Recordkeeping Manual - Classification and Indexing
- What is Meant by Classification and Indexing?
- Curtin University Keyword Thesaurus
- How to Use the Thesaurus
- Requesting Modifications and/or Additions to the Thesaurus
- Thesaurus Updates
- What to Index?
- How Much to Index?
- Backing Up Your Index
- Disposal of Indexes
- Access and Security
- Contacts
1. What is Meant by Classification and Indexing?
Classification and Indexing are two separate processes but are very closely related and using them together helps manage records more efficient and effectively.
1.1 Classification
Classification is a process that allows records to be filed correctly using a controlled vocabulary grouping business functions or activities together. The Keyword AAA Thesaurus is a classification scheme, normally hierarchical in nature, designed to accommodate all functions and activities across the organisation which allows all users to use the same terms or wording when applying a file title for easy retrieval at a later date. It basically provides a standard to file titling.
1.2 Indexing
Indexing involves attaching searchable terms or labels, from the classification scheme, to a file, a paper and/or electronic document. An index is used to provide retrieval of the information being indexed. Indexing is used when registering records, for example the date of the letter, who the letter was from and to and a brief description of the letter, all of which will help to retrieve the record if ever requested.
2. Curtin University Keyword Thesaurus
The Curtin University Keyword Thesaurus is based on the Keyword AAA Thesaurus which was developed by the Archives Authority of New South Wales. The Records and Archives Office have simply merged University functional terms with the KWAAA to form a standard university Thesaurus.
The thesaurus was primarily developed to manage administrative records and may require the identification of additional terms to be included for implementation in other Divisions and Schools.
The Thesaurus is a classification tool that should be used to accurately classify and index records for a more effective way of retrieving records at a later date.
By using the Keyword titling method, the Keyword Thesaurus aims to provide more than just a controlled vocabulary, it aims to provide:
- Accuracy of titling and retrieval through classification by keywords
- Accessibility through use of common terminology, and
- Accountability through better control of records
The keyword thesaurus has a hierarchical structure and consists of the following:
- Keyword - is the broad business function
- Activity Descriptor - describes the activities taking place within that specific business function
- Subject Descriptor - commonly known as free text descriptors, these are a means of describing the more specific subjects or topics relating to the matter to be documented within an activity
The Keyword and Activity Descriptor are mandatory elements of all file titles.
Using the Keyword Thesaurus also provides the ability to sentence the records for disposal as the University Disposal Authority has been developed based on the terminology used with the thesaurus.
Refer to Part 12: Retention and Disposal, of the University Recordkeeping Manual for a full description of how to use the Retention and Disposal schedules. A copy of the Curtin Keyword Thesaurus is available on the Records and Archives Office website.
Classification requires an understanding of the context and content of the record and knowledge of existing records in the system. The following is a guide to classifying your documents;
i. Read the document, record or correspondence to be classified.
ii. Identify the broad business function that it covers. The broad business functions of an agency are described by the keywords in the thesaurus, so study these to find the best keyword. Reading the scope notes (definitions) for the keywords will help you choose.
iii. Once you have chosen a keyword, go to that entry in the thesaurus. It will show a list of narrower terms (activity descriptors). You need to choose one of the activity descriptors listed there that best describes the activity to be documented on the file. Make sure you read the scope notes carefully.
Now you have chosen your first two levels of your hierarchy: the keyword and the activity descriptor. These two terms are mandatory as they will assist when it comes to the Retention and Disposal of the file.
iv. The third level of the file title is more flexible.
You do not need to classify down to the third level if the first two are adequate for retrieval. However, the third level provides the ability for the user to add some text that is used to define the file, within the thesaurus subject descriptors have been listed, these may be used if useful, however a free text title may be used in place of the third level descriptors. There is no mandatory requirement for the use of subject descriptors.
v. Arrange all the elements in hierarchical order: a keyword, followed by an activity descriptor, followed by a subject descriptor and/or free text. This is now your file title.
vi. Search your file index to check for an existing file featuring the same or similar title to what you have devised. If a file exists, attach the correspondence to that file. If no appropriate file exists, create a new file.
Refer to Part 9: File Management, of the University Recordkeeping Manual to describe how to manage files, create a file after classification and what files to use.
The important points to remember when classifying are:
- think carefully about what exactly is to be documented on the file
- think carefully about the University's needs
- only classify as much as you need to retrieve
- use terms that are likely access points for retrieval
- Use only authorised Keywords and Activity Descriptors for the first two elements of the file title
- Do not use a Keyword anywhere else in the file title except as the first term
- Do not use an Activity Descriptor in any other part of the file title except after the Keyword.
- A file title may only contain one Keyword and one Activity descriptor, but a title must contain both.
- Follow the steps covered in how to use the thesaurus as described above to identify your file title.
- To save your electronic document, open the corresponding directory that reflects the file title.
- You will need to create a folder for the appropriate keyword if one does not exist.
- You will need to create a sub folder under the keyword representing the activity descriptor if one does not exist.
- You will need to create a sub folder under the activity descriptor if one does not exist to represent the subject descriptor/free text level. What you do at this level is determined by how much you wish to classify your documents.
3.1 Using Keyword Thesaurus for Organising Electronic Directories
Please note: this is merely a suggested means of classifying electronic documents within directory structures. Different areas have different procedures in place regarding the classification of electronic documents so check with the area first before applying these steps.
In this case, we are using terms from the Keyword Thesaurus to name directories and folders. These instructions will apply once the directory paths have been established.
Once you have created the relevant folders in your directory to represent your file title, you can then save your documents under each virtual file, documents should be saved with a unique document title and a version number.
Version numbers are especially useful if you make a copy and edit a document after comments, feedback etc. A simple process (optional) is; when drafting a document, add at the end of the document a 'd' and a number, i.e. d1 - meaning Draft 1. The next draft will be d2 and so on. When the document becomes a final document remove the 'd' reference and simply add v1, meaning version 1. If you have to make a new version save another copy of the document and name that v2 and so on.
For further information on using the keyword thesaurus please refer to the Introduction to the Keyword Thesaurus that is available from the Records and Archives Office website, we recommend that this is read prior to classifying and indexing records.
4. Requesting Modifications and/or Additions to the Thesaurus
The Records and Archives Office is fully aware that the thesaurus may not contain all terms that you may require for your Division or School. We welcome and encourage staff to make suggestions for improvement and/or modifications where needed. This will enable us to include all terms that may be used across the university.
A suggestion form is available within the Introduction to the Keyword Thesaurus that can be used for submission of changes, additions etc, the form can be accessed from the Records and Archives Office website.
Please photocopy this form and when completed send it to the Manager, Records and Archives Office. If terms are approved they will be updated in the next edition of the Keyword Thesaurus. If the term is not approved we will give a reason as to why the term should not be included and suggest alternative terms that should be used.
There may also be the need for the development of a functional thesaurus specific for your areas needs, especially where terminology used is unique to your area. The development of a thesaurus however is no simple task and requires thorough analysis of an areas functions and activities. We recommend you request assistance from the Records and Archives Office if you decide to develop a functional thesaurus specific to your area. Either the Records and Archives Office will provide assistance in development or suggest a suitably experienced person be hired to assist you with this task.
The Keyword Thesaurus is under constant review throughout the year to ensure that all terms are covered; however we do undertake a formal review once a year to include all changes and/or suggestions made. Once changes have been made and the Thesaurus is updated we will publish the latest version on our website. If changes have been made prior to the formal review, we will still update and publish the latest version to ensure staff have the most up to date copy.
When it comes to indexing a document, you must ensure you choose indexing terms that will enable you and others to retrieve that document. You also need to add all indexing terms that you think other people may search to find that document.
The indexing terms that are most commonly used are the date of the document, the author, the recipient (who the document is for) and a short description about the document and of course the file number of the file it is being placed on. Any indexing terms that you feel you need to include to make the document easier to find, then add them in.
The amount that is indexed will vary between departments as each department may have emphasis on different aspects of a document. Some areas may use index terms such as contract numbers whereas another area will use entirely different terms.
How much you should index depends on the amount of information you feel is needed to ensure the document can be retrieved efficiently.
Your index is your sole access point to your documents on file, without it retrieving documents will become very difficult and if you have large volumes of documents, nearly impossible.
Staff must ensure that they backup their index regularly, at least and at minimum daily. The Records and Archives Office for example backs its index up every one-and-half hours.
The type of backups you should use is entirely dependant on the type of system you are using, and the amount of use your system gets. Regular backups, whether they be hourly, daily or whatever time frame, are definitely a good idea.
To put it simply don't destroy your index, ever! The index even if replaced provides the one and only access point to the documents you maintain, therefore it is a vital records and should not be destroyed at any time. However for more information the following is provided.
University records cover a variety of subjects and as a result there is not one retention period for all records which are required to be retained.
As a requirement under the Recordkeeping Plan records may only be destroyed in accordance to the University Disposal Authority. This lists all known record types created/captured and defines the length of time those records are required to be retained before destruction commences.
These retention periods can start from a period of a few weeks to retaining them permanently with many different year values in between, such as five, six, 35, 50 or even 100 years before the records can be destroyed.
To ensure records are not destroyed prematurely all records due for disposal are to be placed on a disposal list and that list must be approved by the Manager, Records and Archives (or authorised delegate). No disposal should be conducted until approval has been granted.
Once approval has been granted the records may then be destroyed, the method of disposal must ensure confidentiality of the records and render them unable to be read or reconstructed. This may involve shredding or pulping, the University Site Services staff can provide assistance in this area.
Your index is a critical tool to locating your documents and therefore must be protected from damage and loss of data. The Index must be secure so that entries cannot be deleted or destroyed, if errors are made, instead of deleting an entry, a note should be made as to why it has been modified or the document removed.
All University records must not be accessible to unauthorised persons, this includes staff, students and the general public. At a minimum, files are to be stored in lockable cupboards or within a lockable office to ensure that they are safely secured when unattended at any time.
Staff should not be able to simply access the file storage area and remove files without a method to track who is accessing the file and if the file has been taken from the file shelves. At minimum a file tracking book should be maintained registering the file movement, this would include which files have been removed from the file shelf, to whom the file has been sent to or who has taken the file and the date the file was removed/taken. On return of the file the entry can be marked as returned and the date indicating when it was returned.
Apart from access to the files some files may require additional security due to their sensitive nature, these files must be clearly marked as confidential and the name and/or position of the person/s who has authorised access should be recorded somewhere on the file, this is usually performed by an authorised person, the records staff. These files should only be accessible via appropriate authorised staff and must be requested through these staff members to gain access. Staff should not at any time be allowed to access these files without going through the authorised recordkeeping staff.
The Records and Archives Office can be contacted during business hours in the following ways:
Telephone: 9266 7050
Facsimile: 9266 2255
Email: records@curtin.edu.au