This is an annex to the decision of our University Senate no. 2024/25 dated 24.12.2024.

ISTANBUL SABAHATTIN ZAIM UNIVERSITY

CORRESPONDENCE RULES AND DOCUMENT MANAGEMENT DIRECTIVE

PART ONE

Introductory Provisions

Purpose

ARTICLE 1 – (1) This Directive has been prepared in order to determine the ways, methods and procedures to be followed at Istanbul Sabahattin Zaim University in the processes of producing, recording, sending and tracking the documents relating to the conduct of work and transactions, as well as in the referral, processing and answering of incoming documents; to create an institutional culture and identity in correspondence by ensuring that the exchange of information and documents is carried out effectively, rapidly and securely; and to ensure compliance, in document management processes, with the provisions of the “Regulation on the Procedures and Principles to be Applied in Official Correspondence”, which was published in the Official Gazette no. 31151 dated 10 June 2020 and entered into force.

Scope

ARTICLE 2 – (1) In accordance with Higher Education Law no. 2547 and other relevant legislation, this Directive covers the procedures, principles and conditions to be followed in the correspondence to be conducted and the transaction processes to be carried out by Istanbul Sabahattin Zaim University and its affiliated units, as well as other similar matters.

Legal Basis

ARTICLE 3 – (1) This Directive has been prepared on the basis of the relevant provisions of Higher Education Law no. 2547, Electronic Signature Law no. 5070, Decree Law no. 124 on the Administrative Organisation of Higher Education Supreme Bodies and Higher Education Institutions, the “Regulation on the Procedures and Principles to be Applied in Official Correspondence”, the Istanbul Sabahattin Zaim University Main Regulation published in the Official Gazette no. 27740 dated 25/10/2010, the “Public Internal Control Standards Communiqué”, and Prime Ministry Circular no. 2017/21 on the “e-Correspondence Project” published in the Official Gazette no. 30210 dated 14.10.2017.

Definitions

ARTICLE 4 – (1) In this Directive;

a) Academic Unit Head: refers to the highest-ranking supervisor in the hierarchical structure of the Faculty Deaneries and Institute Directorates under Higher Education Law no. 2547, as well as the Coordinators and Center Directors,

b) Document: refers to recorded information that has been received in order to fulfil an individual or institutional function, or produced as a result of such a function, and that, through its content, relationships and format, constitutes evidence for the function to which it belongs,

c) Unit: the Academic and Administrative Units of Istanbul Sabahattin Zaim University,

ç) Head of Department: refers to the Heads of Department of Istanbul Sabahattin Zaim University,

d) Dean: refers to the Deans of Istanbul Sabahattin Zaim University,

e) Electronic document: refers to any document created, sent and stored in electronic form,

f) Electronic signature (e-signature): refers to the signature affixed in accordance with Electronic Signature Law no. 5070,

g) Electronic approval: refers to the recording in electronic form of an entry that takes the place of an initial in cases where a secure electronic signature is not used,

ğ) Institute Director: refers to the Directors of the Institute affiliated with Istanbul Sabahattin Zaim University,

h) e-Correspondence Technical Guide: refers to the guide that defines technical matters such as the structure and format of the documents created within the scope of official correspondence conducted in electronic form and the signing and encryption mechanisms, and that was published after obtaining the favourable opinions of the Prime Ministry and the favourable opinion of the Ministry of Development,

ı) Secretary General: refers to the Secretary General of Istanbul Sabahattin Zaim University,

i) Confidential Document Tracking Number: The document number generated separately for each classified document so that it can be dispatched, referred and tracked,

j) Secure Electronic Signature: A signature created by means of a secure electronic signature creation device that is under the sole control of the signatory, which, on the basis of a qualified electronic certificate, makes it possible to verify the identity of the signatory and to determine whether the signed electronic data has subsequently been altered in any way,

k) Legal Counsel: The Legal Counsel of Istanbul Sabahattin Zaim University,

l) Head of an Administrative Unit: The Secretary General specified in Decree Law No. 124 and all Heads of Department, Directors, Coordinators, the Head of the Internal Audit Unit Group, the Legal Counsel, Institute Secretaries, Faculty Secretaries and similar unit heads reporting to the Secretary General,

m) Signatory: The natural person who uses a signature creation device for the purpose of creating an electronic signature,

n) REM: Registered Electronic Mail,

o) Coordinator: The head of a unit structured as a coordinatorship at Istanbul Sabahattin Zaim University,

ö) Centre Director: The Directors of the Application and Research Centres of Istanbul Sabahattin Zaim University,

p) Rector: The Rector of Istanbul Sabahattin Zaim University,

r) Official Correspondence: The process carried out by public institutions and organisations among themselves and/or with natural and legal persons in physical form, or electronically by using a secure electronic signature, in order to communicate,

s) Senate: The Senate of Istanbul Sabahattin Zaim University,

ş) Standard File Plan: The classification scheme published by the Prime Ministry and developed to ensure that institutional transactions and the documents created or received as a result of these transactions are filed on the basis of subject or function, indicating their relationship with the places where they were produced,

t) University: Istanbul Sabahattin Zaim University,

u) Head of the Registry Office: The Head of the Registry Office of the Secretariat General of Istanbul Sabahattin Zaim University,

ü) Authorised Officers: The Rector, Vice Rectors, Secretary General, Deputy Secretaries General, Deans, Institute Director, Research Centre Directors, Heads of Department, Heads of Administrative Department, Directors, Coordinators, the Head of the Internal Audit Unit Group, the Legal Counsel, Faculty Secretaries and Institute Secretaries,

v) Directive: The Istanbul Sabahattin Zaim University Directive on Correspondence Rules and Document Management,

y) Management System (EDMS): The system which, from among all documentation produced by the University in the course of its activities, identifies those documents that may serve as evidence of administrative activities, preserves their content, metadata, format and relational properties, constitutes evidence for the function or transaction to which the documents belong, and ensures their management electronically within the chain of custody,

z) Regulation: The Regulation on the Procedures and Principles to be Applied in Official Correspondence,

shall have the meanings set out above.

PART TWO

GENERAL PROVISIONS

Provisions Concerning Official Correspondence

Principles

ARTICLE 5 – (1) The principles and implementation procedures relating to the execution of this Directive are set out below.

a) Powers shall be exercised on behalf of the delegating authority in an appropriate, timely and correct manner, in accordance with the requirements of a sense of responsibility. Powers that have not been delegated with their limits clearly stated may not be exercised.

b) A manager to whom authority has been delegated may not delegate that authority to another person without the approval of the delegating authority.

c) Every level within the academic and administrative hierarchy is obliged to comply, in its correspondence, with the procedures and principles set out in this Directive and in the relevant legislation.

ç) As a rule, all transactions shall be carried out via the EDMS, with the exception of confidential/top secret documents that the University deems inappropriate for inclusion in the EDMS.

d) The emblem shall be used in correspondence as defined in the corporate identity. No emblem other than the University's emblem may be used in correspondence.

e) Academic cooperation protocols to be concluded by the University with international and national institutions shall be signed by the Rector or by persons authorised by the Rector, and the texts of the agreements shall be kept by the Contracts Unit.

f) Decisions of the University Senate and Executive Board meetings shall be concluded within three weeks from the date on which they are placed on the agenda.

g) The official electronic mail (e-mail) address extension of the University is "izu.edu.tr". An official e-mail address with the extension "izu.edu.tr" shall be designated for each unit. Requests concerning the EDMS may also be made from these addresses.

(2) The following principles and methods shall apply to the registration of incoming documents and to document referral.

a) All correspondence of the Board of Trustees, the Rectorate and the Secretariat General shall be handled by the Registry Office.

b) Academic units may correspond among themselves and with their subordinate units, providing the necessary information, in order to maintain academic communication within the University on educational matters and for purposes such as cooperation, project proposals or official requests.

c) Letters to be addressed from academic units to the Rectorate shall be signed by the Dean, Institute Director, Centre Director or their authorised deputies.

ç) Administrative units may correspond among themselves in line with their own activities and responsibilities. Such correspondence may consist of letters that do not have the character of an order and that are carried out for purposes such as the exchange of information.

d) Administrative units may correspond with academic units in order to provide information and documents concerning the operation of the University's units.

e) Classified correspondence shall be carried out by obtaining a "Confidential Document Tracking Number" from the EDMS, without uploading the information on the document (annexes, references, etc.) or the original document itself to the electronic environment.

f) The legal counsel, internal auditors and investigators may correspond directly with academic and administrative units regarding the file to which they have been assigned, and may request confidential information orally or in writing. In conducting such correspondence, the legal counsel, internal auditors and investigators are authorised to access all information in order to carry out their duties effectively.

g) Petitions concerning students' academic requests shall be forwarded to the Deanery/Institute Directorate through the Department/Programme.

ğ) Petitions concerning students' other requests shall be examined in accordance with the relevant legislation within the framework of the University's relevant regulations or directives, registered by the relevant units, processed and answered. For documents requiring approval before processing, an approval letter shall be prepared, or the matter shall be submitted to the Rectorate together with the opinion of the relevant unit.

(3) The following practices shall be taken as a basis for ensuring standardisation in correspondence.

a) Correspondence shall be conducted in accordance with the provisions of the Regulation published in the Official Gazette dated 10 June 2020 and numbered 31151, and within the framework of the relevant Directive.

b) Correspondence with institutions, organisations and persons outside the University shall bear the signature of the Rector or a Vice Rector, except for routine letters for which signing authority has been granted.

c) As a rule, letters shall be prepared and sent by the unit concerned.

ç) Correspondence shall be submitted for signature, together with its annexes if any, after being initialled in hierarchical order, starting with the officer who prepared the letter.

d) Changes may be made to a draft document before it is signed electronically by the approving authority. Once the document has been signed electronically, no changes may be made to the document or its content. Should such changes be made, the necessary criminal and administrative proceedings shall be initiated under Articles 204 and 205 of the Turkish Penal Code No. 5237 and other relevant provisions.

e) If no time limit is specified in the content of a letter, it must be answered within seven working days at the latest from the date on which it is forwarded to the relevant units. Correspondence requiring a commission or board decision shall be answered within 30 calendar days.

f) If a document is not answered within the prescribed period, a reminder letter may be sent to the addressee.

g) Official letters and documents shall be created in accordance with the "Standard File Plan with Retention Periods for Higher Education Supreme Bodies and Higher Education Institutions".

ğ) No unit/authority that does not have or has not been assigned an "Administrative Unit Identification Code" defined in the State Organisation Central Registry System (DETSİS) may engage in correspondence. The "Administrative Unit Identification Code" for newly established units shall be obtained by the Registry Office.

Responsibilities

ARTICLE 6 – (1) Every level within the University's academic and administrative hierarchy is obliged to comply, in its internal and external correspondence, with the legislative provisions set out and referred to in this Directive. The responsibilities of the staff authorised to conduct correspondence under this Directive are set out below.

a) The persons to whom authority has been granted are responsible for ensuring that correspondence is conducted in a timely, accurate and complete manner and that practices comply with the Directive.

b) The relevant unit head and all staff of the unit are responsible for carrying out the registration, referral, dispatch, receipt and similar procedures set out in this Directive in accordance with the procedures, processes and time limits specified in the workflow charts.

c) Unit heads and the relevant staff of the units are responsible for ensuring that incoming documents and signed letters are delivered promptly to the persons concerned and answered promptly so as to avoid the need for reminders.

ç) The unit head and the relevant officers are responsible for the meticulous follow-up of dated and time-limited documents and for any disruptions that may occur in this regard.

d) Unit heads are responsible for taking the necessary measures to prevent classified information and documents from falling into the hands of unauthorised persons and to prevent any breach of the confidentiality of information.

e) The unit head bears primary responsibility for all letters issued by the units, followed by all persons who have initialled the letter.

f) The Rector's Private Office is responsible for the safekeeping of documents and letters submitted for the Rector's signature.

g) The Department of Information Technology is responsible for protecting information and documents on the EDMS against cyber attacks and for taking the necessary measures in this regard.

ğ) The EDMS Officer and the EDMS System Administrator are responsible for modifying and adapting the system features on the EDMS and for maintaining the efficiency of workflows.

h) University staff are obliged to check their EDMS Incoming Documents inbox and the e-mail address assigned to them by the University every day. The relevant staff members are responsible for processing and acting upon letters sent electronically via the EDMS.

PART THREE

EDMS Implementation Procedures

ARTICLE 7- (1) Incoming Document Registration and Distribution Procedures

a) The registration in the EDMS and the referral of all documents addressed to the Rectorate, whether received electronically as e-notifications or registered electronic mail (REM), or in physical form by post or through individual applications, shall be carried out by the Registry Office.

b) Documents received from outside the institution and addressed to academic/administrative units (other than those received via REM) shall be registered directly by the relevant academic or administrative units. Incoming documents shall be classified by authorised staff and uploaded to the EDMS according to their security classification.

c) Documents registered on behalf of the University shall be forwarded from the EDMS, upon referral by the Head of the Registry Office, to the unit(s) concerned with the subject matter. Referred documents shall be received by staff authorised by the relevant units.

ç) Documents reaching a unit shall be referred to the relevant sub-unit. Where necessary, a note shall be added to the referred document concerning the action to be taken.

d) Letters not prepared in accordance with the rules set out in the Regulation and in this Directive shall be returned to their unit without being processed. Any resulting responsibility rests with the unit that prepared the letter.

e) In academic or administrative units, where it is desired that documents arriving at the unit be received through the system by a staff member other than the unit head, another user name may be defined and authorised as the unit's document officer through the system, where necessary.

f) Documents transmitted to addressees electronically constitute notification, and the required action shall be taken without waiting for physical delivery against receipt.

g) Where documents received from outside the institution contain annex(es) that cannot be transferred to the system, information regarding these annexes shall be stated when the document is registered in the EDMS. Annexes that cannot be entered into the system shall be delivered to the relevant unit against receipt.

ğ) Documents to be registered must bear a name and signature. (Applications made under the Right to Information Act and applications submitted through CİMER are excluded.) Documents without a signature shall not be registered. Where such documents contain a full address, the units shall ensure that they are returned by official letter.

h) With the exception of newspapers, magazines, books, brochures and similar printed periodical or non-periodical publications, all incoming documents and their annexes that can be scanned shall be scanned and transferred to the electronic environment.

ı) Documents sent from outside the institution by electronic means (e-mail, fax) may be processed directly in the electronic environment, taking their level of importance into account.

(2) Creation of Documents, Initialling and Signature Procedures

a) Care shall be taken to ensure that letters are prepared in accordance with the rules of Turkish grammar and contemporary Turkish, that matters are explained clearly, briefly and concisely, and that the request is comprehensible in the concluding section.

b) Where letters have references, all references, citations and annexes shall be indicated within the letter in accordance with their links.

c) In correspondence conducted electronically, initialling up to the final signatory shall be obtained electronically, and such initialling shall have the same effect as a handwritten initial.

ç) In approval letters to be submitted for the APPROVAL of a senior authority, where an intermediate-level manager exists (if the favourable opinion of the authorities between the proposing authority and the approving authority is required), the phrase "Submitted with a Favourable Opinion." shall be added to the lower left-hand side of the letter after the signature of the proposing unit head; where there is no intermediate-level manager, an "APPROVAL" document bearing two signatures, those of the proposing and approving authorities, shall be issued.

d) Approvals and letters that concern more than one unit and require the opinion of a unit to be obtained shall be submitted for signature with the initials of the relevant unit heads in order to ensure coordination.

e) As a rule, signatures and approvals shall be executed with a secure electronic signature. However, in extraordinary or compulsory circumstances, they may be signed with a wet signature as required by legislation or by the person authorised to sign.

f) If a document is not answered within the prescribed period, a reminder letter may be sent to the addressee.

g) Documents requested from other units by the Office of the Legal Counsel for submission to judicial and administrative authorities shall be sent to the Office of the Legal Counsel both electronically and physically. Where an annex is to be attached to letters to be sent to the Office of the Legal Counsel, a "Certified True Copy" stamp shall be affixed to a suitable place on the copy of the annex, which shall then be signed and sealed by authorised persons.

(3) Creation and Distribution Procedures for Signed External Documents

a) Correspondence with persons, institutions and organisations outside the University shall bear the signature of the Rector or a Vice Rector. Heads of administrative units may not conduct external correspondence under their own signature. In the initialling of documents prepared by a unit, after the initial of the unit head, the Secretariat General shall be selected for initialling and the Rectorate for signature, and the document shall then be submitted for signature.

b) In correspondence with institutions and organisations outside the University, the Rector, Vice Rectors, Secretary General, Deputy Secretaries General and unit heads who have been granted correspondence authority may conduct correspondence via the EDMS under their own signature.

c) Academic and administrative units that have been granted correspondence authority on certain matters (student certificates, military service deferment certificates, internship certificates, technical reports, test results, etc.) may conduct external correspondence.

ç) Documents received in the Registered Electronic Mail (REM) system for dispatch to an external recipient shall be checked and sent by the Registry Office within the framework of the Regulation.

d) Where there is no REM address, documents approved electronically and destined for institutions and organisations outside the University (external correspondence) must be printed out by the staff member who created the document, once the electronic signature stages have been completed, and sent by the unit that created the document.

e) No document for which an outgoing record has not been generated electronically may be delivered or referred for distribution.

f) As a rule, reply letters to letters received from other institutions shall be signed in accordance with the principle of reciprocity.

(4) Document Filing Procedures

a) File plans in the units shall be created in accordance with the "Standard File Plan with Retention Periods for Higher Education Supreme Bodies and Higher Education Institutions", which was sent to institutions by the letter of the Directorate of State Archives dated 23.10.2023 and numbered E-72424901-805.01.01-86936 and put into effect on 2.1.2024.

b) As a rule, documents prepared and signed with a secure electronic signature shall be recorded, sent and stored electronically. Such documents shall not additionally be printed out and stored in physical form.

c) The electronic archiving of all incoming and outgoing documents shall likewise be carried out by the unit that created the document.

Document Disposal Procedures

These shall be carried out in accordance with the provisions of the Regulation on State Archive Services and the principles of the University Archiving Instruction.

Requests for Information, Applications and Complaints

ARTICLE 8 (1) Applications and complaints submitted to the University shall be assessed and answered within the framework of the procedures and principles set out in the Act No. 3071 on the Exercise of the Right of Petition and the Right to Information Act No. 4982. The following procedures and methods shall be applied in this regard.

a) Pursuant to the "Right to Information Act No. 4982", published in the Official Gazette dated 24.10.2003 and numbered 25269, the unit from which information or a document is requested shall carry out the necessary procedures bearing in mind that the request must be answered within the statutory response period of 15 working days from the date on which the document entered the University's records.

b) In information requests reaching the University through institutions and organisations, if no time limit is specified in the content of the letter, the response to the request must be notified in writing to the Rectorate within five working days at the latest from the date on which the letter was forwarded to the relevant unit.

c) News reports and articles appearing in the media that concern the University and are in the nature of a report or complaint shall be monitored by the Department of Corporate Communications, notified to the Secretariat General, and acted upon in accordance with the instructions received.

PART FOUR

Delegations of Authority and Signature Powers

Routine correspondence for which signing authority has been granted

ARTICLE 9 – (1) Authorised officers shall exercise the signature powers conferred directly upon them by legislation and held by them in their capacity as managers in the performance of their duties. In addition, units/unit heads have been granted authority to conduct and sign external correspondence with other institutions/organisations on the matters requiring routine University procedures detailed below.

(2) Routine correspondence for which signing authority has been granted to the Dean/Institute Director;

a) Correspondence concerning students' summer school, internships or course practice,

b) Information letters to other institutions concerning the courses taught and the supervision provided by teaching staff at the faculty/institute.

c) Correspondence concerning the military service deferment and cancellation of deferment of graduate students.

(3) Routine correspondence for which signing authority has been granted to the Head of the Department of Human Resources;

a) Employment certificates, payroll statements, social security registration/deregistration, social security institution declarations.

(4) Routine correspondence for which signing authority has been granted to the Head of the Department of Student Affairs;

a) Student certificates and transcripts of undergraduate students and other documents relating to student affairs procedures.

(5) Routine correspondence for which signing authority has been granted to the Head of the Department of Financial Affairs;

a) Responses to petitions concerning students' requests for fee refunds, refunds of overpayments, discounts, instalment plans and similar matters.

(6) Routine correspondence for which signing authority has been granted to the Secretary of the Graduate Institute;

a) Student certificates and transcripts of graduate students and other documents relating to student affairs procedures.

(7) Routine correspondence for which signing authority has been granted to the Coordinator of International Students and Relations;

a) Correspondence concerning acceptance letters,

a) Acceptance and invitation correspondence for hosting international delegations and universities.

(8) Routine correspondence for which signing authority has been granted to the Erasmus Institutional Coordinator;

a) Acceptance and invitation letters, selection letters, grant letters, visa letters, academic equivalence and academic recognition, mobility commencement/completion, grant payment instructions and grant refund letters.

(9) Routine correspondence for which signing authority has been granted to the Director of the Continuing Education Application and Research Centre;

a) Correspondence concerning agreements signed by the Rectorate, participant fees and discount rates, contracts, cooperation, solution partnerships and the procurement of external services.

FIFTH SECTION

Miscellaneous and Final Provisions

Miscellaneous Provisions

ARTICLE 10- (1) The Regulation published in the Official Gazette dated 10 June 2020 and numbered 31151 and the provisions of this Directive shall apply to all correspondence procedures.

(2) A copy of this Directive shall be kept available at the unit head's office together with the Regulation and the "Official Correspondence Guide". A copy of the Directive shall be distributed to the subordinate levels attached to the units. It shall also be made available electronically to University staff.

(4) In cases not covered by this Directive, action shall be taken in accordance with the provisions of the relevant legislation in force and with the approval of the Rectorate.

Cases Not Covered by These Principles

ARTICLE 11- (1) In cases not covered by this Directive, the provisions of other relevant legislation in force and the decisions taken by the competent boards of the University shall apply.

Entry into force

ARTICLE 12- (1) This Directive shall enter into force on the date of its adoption by the Senate.

Execution

ARTICLE 13- (1) The provisions of this Directive shall be executed by the Rector.