PROCEDURES AND PRINCIPLES REGARDING ARCHIVE SERVICES

SECTION ONE
Purpose, Scope, Basis, and Definitions

Purpose
ARTICLE 1- (1) The purpose of these procedures and principles is to identify archive documents and archival documents (to become archive documents in the future) resulting from transactions within the Rectorate, Faculties, Schools, Vocational Schools, Graduate School, Research and Application Centers, and administrative units affiliated with Izmir University of Economics, organize them, preserve them under the necessary conditions, use them for scientific and administrative purposes, prevent their loss, sift and destroy documents that are not deemed necessary to keep, and regulate the procedures and principles regarding the general structure of the unit and institutional archives, their working methods, service areas, and the transfer of archival documents to the Presidency of State Archives.

Scope
ARTICLE 2- (1) These procedures and principles cover the information and document management, archive services, and activities of all units within Izmir University of Economics.

Basis
ARTICLE 3- (1) These procedures and principles are based on the "Law on the Adoption of the Decree-Law Regarding the Destruction of Documents and Records No Longer Required for Preservation" dated 28.09.1988 (No. 3473), the "Regulation on State Archive Services" published in the Official Gazette on October 18, 2019 (No. 30922), and the "Procedures and Principles for Digitization Activities to be Carried Out in Archives" which entered into force with the official approval dated 07.07.2020.

Definitions
ARTICLE 4- (1) The references in these procedures and principles are as follows:
a)Archive: The locations where documents generated as a result of work and transactions carried out at Izmir University of Economics and its units, communications, and services provided to individuals or legal entities are stored,
b)Archive Document: Documents that are no longer functional in daily operations, for which twenty years have passed since the last transaction date or fifteen years have passed since a final outcome was reached, and which have completed their retention periods under any applicable legislation and retention schedules, regardless of their production methods or hardware environments, and which should be transferred to the future as documents containing information of historical, political, social, cultural, legal, administrative, military, economic, religious, scientific, literary, aesthetic, biographical, geological, or technical value, and which contain information in written, drawn, painted, visual, audio, or electronic formats,
c)Archival Document: Documents that do not yet qualify as ‘archive documents’ due to time or any documents that must be kept on hand for the provision of services, even if they have expired but remain relevant,
ç)Sifting: The process of distinguishing between any documents that, despite having value within the scope of current transactions with archival documents, have lost their legal value and evidential characteristics and are not deemed necessary to be used or stored in the future for any reason, and the identification of archival documents that will acquire archive document status in the future,
d)Sifting and Disposal Commission (SDC): A commission formed of knowledgeable personnel to manage sifting and disposal processes,
e)Presidency: The Presidency of State Archives of the Republic of Turkey,
f)Document: Any written, drawn, pictured, visual, audio, or electronic record containing information produced, regardless of production methods and hardware environments, by the University units,
g)Document Hierarchy: The institution, unit, folder, file to which the document belongs, and the entirety of the document components from general to specific,
ğ)Document Management: The process management system that carries out the activities of evaluating, organizing, sifting, and providing service within the framework of criteria determined from the production of electronic and physical documents,
h)Unit: The academic and administrative units within Izmir University of Economics,
ı)Unit Archive: The archive where documents resulting from transactions carried out in Izmir University of Economics and its units, which are active and functional within the daily workflow and have not lost their currency, are kept by the relevant units for a certain period,
i)Unit Document Manager: A full-time staff member designated from each unit to carry out the filing, storage, sifting, disposal, presentation for service, and transfer procedures of documents to the institutional archive,
j)Evaluation: The process of decision-making by institutional authorities, the document manager, and archivists regarding documents, taking into account their administrative, financial, legal, historical, and research status within the creation processes,
k)Digitization: The transfer of documents in printed format to a digital environment using devices such as scanners and cameras, as well as innovative techniques,
l)File Code: The alphabetic, numeric, or alpha-numeric identification showing which file a document is associated with or which file/folder a completed document will be placed in,
m)Filing: The process of positioning documents under the guidance of a file plan and storing them in a specific order to be consulted again when necessary,
n)File Plan: The classification scheme created on a subject/function basis that enables the efficient use, management, and storage of documents,
o)Electronic Archive: The archive where all kinds of information and documents are located in electronic environments and kept in a way that they can be accessed, stored, disposed of, or transferred,
ö)Electronic Document Management System (EBYS): The system that provides the management of all kinds of documents that may serve as evidence while the administration performs its activities, by sifitng them and preserving their content, metadata, format, and relational characteristics within the chain of custody and for the function or process to which they belong in an electronic environment,
p)Disposing: The process of disposing documents that have lost their value, are no longer deemed necessary for use or storage, are not classified as archive or archival-quality documents, and have lost their legal value and status as evidence,
r)Institution: Izmir University of Economics,
s)Institutional Archive (Central archive): The archive where documents belonging to Izmir University of Economics are stored for a longer period compared to the unit archives,
ş)University Archivist: The archive specialist responsible for the general information and document management of the institution and who has undertaken the responsibility of the institutional archive,
t)Retention Plan: The schedule showing how long the produced documents and resulting files will be kept in the unit/institutional archives and what kind of process they will undergo at the end of each stage,
u)Document not deemed necessary for retention: A document that, despite having value, is no longer deemed necessary for use over time and falls outside the scope of archive and archival-quality documents,
ü)Standard File Plan (SFP): The inventory of subjects and subject numbers prepared and developed in advance to ensure the filing of institutional transactions carried out by Izmir University of Economics and its units, and the documents created or received as a result of these transactions, on a subject or function basis by indicating their relationship with their place of production,
v)Classification: The activities of organizing and classifying archive documents by fulfilling the necessary rules of archival science,
y)Metadata: Each of the elements that specify or define the characteristics of a document,
z)Case file: The file opened for each individual transaction, in which all documents related to the conducted business and activity are kept together,
aa) Obligor: Izmir University of Economics as specified within the scope of Presidential Decree No. 11 on the Directorate of State Archives.

SECTION TWO
Protection of Documents, Document Managers, Confidentiality, Utilization, and Creation of Archives

Protection of Documents
ARTICLE 5- (1) The Obligor is responsible for:
a) Ensuring that all documents in their possession are protected against fire, theft, moisture, heat, flooding, dust, and damage caused by any kind of animal or vermin, and that they are preserved in their original order,
b) Maintaining fire extinguishers in constant working order in accordance with fire safety regulations,
c) Disinfecting archive halls at least once a year against microorganisms as a precaution.

(2) The Obligor is responsible for establishing and implementing a disaster recovery plan and setting up a backup unit to ensure that all necessary security measures are taken against any disasters, cyber attacks, software/hardware-related threats, and other potential threats and risks to documents created and/or stored in electronic form, and to prevent potential document loss.

(3) Documents from closed units at Izmir University of Economics are transferred to the Institutional Archives, unless another unit has been assigned to handle them.

Document Managers
ARTICLE 6- (1) The University Archivist, who shall be responsible for conducting the document management and archival services of Izmir University of Economics, is appointed by the Director of Library and Documentation. For each individual unit, “Unit Document Managers” are appointed by the respective unit manager. The appointed “Unit Document Managers” are reported to the Library and Documentation Directorate.

(2) To ensure that document management and archival services are carried out in accordance with the provisions of these procedures and principles, as well as archival methods and techniques, a sufficient number of qualified personnel shall be assigned as necessary.

(3) Priority shall be given to those who have received professional training among the personnel to be involved in the execution of document management and archival services.

(4) The Obligor shall take measures to develop the professional knowledge and skills of the personnel who will work in document management and archival services.

(5) Archival services and activities are carried out by personnel trained in archiving under the supervision and audit of the Library and Documentation Directorate.

(6) The Unit Doucment Manager is responsible for the filing, storage, sorting, disposal, presentation for service, and transfer of documents in the relevant unit to the institutional archive.

(7) The University Archivist is responsible for receiving archival documents, storing them, evaluating and preserving them, determining the sorting methods for unnecessary documents, and keeping the documents in their possession in a continuously usable state.

(8) All types of documents produced by the units that must be transferred to the Institutional Archive are the property of the University and cannot be subject to private ownership. Documents of units established and subsequently abolished within the Rectorate shall be transferred to the Institutional Archive, provided that no other unit has been assigned for this purpose.

(9) Archival documents produced in units are delivered to the unit archive to be preserved until the document loses its currency or completes its retention period in the units; they are delivered to the institutional archive to be kept permanently or until they are transferred to the Presidency.

Confidentiality of Documents and Declassification
ARTICLE 7- (1) Documents that were classified or deemed confidential during their active period and still retain these characteristics shall maintain their status unless their confidentiality is explicitly revoked.

(2) Access to these documents is limited to individuals authorized by the Rector and the University Archivist. The Rector may utilize all types of documents, whether confidential or not, held in unit archives and the Institutional Archive. However, the Unit Document Manager, who transfers a confidential document may only access documents belonging to their own unit when needed. Access to the confidential documents of other units is subject to the permission of the Rector.

(3) Classified archival documents remain confidential after being transferred to the Institutional Archive and the Presidency. The declassification of such archival documents is decided by the Presidency after obtaining the views of the relevant obligors. Declassified archival documents shall be marked with the phrase: "Declassified by decision dated ... and numbered ..."

(4) Matters regarding the procedures and processes for the declassification of archival documents transferred to the Presidency shall be determined by the Presidency.

Utilization of Archives
ARTICLE 8- (1) Units may take documents from the archives for viewing or examination when necessary, provided they are not taken off-premises. Following the examination, the taken documents must be returned to the archive from which they were obtained.

(2) Requests for documents from the archives shall be made by completing the Document/File Request Form.

(3) The duration for examining and using documents obtained from the archives is determined by the Institutional Archive. The standard lending period for documents from the Institutional Archive is one week. This period may be extended if a justification is provided in case of need. If a borrowed document is not returned after the expiration of the additional time granted, a warning shall be issued to the non-returning unit and personnel.

(4) Original copies of documents that have acquired the status of archival documents may not be taken off-premises for any reason or in any manner. However, when it is necessary for the performance of a service or the protection and proof of a right belonging to the State, or real or legal persons, copies may be provided in accordance with the proper procedure. Copies (certified photocopies) are presented with the stamp “True to Original”. Alternatively, documents may be examined on-site by experts appointed by courts or authorized officials designated by the relevant departments.

(5) Documents in electronic format shall be utilized within the framework of access authorization. Requests to utilize documents for which no access authorization exists shall be fulfilled by the EBYS (Electronic Document Management System) manager with the permission of the Rector.

(6) All records regarding the utilization of archives shall be maintained systematically in the Institutional Archive for a period of 10 years.

Creation of Archives
ARTICLE 9- (1) The Obligor is responsible for establishing the Institutional Archive.

(2) Archival documents shall be preserved in accordance with the periods specified by the SFP (Standard File Plan) and other relevant legislation.

(3) Units may, if needed, establish Unit Archives where documents that are actively used in daily workflow and have not yet lost their currency are preserved for a specific period.

(4) In the creation and organization of archival spaces, the TS13212 standard titled, “Organization of Archival Spaces”, shall be taken into consideration.

(5) All types of information and documents in electronic format shall be kept in electronic archives in a manner that allows for access, storage, disposal, and transfer.

SECTION THREE
Filing Procedures

Assignment of File Codes to Documents
ARTICLE 10- (1) The file code is determined in accordance with the SFP rules.

(2) If a document contains more than one subject, the file code belonging to the predominant subject is preferred. In such cases, a copy of the document may also be placed in other relevant files.

(3) Even if defined separately in file plans, a different file code cannot be assigned to documents that are a continuation or a part of a single transaction, in order to maintain transactional integrity.

(4) The file codes assigned to incoming documents are not taken as a direct reference for the reply letters to be prepared or for the filing of the document.

(5) In EBYS, the file code is included as a mandatory metadata element.

Filing of Documents
ARTICLE 11- (1) Subject files/folders are opened every year if documents bearing their specific file codes are generated, and they are closed at the end of the year. For case files where transactions span multiple years, the year in which the transaction is completed is taken as the basis for closing.

(2) All documents generated regarding a transaction are filed in chronological order, from the document starting the process to the document finalizing it, including their attachments and related papers.

(3) Due to the high volume of documents bearing the same file code, geographic, alphabetical, or chronological filing may be performed to ensure more effective access, provided no exception is specified in the file plan.

(4) If only a small number of documents accumulate in files/folders opened with their own specific codes, these documents are merged into the upper file levels to which the file code is linked or into files/folders titled “General”. The file labels of the merged files/folders are reorganized according to the action taken.

(5) A “File/Folder Content List”, is prepared and placed inside each file/folder to identify the content and ensure rapid access to documents.

(6) In preparing the file/folder content list, the most recently processed document of each transaction set is taken into account. The listing process starts from the oldest document of the file/folder that has been chronologically ordered.

(7) In EBYS systems, documents are stored in the files/folders they belong to according to the defined hierarchical structure and file codes.

(8) In addition to defining the subject of the file, file codes also serve to determine its location in storage environments.

(9) The organization of different types of documents such as films, photographs, records, audio, and video tapes may be carried out according to different systems and processes.

File Labels
ARTICLE 12- (1) The File/Folder Label Sample, must include elements such as "Corporate name/logo," "Unit name/code," "File code," "Subject name," and "Year."

SECTION FOUR
Document Transfer Procedures

Preparation of Documents to be Transferred to Archives
ARTICLE 13- (1) Within January of each year, a “Compliance Check” is conducted by the unit document managers for the files/folders of the previous year. During the compliance check, the following are checked:
a) Whether archival documents that have completed their retention period in the unit archive according to the SFP have been separated by the unit document manager as “those to be transferred to the Institution Archive”,
b) Whether the documents within the file/folder are filed in accordance with filing rules and whether there is any skip in file numbering between transfers,
c) Whether the documents related to each separate transaction within the file/folder are brought together with their attachments,
ç) Whether the documents for each separate transaction are sorted chronologically (from oldest to newest) based on the date of the most recent action; whether pages or attachments are torn, detached, or missing; whether those requiring binding are bound; and whether those requiring enveloping are enveloped,
d) Whether file/folder labels have been created,
e) Whether file/folder content lists have been prepared and whether any identified deficiencies have been rectified.

(2) For files/folders containing documents that are fully or partially “classified” (confidential), the highest security classification among the documents is written on the file/folder label. Classified files/folders are treated like normal documents during classification and placement in archives.

(3) Compliance check is carried out by the relevant unit personnel and the unit document manager.

(4) The unit document manager checks whether documents generated in EBYS Systems are associated with the correct file code and ensures that incorrectly assigned file codes are linked to the correct ones.

Transfer of Documents to Archives
ARTICLE 14- (1) Files/folders whose transactions are completed and whose deficiencies have been rectified following the compliance check are transferred within February and March of the following calendar year, as part of the Institution Archive planning.

(2) The unit document manager records the documents to be transferred to the Institution Archive in the “Archival Document Transfer-Delivery Inventory Form”, assigning a sequence number starting from one for each transfer. Following the approval of the unit supervisor, these inventory forms—along with the Institution Archive Transfer-Delivery and Inventory Record —are submitted to the University Archivist.

(3) The relevant forms and minutes are checked and approved by the University Archivist, and the documents are officially received.

(4) Materials that are not attachments to a document, such as books, brochures, blank forms, materials used continuously in daily workflow, personal documents, and theses, are not transferred to the archives.

(5) A specific order is followed in the transfer of documents by reaching a consensus with the units.

(6) File/folder content lists are taken as the primary reference during transfer procedures.

Stamping
ARTICLE 15- (1) Documents transferred to the Institution Archive shall be stamped with the Izmir University of Economics Institution Archive stamp.

(2) The stamp is applied to the upper right corner of the front face of paper documents, the upper right corner of the inner front cover of ledgers, and similarly to the upper right corner of documents contained within ledgers.

(3) For other types of archival documents not mentioned above, a stamp printed on an adhesive label shall be applied.

Organization in Archives
ARTICLE 16- (1) Documents are classified in the archives using the organic method (The Principle of Provenance / Respect for Original Order), in accordance with the structure they had at the time they were processed, and are preserved without disturbing their original order.

(2) The institution, departments, and sub-units to which the archival documents belonged during their processing dates are determined within a hierarchical integrity. Documents belonging to specific units are brought together.

(3) First, documents belonging to each unit and sub-unit are reviewed individually for the sifting process. Unit documents are grouped in a manner consistent with their formation and relational patterns at the time they were processed. Sifting is carried out in accordance with the institution's organizational chart. Following the organizational chart, the process of identifying the organization codes for the institution, units, and sub-units individually begins.

(4) Sifted documents that share the same ownership in terms of subject and transaction are brought together with their attachments. Maps, plans, projects, and similar items attached to a document shall not be separated from the original documents; such attachments are handled together with the primary document.

(5) Subsequently, documents whose units have been identified are placed in chronological order by “day, month, and year”. Chronological ordering is performed from the oldest date to the newest. The same method applies to the chronological ordering of documents with multiple attachments.
Documents that only list the “month” but not the day, and lack clues like a document number, are placed collectively at the end of that month. Those with only a year and no day or month are placed at the end of the respective year.
Documents without a written date but assigned an estimated date are placed among the documents of the respective year where the month and day are unknown. Estimated dates are indicated within square brackets [ ].

(6) To prevent pages of a multi-page document from being scattered and to facilitate use, pages are numbered. In each file, documents receive a sequence number starting from one.

(7) Space is allocated to units in the archives, taking into account document density and the length of retention periods.

(8) Files/folders are placed on shelves according to a “Layout Plan”, and a “Layout Schematic” is produced.

(9) In placing files/folders, a sequence from left to right on shelves and top to bottom within sections/compartments is followed.

(10) Placement in the archive begins from the upper left corner of the first shelf on the left side. This process is repeated for each shelf group.

(11) During placement, files/folders are arranged from the lowest number to the highest, taking file codes and series into account.

(12) This placement process applies only to traditional paper-based documents; for other media such as film, photographs, records, audio, and video tapes, placement is carried out by establishing shelf systems appropriate to their type.

(13) Regarding documents in EBYS Systems, the provisions applied to other materials for the preservation, classification, transfer, and similar archival processes of those with archival document status are implemented in accordance with the TS13298 “Electronic Document and Archive Management System” standard, while considering document hierarchy and file integrity.

SECTION FIVE
Sifting and Disposal Procedures for Materials Not Requiring Retention

Establishment of the Sifting and Disposal Commission
ARTICLE 17– (1) A “Sifting and Disposal Commission” shall be established to carry out sifting and disposal procedures within the institutional archives. The commission shall consist of five members: chaired by the unit manager responsible for the organization and execution of archival services and activities, two personnel assigned from the archive, and two representatives who possess knowledge and experience in the services of their respective unit, assigned by the head of the unit whose documents are to be sifted and disposed of.

Working Principles of the Siftig and Disposal Commission
ARTICLE 18– (1) The Sifting and Disposal Commission shall begin its work at the beginning of March each year.

(2) The commission shall convene with its full membership and reach decisions by a majority vote. In the event of a tie or in cases of uncertainty, the material in question shall be deemed decided for retention.

(3) Documents whose disposal is rejected shall be re-evaluated by the relevant commission in subsequent years.

Sifting and Disposal in the Institutional Archive
ARTICLE 19- (1) In sifting and disposal procedures, priority shall be given to sifting documents from earlier years.

(2) The disposal of any document deemed unnecessary for retention shall be carried out by the final decision of the Sifting and Disposal Commission.

(3) The liquidation of documents stored in e-archives within Electronic Document Management Systems (EBYS) shall be performed through the system in accordance with the retention schedule and the provisions of these procedures and principles.

Documents Not Subject to Sifting
ARTICLE 20- (1) Documents that play an active role in current transactions, have not completed their retention period according to legislative provisions and retention schedules, or are subject to any litigation cannot be subjected to sifting and disposal until the prescribed retention period is complete and/or the litigation is concluded.

Preparation and Finalization of Disposal Lists
ARTICLE 21- (1) For documents to be disposed, a “Disposal List”, shall be prepared. For documents possessing the same type and characteristics, disposal lists indicating the types and years may be organized by retaining representative samples.

(2) Every page of the disposal lists shall be signed by the president and members of the Sifting and Disposal Commission.

(3) Prepared disposal lists become final following the favorable opinion of the Presidency and the subsequent approval of the Rector or their authorized designee.

(4) The method of disposal for the documents shall be specified during the approval process.

(5) Documents sifted and set aside for disposal by the Sifting and Disposal Commissions shall be preserved in an orderly manner until the disposal procedures are finalized.

(6) The act of disposal is officially recorded via a “Disposal Record".

(7) Prepared disposal lists, records, and all related documents shall be retained for a period of ten years.

Methods of Disposal
ARTICLE 22– (1) Documents to be destroyed shall be shredded by machines in a manner that renders them unreadable and unrecognizable by others, and they shall be processed for use in recycling.

(2) For documents whose specific disposal method is dictated by their own specialized legislation, the provisions of that relevant legislation shall apply.

(3) For documents produced in an electronic environment, disposal procedures shall be carried out by the System Administrator of the Directorate of Information Technologies and the Sifting and Disposal Commission, under the supervision and audit of the University Archivist, at the end of the periods specified in the Standard File Plan and the Corporate Retention Plan.

(4) The disposal of documents in e-Archives shall be carried out by removing them from the system in a way that makes viewing, reading, or using them impossible.

Cooperation Between the University and the Presidency
ARTICLE 23- (1) The University shall request the opinion of the Presidency regarding any matters of uncertainty encountered during sifting and disposal procedures.

SECTION SIX
Procedures Regarding the Presidency of State Archives

Transfer Procedures
ARTICLE 24 – (1) Following the sifting procedures carried out in the institutional archive, documents identified as “archival documents in the retention plan shall be set aside for transfer to the Presidency.

(2) Files or folders whose structural integrity has been compromised after sifting shall be re-filed in accordance with their original file codes.

(3) Archival documents to be transferred to the Presidency shall undergo a compliance check as specified in Article 13.

(4) Archival documents that have lost their active administrative value, completed their retention period under the Standard File Plan, and are required to be handed over to the Presidency shall be transferred upon the approval of the Rectorate.

(5) Transfer and delivery procedures shall be carried out annually within the date range determined by the Presidency. Archival documents whose transfer has been finalized shall be delivered to the Presidency within one year at the latest, along with any specially maintained records and digital images.

(6) If there are physical or structural differences among the documents to be transferred to the Presidency, their transfer and delivery shall be conducted using separate lists.

(7) Documents to be transferred shall be recorded in the “Archival Document Transfer-Delivery Inventory Form”, by assigning sequential numbers starting from 1 for each batch. This form is then submitted to the Directorate to determine the transfer date and method. The Presidency may inspect the documents to be transferred on-site.

(8) The sections of the Archival Document Transfer-Delivery Inventory Form defining the characteristics of the files shall be filled out by the University Archivist; the transfer-delivery process is executed following Rectorate approval.

(9) Any document within the scope of these procedures and principles that is determined to have been used in a crime and for which a confiscation (forfeiture) order has become final under relevant laws shall be delivered to the Presidency of State Archives within six months following the finalization of the judgment.

(10) The link between electronic archival documents, their hierarchy, and their metadata shall be preserved. If this link was not established during the creation phase, it shall be established subsequently.
Documents created as subject files shall be prepared according to subject codes and series, while those created as case files shall be prepared according to case file codes and folder series, and transferred in accordance with the procedures and principles determined by the Presidency.

SECTION SEVEN
Miscellaneous, Temporary, and Final Provisions

Digitization of Documents
ARTICLE 25- (1) Documents received in paper format for processing, including their attachments, shall be scanned and integrated into the EBYS to ensure the integrity of processes and files.

(2) The relationship between digitized documents and their electronic and physical counterparts shall be maintained.

(3) When necessary, documents may be digitized to ensure that archival documents are no longer limited to a single copy, to prevent the wear and tear of frequently used non-archival documents, and to increase their efficient use.

(4) Documents that are infrequently used and are scheduled for disposal at the end of their retention periods, as specified in retention plans, shall not be subject to the digitization process.

(5) The relationship between digital images and their corresponding metadata shall be maintained.

(6) Digitization processes shall be carried out in coordination with the Library and Documentation Directorate in line with the proposals of the relevant units to ensure institutional integrity. Independent digitization practices by individual units are not permitted.

(7) Digitization processes shall take into account the TS13298 standard titled “Electronic Document and Archive Management System”, as well as the “Procedures and Principles for Digitization Activities to be Carried Out in Archives” notified by the Presidency of State Archives in the letter dated July 13, 2020, numbered 51048475-010.08-E.7401.

(8) Digitization processes shall be implemented on a unit-by-unit basis, starting from the most recent date and proceeding retroactively.

File Plans and Retention Plans
ARTICLE 26– (1) The Obligor is responsible for preparing file plans and retention plans under the coordination of the Library and Documentation Directorate and implementing them following the favorable opinion of the Presidency.

(2) File plans shall be prepared by taking into account the institutional structure and functions of the organization; retention plans shall be prepared as a result of evaluating documents from administrative, financial, legal, and historical perspectives.

(3) The application of the “Standard File Plan” is mandatory for filing procedures; however, a separate retention plan shall be prepared for films, photographs, records, audio recordings, video footage, and other such documents not covered by the standard file plan.

Audit
ARTICLE 27– (1) The Presidency shall audit the compliance of the Obligor’s document management and archival services with current legislation and regulations, as well as the suitability of electronic document management systems (EBYS) regarding document management and archival processes.

Document Management and Archival Services Activity Report
ARTICLE 28- (1) In accordance with the schedule determined by the Presidency, information regarding document management and archival activities shall be organized by the University Archivist using the “Document Management and Archival Services Evaluation Form” and in compliance with the forms and formats specified by the Presidency of State Archives. This report shall then be submitted to the Presidency upon the approval of the Rectorate.

Prohibition on Exporting Private Archives Without Permission
ARTICLE 29- (1) Private Archives or documents possessing the character of archival records may not be taken abroad, in whole or in part, for any reason or by any means, without prior authorization. The necessary permission to export such archival documents abroad shall be granted by the Presidency upon the request of natural or legal persons.

Resolution of Uncertainties and Cooperation
ARTICLE 30- (1) The Obligor shall request the opinion of the Presidency regarding any matters where they have uncertainties concerning the implementation of the provisions of these procedures and principles.

Amendments
ARTICLE 31– (1) These procedures and principles may be amended by the decision of the Senate of Izmir University of Economics.

Effectiveness
ARTICLE 32- (1) These procedures and principles take effect on the date they are approved by the Senate of Izmir University of Economics.

Enforcement
ARTICLE 33- (1) The Rector of Izmir University of Economics enforces the provisions of these procedures and principles.

ANNEXES
ANNEX-1: DOCUMENT/FILE REQUEST FORM
ANNEX -2: FILE/FOLDER CONTENT LIST
ANNEX -3: FILE/FOLDER LABEL SAMPLE
ANNEX -4: ARCHIVAL DOCUMENT TRANSFER-DELIVERY INVENTORY FORM
ANNEX -5: INSTITUTION ARCHIVE TRANSFER-DELIVERY AND INVENTORY RECORD
ANNEX -6: DISPOSAL LIST
ANNEX -7: DISPOSAL RECORD
ANNEX -8: DOCUMENT MANAGEMENT AND ARCHIVAL SERVICES EVALUATION FORM