DOCUMENT MANAGEMENT DIRECTIVE Y17-İK-001

Transcription

1 Page : 1 / 8 1. PURPOSE The purpose of this directive is to determine and document the procedures with respect to the publication, authorization, promulgation and update of regulations, directives, procedures, instructions and forms put in a written form in order to keep the activities and processes that effect the service quality of administrative and academic staff at Koç University under control. 2. SCOPE This directive applies to all academic and administrative staff. 3. REFERENCES ISO 9001:2000 Article RESPONSIBILITIES 4.1. The President is responsible for the enforcement and implementation of this directive Depending on the process or processes a document directly concerns, the unit director, who is the owner of the relevant process, is responsible for preparing and/or updating the document and its announcement on the internal web. When the process owner is preparing the document, he/she does so also by taking the opinions of other unit directors The process owners are responsible for obtaining approval of the document, whereas the Human Resources Organizational Development Unit (HR-OD) is responsible for its publication on the intranet (my.ku address) and archiving the approved document in electronic form. The process owners send the documents, for which the necessary approvals have been obtained, to the HR-OD in electronic form Directives, procedures, instructions and forms published within the University are kept by the HR- OD. Original copies of regulations are kept by the Office of the Vice President for Academic Affairs The Office of the President is responsible for the publication of regulations in the Official Gazette The unit directors are responsible for obtaining updated versions of documents from external sources The members of Koç University administrative and academic staff are responsible for the implementation and coordination of the method The units create workflow diagrams/process maps and, if required, receive method support from the HR-OD The process owners and relevant unit directors decide which operations and activities parallel to the workflows will be put in writing in the form of a directive, procedure or instruction. In the event of any required amendment in the processes or documents, the relevant unit carries out the update and runs the approval process The review committee is responsible for the approval of the document The unit directors decide which operations and activities within Koç University will be put in writing in the form of a directive, procedure or instruction.

2 Page : 2 / 8 5. DEFINITIONS 5.1. Regulation Regulations are the documents concerning a wide audience, which determine the academic procedures of the University and identify the principles and rules relevant thereto and published in the Official Gazette following the approval of the Higher Education Council Directive Directives are prepared in respect of the main system and processes implemented within the University and identify the principles and rules relevant thereto (constitute responses on the main operations, generally respond to questions such as what and/or why ) Procedure Procedures embody descriptions as to the way in which certain activity groups or processes are to be implemented by the owner unit. They comprise one by one, detailed definitions of planning and application steps related to work implementation Instruction Instructions explain the way in which special operations will be carried out. They generally explain a certain singular operation or multiple operations connected to a procedure Form Forms are all documents created to properly record all activities effecting workflows and which constitute records of quality after filled External Source Documents External source documents are national/international standards, laws and regulations, guidelines, catalogues etc. used by all departments within Koç University Workflow Diagram / Process Maps They are diagrams showing the flow of works executed at Koç University. Flow diagrams set out controls and information in detail Review Committee The Review Committee is the committee responsible for document approvals. The Review Committee consists of the Vice President for Academic Affairs, Vice President for Research and Development, General Secretary and Dean of Students. Depending on procedure content, relevant unit directors are also included in the committee. 6. BASIC PRINCIPLES Guiding information is provided in documents for the proper functioning of processes as well as the standards, acceptances and legal circumstances and implementation principles that constitute restriction to or conditions for implementation. Basic principles with respect to document drafting are defined as below Writing Format Regulations shall be prepared in the writing format used by the Higher Education Council. The formatting rules are provided in the Regulation Applicable to Principal Correspondences to be Used in Official Correspondences published in the Official Gazette. (Annex-1- You can check the current version on the relevant website.)

3 Page : 3 / Times New Roman of 11-point black font shall be used as the print format in documents other than regulations Document Writing Header and Document Numbering System Headers containing the below information and examples of which are seen in this directive shall be used on each page of the directives, procedures and instructions: PROCEDURE INSTRUCTION Directive Title Procedure Title Instruction Title Directive Number Procedure Number Instruction Number Enforcement Date Enforcement Date Enforcement Date Review Number Review Number Review Number Review Date Review Date Review Date Department Department Department Page Number Page Number Page Number Process owners/owner units allocate numbers to directives/procedures according to the system shown below: Yxx- XX- xxx Directive serial number Activity area/sub-unit short code Activity area no. Pxx-XX- xxx Procedure serial number Activity area/sub-unit short code Activity area no. Directives and procedures are coded and numbered according to the activity areas (parent units) provided below. In the section titled Activity area/sub-unit short code, the short code of the unit directly responsible for the preparation and execution of the document is written (for example; the code IM is used for the Facilities Management under the Office of the General Secretary): Office of the President R 01 Office of Learning and Teaching OO Vice President (Academic Affairs) RAI 02 School of Nursing HYO Vice President (Research and Development) RAG 03 English Language Center IDM College of Administrative Sciences and Economics IIBF 04 Registrar s Office KK College of Engineering MF 05 Library Directorate KD College of Science FF 06 KU Press KUY College of Social Sciences and Research, Project Development and Humanities IBF 07 Technology Transfer Directorate, APG Law School HF 08 Research Center for Anatolian Civilizations ANA School of Medicine TF 09 Vehbi Koç Ankara Research Center VEKAM Graduate School of Business IE 10 Koç University Social Impact Forum KUSEF Graduate School of Sciences and Engineering FBE 11 Incubation Center KM Graduate School of Social Sciences and Humanities SBE 12 Vice Dean of Students ODY Health Sciences Institute SBEN 13 Office of International Programs UPO

4 Page : 4 / 8 Communications Office İL 14 Career Development Center KGM Corporate Relations and Development KIG 15 Facilities Management IM Dean of Students OD 16 Dormitory Management YM Human Resources Directorate IK 17 Procurement Management SM Director of Construction ID 18 Technical Services Management TM Office of the Comptroller MI 19 Security Management GM Office of General Secretary GS 20 Computer and Information Technology BT 21 Numbering as to the sub-units affiliated to the activity areas (parent units) provided in the above table shall be done by the unit director according to the coding systems internal to units. According to this system, a document within the responsibility of the Facilities Management under the Office of the General Secretary shall be given the number Y20-IM-001 or P20-IM-001, whereas a procedure within the responsibility of the Library Directorate under the Vice President (Academic Affairs) shall be given the number P02-KD-001. Departments may indicate the sub-units included in their own organizational structures using the symbols / in the coding system (For example: P02-KD/SAT-001- The first procedure owned by the purchasing unit under the Library Directorate) Instructions and forms in connection with a certain directive / procedure are numbered as shown below based on the number of the relevant procedure and the activity area: Txx-XX- Y/Pxx- xx Fxx- XX- Y/Pxx- xx Instruction serial no. Form serial no. Relevant directive/procedure no. Relevant directive/procedure no. Activity area/sub-unit short code Activity area/sub-unit short code Activity area no. Activity area no Content Management and Numbering System The numbering system to be used for directives and procedures, example of which is seen in this directive, will be as shown below: 1. TITLE 1.1. First sub-article Second sub-article Third sub-article Unlike directives, procedures and instructions, there is no special numbering system designated to regulations Directives and procedures are structured under 10 main headings explained below: 1- Purpose: Briefly describes the purpose of the document and the reason for its drafting. 2- Scope: Describes to whom the document is addressed. 3- References: States other documents forming the basis of the document. 4- Responsibilities: States the departments and persons responsible for the preparation, enforcement and implementation of the document. 5- Definitions: Defines the basic concepts, terms and abbreviations included in the document. 6- Basic Principles: Provides guiding information required to be included in the document for the proper functioning of the process. States the standards, acceptances and implementation principles.

5 Page : 5 / 8 7- Method: Explains the method by which the activity will be carried out. Divides the activity into stages and explains the method under sub-headings. 8- Annexes and Records: Lists the annexes to the document, which are communicated separately. 9- Review: States that the document conforms to described activities and defines the periods within which the document will be reviewed. 10- Amendment / Distribution / Approval Schedule: Sets outs the history of amendments made to the document, the units to which the document will be distributed and the relevant approvals. The directives and procedures should contain all of those 10 main headings. These main headings cannot be amended, removed or supplemented. Headings required to be added can be defined as a sub-heading under the relevant main heading. If there is nothing to be stated under a main heading, this is indicated with the abbreviation N/A Additional headings concerning the subject may be included in instructions in addition to the headings mentioned above (For example: equipments to be used, issues requiring attention etc.) In the alternative, the information wished to be conveyed via the instruction may be explained using figures or tables in lieu of such headings. A typical work instruction explaining a certain activity generally contains the following headings: 6.3. Document Approval 1- Introduction (Purpose and Scope) 2- Responsibilities 3- Instruction Before enforcement, the directives and procedures shall be reviewed and approved in two respects: Technical Approval (Approval of Implementation): Suitability of the method and rules contained in the directive/procedure are checked and approved by the director responsible for the activity area to which the document relates upon taking the opinions of other directors (review committee and other relevant units) Approval of Enforcement: In respect of directives and procedures, the President grants the approval of suitability to the management policies of Koç University Instructions and forms shall be published upon the approval of the relevant unit manager Publication The relevant unit is responsible for the publication of Koç University documents in Turkish and English on the internal web, whereas the HR-OD is responsible for their publication at the intranet address. When a document is updated, the old version is automatically removed from the system at the time the new version is published on the internal web and intranet. The relevant units shall be informed following the publication of each directive, procedure, instruction and form on the internal web and intranet. Directives, procedures, instructions and forms shall be kept by the HR-OD Activities related to Koç University academic procedures which are required to be notified to the Higher Education Council shall be identified through regulations, which come into force following their publication in the Official Gazette and on the collective sharing site of the university (internal web) After the required approvals are obtained (Article ) and their publication in the Official Gazette, the regulations shall be published on the internal web by the relevant unit and on the intranet (my.ku) by the HR-OD in a manner accessible to all university staff within the documentation system. The original copies of regulations shall be kept by the Office of the Vice President for Academic Affairs.

6 Page : 6 / Implementation Implementation of directives and procedures commences only after amendments in connection with the relevant document are identified by the unit director in the Amendment / Distribution / Approval Schedule and the document is approved by the relevant individuals Amendments to Documents Substances of amendments made to directives and procedures shall be stated in the Amendment/Distribution/Approval Schedule on the last page. In addition, the update number and date of the document shall be indicated in the header of each page. 7. METHOD 7.1. Document Drafting and Publication Process Document Drafting Preparation Process Before drafting a document, the relevant unit shall review the Document on Drafting Procedures_Directives_Instructions (Annex-2) and the Document Management Directive distributed by the Human Resources Directorate in respect of document drafting. If required, the relevant unit may consult with the Human Resources Directorate The Document Management Directive, Procedure drafting process and published procedures may be accessed via the address of my.ku procedures Document Drafting and Publication Process Document Preparation Documents shall be created by the relevant unit in conformity with the Document Management Directive Format Check The completed document draft shall be sent to the Human Resources Directorate by the unit director for review in respect of formatting and drafting. The Human Resources shall communicate back to the unit director for the document with a suitable formatting to be shared with the Review Committee Document Approval The unit director shall send the document to the Review Committee and the relevant units referred to in the document by for comment with HR included in the cc line The approval process for regulations starts with the evaluation of the Vice President for Academic Affairs. Based on the decision of the Vice President for Academic Affairs, regulations shall be submitted either to the Academic Council (Senate) or to the Board of Trustees. Following the deliberations by the Board, the Office of the President shall send the regulation containing the approval and seal of the President to the Republic of Turkey Office of the Prime Minister General Directorate of Promotion and Publication of Legislation for approval. The Office of the President shall end the process by monitoring the publication of the regulation approved by the Office of the Prime Minister General Directorate of Promotion and Publication of Legislation in the Official Gazette again by Office of the Prime Minister General Directorate of Promotion and Publication of Legislation Approvals granted for directives, procedures and instructions should be indicated on the relevant documents to the extent possible. When it is impossible to indicate approvals on forms or instructions prepared in the form of tables or figures,

7 Page : 7 / 8 approvals shall be indicated on the back of the original documents with wet signature Document Update / Preparation of the English Document Documents shall be updated by the relevant unit based on the opinions of the committee. The updated documents shall also be prepared in English Document Publication Process The final English and Turkish versions of the documents shall be communicated as announcements to the persons covered by the document through KU Daily etc. Announced documents shall be updated and published by the HR in Turkish and English at my.ku Procedures Amendments to Documents The substances of amendments made to directives and procedures shall be stated in the Amendment/Distribution/Approval Schedule on the last page. In addition, the update number and date of the document shall be indicated in the header of each page. The below steps shall be followed when an amendment is made to a directive or procedure: The review number is increased by one. The review date is updated It is approved again by the individuals stated under Article Publication of the new document is repeated as explained in Article and s are sent to relevant individuals describing how they can access the documents electronically. The also states that old documents should not be used from that date onwards Main lists are updated The below steps shall be followed when an amendment is made to an instruction or form directive or procedure: The review number belonging to the instruction or form is increased by one. The review date is updated It is approved again by the individuals stated under Article Publication of the new document is repeated as explained in Article and s are sent to relevant individuals describing how they can access the documents electronically. The also states that old documents should not be used from that date onwards Main lists are updated The unit of İK-OG shall keep the original copies of the amended and/or repealed documents. All process owners and unit directors should ensure that all documents used by their unit are up-to-date. Everyone, who has been informed of updates to documents in their hands, are responsible for replacing them with new versions. 8. ANNEXES AND RECORDS 9. REVIEW Annex 1: Regulation Applicable to Principal Correspondences to be Used in Official Correspondences Annex 2: Document on Drafting Procedures_Directives_Instructions OD is responsible for reviewing and updating this directive. The directive shall be reviewed annually.

8 Page : 8 / AMENDMENT/ DISTRIBUTION / APPROVAL SCHEDULE Amended Page Date Amendment Amendment Made By 3 August 2010 New Publication 16 April July 2014 Process Development Unit was amended as ODC Activity area/sub-unit short codes were updated. Procedure preparation and publication processes under the heading of method were updated. The abbreviation ODC was amended as HR-OD. Articles 4.2., 4.3., 4.5. under Responsibilities were updated. Articles 5.8, 5.9 are added to Definitions. Contents of Basic Principles and Method were updated. Human Resources Directorate Human Resources Directorate Distribution (Relevant Departments) All Koç University Departments Conformity Approval (Director of Human Resources): Enforcement Approval (President) :