Using Keyword AAA: A thesaurus of common administrative terms A Guideline for Queensland State Government Agencies, Statutory Authorities and Government Owned Corporations
Guideline For Using Keyword AAA 2 About Keyword AAA Keyword AAA is a thesaurus of administrative terms developed by State Records Authority of New South Wales and first released in 1995. As a controlled vocabulary it provides a list of terms to be used in records titling and retrieval. As a business classification scheme Keyword AAA may assist with the implementation of migration, disposal, security, and disaster planning and recovery programs by making records identification and appraisal easier and more consistent. Queensland State Archives holds a whole of government licence for the distribution of Keyword AAA. Copies are available free of charge to Queensland public authorities through Queensland State Archives (see page 8 for details). Why was Keyword AAA developed? In developing a set of terms that all agencies could use to classify their administrative records, State Records Authority of NSW aimed to: Facilitate the development of a Retention and Disposal Schedule for these classes of records which could be used by all public sector agencies; Eliminate the need for agencies to develop their own thesaurus for administrative terms public authorities need only develop a thesaurus for those functions that are unique to the agency; Assist agencies to manage their records in keeping with standards of best practice. What is in Keyword AAA? Keyword AAA provides an alphabetical list of terms for three (3) levels of classification based on a functional or business-activity approach to managing information. Keywords Seventeen (17) keywords represent the administrative functions performed by all agencies. For Example: STRATEGIC MANAGEMENT, INFORMATION MANAGEMENT, and GOVERNMENT RELATIONS. All terms are defined by comprehensive scope notes. Function keywords are used for the first level of classification in file/record titles. - Page 2 -
Guideline For Using Keyword AAA 3 Activity descriptors In addition, there are a further 104 activity descriptors which represent routine programs or tasks that are commonly undertaken in order to achieve the functions of the organisation. For Example: REPORTING, PLANNING, and TRAINING. All terms are defined by comprehensive scope notes. More detailed than keywords, activity descriptors are used for the second level of classification in file/record titles. Subject descriptors A comprehensive list of subject descriptors representing routine transactions is also provided. These transactions are a mixture of generic and specific subjects such as: Agenda (generic) Contracts (generic) Manuals (generic) Right to Information (specific) Administrative Appeals Tribunal (specific) Ombudsman Act (specific). Subject descriptors may be used as a third level of description in file/record titles to describe the file or record in more detail than would be possible using only a keyword and activity descriptor. Subject descriptors also aid in the appraisal process, as it is usually at this level that the particular business transaction that leads to the creation of the record is described. The decision to enforce (or not enforce) the use of a subject descriptor is a business decision that each organisation needs to make for themselves. However, a good rule to remember in terms of file titling is only classify as much as is needed to locate and control the file/record. KEYWORD KEYWORD Activity Activity Subject Subject Subject Subject Diagram showing hierarchical structure of the Keyword AAA thesaurus. (Diagram adapted from State Records Authority of NSW, Keyword AAA Introduction, p. 10) - Page 3 -
Guideline For Using Keyword AAA 4 Other tools In addition to an alphabetical list of terms, Keyword AAA comes with: A Classification Guide (ie a table showing the subject and activity descriptors that may be used with each keyword); Instructions for applying Keyword AAA; A Glossary; Frequently Asked Questions. How will the terms in Keyword AAA relate to the terms in my organisation s thesaurus? Some public authorities will have already developed a thesaurus or file titling scheme to cover both their administrative and core functions. If this is the case in your organisation, you may need to review the existing thesaurus to: a) Remove any terms from the existing thesaurus which are covered by or duplicate Keyword AAA terms; b) Ensure terms relating to or describing core business functions of the organisation match the three-level hierarchical structure of Keyword AAA (to enable the enforcement of consistent titling rules). In accordance with current Australian best practice reflected in the Queensland State Archives Best Practice Guide to Recordkeeping, it is also recommended that organisations review their current file-titling scheme to ensure that terms are based on a functional approach (such as that used by Keyword AAA for administrative functions), rather than on subjects or organisational structure. For those organisations who do not currently have a thesaurus of any kind, but who are considering developing one, you will only need to focus on documenting the core business functions of the organisation. Once you have developed the keyword, activity and subject terms that describe the unique functions of your organisation, you should be able to merge these terms with those in Keyword AAA to create one document. To assist organisations incorporate these terms into Keyword AAA, Keyword AAA is available in various electronic formats. If a keyword is not suitable for our organisation, can we change it to suit our needs? Although Keyword AAA terms are intended to be generic to all public authorities, Queensland State Archives acknowledges that some public authorities may wish to make modifications to Keyword AAA to ensure that it better reflects the culture and operations of the organisation. - Page 4 -
Guideline For Using Keyword AAA 5 This may mean the alteration of terms, scope notes or the addition or removal of terms. However, it is recommended that: (a) Any changes are undertaken in the spirit of the functional approach to information management as described in AS ISO15489: Information and Documentation Records Management; and (b) Organisations be aware that altering of terms will affect the alignment between Keyword AAA and the Queensland State Archives General Retention and Disposal Schedule for Administrative Records (GDRS). The extent to which public authorities make changes to Keyword AAA will impact on the degree of maintenance required (probably manually) in order to incorporate any updates made by State Records Authority of NSW into the corporate thesaurus. On the other hand, State Records Authority of NSW summarises any changes in the introduction to each new version of Keyword AAA making changes easy to identify. We have an electronic records management system in place. How do I import Keyword AAA into my RM system? Most records management systems have an import facility that allows you to import records data from other systems, a disposal schedule, or a thesaurus. Refer to the Help tool in your particular records management system or contact the software developer for specific step-by-step instructions for importing thesauri and defining file title structures and schema (thesauri). For the purpose of importing into a records management system, Keyword AAA is available in four formats: RecFind import format TRIM import format Hierarch import format Word 95 and 97 format When requesting a copy of Keyword AAA from Queensland State Archives, please specify which format you require. Note: Some importation processes may over-write any existing thesauri loaded within your records management system. To prevent any loss of any data or links, check with your software vendor before uploading Keyword AAA. - Page 5 -
Guideline For Using Keyword AAA 6 How does Keyword AAA relate to the Queensland State Archives General Disposal and Retention Schedule for Administrative Records (GDRS)? The General Disposal and Retention Schedule for Administrative Records (GDRS) issued by Queensland State Archives comprises disposal classes for general administrative records common to public authorities and has recently been reviewed and updated. In the new version of the GDRS to be released in 2003, disposal classes are aligned with appropriate Function keywords and activity descriptors in Keyword AAA. Example of section headings used in the revised General Disposal and Retention Schedule for Administrative Records: Function Heading Financial Management* *Source: Keyword AAA Keyword Activity Descriptors Accounting* Audit* Authorisation* Budgeting* *Source: Keyword AAA Activity Descriptors The revised GDRS will make it easier for public authorities using Keyword AAA to consistently manage the disposal of public records. How do I implement Keyword AAA in my organisation? There are 8 broad steps to implementing Keyword AAA in your organisation: Implementation is a two-stage process: (1) developing the core functional thesaurus terms and modifying Keyword AAA as required (steps 1 6) and (2) release, education and training (steps 7 and 8). Step 1: Determine if you are going to outsource the development of terms to cover the unique functional records of the organisation or undertake the project in-house. Agencies should bear in mind that the process of undertaking a functional analysis and developing a Business Classification Scheme may be quite time consuming and requires certain skill sets (such as good analytical and communication skills, an understanding of function analysis theory, and a good knowledge of the organisation s culture and recordkeeping practices). - Page 6 -
Guideline For Using Keyword AAA 7 Step 2: If undertaking the project in-house: a) Read the Introduction to Keyword AAA b) Undertake Step B of National Archives of Australia, DIRKS A Strategic Approach to Managing Business Information, http://www.naa.gov.au/recordsmanagement/publications/dirks-manual.aspx. Step 3: Develop the core functional thesaurus terms and merge the terms with Keyword AAA. Make any modifications to Keyword AAA as required. Step 4: Determine if you will: a) Carry over all files into the new system ; a) Carry over only current/open files and archive all others; b) Archive all existing files and begin creating new records using the new Corporate Thesaurus as new files are needed. Step 5: Determine how the new Corporate Thesaurus will be rolled out throughout the organisation. Will it be a staged implementation? Will the Thesaurus be piloted in one area before being rolled-out further? Step 6: Determine who will use the thesaurus in terms of: Who will determine file titles? Who will require training as users (titling) and administrators? Who will need training for searching only? Plan and document these decisions in your policies and procedures. Step 7: Provide training and awareness (in classification and titling and searching using the thesaurus) for all relevant staff. Step 8: Roll out the new Corporate Thesaurus according to the implementation strategy formulated in Step 5. - Page 7 -
Guideline For Using Keyword AAA 8 For further information More detailed information on each of the above topics is provided in the Introduction to Keyword AAA. Advice may also be sought by contacting Queensland State Archives on (07) 3131 7777 or email info@archives.qld.gov.au. State Records Authority of NSW, National Archives of Australia and commercial training providers provide training in thesaurus development and use periodically. A list of commercial training providers is available on the Records Management Association of Australia web site at www.rmaa.com.au. How can I get a copy of Keyword AAA? State Government, Statutory Authorities and Government Owned Corporations wishing to obtain a copy of Keyword AAA may contact QSA: Agency Services Unit Queensland State Archives PO Box 1397 Sunnybank Hills QLD 4109 Ph: 3131 7777 E-mail: info@archives.qld.gov.au. References State Records Authority of NSW, Keyword AAA; http://www.records.nsw.gov.au/ - Page 8 -