- 1972 - 2008 (Creation)
Level of description
Extent and medium
Name of creator
The operations policy function of the World Bank is broadly defined as determining standards, policies, and guidelines for lending, technical assistance, and other operations to best assist countries in their development.
1946 - 1972
Upon the opening of the World Bank in 1946, functional responsibility for operations policy was not ascribed to any particular World Bank unit, as the Bank's organizational structure was still in the process of being established.
Departmental responsibility for the operations policy function was first initiated as a result of the closure of the Loan Department (LOD) in 1952. LOD functions were divided between geographically organized Area Departments, which were responsible for country relations, and the Technical Operations Department (TOD), which was responsible for project identification, appraisal and supervision. In addition, TOD was responsible for operations policy-related activities, such as policy formulation, research, and advice in support of the activities of the Area Departments.
1972 - 1982
TOD and its successor, the Projects Department (PRJ, 1965-1972), maintained responsibility for operations policy-related functions until a significant reorganization of the Bank's operations in 1972.The expansion of Bank lending operations in the late 1960s and early 1970s prompted the 1972 reorganization. The reorganization included the elevation of the former Area Departments to new Regional Vice Presidencies (RVP), and the decentralization of most operational
staff from the former PRJ to new sector-oriented Projects Departments located in the RVPs. Remaining PRJ staff were organized into centralized sector-oriented departments known as Central Projects Staff (CPS). The resulting Operations Complex, containing both RVPs and CPS departments, was overseen by Senior Vice President of Operations (SVPOP) Burke Knapp.
The reorganization resulted in the assignment of policy formulation responsibilities to two key groups: the Central Projects Staff (CPS) and the Development Policy Staff (DPS). Policy formulation was divided between "operating policy", which was the responsibility of CPS, and "development policy", undertaken by DPS. The DPS development policy was defined as strategies and activities developing countries may undertake, and focused on formulating development policy at
both general and country levels. CPS's operating policy work related to the development of policies, guidelines, and standards directing the Bank's lending and advisory activities. More specifically, CPS's operations policy development involved:
- preparing policy papers outlining the basic principles and approaches of the Bank relating to project and sector work;
- preparing guidelines and standards for particular problems (e.g. procurement, pre-investment, etc.);
- collecting and interpreting data to provide better access to information required for sector and project work;
- developing monitoring systems to effectively monitor the project cycle; and
- developing analytical tools and implementing their use in operations.
The CPSVP consisted of the following subordinate units: the sector departments of the Agriculture Department (AGP), the Education Department (EDP), the Public Utilities Department (PBP), the Transportation Department (TRP), the Development Finance Corporations Department (DFC); and the Central Operating Projects Departments (COPD) consisting of staff in the areas of Industry, Population and Nutrition, Tourism, and Urban Development.
The CPSVP also contained the new Projects Advisory Staff (PAS). The PAS served as the main unit responsible for coordinating the newly articulated operating policy functions within the CPSVP, becoming the first World Bank unit with clearly defined responsibilities related to operations policy. PAS focused on cross-sectoral and general operations policy issues, and served as the main unit responsible for coordinating work programs for policy formulation, guidelines,
and standards. The PAS consisted of the following advisers: economic, environmental, financial, pre-investment, procurement, supervision, and training. PAS consisted of no subordinate departments or units.
The sector departments and COPD of the CPSVP shared some policy formulation responsibilities with PAS, but were more heavily focused on providing professional development and project support to their respective sectors in the RVPs and developing sector-specific policy. This differed from PAS, which provided cross-sectoral support and policy development, but also focused on broader non-sectoral matters such as lending and advisory services.
Upon its creation, PAS was led by Director Herman G. van der Tak. Warren C. Baum served as the Vice President for CPSVP.
In January 1977, an adviser position for Women in Development (WID) was created in PAS.
1982 - 1987
In February 1982, the CPSVP was terminated. As a result, the PAS, the sector departments, and the COPD were absorbed by the newly established Operations Policy Vice President (OPSVP). Like its predecessor, the OPSVP reported to the Senior Vice President of Operations (SVPOP) Ernest Stern, who oversaw and managed the Bank's Operations Complex. Within OPSVP, PAS remained the focal point for operations policy functions and activities. The PAS continued to operate alongside centralized sector departments and units within OPSVP. Further, a new Country Policy Department (CPD) was established, absorbing former Development Policy Staff (DPS) who focused on country policy and strategy. CPD's main
responsibility included improving country and economic sector work in Bank operations.
Warren C. Baum remained as the Vice President of the new OPSVP, but was succeeded shortly thereafter by Syed Shahid Husain in 1983. Herman G. van der Tak remained the Director of PAS.
In October 1983, the Projects Advisory Staff (PAS) was restructured and renamed the Projects Policy Department (PPD). PPD maintained a corps of advisers with expertise relevant to cross-sectoral operational topics. PPD responsibilities included:
- formulating operational policies, standards, and guidelines;
- providing advice and reviews for selected projects and project-related work to the regions;
- conducting training and external liaison; and
- supporting the OPSVP in discharging his responsibilities to the Loan Committee.
At the date of its establishment, PPD included the following subordinate units: the Environment, Science, and Technology Unit (PPDES); the Policy and Review Unit (PPDPR); the Public Sector Management Unit (PPDPS); and the Procurement Unit (PPDPC). PPD also included the Adviser for Women in Development (WID).
In 1983, Visvanathan Rajagopalan succeeded Herman G. van der Tak as Director of the new PPD. In 1986, Hans-Eberhard Kopp succeeded Rajagopalan as Director of PPD.
1987 - 1992
During the Bank-wide 1987 reorganization, the OPSVP was terminated. Many of the units formerly contained in OPSVP, including sector policy oriented departments, were transferred to the new Policy and Research Vice Presidency (PRE). CPD functions were transferred to the new Economic Advisory Staff (EAS). Within the Projects Policy Department (PPD), the Public Sector Management Unit (PPDPS) and the WID Adviser were also transferred to PRE. The remaining operational policy oriented functions of PPD were absorbed by the new Central Operations Department (COD), which joined EAS, the Regional Vice Presidencies (RVP), the Vice President of Cofinancing (COF), and the newly established Vice President of
Financial Intermediation (FIS) as part of the new Operations Complex reporting to the Senior Vice President of Operations (OPNSV).
The Central Operations Department (COD) reported to the Senior Vice President of Operations (OPNSV) Moeen Qureshi who oversaw and managed the Bank's Operations Complex. COD responsibilities included:
- planning and production of operational directives, and providing related advice and training to staff;
- reviewing and monitoring project implementation, including preparation of reports to management (PIRs), and managing the Management Information System (MIS) portfolio module;
- advising operations staff on financial and economic analysis;
- coordinating technical assistance activities, including liaison with the UNDP;
- acting as link with the Planning and Research Complex (PPR); and
- providing operational support with regard to procurement matters in the form of advice, guidelines and policy formulation and analysis.
At the time of its establishment, the COD had the following subordinate units: the Operations Policy Unit (CODOP); the Procurement Unit (CODPR); and the Operations Monitoring Unit (CODMO).
In 1987, Ducksoo Lee assumed the role as Director for COD. He was succeeded by Hans Wyss in 1990.
In July 1992, the Operations Information Services Division (PBDIS) was transferred from the Planning and Budgeting Department (PBD) to COD and its acronym changed to CODIS.
In late 1992, World Bank President Lewis Preston terminated the senior vice-presidencies, including OPNSV. As a consequence, COD and its subordinate units were transferred to the short lived Sector and Operations Vice Presidency (OSPVP).
1993 - 1997
In January 1993, OSPVP was terminated and units and functions were absorbed by the new Operations Policy Department (OPR) located in the new Vice President, Human Resources Development and Operations Policy (HROVP).
The Operations Policy Department (OPR) was established on January 1, 1993, and reported to HROVP Armeane M. Choksi. OPR joined two other departments in HROVP: the Population, Health, and Nutrition Department (PHN) and the Education and Social Policy Department (ESP). OPR continued the functions of the former COD. It additionally absorbed the International Economic Relations Division (EXTIE) and the UN Office in New York (EXTNY) units from the Bank's External Relations Department (EXT). OPR responsibilities included:
- developing and disseminating policies and best practices in project economics and project finance;
- producing Operational Directives;
- monitoring and evaluating portfolio management;
- providing policy and operational guidance on procurement matters;
- developing and operating information management tools and applications, managing the Sector Library; and
- managing the Bank's contributions with the Development
Committee, and relations with UN agencies, OECD, EEC and bilateral aid agencies, as well as with NGOs.
At its establishment the OPR consisted of the following subordinate units: the Operations Policy Group (OPRPG); the Procurement Policy and Coordination Unit (OPRPR); the Information Services Division (OPRIS); the Sector Library (OPRSL); and the International Economic Relations Division (OPRIE).
In 1993, James W. Adams assumed the role of Director for OPR.
In 1996, OPR briefly operated independently after it was separated from the Human Capital Development and Operations Policy Vice Presidency (HCO, formerly HROVP). At this time, Myrna Alexander succeeded James W. Adams as Director for OPR.
1997 - 2011
The OPR was terminated in 1997 as part of another Bank-wide reorganization. As a result, the Information Services Division (OPRIS) and the Sector Library (OPRSL) were absorbed by the new Information Services Group (ISG). The International Economic Relations Division (OPRIE) responsible for liaison with international organizations and NGOs was absorbed by the new Social Development Department's Non-Governmental Organization Division (SDVNG). The operations policy related units of the Procurement Policy andCoordination Unit (OPRPR) and the Operations Policy Group (OPRPG) were absorbed by two newly established Bank organizational units: the Operational Core Services Network (OCS) and the Operations Policy and Strategy Group (MDOPS) of the Front Office of the Managing Directors.
First, the new Operational Core Services Network (OCS) responsibilities included procurement policy and advisory functions absorbed from OPRPR, along with new responsibilities related to investment lending and financial management. OCS reported to Bank Managing Director Caio Koch-Weiser. OCS operated in four areas: quality promotion; procurement; financial management; and resource management. At its establishment, the OCS consisted of the following subordinate units: the Operational Services Group (OCSOS) and the Procurement Policy and Services Group (OCSPR). Katherine Sierra served as Vice President and Head of Network for OCS. Second, the new Operations Policy and Strategy Group (MDOPS) absorbed the operation policy functions of theformer OPRPG, which included developing and revising Operational Policies (OP), Bank Procedures (BP), and Good Practices (GP) as part of the Bank's Operational Manual (OM). MDOPS was also responsible for review and reform of operational Country Assistance Strategies (CAS), structural adjustment lending (SAL), and macro-economic policy. The MDOPS reported to Managing Directors Caio Koch-Weiser and Sven Sandstrom, and joined the newly established Quality Assurance Group (MDOQA) in the Front Office of the Managing Directors.
Joanne Salop served as Director for the MDOPS.
In July 1999, MDOPS and MDOQA were separated from the Front Office of the Managing Directors. MDOPS was renamed the Operations Policy and Strategy Vice Presidency (OPS), and Joanne Salop became its first Vice President. The MDOQA acronym
was changed to QAG (Quality Assurance Group). In the same year, the OCS was re-organized into the following subordinate units: the Administrative and Client Support Group (OCSAS); the Operational Services and Knowledge Sharing Group (OCSOK); and the Financial Management Unit (OCSFM).
In January 2001, the functions and staff of OCS, OPS, and QAG were merged to form the new Operational Policy and Country Services Network (OPC).
At its establishment, the OPC consisted of the following subordinate units: the Country Assistance Strategy (CAS) Team and Country Directors Support Desk (OPCCS); the Comprehensive Development Framework (OPCDF); the Financial Management Unit (OPCFM); the Operational Services Unit (OPCOS); the Policy Review and Dissemination Unit (OPCPD); the Products and Services Unit (OPCPG); the Procurement Policy and Services Group (OPCPR); the Operations Processes and Systems Unit (OPCPS); and the Quality Assurance Group (QAG).
Joanne Salop assumed the role of Vice President and Head of Network for the new OPC.
In 2002, James Adams succeeded Joanne Salop as Vice President and Head of Network for OPC. Around this time, the following units were added to OPC: the Country Economics Unit(OPCCE); the Delivery Management Unit (OPCDM); the Investment Lending Unit (OPCIL); and the Country Services Unit (OPCCS). The Results Secretariat (OPCCR) and the Global Monitoring Secretariat (GMS) were also added to OPC. OPCDF, OPCFM, OPCPD, OPCPR, and QAG remained unchanged in OPC.
Around 2006, OPC added the Harmonization Unit (OPCCH), the Aid Effectiveness Unit (OPCAE), the Fragile/Conflict Affected Countries Group (OPCFC), and the Results Secretariat (OPCRX).
In 2007, Jeffrey Gutman succeeded James Adams as Vice President and Head of Network for OPC. In the same year, the Quality Assurance Group (QAG) was separated from OPC and began reporting to Bank Managing Directors Juan Jose Daboub and Ngozi
In 2011, the QAG was re-integrated into OPC.
Immediate source of acquisition or transfer
Content and structure area
Scope and content
Records of the VP and Head of Network and the departmental directors'
The fonds includes memoranda, notes, letters, and emails sent and received by Hans Wyss, Director of the Central Operations Department (COD), and by those acting as Director in his absence for the year 1992.
The records also include correspondence and memoranda (external and internal) maintained for the Operational Policy and Country Services Network (OPC) VP and Head of Network James Adams for the years 2001 to 2002.
Budget planning and work programs
The fonds includes budget planning, work program, and task planning budget records for the Operational Policy and Country Services Network (OPC) and its subordinate departments and units for the years 2000 to 2007.
Procurement policy and advisory services
The fonds includes records for departments and units responsible for coordinating functions related to procurement policy and advisory services, including: the Procurement Unit (PPDPC) of the Projects Policy Department (PPD) from 1983 to 1987; the Procurement Unit (CODPR) of the Central Operations Department (COD) from 1987 to 1992; the Procurement Policy and Coordination Unit (OPRPR) of the Operations Policy Department (OPR) from 1993 to 1997; the Procurement Policy and Services Group (OCSPR) from 1997 to 2000; and the Procurement Policy and Services Group (OPCPR) from 2001 to 2004.
Included are records assembled by Raghavan Srinivasan, who served as Procurement Adviser for the PPDPC, and later served as the Chief of CODPR and OPRPR from 1983 to 1994. Included are correspondence and policy development records relating to a wide range of procurement processes and procedures, including shipment inspection, selection of consultants, and contract bidding. The records also include comments on draft World Bank issuances including Procurement Guidelines. Additional records assembled by Srinivasan include memoranda related to CODPR organization and management from 1987 to 1988.
The records also include correspondence, memoranda, and back-to-office reports maintained by Srinivasan concerning borrowers' procurement training sessions and seminars held in the Regions from 1988 to 1991.
Additional records maintained by Srinivasan include records related to CODPR's development of the computerized register Data on Consulting Firms (DACON) from 1984 to 1989. The records include correspondence with firms wishing to do business with the Bank or with Bank borrowers, intra-Bank memoranda and correspondence regarding the revised system (DACON II) and changes and improvements in that system, and revisions of the DACON registration form submitted by consulting firms.
Srinivasan's records also include records related to CODPR's coordination with the Development Assistance Committee (DAC), a subsidiary unit of the Organization for Economic Co-operation and Development (OECD), and the United Nations (UN) from 1992 to 1993. The records include agendas and notes of high level DAC meetings and meetings of DAC's Ad Hoc Group of Procurement Experts, along with related correspondence. The UN records consist of Srinivasan's contacts with UN components on procurement related and consultant issues and the participation of Bank officials in UN sponsored training.
Records are also included for the International Business Opportunity Services (IBOS) subscription service, which provided a publication that informed the international business community, civil works constituents, contractors, subcontractors, and consultants on World Bank procurement procedures and upcomingBank funded projects. Responsibility for IBOS was transferred from the External Affairs Department (EXT) to the OPRPR in 1994. The IBOS records consist primarily of the multiple types of documents produced for this publication, including: Technical Data Sheets (TDS) from 1982 to 1998; Procurement Notices from 1985 to 1994; and Notices of Contract Awards from 1987 to 1994. The IBOS related records also include fact sheets, form letters, and correspondence.
Also included are records relating to the Operations Procurement Review Committee (OPRC) of OPRPR and its successor OCSPR from 1993 to 2000. The OPRC records focus on the review of contract awards. A review was conducted to ensure that procurement was done in accordance with tender requirements and the Bank's procurement guidelines. Each contract award recommendation considered by OPRC usually consists of: a summary of the contract award; names of the country, executing agency and sector; loan /credit number; descriptions of the scope, prequalification status, and number of qualified bidders for the contract; and dates of the bid opening, receipt of the award recommendation, and the Bank's "no objection" action on the award. Sometimes the report of contract award recommendation is accompanied by a copy of the bid evaluation performed by the borrower, correspondence regarding bidder disputes, and a facsimile message or other correspondence notifying the borrower of OPRC's action.
The records also include procurement policy development and review records maintained by PPDPC, CODPR, OPRPR, and OCSPR from 1986 to 2000. The records concern the creation, development, and review of Bank Group-wide and divisional procurement or consultant policies. The policy development records include the following types of records: development proposals; draft policy statements; terms of reference; copies of pertinent legal documents; papers presented to the Procurement Board; correspondence and memoranda; research and background records related to policy development; and final policy papers. Subject files related to procurement policy development are also included and cover a wide variety of topics, including: procurement of contractors and suppliers; selection of consultants; advertising; evaluation of bids; contract awards; and Bank review functions. The records also consist of draft and final versions of guidelines, specifications, forms, standard documents used in bidding and for contracting, and directives and handbooks for various types of procurement.
Records related to Procurement Audit Reports prepared by the Bank's Internal Auditing Department (IAD) and reviewed by OPRPR and OCSPR are also included for the years 1994 to 2000. The audit reports focus on projects particular to a country. The records include: draft and final copies of audit reports; comments on the reports; and correspondence and memoranda regarding audit reports.
Record related to liaison and external relations with NGOs, multilateral development banks (MDBs), and other international organizations are also included for CODPR, OPRPR, OCSPR, and OPCPR from 1987 to 2003. The records primarily include correspondence and memoranda, programs, participant lists, and meeting minutes and agenda for numerous meetings and seminars. Some examples include records for the following meetings: Head of Procurement Multilateral Development Banks Meetings; Annual Meeting of the International Financial Institutions/International Contractors Association (CICA); Biennial Meeting with the Lending Agencies and the Consulting Industry (AMILACI); meetings with the International Federation of Building and Wood Workers; meetings and seminars with the UN Inter-Agency Procurement Services Office (IAPSO); and meetings and seminars with the International Federation of Consulting Engineers (FIDIC).
The records also include external and internal correspondence regarding complaints and inquiries from suppliers, consultants, contractors, and the Bank's Executive Directors (ED) related to Bank-funded projects, and topics related to procurement. The records were maintained by OPRPR and OCSPR from 1993 to 2000.
Operations policy development
This fonds includes records related to the departments and units responsible for the development, revision, and issuances of operational policies, standards, and guidelines, including: the Projects Advisory Staff (PAS, later renamed the Projects Policy Department [PPD]) from 1972 to 1987; the Operations Policy Unit (CODOP) of the Central Operations Department (COD) from 1987 to 1992; the Operations Policy Group (OPRPG) of the Operations Policy Department (OPR) from 1993 to 1997; and the Operations Policy and Strategy Group (MDOPS) from 1997 to 1999.
The fonds includes records related to the development of Operations Manual Statements (OMS), and its successors Operational Directives (OD), Operational Policies (OP), Bank Procedures (BP), and Good Practices (GP) developed for the World Bank's Operational Manual (OM). The OMSs were replaced by the ODs in 1989. Similarly, the ODs were restructured into new OPs, BPs, and GPs in 1993.
The OMS related records primarily span the years from 1972 to 1988, and include OMS draft and final copies, comments, and correspondence and memoranda from PAS/PPD and CODOP regarding proposed revisions to the Operational Manual and OMSs. The OMS records also consist of Operational Circulars (Circular Ops), and Operations Policy Notes (OPNs). Central Project Memoranda (CPM) and Projects Department Directors' Memoranda related to drafting and revising of OMSs are also included for the years when PAS was part of the Central Projects Staff (CPS) from 1972 to 1982.
The records also include planning and procedure records maintained by CODOP and its successor OPRPG from 1987 to 1994 related to the redrafting of OMSs into ODs for a new Bank Operations Manual (OM) in 1989, and the restructuring of ODs into OPs, BPs, and GPs in 1993. The records consist of: background records on methodology for preparing the Bank's Operational Manual (OM); status reports on transitioning OMSs to ODs; formats, style, design, and procedures for drafting ODs; records related to the impact of the 1987 Bank reorganization on drafting the OM; instructions for coding ODs; administration and distribution of OM; computerization of the OM; procedures for review and approval of ODs; records related to training modules, seminars, and workshops devoted to ODs training; and records regarding the restructuring of ODs into the new OP/BP/GP system. Operations Policy Notes (OPNs) and Central Project Memoranda (CPM) files are also included as part of background research information.
The records also include "dead copy" files of OMSs being replaced by ODs from 1987 to 1991. The dead copy files primarily consist of draft ODs with comments, and Manual Transmittal Memoranda drafted for the OM distribution recipients. Records also included separate files from the same period consisting of correspondence, memoranda, revisions, drafts, and final copies of ODs.
Operational Policies (OP), Bank Procedures (BP), and Good Practices (GP) records maintained by CODOP and MDOPS from 1993 to 1999 are also included. Records consist of correspondence and memoranda regarding revisions, draft, and final copies of OPs, BPs, and GPs with comments.
Records also consist of materials maintained by the Operational Policy Committee (OPC) from 1993 to 2003. The OPC was chaired by one the Bank's Managing Directors (MD), and the Committee was composed of members from the Sector Vice Presidencies, Bank Network departments, and staff from the Regional Vice Presidencies (RVP). The OPC had the responsibility of reviewing sector strategy approach papers, issue papers, and reports primarily prepared by the Bank's sector departments or by Bank special task forces. This review helped inform the development of new OPs, BPs, and GPs within Bank operations. It also informed the revision and conversion of existing OPs, BPs, and GPs. The records include: agenda and meeting minutes for OPC; drafts of approach papers, issue papers, and reports with memoranda and comments from members of OPC; OP/BP conversion plans; OPC review schedules; attendance lists; background documents; and meeting briefs prepared for the Managing Director (MD) and Chair for OPC.
Records also include the subject files maintained by CODOP Chief Randolph L. P. Harris from 1987 to 1993. The subject files concern the work of CODOP and consist of records related to the following topics: environment technical assistance; lending review; operations evaluation; office administration; policy, planning, andresearch; operational directives; and annual reviews. The records also contain copies of reports and policy papers.
Records also consist of materials maintained by Rene Ruivivar, who served as Operations Adviser and Senior Operations Adviser for CODOP, OPRPG, and the Operational Services Group (OCSOS) of OCS from 1992 to 1999. The records include: Standard Disbursement Profiles concerning estimates for disbursement and loans from 1985 to 1996; the 1999 OCS Study of Field Based Supervision; records regarding the development of and guidelines for Project Concept Documents and Project Appraisal Documents; and various studies regarding Bank procedures from 1996 to 1997.
International organization and non-governmental organizations (NGO) liaison
The fonds also consist of international organization and NGO liaison records of the PAS/PPD, CODOP, and OPRPG from 1983 to 1997. The records concern liaison with the United Nations, the United Nations Development Programme (UNDP), and other external organizations. Therecords were primarily maintained by Nimrod Raphaeli who worked in the following positions: Planning Advisor and Advisor for UN/UNDP for PPD from 1982 to 1987 and UN Technical Cooperation Advisor for CODOP and OPRPG from 1987 to 1997. These records include: correspondence, memoranda, reports, and minutes of meetings compiled by Raphaeli and other staff regarding Bank-supported technical assistance and the Bank's interaction with the United Nations (UN), the United Nations Development Programme (UNDP), and other organizations external to the Bank. The records also include minutes of meetings of the Bank/UNDP High Level Task Force from 1986 to 1993.
Project management and operational review
This fonds also includes records related to the departments and units responsible for the review of projects and economic sector work (ESW) in the Bank's Regional Vice Presidencies (RVP): the Operations Policy Unit (CODOP) of the Central Operations Department (COD) from 1987 to 1992; the Operations Policy Group (OPRPG) of the Operations Policy Department (OPR) from 1993 to 1997; and the Operations Policy and Strategy Group (MDOPS) from 1997 to 1999.
The fonds includes project review records maintained by the CODOP from 1987 to 1993. Project reviews were usually requested by the Bank's Regional Vice Presidencies (RVP) to gain approval for changes to loan/credit agreements for a particular project. CODOP reviewed these projects on the behalf of Operations Senior Vice President (OPNSV) Moeen Qureshi. The project review records include: requests by the Regions for approval to change existing loan/credit agreements with the Bank for projects; requests for waivers of conditions for release of funds; records related to permission to restructure projects; records related to the use of savings accrued for other projects; and records related to the extension of closing dates for credits, loans, or projects themselves.
Records also include materials related to the Final Executive Project Summaries (FEPS) reviewed by the CODOP from 1987 to 1993. The FEPSs were prepared by departments and units within the Regional Vice Presidencies (RVP), and then reviewed by CODOP before their submission to the Operations Senior Vice President (OPNSV) Moeen Qureshi for approval. Most of the FEPS were submitted for loans and credits for projects in the areas of health, nutrition, population, education, infrastructure, agriculture, energy, mining, research and development, and technical assistance. A typical FEPS includes the following: the project summary; a review document prepared by CODOP that analyzes the summary's documentation from various perspectives; and a memorandum from the OPNSV approving or disapproving the FEPS.
Records also consist of economic sector work (ESW) reports prepared by the Regional Vice Presidencies (RVP), which were submitted to the OPRPG and MDOPS for review for the years 1996 to 1998. The records include country specific draft and final reports focused on various economic and development issues. Also included are background papers and reports produced external of the Bank, and correspondence related to review and tracking ESW in the Regions by OPRPG and MDOPS.
Records of the Operations Committee (OC) and Regional Operations Committee (ROC)
The fonds also includes records related to the Bank-wide Operations Committee (OC) and the Regional Operations Committee (ROC) from 1997 to 2003. The OC and ROC were chaired by one the Bank's Managing Directors (MD), and the committees were composed of members from the Bank's Network departments, and staff from the Regional Vice Presidencies (RVP). The period these records were created, the Operations Policy and Strategy Group (MDOPS) and the Operations Policy and Strategy Vice Presidency (OPS) provided membership representation for the OC/ROC Committees from 1997 to 2001. After 2002, membership representation was provided by staff from the Operational Policy and Country Services Network (OPC). The OC and ROC records focus on review of Country Assistance Strategies (CAS), structural adjustment loans (SALs), Sector Adjustment Loans (SECALs), and other policy concerns specific to a country. The records include: draft CAS, SAL, and SECAL papers with memoranda and comments from OC/ROC members; meeting minutes and agenda for OC/ROC meeting minutes; copies of meeting briefs prepared for the Managing Director and Chair of OC/ROC Committees; copies of the final President's recommendation report submitted to the Executive Directors on SALs, SECALS, and CAS for review; and meeting minutes and discussion summaries of the Board of Executive Directors.
Government Accountability Office (GAO) review records
The fonds also includes records related to reviews performed by the U.S. Congressional Government Accountability Office (GAO) of the Bank's assistance and development strategies, lending programming, and other special programs from 1996 to 2000. OCS assisted GAO in this process by helping to form advisory groups to collaborate in the review process. The GAO records cover a wide range of topics for multiple reviews performed, including some of the following examples: review of management controls over investment lending; review of the Bank's Heavily Indebted Poor Country (HIPC) Initiative; and review of the Bank's Fraud and Corruption program. The GAO records generally include: meeting minutes and agenda for the Bank-wide Audit Committee; meeting minutes and agenda with the Bank's Executive Directors, especially the US Executive Director; terms of reference outlining advisory groups formed to assist and collaborate in the review process with GAO; GAO draft and final copies of audit reports; and correspondence and memoranda primarily between the OCS VP and Head of Network Katherine Sierra, GAO representatives, the U.S. Executive Director, and members of the Audit Committee.
The fonds also includes operational monitoring records of the Operations Monitoring Unit (CODMO) from 1987 to 1991.
Included are Overdue Service Payment records created and maintained by the CODMO, which concern problems with overdue service payments from countries receiving IBRD and IDA loans. The records consist of memoranda, reports, and directives concerning procedures for tracking and collecting overdue payments and Bank policy towards governments in arrears on payments. Most of the records consist of IBRD and IDA Overdues Weekly Reports and weekly printouts of overdue service payments. Also included are agreements between the IBRD and the IMF regarding member countries with overdue obligations; memoranda regarding the arrears of specific countries; memoranda regarding overdue financial obligations to the IMF, minutes and reports of the Joint Audit Committee; and records of the Task Force on Policy on Collection of Overdues and Suspension chaired by the Director of the Central Operations Department (COD).
The records also consist of materials from 1988 to 1991 related to the drafting and preparation by CODMO of the Annual Review of Implementation and Supervision (ARIS). The records include draft and final copies of the ARIS submitted to the Bank's Executive Directors for review as well as correspondence and memoranda regarding the ARIS.
Country policy and strategy
The fonds also includes records from 1991 to 1993 related to Country Strategy Papers (CSP), Country Assistance Strategies (CAS), and sometimes Policy Framework Papers (PFP) with related comments from the staff of CODOP and OPRPG. The records document staff comments on and review of proposed loan and credit projects prior to their discussion in meetings of the Bank's Loan Committee. Some records contain only the Chairman's concluding remarks from a meeting of the Executive Directors regarding the Bank's CAS for a particular country.
Also included are Country Policy and Institutional Assessment (CPIA) records maintained by the Operational Policy and Country Services Network (OPC) from the years 2001 to 2006. A CPIA is a diagnostic tool or survey used to assess the quality of a country's policies and institutional arrangements. The CPIA records include country worksheets drafted for a country, which outline quality performance ratings for specific policies within that country.
Special task forces
The fonds includes records related to OPRPG's participation in the Task Force on Portfolio Management under the chairmanship of Willi A. Wapenhans, Vice President and Special Advisor. The Task Force was established in February 1992 by Bank President Lewis T. Preston. Included are the records of Task Force member Michael Pommier, Operations Advisor, which contain extensive correspondence, studies, and draft and final versions of the Task Force report issued in November 1992.
The records also include news releases, articles, and Bank comments on the Task Force report ("Wapenhans Report") which OPRPG used in developing the OPR's study for the Board of Executive Directors in 1994 entitled "Progress Report on The Implementation of Portfolio Management: Next Steps - A Program of Actions." Responses from various parts of the Bank to the report are included in the records.
The records also consist of reports and correspondence documenting progress under the "Next Steps" program in improving portfolio performance management. These were used in drafting the "Second Progress Report on the Implementation of Portfolio Management: Next Steps - A Program of Actions." Drafts and final copies of the report are part of the records.
The fonds also includes records related to OCS and OPC involvement in the extensive review and reform of the Bank's Middle Income Countries (MIC) development and lending strategies from 1997 to 2008. The records are the accumulation of MIC Task Forces launched in 2001 and 2004, and the development of the MIC Action Plan in 2005. The records include background information and records related to the extensive collaboration within the Bank and with Multilateral Development Banks (MDBs), Bank member MIC, MIC Donors, and other International Financial Institutions (IFI) to develop and reform the Bank's MIC strategies. The MIC records include: external background papers, articles, and reports regarding MIC lending in Bank operations; MIC Action Plan drafts; statements drafted by the Bank's Executive Directors with comments and reviews of the MIC Action Plan; informal Executive Director and Board meeting summaries regarding the MIC Action Plan; Second Progress Memoranda regarding MIC Action Plan; President's Memoranda related to MIC reform and strategy; and Strategic Themes and Operational Matrix charts for MIC Strategy.
The MIC records alsoconsist of records related to workshops, seminars, and working groups organized with other Multilateral Development Banks (MDBs), International Financial Institutions (IFI), and MIC Donors to help facilitate the development of joint papers and reports for MIC development reform. The records include: agenda and meeting minutes for various workshops, seminars, and working groups; interview transcripts of workshops; presentation slides and speech transcripts; correspondence and memoranda between involved Bank parties and cooperative MDB, IFI, or donor representatives; and copies of joint drafted papers and reports submitted to Bank Senior Management and Executive Directors Board members with comments. The records also include materials related to the drafting of Strengthening the World Bank's Engagement with IBRD Partner Countries as part of the joint World Bank-IMF Development Committee for the 2006 Fall Annual Meeting.
Also included are records related to consultation meetings organized jointly by the Bankand MDBs to help facilitate support of Bank MIC development strategies, update Bank member countries of MIC reforms, and develop country partnerships strategies. The participants of the meetings usually included the Executive Director for a specific country, the various ministers in a country, and other country officials. The records include: agenda and meeting minutes; participant lists; presentation slides and speech transcripts; invitation letters sent to participants; and correspondence between Bank representatives, MDB representatives, the country Executive Director, and country ministers.
Conferences, seminars, and workshops
The fonds also includes records related to the conferences and seminars planned or participated in by the Aid Effectiveness Unit (OPCAE) and the Harmonization Unit (OPCCH) of the Operational Policy and Country Services Network (OPC) from 2003 to 2009. The records primarily consist of records related to High Level Forum (HLF) conferences organized jointly by the Bank and Multilateral Development Banks (MDBs), which focused on the topics of aid effectiveness and harmonization. The HLF records include: correspondence and memoranda regarding preparation, arrangements, and reporting on HLFs; travel expense records; agenda and meeting minutes of HLFs; invitation letters sent to HLF participants; reimbursement records; and reports, studies, and programs prepared or presented for HLFs. The records also include materials related to workshops and seminars planned by OPCAE and OPCCH. Workshopand seminar records include: travel expense records; budget and expense reports; presentation materials prepared for workshops and seminars; agenda and meeting minutes; and mission reports regarding workshops and seminars held in Bank member countries.
Quality assurance and review
The fonds also includes records from 1997 to 2010 related to the Quality Assurance Group (MDOQA) of the Front Office to the Managing Directors and its successor Quality Assurance Group (QAG) of the Operational Policy and Country Services Network (OPC).
The QAG records include budget and business plan records for the fiscal years 2001 to 2009. The records include: correspondence and memoranda; budget monitoring reports; cross support budget reports; budget estimate reports; cost update reports; and compact summaries outlining business plan budget expenses for QAG.
The QAG records also consist of records related to the review of the QAG by the Bank's Internal Audit Department (IAD) from 2007 to 2010. The review records include:IAD review and recommendation reports; memoranda and correspondence related to the IAD reports; meeting minutes from the Bank's Audit Committee regarding the QAG review; and background information summarizing QAG activities.
The QAG records also include organization and management records focused on the re-integration of QAG into the OPC Network in 2010. The records primarily include correspondence and memoranda and work program records detailing QAG functions and activities post-integration.
The QAG records also consist of materials related to the preparation of QAG quality assessment papers and reports prepared for the Bank's senior management regarding the Bank's quality assurance portfolio from 1997 to 2009. The QAG quality assessment papers were prepared to assess Bank operations in the following portfolio areas: lending; non-lending; support for quality enhancement (SQE); and institutional. The records related to the preparation of quality assessment papers include, but are not limited to the following types of assessments prepared by QAG: Quality at Entry Assessments (QEA); Quality of Supervision Assessments (QSA); Sector Board Assessments; ESW Assessments; Global Programs and Partnerships (GPP); World Bank Institute (WBI) Assessments; Country Analytic and Advisory Activities (AAA); and Other Economic Sector Work (OESW). The quality assessment records also include correspondence and memoranda, interview transcripts and notes, and background papers and reports external of QAG gathered in preparationof quality assessments. The records also include assessment paper review files maintained for the Quality Assessment of the Lending Portfolio (QALP) Program, which was launched in 2008. The review files include copies of quality assessment papers related to lending projects with comments from members of the QALP Panel.
The quality assessment records also consist of records related to QAG planning and preparation of the Annual Report on Portfolio Performance (ARPP) reports prepared for the Bank's Senior Management, the Bank's Executive Board of Directors, and members of the Bank's Committee of Development Effectiveness (CODE). The ARPP summarized information gathered by the quality assessment papers, and informed its audience of the quality and scope of the Bank's lending portfolio and other programs. The ARPP records include: correspondence and memoranda regarding preparation of ARPP; project implementation plans for ARPP; and copies of the ARPP prepared for submission. The QAG records also include presentation materials prepared for various conferences and seminars from 2003 to 2009. The records include copies of hardcopy and mylar presentation slides.
Post Conflict Fund (PCF) program trust fund records
The fonds also includes trust funds records maintained by the Fragile and Conflict Affected Countries Group (OPCFC) of OPC from 1996 to 2007. The records primarily consist of grant documentation for the Post Conflict Fund (PCF) program. The grant fund documentation for PCF include: copies of grant agreements; correspondence sent to country finance ministers or responsible agency authorities regarding grant agreements and amounts allotted; request for grant disbursement; request for payment of professional/contractual services; request for Development Grant Facility (DGF) funding; and external background papers and reports focused on a particular country.
The trust fund records also consist of training materials for sponsored Post Conflict Fund (PCF) programs. The training materials primarily include training manuals and guides, program brochures, and other presentation materials designed to be utilized by educational and mental health practitioners.
Appraisal, destruction and scheduling
System of arrangement
The following arrangement is provisional. Records are arranged into 14 series:
- Records of the VP and Head of Network and the departmental directors'
- Budget planning and work programs
- Procurement policy and advisory services
- Operations policy development
- International organization and non-governmental organizations (NGO) liaison
- Project management and operational review
- Records of the Operations Committee (OC) and Regional Operations Committee (ROC)
- Government Accountability Office (GAO) review records
- Operational monitoring
- Country policy and strategy
- Special task forces
- Conferences, seminars, and workshops
- Quality assurance and review
- Post Conflict Fund (PCF) program trust fund records
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