronic records, and regrants of federal funds. The results also reflected some of the major issues confronting agencies that administer historical records.

Program activity		# of states
1.	advocacy and support, or public education	5
2.	conservation, or preservation	4
3.	public access and use	4
4.	electronic records	4
5.	professional education	4
6.	cooperation, or partnerships	3
7.	leadership	3
8.	collection policies and strategies	2
9.	regrants	2

A strategic plan for Illinois required a further analysis of the updated COSHRC data. Applying the size categories given in the definitions, Illinois has 16 major stakeholders, 30 large stakeholders, and 204 small stakeholders. A type of institution breakdown gives:

The data in the 1996 survey and a 1999 follow-up did not provide a complete picture of historical records in Illinois. While 251 responses from a mailing of more than a thousand questionnaires was a good return, they did not include Illinois State University, Lake Forest College, Caterpillar, Motorola, and the Museum of Science and Industry. There were also many borderline cases between large and small stakeholders, and between types of institutions. Both very large academic institutions and very small local historical societies and museums have major functions that do not relate to the retention of historical records. Budget figures were difficult to evaluate. Smaller stakeholders often served proprietary educational needs. Some state plans have limited the scope of their reports to public records that are accessible with only statutory restrictions. In Illinois, this would be a major deficiency. We have an excellent state archival program that provides its resources to nearly 900,000 people a year. However, significant portions of our documentary heritage are held by academic institutions, private historical societies, corporations and religious bodies that are not subject to statutory provisions relating to public access.

Based on the updated 1996 data, the major historical records repositories are:

The distribution of holdings by repository type is:

Government	149,150
Academic	102,300
Religious	23,469
Historical Society	17,700
Business	13,100
Library	10,700

Major repositories have their own strategic plans, but as a matter of public policy, institutions should look for ways in which they can identify with and support other repositories. Publicity and sharing electronic information may be legitimate goals. The higher educational community is a major provider and consumer of historical information. Academic institutions include entrepreneurs and image builders who are not likely candidates for cooperative ventures or statewide coordination for NHPRC funding. The most effective strategy for working with major repositories would involve simple, low-cost programs that offer tangible benefits to participants.

The responses to the 1996 survey's "most pressing problem" question shows:

The common responses of "funding" and "money" were omitted because financial support is necessary for all of the eight problems listed. Processing backlog is a result of lack of staff. Space and environment also overlap. The survey responses from small repositories (83% of the total) reveal their positions. Needs? - "Money" and "Everything".

The Association of Illinois Museums and Historical Societies publishes an annual list of historical and cultural agencies and museums. It is difficult to categorize many agencies because a historical society often has a genealogical reference library, a museum or historic site, as well as archival or manuscripts material. A breakdown of the 1,053 institutions by type shows:

With around 400 historical and genealogical societies, Illinois has the historical records infrastructure. A historical records policy should facilitate easy access to public and private records in either published or unpublished formats.

1. Cooperation

Statewide cooperation is essential for an effective program to assist historical records repositories. State agencies and records repositories must perceive common interests and benefits in improving the establishment, organization, and communication between repositories, and promoting access to, and use of, the historical records in their custody.

Historical research is a dynamic process involving human relationships. It is not an easy area for establishing official or professional control or planning. Attempts to coordinate historical records collections would be difficult, and probably unwise. The diversity and shifting responsibilities of historical records agencies may also preclude the adoption of uniform standards that are applicable to all types and sizes of public and private institutions. Our economic, political and social institutions and structures are not well-suited for a unitary system based on budgeted federal grants and state regrants.

2. Illinois State Historical Records Advisory Board

The State Archives Advisory Board is authorized under Section 160/22a of the State Records Act. It is appointed by the Secretary of State and includes representatives of eight types of institutions and four public members. Under Section 160/22b, it makes recommendations on general policies for the State Archives, budget policies for annual appropriations and "policies for federal funded programs". By agreement between the Governor and the Secretary of State, the Archives Advisory Board also functions as the State Historical Records Advisory Board in dealing with the National Historical Publications and Records Commission. In practice, board members are usually from larger institutions with interests and clienteles similar to those of the State Archives. If the Board is to become a more active advocate for historical records in the state, it would need statutory authority for the promotion of the mutual interests of all types of historical records repositories. It should also develop closer relationships with archives, historic sites, historical societies, genealogical societies, and library special collections that hold historical records, and a system for communication among repositories holding public and private historical records. As presently constituted, the Board does not have the financial resources and staff for statewide communicating, facilitating and coordinating. The diversity of the present membership of the Board and its relationships with the State Archives and State Records Commissions would require minor changes if it were to assume a larger role in promoting the preservation of historical records.

Legislation should be secured to change the name of the Board to the State Archives and State Historical Records Advisory Board (SASHRAB), with responsibility for

1. promotion of the development and use of historical records repositories, including archives, historical societies, genealogical societies, library special collections, and historical agencies holding research documentation.
    
2. facilitation of the exchange of information on professional standards, programs of mutual interest and electronic access to historical records.
    
3. review of applications for federal and other program development assistance.

Membership of a Board with additional responsibilities could include a

1. member of the State Records Commission*
2. member of a Local Records Commission*
3. member of a local historical society or museum*
4. university archivist*
5. person in the field of higher education specializing in history or political science*
6. person in the field of secondary education specializing in history or civics*
7. genealogist*
8. research or reference librarian*
9. person who is employed or engaged as an archivist by a business establishment*
10. archivist for a professional or religious association
11. public member from Cook County
12. public member from downstate

*Current membership requirement by Section 160/22a of the State Records Act. The total membership remains the same, but educators (e and f) are divided into higher and secondary education, and j through l are "public members" with more specific qualifications.

The Director of the State Library and the State Historian would continue to serve as ex-officio, nonvoting members. The Director of the Illinois State Archives should be the secretary and administrative officer for the Board.

As an initial step, the Board should ask the State Archives to use the COSHRC survey data to establish a statewide data system for historical records repositories. In this respect, it should follow the British Historical Manuscripts Commission's National Archives Register model and maintain an Illinois register as a central file and a posting on an Internet website:

1. list of historical records repositories, showing name of repository, location, types of holdings, contact numbers, hours that the facility is open, and guides and websites.
    
2. list of organizations and associations whose records are held by historical records repositories.
    
3. list of collections or records series, showing repository, title, dates, volume and availability of a finding aid. The list should also indicate when copies of records in microfilm and electronic formats are available. As a long-range objective, a state register would simplify access. Few researchers choose to read printed guides or wade through national databases. In the short run, the listings should be selective, e.g. personal papers, organizational records and official institutional records and publications at the record group level.

The Board should promote cooperative relationships with national, regional, and state archival, cultural, genealogical, information management and historical agencies and associations. It should be located in the Illinois State Archives, which can provide the most effective support for a statewide development program. A state assistance program for historical records repositories should coordinate its work with the State Archives’ Illinois Regional Archives Depository (IRAD) system, community colleges, regional library systems and professional associations. It should schedule an open meeting with representatives of Illinois historical records repositories before the spring Midwest Archives Conference meeting. To carry out its responsibilities, the Board should have a staff of two or three persons and an office in the State Archives, with access to the IRAD staff.

3. Illinois State Archives

The Illinois State Archives has made significant progress since the 1982 report. With broad statutory responsibility for all sources and types of public records, it has promoted proper custodial standards. A comprehensive guide to archival holdings is available in CD-ROM format. Since 1982, reference usage has increased from 75,000 to 893,000, largely due to a sharp rise in Internet contacts. Internet access also brings increased on-site usage. The Archives has played a leading role among state archival agencies. It has excellent relationships with the Illinois Genealogical Society.

The implementation of a statewide plan for historical records will require the continued leadership of the Illinois State Archives. For seventy-seven years, Illinois has been fortunate in having leadership with sound educational preparation, practical experience, and a commitment to archival theory and practice coupled with an ability to innovate. It is of paramount importance that the Director of the State Archives will continue to have a broad and practical view of archives as information resources in the twenty-first century. Any increase in the Board's responsibilities will require strong leadership and increased professional staffing in the Illinois State Archives.

The Illinois Regional Archival Depository system covers the entire state. IRAD usage has increased from 2,170 in 1987 to 7,786 in 1998. Seven depositories in academic institutions hold about 8,300 cubic feet of county and local records and 14,200 rolls of microfilm copies. The system is most effective in the county in which the depository is located. Forty-one counties have placed less than 10 cubic feet in the IRAD, fifteen have deposited only microfilm, and one has placed no records. Since its establishment in 1988, the IRAD at Northeastern Illinois State University has made rapid progress. It is now first in holdings and second in usage. Until the City of Chicago and Cook County establish their own archives, the IRAD will continue to be responsible for public records in the city and county.

Comparison of IRAD area size and records holdings:

Depository	Population	Counties	Holdings
Chicago	5,076,800	1	4,247
DeKalb	3,245,700	18	3,807
Carbondale	1,030,600	23	3,607
Bloomington	854,700	14	3,585
Macomb	688,300	16	3,764
Springfield	565,500	14	3,230
Charleston	306,000	16	1,598

Per capita usage of holdings by IRAD areas has been:

Springfield	.00295
Charleston	.00163
Carbondale	.00162
Macomb	.00156
Bloomington	.00071
Chicago	.00032
DeKalb	.00022

The directory of Historical and Cultural Agencies and Museums in Illinois, 1998-1999 listed 459 locations that held or used historical records. The 1996-99 COSHRC survey produced 251 responses. The following table shows their distribution among IRAD areas.

The regional depository system has functioned well in providing archival custody for county and local public records and microfilm copies. Expanding the IRADs' responsibilities to include private records and papers could provide professional archival supervision in areas where no repository is available and strengthen existing regional centers for genealogical and historical research. It would also require the agreement and cooperation of state agencies, academic institutions and private societies which have extensive holdings of private records, e.g. Illinois Historic Preservation Agency, University of Illinois and Chicago Historical Society. An initial approach could secure legislation permitting regional and local historical and genealogical organizations to deposit records they have created or received in an IRAD.

4. Financial support of historical records repositories

Historical records repositories need an adequate and flexible source of program funding, e.g. public funds (taxes), endowments, fees, contracts, gifts and grants. For most repositories, innovative fund-raising and financial stability are more important objectives than winning a grant competition. In this context, matching grants and endowment income for basic activities should be explored.

The National Endowment for the Humanities (NEH) and the National Historical Publications and Records Commission have provided grants to promote access to, and use of, historical records:

From 1980 to 1995, the National Endowment for the Humanities (NEH) made 1,560 grants for the promotion of the humanities to Illinois institutions and individuals amounting to $99,507,291. Faculty and administrative personnel received most of the grants for research, writing and publication. Sizeable sums were also provided for conferences, exhibits and workshops to promote humanistic studies and the appreciation of the humanities. In addition to these subsidies and subventions of the academic and public users of archives and libraries, the Illinois Humanities Commission may have regranted some support to a few local historical records repositories. Archival and historical records projects were less than 7% of the total grants. Project descriptions did not permit an exact apportionment of the amount of some grants to major institutions that was spent for archival and historical records activities. The deletion of $1,050,000 for exhibits and $500,000 for building renovation at the Chicago Historical Society and $1,000,000 for staffing at the Newberry Library would reduce the total granted to Cook County institutions to $1,173,544. Of the $6,842,965 granted to Illinois, 28% went to the Society of American Archivists for national programs, primarily a preservation education program. Of the remaining $4,903,066, 81% went to the Chicago Historical Society, Newberry Library and Illinois State Historical Library. The grants went for exhibits (36%), processing (23%), staffing (20.4%), building improvements (10.2%) and preservation (6.3%).