M..JIk 01 I - - I ii U ______ 0 -.Cd* - C) C) C)C) C) Cd) C) o 0 ,-, C) 0o Cd, C) 0 Cd, oC) C) o -. C) C) cr C) Keeping Records How to File and F7ind May 1999 World Bank Group Archives Information Solutions Group II Keeping Records - How to file and find May 1999 Introduction Introduction Effective records and information management is crucial to the conduct of World Bank business. The Bank's operations and its reputation depend upon the integrity of its records and the ability to use the information contained in the records to avoid problems and to replicate successful operations. Planning and implementingan effective records managementsystem will provide better and more accurate decision making data, ensure adequate documentationof business process, and preserve information for operational, legal, administrative and historical purposes. Managing records effectively is a responsibility of all Bank Group staff - from senior managers to newly recruited staff members. The Information Solutions Group (ISG) is the department in the Bank charged with developingpolicies and procedures for the secure and cost-effectiveuse, storage, and retrieval of records. ISG is deeply involved with the paper and electronic systems that createrecords andby whichthese recordsare maintained. The Bank's relationships with its clients depend upon ISG's ability to maintain its information services. ISG maintains information systems, telephone, email and fax messaging systems, network communications, satellite and field communication, databases, servers and information security systems. ISG is aware of the necessity of developing full record keeping functionality throughout the Bank Group's electronic record systems, and the need to move toward an environment where the institution's records are fully and adequately maintained in electronic form. In the early 1990s,ISG (as itspredecessor unit ITF) began the implementationof the File Improvement Program (FIP) in an effort to bring the Bank's record keeping under one standardizedsystem in the business units. FIP developedstandardrecords classification schemesfor regional and non-regionalunits, and implementedthese schemes in business units throughout the Bank. Detailed checklists for lending projects and economic and sector work (ESW) were developed. The checklists analyzed each business cycle and provided for the orderly arrangement of documents produced by that business cycle. Manuals for record keeping -- known as Information Processing Guidelines - were iii M; i ana i| ti; v !i:u euiir# .wiii !. L written and disseminated. A major training program was begun, and training sessions were held on a regular basis on routine records managementand on specialtopics as well. A method for maintaining procurement documentation - in "batches" and using checklists, based upon the procurement cycle - was developedin 1995. In 1998 record keeping itself became decentralized, the Regional Information Service Centers were closed, and each unit became responsible for establishing systems which properly maintain the institutional records. Support Centers were established to assist the regional units in transferring inactive records to the Archives, and to assist in document scanning for procurement related materials. (SeeAnnex 20 for a fuller discussionof the change.) Since 1997 ISG has begun the process of aggregating separate information systemsthroughoutthe Bank(CentralAccounting,BudgetAccounting,HumanResources, Loan Systems, etc.) into a coordinatedinstitutionalsystem which can satisfy the internal and externalinformationdemands. In 1999,InformationSystemsRenewalwill replace 60 different systems and over 100 different databases into one integrated system servingthe entireBank. ISG has also developed an electronic document filing and retrieval system known as the Integrated Records and Information System (IRIS). IRIS is a document imaging system which also incorporates email and fax messages, as well as word processed documents. IRIS allows simultaneousaccess to the same document- in electronic form - by multiple users. It is being implemented throughout the regional units, and will soon allow more effective transaction of business between headquarters and local offices. The document description used for retrieval in IRIS is based upon and compatible with the classification schemes developed by FIP for paper record keeping systems. A standardized FIP records classificationscheme is required before IRIS can be implemented. As the Bank continues its migration to electronic filing, it will still be necessary to maintain paper copies of scanned records until such time as the electronicmedia can be seenas meetingthe Bank's legalevidentialrequirements. Paper copiesof scannedrecords continue to be sent to the Archives for long-term retention. Paper filing will become increasinglymore simplified, however, because of the ease of finding documents in the electronicform andthe lack of need to have the actualpaper copies in the conductof day- to-daybusiness. Keeping Records - How to File and Find is the most recent record keeping tool issued by ISG for Bank Group staff. It supersedes all previous file guides, classification schemes, and records management guides. It introduces two new tools for managing records. The Bankwide Records Classification Scheme (BRCS) analyzes all the business processes of the Bank and provides a framework for organizing records of all units throughout the Bank Group. The General Records Schedule (GRS) provides guidanceon the retention anddisposition of administrative records and other records iv Keeping Records - How to file and find May 1999 ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ ,o>.O. e.. A ' 'a...... .. ' that are commonlyfound throughout the Bank. These tools reflect the evolving nature of the Bank's business, and will be updated in the future as required. Keeping Records - How to File and Find contains practical advice, and is written for all Bank staff - whether in local offices or at headquarters, in regional units, non-regional units, or administrative units. It is primarily directed toward managing records in paper format, but includes information and guidelines to keep in mind as the Bank evolves toward electronic record keeping. v Keeping Records - How to file and find May 1999 : . St: : o o 9 ... ' ..... ..v 9 ox o o , , , ........................... .... .. A. Table of Contents Introduction 1 The Responsibilitiesof Record Keeping 1.0 General .................... .. 2 1.1 Decentralization, networks, and record keeping strategies . . 3 1.2 RegionalVPUs............................................. 4 1.3 Networks and sector groups ............................................. 4 1.4 ISG assistance.............................................. 5 1.5 Individual record keeping responsibilities 1.5.1 All BankGroup staff. 5 1.5.2 Managers. 5 1.5.3 Task managers.................................................. 6 1.5.4 Information SolutionsGroup (ISG) .6 1.5.5 Vice Presidency Regional Coordinator. 7 1.5.6 Regional and Non-Regional Records and Information Coordinators 7 1.5.7 Unit Records and Information Coordinators. 7 1.5.8 StaffAssistant..................................................8 1.5.9 Archives Assistant. 8 1.5.10 World Bank Group Archives. 9 1.5.11 BankGroup Archivist. 9 2 Keeping Records Responsibly 2.0 General............................................ 11 2.1 What is a record? ........................................... 11 2.2 Recordsmust be trustworthy and conform to record management standards.... 12 2.3 Paper copies still necessary............................................ 12 2.4 Bank Group records must be stored in a secure manner............................. 13 2.5 Disaster recovery plans............................................ 13 vii 2.6 Adequate fiscal resources........................................................ 14 2.7 Classified file schemes........................................................ 14 2.8 Training........................................................ 15 2.9 Sustainablesystems ................... ..................................... 15 2.10 Physical storage requirements........................................................ 15 3 Best Practices for Record Keeping 3.0 General ................................................. 18 3.1 Electronic and paper file systems........................................................ 18 3.2 Definition of electronic records..... ................................................... 18 3.3 Ownership of electronic records........................................................ 18 3.4 Filing electronicrecords - user's own drives ......................................... 19 3.5 Filing electronicrecords - shared divisional or departmental drives .. 19 3.6 Backupprocedures for electronic records.............................................. 20 3.7 Retention and disposition of electronic records....................................... 20 3.8 Hardware and software stability........................................................ 21 3.9 Systems documentationfor electronic records ................ ........................ 21 3.10 Paper file systems ........................................... 21 3.11 Shared unit files ........................................................ 21 3.12 What not to put into shared unit files................................................... 22 3.13 Convenient reference files ...................................... 22 3.14 Location of files ........................................................ 22 3.15 Time for filing ........................................................ 23 3.16 Use of "General" folders ....................................... 24 3.17 Logging of documents created or received by the unit . . 24 3.18 Routing of documents createdor receivedby the unit..........................................25 3.19 Distribution lists........................................................ 26 3.20 Internal reports........................................................ 29 3.21 Classifyingrecords using the BankwideRecordsClassificationScheme ... 29 3.22 Classifying,coding and sortingrecords ........................................ 30 3.23 Crossreferencing ............... 30 3.24 Examples of frequently occurringrecords .................................. 30 3.25 Security classification.................................. . 33 3.26 Types of records 3.26.1 Programfiles.34 3.26.2 Subjectfiles.35 3.26.3 Case files.35 3.26.4 Referencefiles.35 3.26.5 Chronologicalcorrespondencefiles.35 3.26.6 Administrativefiles.36 3.26.7 Localoffice administrativefiles.36 3.26.8 Personalfiles.37 viii Keeping Records - How to file and find May 1999 3.27 Chargeout cards................................................. 38 3.28 Bulky materials................................................. 39 3.29 Transfer of records fromone unit to another................................................. 40 3.30 Periodic record managementevaluations................................................. 40 4 ElectronicMail Messagesand Faxes 4.0 General................................................... 43 4.1 Electronicmailrecords (email)- general.................................................. 43 4.2 Filing emailmessages.................................................. 44 4.3 Printing andfiling emai]Lmessages.................................................. 44 4.4 Printing andfiling email messageswith a sharedemail account...........................44 4.5 IRIS as a record keeping systemfor emails.................................................. 44 4.6 LotusNotes OfficialMail Repository.................................................. 45 4.7 Classifyingemailrecords.................................................. 45 4.8 ISG PolicyKiosk - BestPractices Statement.................................................. 45 4.9 Facsimileand telex messages.................................................. 46 5 Vital Records 5.0 General.................................................. 48 5.1 Vital Records - definitions .................................................. 48 5.2 Vital Records - examples .................................................. 49 5.3 Responsibilities.................................................. 49 5.4 Protectionprocedures for Vital Records.................................................. 50 5.5 Duplicationand dispersal.................................................. 50 5.6 On-sitesecurity storage.................................................. 51 5.7 Off-sitesecurity storage.................................................. 51 5.8 Documentingthe protectiondecisions.................................................. 51 6 Bankwide RecordsClassificationScheme (BRCS') 6.0 General.................................................. 53 6.1 BRCS - an introduction .................................................. 54 6.2 Relationshipswith other classificationschemes..................................................55 6.3 Programfiles vs. administrativefiles.................................................. 55 6.4 Localoffices.................................................. 55 6.5 BRCSPackage.................................................. 56 6.6 Primary classificationterms.................................................. 56 6.7 Using the BRCS for sharedunit files.................................................. 57 6.8 Subjectindex.................................................. 57 ix l~~~~~~~~~~~~~~~~ i !. . 1 7 Project-RelatedProcurementRecords 7.0 Procurement records - general.............................................. 59 7.1 Types of procurementrecords.............................................. 60 7.2 Location of procurement activityand procurementrecords..................................60 7.3 Keepingprocurementrecordsproperly.............................................. 61 7.4 Consultantreports.............................................. 61 7.5 Procurementchecklists.............................................. 62 7.6 Markingdocumentsfor filing.............................................. 62 7.7 Filing documents.............................................. 62 7.8 Completingthe procurementchecklist.............................................. 64 7.9 Supplementalprocurementdocuments.............................................. 65 7.10 Procurementnot subjectto prior review.............................................. 65 7.11 Procurementcomplaintsand disputes.............................................. 68 7.12 When procurementis completed.............................................. 68 8 RecordsRetentionand Disposition 8.0 General.............................................. 69 8.1 Types of retention schedules.............................................. 70 8.2 Series anddisposalclasses.............................................. 70 8.3 Retentionperiods.............................................. 70 8.4 Dispositionrules.............................................. 71 8.5 General RecordsSchedule (GRS).............................................. 71 8.6 Records Retentionand DispositionSchedule (RRDS)..........................................73 8.7 Transferringrecords to the Archives.............................................. 73 8.8 Retrievingrecords fromthe Archives.............................................. 74 8.9 Records destruction.............................................. 75 Annexes 1. AMS 6.20, "InformationSecurity Program" 2. AMS 10.00, "Managementof BankGroup RecordsandArchives" 3. AMS 10.20, "Securityof BankGroup RecordsandArchives" 4. Filing Supplies for Shared Unit Files 5. Bankwide Record Classification Scheme (BRCS) 6. Sample Records Classification Scheme - Regional/Local Office 7. Filing Checklist for InvestmentLending Project Records 8. Quick Reference Guide- InvestmentLending Project Records 9. Filing Checklistfor Structural Adjustment Lending Project Records x Keeping Records - How to file and find May 1999 10. QuickReference Guide - StructuralAdjustment Lending Project Records 11.Filing checklist for Non-Lending Services Records 12.Quick Reference Guide - Non-Lending Services Records 13. Filing checklist for Grant and Trust Fund Project Records 14.Quick Reference Guide - Grant and Trust Fund Project Records 15.Filing checklist for Records Relating to the Procurement of Consultant Services 16.Filing Checklistfor Records Relatingto the Procurement of Goods and Works 17.Transmittal Sheet for Procurement Not Subject to Prior Review 18.GeneralRecords Schedule 19.Records StorageEnvironment 20. Changes from the Regional InformationService Centers (RISCs)to Support Centers 21. Retrieval Form for Records in the Archives 22. Emergency Procedures for Wet Records 23. Glossary of SelectedRecords ManagementTerms xi .,,¢~~~~~~~~~~~~~~~~~~~~~i iiriiii|i(,vri 4 liii _ ~~~~~~~6_ m : giIIIIIIIIII'' a'i,'i°°eli,;' i _ ,, ,- ?S-ion ° ii,flwi1-os 2ib-ilitie-i,o,Reod .iiiio.i°, ii- ,,,,,,,,,,s Ownership and Security of Bank Records As described in AMS 10:00 "Management of Bank Group Records and Archives," all records created or receivedby staff membersand contractorsin the courseof businessare Bankproperty. They may not be removed at anytime withoutprior authority,or used for any activityor purpose other than coveredby the staffmember's officialresponsibility. Staffmay notremove records fromthe premises when they leaveBank employment. Contractors are required to return records to the responsibleBank officialon termination of their contract. Staffand contractorsare expectedtoprotect the integrityof Bankrecordsat all times. Staff and contractors are required to observe the confidentialityprovisions contained in AMS 10.20, "Security of Bank Group Records and Archives" and AMS 6.20, "InformationSecurityProgram". Security measuresmust protect recordswith restricted access from all unauthorizedusage by Bank staffas well as non-Bankstaff. Safes or other securedareas may be required to conformto the Bank's securityclassificationpolicy. 1 *1g I sZ* . I* I -~~~~~1 Repniite Th fRcr epn The Responsibilitiesof RecordKeeping Figure 1-1 Responsibilitiesof RecordKeeping 1.0 General 1.1 Decentralization, networks, and record keeping strategies 1.2 RegionalVPUs 1.3 Networks and sector groups 1.4 ISG assistance 1.5 Individualrecord keeping responsibilities 1.0 General The Bank Group needs records for legal and operational purposes. Records serve the operational and policy formulation needs of the Bank Group, provide an audit trail for decisions and actions, and provide management accountability. Records also document the Bank Group's obligations to and from its shareholders, investors, borrowers, suppliers, staff and other stakeholders, and establish the Bank Group's accountability. Selected records are retained indefinitely in the Bank Group Archives for institutional memory and historical purposes. This allows the institutionsto apply lessons learned, ensures transparency of actions and decisions taken over time, and provides a basis for research. Records are also retained to ensure that, in the event of a disaster, the Bank Group is able to resume business and maintain its legal and financial positions, and those of its staff members, shareholders, and other stakeholders. All records, regardless of form, medium or custody, are the property of the Bank Group. All intellectual property rights (including, but not limited to, copyright) in records and documents created by staff members and contractors in the course of their employment are vested in the Bank Group, exceptto the extent that the Bank Group has contracted otherwise in writing. 2 Keeping Records - How to file and find Mav 1999 Staff members are accountable for the safekeeping of records in their custody. Records are to be used by staff members in the conduct of official business, and should not be removed from Bank Group premises or used for any activity or purpose other than for carrying out staff members' responsibilities. Records should be retained for as long as they are needed or have value for the business functions they support. Records that are no longer needed should be destroyed in a timely manner or transferred to the custody of the Archives, as determined and as authorized in the appropriate Records Retention aLndDisposition Schedule. Some records, of course, have continuing evidential and historical value and will be retained indefinitely,usually in the custody of the Archives. Figure1-2 What is a record? A record is recorded information, regardless of form or medium, that is created, received, and maintained by the Bank Group in pursuance of its legal obligationsor in the transaction of its business. Records may be in many forms, such as files, volumes, letters, memoranda, reports, documents, cables, telexes, facsimiles, electronic messages, charts, drawings, spreadsheets, maps, plans, photographs, films, videos, sound recordings, databases, etc. whether organized into "official files" or "working files", "originals" or "duplicates", or considered to be "record copies" or "convenient reference copies", if they fit the above definition, they are Bank Group records. 1.1 Decentralization,networks, andrecordkeeping strategies With task sharing across organizational boundaries and decentralization of activities to local offices, centralized paper file systems are ceasing to be suitable for maintaining complete and adequate records. In reflection of this fact, and facilitated by the existence of good filing systems being kept by business units, ISG disbanded the Regional Information Service Centers (RISCs) in 1998. Business units are now responsible for devising record keeping strategies to ensure that activities are adequately documentedand records transferred (when appropriate) to the Bank Group 3 Archives. ISG staff are availableto assist units in planning and implementing adequate record keeping strategies (seeSection 1.4 below). 1.2 Regional VPUs Each Network and Regional VPU should create and maintain a record keeping strategy for its current records. This record keeping strategy should document how records are created and distributed; where the primary record is captured and maintained; and how this primary record is transferred to the Archives when no longer needed for current business. The strategy should take into accountthe following factors: * degree of decentralization to local offices and workflow patterns and the level of supervisory control retained at headquarters * the level of confidentialityof the records * the storage environment available at local offices * the record keeping experience of local office staff * matters such as local political/civil conditions that might affect the safety of the records * communicationstechnologybetween headquarters and local offices and the level of electronic record keeping utilized between work groups, headquarters and local offices. Within a Regional VPU these factors may vary from country to country, and the record keeping strategy will vary accordingly. As Regional VPUs decentralize their operations into the field, decisions will need to be made regarding which records are maintained in the local offices, which records should be sent to headquarters, whether two (or more) sets of records will need to be created, how these sets will be retained, shipped, or destroyed, etc. What is essential is that a strategy for record keeping is established, monitored and maintained. 1.3 Networksand sector groups Similarly, the Bank's Networks are the focal point for the creation and implementation of Bank Group's development policies. These units must establish and maintain record keeping systems which document their "own-managed" work, "cross-support" to regional VPUs, and their own internal strategies, policies and procedures. 4 Keeping Records - How to file and find May 1999 ?.x-e? aoSectiSon|< 1-°5.°he<< Rvoesp''-9I' ?onsibiliti;>esof'Record Keeiy j 1.4 ISG assistance ISG staff are available to assist Bank Group staff in developing strategies to ensure adequate record keeping. ISG staff are familiar with record keeping requirements, existing records classification schemes, documnent imaging programs, and communications technologies, and can work closely with individual work groups to develop strategies for the work group which comply with institutional record keeping requirements. Bank staff may call the Archives Reference Desk (x32841) for Archives- related issues, or for referral to other ISG staff for other issues. File Improvement is available to assist both headquarters and local staff with creating and implementing effective file systems. Contact Karen Murley (x33726) for more information. 1.5 Individualrecord keeping responsibilities This section describes the record keeping responsibilitiesof Bank Group Staff. 1.5.1 All Bank Group staff (regardless of location) are responsible for: * ensuring that records are properly created and appropriately filed (or otherwise incorporated) into relevant record keeping systems in a timely manner * complyingwith relevant Records Retention and Disposition Schedules * complyingwith the guidelines containedin AMS 10.00. 1.5.2 Managers of all units (both at local offices and at headquarters) are responsible for: * ensuring that units under their control establish and maintain record keeping systems, which properly document their functions, policies, decisions, and transactions, consistent with the Bank Group's records management policies and standards * informing Bank Group Archives about changes to business functions and processes, and record keeping systems and practices so that Records Retention and Disposition Schedules can be kept up to date * designating an appropriate staff member as the Records and Information Coordinator (unit RIC), and one to serve as a backup RIC. 5 1.5.3 TaskManagers (and others workingwiththe records) are responsiblefor: 1 consistently documenting the work processes for which they are responsible. This includes indicatingthe records classificationon documentsthat they create or receive. 1.5.4 The Information SolutionsGroup (ISG): * developspolicies, standards and procedures for the secure and cost-effective processing, storage and retrieval of records * provides Bank Group staff with convenient access to records which need to be shared across different parts of the institutions * provides advice, guidanceand support to Bank Group units on all aspects of records management, including establishingand maintaining record keeping systems * monitors and evaluates the status of records management activities throughout the BankGroup - provides secure and cost-effective storage and retrieval services for archives. Figure 1-3 Who is responsibleforkeepingrecords? KeepingBankGrouprecordsis theresponsibilityof us all: All Bank Group staff Managers Task managers Information SolutionsGroup (ISG) Vice Presidency Regional Coordinator Regionaland Non-RegionalRecords and InformationCoordinators Unit Records and InformationCoordinators StaffAssistant Archives Assistant World Bank Group Archives Bank Group Archivist lFor purposes of this manual we are using the title "taskmanager" throughout. Some units may use "teamleader", "taskteamleader" or other relatedterm. 6 Keeping Records - How to file and find May 1999 Secio 1 Te esonib otRI OFie r epn ISG has developed an integrated network of staff who are associated with record keeping throughout the Bank Group. This network includes: 1.5.5 The Vice Presidency Regional Coordinator: * is appointed by the regional VPU to provide liaison between the Front Office of the Vice Presidency and ISG * represents the Vice Presidency in liaison with ISG in initiating and promoting initiativesthat affect the record keeping of the VPU * participates in periodic reviews to determine the effectiveness and maintenance of the record keeping systems. 1.5.6 The Regional and Non-Regional Records and Information Coordinator (RegionalRIC and Non-RegionalRIC): * is appointed by ISG to disseminate and coordinate record keeping policies and practices inthe regionalandnon-regionalVPUs · promotes and supports the File Improvement Program (FIP) * ensuresthe availabilityof unit records to authorizedpersonnel * maintains close liaison and interactionwith the Regional Coordinator and the unit RICs on records management,training, andproblem-solving * trains staff in records managementpractices (procurement filing, etc.) * provides hands-on assistance to staff assistants' as necessary, including help in applyingthe RecordsRetentionandDispositionSchedules(RRDSs) * sets the agenda and schedulingperiodic meetingsof the RICs, and provides meeting notes * oversees periodic records management evaluations, and takes steps to correct deficiencies * serves as facilitator for the migration to electronic record keeping by the VPU. 1.5.7 The unit Records and Information Coordinator(unit RIC): * ensures that the shared files of the unit are properly managed - i.e. properly classified, filed and disposed of (that is, either destroyed or transferred to Archives) * briefs staff on work flow, records managementprocedures, andthe filing system 2For purposesof this manual, we are using the title "staffassistant"throughout. Someunits may use "taskassistant", "administrativeassistant", "accountingassistant", "financialassistant", "team assistant", "projectsassistant", "procurementassistant",or othertitlesreflecting specificduties. 7 | Si;t.t Sb., . L 3 . &1^3 3a3 3. * builds staff proficiencyby providing on-the-jobtraining and/or arranging for them to attendBank-sponsoredtrainingcourses * prepares a Records Management Evaluation Report annually or as directed by the Regional/Non-RegionalRIC. Proceduresfor completingthis report includeidentifying problem areas andtaking corrective and/orpreventativeaction * attendsperiodicunit RIC meetingsorganizedby RegionalRICs/Non-RegionalRICs. * maintains the unit's records classificationschemeand modifiesit as necessary * maintainsan up-to-datecopy of Keeping Records, and ensures that the procedures are followed,and sharedunit filesare maintainedas described * maintainscurrent copiesof the followingBankissuancesfor staffreference: AMS 6.20 InformationSecurityProgram AMS 10.00Managementof BankGroup RecordsandArchives(includingAnnexes) AMS 10.20 Security of Records (includingAnnexes) the current RecordsRetentionand DispositionSchedule(RRDS) e coordinates with the Regionalor Non-Regional RIC, includingproblem-solvingand providinginformationto update the BankwideRecordsClassificationScheme * ensures that unit records are disposed of in accordance with the approved RRDS. If questions arise about how to apply the schedule, coordinates with the Bank Group Archives(or the Regionalor Non-RegionalRIC) * upon implementation of IRIS, becomes knowledgeable about system capabilities, organizationof directories,file naming conventions,etc. 1.5.8 Each Staff Assistant: - maintains specific program and administrative files for which they have functional responsibility-for example, Budget, Training, Leave, Travel, Procurement, project files, or imprestaccounts * regularly checks to see if there are files that have been borrowed for an extended period of time (for example,one week)and actsto ensuretheir return to the files. 1.5.9 In the regional units at headquarters, each Archives Assistant, located in the supportcenters: * systematicallyreviewsunit filing systemsusing the RRDS, to identifyrecords that are no longerneeded in the unit and that can be either transferredto Archivesor destroyed in the unit * transfers records, includingprocurement documents, to the Archives. This includes scanning and profiling procurement checklists, and sorting, boxing and identifying procurementbatchesand non-procurementrecords * retrievesdocumentsfrom Archivesupon request * providesbackup support for the RegionalRIC. 8 L. .........................D, ,, ...... ..,S................... , -e-. 1- hR sibilities of Reord Keeping 1.5.10 Bank Group Archives The World Bank Group Archives serves all the institutionswhich constitute the World Bank Group: IBRD, IFC,MIGA, IDAand ICSID. The missionof the Archives is to maintain the integrity of the records and archivesof the Bank Group, to provide properly authorized access to records storedin the Archives,and to ensurethat recordswith no longterm value are destroyedin a timely manner. The Archivesaccomplishesthese objectivesby: * issuing recordsretention anddisposition schedules(RRDSs)that describerecords and prescribetheir retention anddisposition * assisting in the transfer of semi-active and inactive records to the facilities of the Archives * providing securestoragefor semi-activeand inactiverecords * providing convenientaccess to records authorizedfor use by World Bank Group staff and, on a caseby case basis, for members of the public conductinghistoricalresearch * identifying,in consultationwith BankGroup units, vital recordsand providing secure storageandretrieval servicesfor them * destroying those records in Archives custody which, according to their governing RRDS, are no longer needed by the World Bank Group * With the introduction of electronic document management systems, the role of the Archivesis changing to include metadatamanagement for electronic record-keeping systems. 1.5.11 The Bank Group Archivist: * authorizes Records Retention and Disposition Schedules for Bank Group records * ensures appropriate access to information contained in the Bank Group's Archives. 9 10 ml 'I'SI S S~ Setion 2 - KeepingRecordsR pb Keeping Records Responsibly Figure2-1 Keeping Records Responsibly 2.0 General 2.1 What is a record? 2.2 Records must be trustworthy and conform to record keeping standards 2.3 Paper copies still necessary 2.4 Bank Group records must be stored in a secure rnanner 2.5 Disaster recovery plans 2.6 Adequate fiscal resources 2.7 Classified file schemes 2.8 Training 2.9 Sustainablesystems 2.10 Physical storage requirements 2.0 General Records are kept so that they can be retrieved when needed. Those records must be maintained in a manner which will ensure their availability upon demand. Through experience and training, ISG has determined the best means for maintaining records suitable for institutional purposes. These principles are outlined in the next two chapters. 2.1 What is a record? Records are recorded information, regardless of form or medium, created or received by or on behalf of the Bank Group in pursuance of its legal obligationsor in the transaction of its business. Records may be in many forms, such as files, volumes, letters, memoranda, reports, documents, cables, telexes, facsimiles, electronic messages, charts, 11 drawings, spreadsheets, maps, plans, photographs, films, videos, sound recordings, databases, etc. Historically, Bank Group records have been organized into "official files" or "working files"; this distinction is no longer made (an acknowledgment of the fact that many important documents remained in what were known as a staff members "working files", and never made it to the "official files"). Records may be "originals" or "duplicates", or considered to be "record copies" or "convenient reference copies". It does not matter whether the item is formal or informal in nature, whetherit is in final or draft form, or whether its contentis substantive(that is, directly concerned with a business transaction), facilitative (for example, setting up a meeting), or administrative(concerning,for example, staffmatters). It does not matter whether it has been placed in the shared unit file, put into a "black book," kept in someone's office, or, in the case of electronicmail, simply retained in an emailaccount(evena "personal"account). While the final disposition (i.e. the retention and disposition) will depend upon these characteristics, they are all Bank Group records, and must be treated accordingly. 2.2 Records shouldbe trustworthy and conformto records managementstandards * Records should be comprehensive, complete, accurate, understandable, identifiable, and authentic; * Records should reflect the content, structure and context of the information which applied at the time of creation * Records should be maintained as long as needed to satisfy operational, legal, fiscal and/or historical requirements. These retention periods will be reflected in Records Retention and Disposition Schedules(RRDS). Records which are no longer needed for any of these requirements should be promptly destroyed. * Records should be retrievable through indexing or classification schemes, and accessible for as long as needed while adhering to existing access policies. 2.3 Operational correspondence and documents which have been maintained in paper must continue to be maintained in paper even though electronic versions may exist. 12 Keeping Records - How to file and find May 1999 Secio 2- Kepn eod Repnil * Paper file systems must be maintained even vwhileimaging systems are being deployed. * The adequacy of electronic record keeping systems must be thoroughly demonstrated before the corresponding paper file systems can be discontinued. The Bank's Legal Department and the Bank Group Archivist must approve the record keeping functionalityof electronic record keeping systems. * The existence of electronic versions of records does not absolve the unit of the responsibilityof maintainingpaper versions of the records. N.B. This is to ensure that the Bank's evidential requirements are met. When electronic record keeping systems reach a level of stability, acceptability, and reliability such that the Bank Group Archivist is satisfied that these requirements are met and that the use of paper records has virtually ceased, these instructions will be reviewed. That point has not been reached yet. 2.4 Bank Group records must be stored in a secure manner. Security ensures that the records are maintained in the proper location, and that access to records is granted only to those authorized to them. - Records must be maintained in a manner which prevents theft and willful or accidentaldamage. * The primary institutional copy of records should not be stored in regions or countries which are vulnerable to war or civil conflict, or where records may be a specific target of terrorist attack; convenient reference copies may be maintained in such countries or regions, but provision should be made for transferring (on a timely basis) the primary institutionalrecord to a secure repository. * Access guidelines and confidentialityrestrictions irmustbe maintained. * Records must remain on Bank Group premises at all times, except when being transported by a Bank-authorizedcarrier. * Safes or other secured areas may be required to conform to the Bank's security classificationpolicy. 2.5 Disaster recovery policies and procedures should be in place to ensure quick recovery in the event of disaster or damage to Bank Group records. * The unit should have effective plans to recover from natural and man-made disasters, including fire, flood, earthquake, armed conflict or civil disturbance, volcanic eruption, explosions,hurricanes and other storms, insect infestation, etc. 13 * Recovery strategies may include evacuation, internal procedures for conservation and repair, arrangements with emergency management agencies, or professional disaster recovery organizations. Recovery operations may include transport of damagedrecords to professional recovery locations. * Duplication and dispersal of previously identified vital records is an effective disaster recovery technique. * The stability of the local government should be a key consideration when planning for disaster recovery. * Local emergency managementagencies should be totally familiar with the layout of the building and assist in disaster exercises. * Headquarters should maintain a copy of all disaster plans for local offices to assist in recovery efforts. 2.6 Units should plan to dedicate adequate fiscal resources for maintainingrecords in a manner required by AMS 10.00. Maintaining institutional records is not inexpensive. There are short term and long term costs associatedwith records, whether stored in paper or electronic form. Costs for maintaining records may include: * storage facilities * storage space * dedicated stafftime for indexing, filing, retrieval, transferring to storage * shippingcosts * disaster prevention and recovery. 2.7 Records should be maintained according to a classification scheme based on the functionsof the work unit. * Records should be indexed according to a records classification scheme and filed routinely into unit files * Units should provide dedicated staffand time to maintain these files * Files should be disposed of only in accordance with the authorized Records Retention and DispositionSchedule for that unit * Procedures should be established to transfer authorized records to the Bank Group Archives for permanent retention 14 Keeping Records - How to file and find May 1999 Seto 2 - Kepn ecrsRspnil * Records destruction processes should be in place which allow for the full destruction of authorized records. All classified documents which have reached the end of their retention period should be fully destroyed in a manner which conforms to the Bank's Disclosure Policy. 2.8 Units should provide training of staff - both at headquarters and in the local offices - to ensure maintenanceof record keeping. * All staff should understand the institutional requirements for record keeping, the record keeping strategy adopted by their VPU or business unit, and their responsibilitieswithin that strategy. * Training should cover the identification, collection, indexing, filing, storage, maintenance, retrieval and disposition of records. 2.9 Record keeping systems should be sustainable. * Units which maintain Bank Group records must have in place a system for the effective monitoring of these conditions. * Units must develop the means to effectively correct any conditions which do not meet record keeping requirements. 2.10 Physical storagerequirements for record keeping Records should be maintained in an environment which does not damage the records. The records should be maintained in a dry, cool environment, properly housed in suitable files or records storage boxes. Of particular concern are units outside headquarters which maintain paper file collections as the primary institutional record. Local conditions vary widely, and some local offices may experience difficulty in adhering to these requirements. If this is the case, the unit's record keeping strategy should specify the prompt transfer of records to headquarters, or contracting with local commercial records storage companies which meet applicable environmentaland security standards. Contact the Archives for further information. 15 The existing facilities at Washington headquarters and at the off-site repository in Pennsylvania conformto these recommendedstorage environments. A more detailed list of physical storagerecommendationsis includedin Annex 19. 16 Keeping Records - How to file and find May 1999 t ,9e_,~~~~~~~~~~~~~~~~~ ......... ............ Best Practicesfor RecordKeeping Figure3-1 Best Practices for Record Keeping 3.0 General 3.1 Electronic and paper file systems 3.2 Definitionof electronic records 3.3 Ownership of electronicrecords 3.4 Filing electronic records - user's own drives 3.5 Filing electronic records - shared divisionalor departmental drives 3.6 Backup procedures for electronic records 3.7 Retention and disposition of electronic records 3.8 Hardware and software stability 3.9 Systemsdocumentationfor electronic records 3.10 Paper file systems 3.11 Sharedunit files 3.12 What not to put into shared unit files 3.13 Convenientreference files 3.14 Location of files 3.15 Time for filing 3.16 Use of "General" folders 3.17 Logging of documents created or received by the unit 3.18 Routing of documents createdor receivedby the unit 3.19 Distribution lists 3.20 Internalreports 3.21 Classifyingrecords using the BankwideRecordsClassification Scheme 3.22 Classifying,codingand sortingrecords 3.23 Cross referencing 3.24 Examplesof frequently occurringrecords 3.25 Securityclassification 3.26 Types of records 3.27 Chargeout cards 3.28 Bulky materials 3.29 Transfer of records from oneunit to another 3.30 Periodic record managementevaluations 17 5~~~~~~~~~~~~~~~* 3.0 General ISG makes the following recommendations regarding management of Bank Group records. These recommendationsare based upon ISG's experience in managingrecords throughall phasesof the record's life cycle- creation, use, retirement, storage, retrieval, and disposition. These recommendationsallow records to smoothlyand efficientlymove throughthe life cycle. 3.1 Electronic and paper file systems The Bank's business is increasingly being conducted by electronic records. However, electronic record keeping systems are not as fully developed as paper record keeping systems. To this point the Bank Group's primary record collections are in paper form; within a few years it is likely that the primary institutional records will be maintained solely in electronic form. Bank Group business units will be well served to begin implementing practices which will make the eventual transition to electronic record keeping an easy one. 3.2 Definition of electronicrecords An electronic record is data in a form that can be read and processed by a computer and that satisfies the legal definition of a record. Electronic records may include data files and databases, machine readable indexes, word processing files, electronic spreadsheets, electronic mail and electronic messages, as well as other textual or numeric information in electronic form. 3.3 Ownershipof electronic records According to Administrative Manual Statement 10.00, all records, regardless of form, medium or custody, are the property of the Bank Group. Thus, all electronic records (including email messages) created or received by or on behalf of the Bank Group, in pursuance of its legal obligations or in the transaction of its business, are considered records and are subject to the records management policies and procedures outlined in Administrative Manual Statement 10.00. 18 Keeping Records - How to file and find ink~ 1999 -- ; o 3r~ -BtPractim forRBcd - 3.4 Filing electronic records- user's own drives With the Enterprise Network (EN2.0 and subsequent versions), each staff member has been assigned a personal storage spaceon a network server (L:\ drive). Files may also be stored locally on the hard disk (C:\ drive) in a portion reserved for individual files (Q:\ drive). Unlike the Q:\ drive, in which the individual user must perform routine file backups in order to prevent potential data loss, the L:\ drive is backed up daily. Therefore, ISG Enterprise Computing Services (ISGEC) recommends copying or moving files created locally to the L:\ drive. These drives can be used for working files (e.g., all versions and drafts prior to the final version, information copies, reference materials), and files residing in either location may constitute electronic records. Remember that records or information stored on your own EN drive or on your hard disk are not accessible to others requiring the same information. You must ensure that electronic records are printed and filed in the shared unit files, or that the electronic version is copied to a valid electronic record-keepingsystem. 3.5 Filing electronic records - shared divisionalor departmentaldrives With the EN, each division and department in the Bank Group has been assigned a drive which can be used by all members of the division or department. Records and information that need to be accessible to all staff members in the division or department should be stored on these shared drives. Final versions of documents should be write- protected to ensure that no changes are made to them, either accidentally or purposefully. In order to facilitate retrieval of records on these drives, units should create directories and subdirectories with naming conventions that mirror the file classification scheme in effect for the units' paper files. Remember - Filing an electronic document on a shared drive does not mean that the electronic record will be maintained - network drives are frequently purged of older documents without regard for long-term retention requirements. As of this writing, no WorldBank network drives have been equipped with record-keepingfacilities. Make sure that your electronic records are printed and filed in the shared unit files, or transferred to an authorized electronic record-keepingsystem (suchas IRIS). 19 3.6 Backupprocedures for electronic records Dependablebackup procedures protect electronic information from loss and corruption. * Stand-alone environment Use diskettes to back up files on your hard disk, any non-network drives, and information on other diskettes. Store these backup diskettes in a safe and secure place away from your desk. * Networked environment The OTC for your division or department should have a standard procedure for backing up information on network drives. Typically, these backups are done on magnetic tapes, which should then be stored in a safe and secure place away from your office area. 3.7 Retention and dispositionof electronic records Transitory and personal messages and records that do not support Bank business should be destroyed in a timely manner. Convenience or reference copies, drafts, and old versions of records should also be deleted when no longer needed for day-to-day reference. Final versions of all records must be stored in adequate record keeping systems. Your options for maintaining electronicrecords are: * ensure that your electronic system meets all requirements for electronic record keeping (contactthe Archives at ext. 32841 for advice); * transfer electronic records to an electronic filing system, such as the Integrated Records and Information Services (IRIS) system; or * print the final versions of all records and file them in your unit's manual filing system; the electronic version of the record is then maintained for reference and convenience only. Retention periods for electronic records should be coordinated with the retention and disposition instructions for your unit's paper files and should be based on your unit's business needs. 20 Keeping Records - How to file and find May 1999 ''-~ ~ Scto ?'e ',ctce,o 3- Reor Keepi.ng 3.8 Hardwareand software stability If your unit is maintaining records in electronic format for a long period of time, be aware that disks, diskettes, and magnetic tapes have a limited life expectancy. It is advisable to copy files to fresh storage media every 5 years. Remember, too, that new versions of software and/or hardware, or entirely new software systems and/or hardware, may not be able to read information created using older systems. Check your files regularly and migrate them to your new systems as required. 3.9 Systems documentationfor electronic records If your unit is using systems that were specially developed for your business needs, you must keep adequate and up-to-date systems documentation for at least as long as any records produced by the system are retained. Systems documentationshould include: * system design, implementation,maintenance, and oversight * the meaning, purpose, structure, logical relationships, and origins of data in the system * the migration or conversionprocedures. You do not need to maintain manuals and other documentation for Bank-wide word processing or electronic mail systems (e.g. Word, Lotus Notes) beyond the time needed for immediate use. 3.10 Paper file systems Paper file systems are still the most common record keeping systems in the Bank Group. The remainderof this sectionprovide practical adviceand guidanceon maintainingpaper record keepingsystems. 3.11 Sharedunit files Unit managers must ensure that units under their control establish and maintain record keeping systems. ISG recommendsthat units establishand maintain "sharedunit files"to documentthe work of the unit andthe day-to-daybusinessof running a unit. Sharedunit 21 files form a readily accessiblerecord keepingsystem, availablefor referenceby unit staff and other authorized staff throughoutthe Bank with a businessneed to refer to the files. The BRCS appliesto sharedunit files. 3.12 What not to put into shared unit files However, not all records should be put into shared unit files. Records that are highly confidential - whether program or administrativerecords - should be filed separately in a secure place. Records used solely by one individual in the unit may or may not be suitable for the shared unit files. Other typesof recordswhich shouldnotbe kept in sharedunit files include: * materialhaving short-termvalue only, such as working drafts (oncethe documentis in final form) - envelopesandrouting slips - duplicatecopies - remindernotesafter the actionhas been completed * personal travel correspondence such as hotel bookings, travel arrangements, notificationof arrivals, etc. 3.13 Convenientreference files In some units, staff members, especially task managers, may want to keep duplicate copies of project records in their offices. ISG does not recommend this practice, and the unit RICS should not be asked to file duplicate convenience copies in the task manager's office. These duplicate convenience copies, if kept at all, should be kept in addition to the shared unit files - they should not be maintained instead of shared unit files. The shared unit files are the institutional record and must be complete. Convenience copies of project files which duplicate shared unit files will not be accepted by the Archives, and should be destroyed when no longer needed. 3.14 Locationof files The shared unit files should be housed in lateral file cabinets, which provide the most efficient use of space. Three-ring binders ("black books") are not recommended. As mentioned above, the shared unit files do not need to be all in one location - budget files may be maintainedby the budget assistant, while the divisionalpersonnel files are 22 Keeping Records - How to file and find May 1999 kept by the administrative assistant - but they should all be maintainedin a manner that is compatiblewith the BRCS. Units may create charts showing where the various unit files are located. Figure 3-2 Preparationfor settingupfiles The followingtasks shouldbe performedpriorto fileimprovement: Equipment.Ensurethatneededfiling suppliesand equipmentare on hand. SeeAnnex4 for list of commonlyused supplies. Clean outfile rooms Identifyanddiscardunneededmaterial: * surplusequipment * furmiture * boxedandunboxedpersonalpropertyandfiles * surplusand/orsupersededcopiesof reportsandpublications * obsoletetechnicalreferencefiles * outdatedusermanuals Check theRRDS.Check yourunit'sRecordsRetentionandDispositionSchedule(RRDS)to determineif olderfiles maybe disposedof or retired.If there are questions,consultwiththe unitRIC, or Regionalor Non-RegionalRIC, or BankGroupArchives. Transfer records to the Archives Identify applicablerecords and contactthe RICs or the Archivestoarrangetransferofrecordsfromthe unit. Destroy records eligible for destruction. If the RRDS indicates that records may be destroyed,destroythem in accordancewithBank-approveddestructionprocedures. If you have doubts about whether records are authorized for destruction,check with the Bank GroupArchives. 3.15 Timefor filing Daily filing is a good rule to follow. Records are needed most often within the first two or three weeks of their production. Locating "missing" documents slows the work of the unit and costs the Bank in terms of lost time. 23 _I~~~Set~ l3 e~ l|Vrdce wP lker_ * e 3.16 Useof "General"folders "General" file folders may be establishedas the first file under any primary subject. "General" files should be used when only a few documentsare present and the need to add a new subject has not yet been clearly demonstrated. When a "General" folder contains five or more documents on the same subject, however, consider openinga new file based on the subject. Figure 3-3 What NOT to keep in the sharedfiles. Do not include material having ephemeral value only, such as working drafts (once the documentis in final form); envelopes and routing slips; duplicate copies; reminder notes after the action has been completed; and personal travel correspondence such as hotel bookings, travelarrangements,notificationof arrivals, etc. 3.17 Loggingof documentscreated orreceivedby the unit Units may wish to maintain a log to document receipt of material and to ensure that responses are prepared and dispatched on time. It should not be necessary to log everything that comes into a business unit. Limit your logging to important communicationsand set realistic deadlinesfor responding. Figure 3-4 shows an example of a correspondenceor documentlog. If an extensivereview of communicationsoriginating in the unit is expected, the task manager or the originator must provide staff assistantswith routing instructionsand may alsorequest thatiterations (or 'versions') be logged. If the documenthas been logged, the unit RIC or staffassistantshould post the completion date to clearthe entrywhen materialis forwardedfor distribution.This process, as well as earlier steps indocumentflow, is shownin the flow chartprovided abovein Figure3-5. 24 l l | {nE__ ghgEIT i Figure 3-4: Correspondence/Document Log | ~~DESC:R:PTtO1N REStPoNT2E Ii Date Date jDate l ~ _~~ _=_____ ~~~~ A >4 cc e17 +7-$n 4_/_ i Y, .~~~~I _ _ _ _ _ _ _ _ _ __ _ _ _ _ _l~ _ __ ___ _~~~~~~~~________________________ _______ _______ _____________ I. _ _ _ __ __ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ , _ _ _ I_ = _ _ _ k _ _ _ _ _ ,_______________________._____________ _________________________ ________ ________ ______________I 3.18 Routingof documentscreatedor receivedby the unit The task of routing upon receipt is often assignedto staff assistantson a rotatingbasis. In ge.neral,the practice is to route incomingcommunications(mail, telex, and faxmessages) directly to the staff member responsible for action. That individual is responsible for further distributionof the document. Someunit managers want informationcopiesof all (or certain types) of incoming documents; requirements of this type should be covered in written instructions issued by the manager. Figure 3-5 provides a flow chart on how to handle incomingcommunications. 25 Figure 3-5: Respondingto IncomingCommunications STAFF ASSISTANT TASK MANAGEROR STAFF ASSISTANT OR RIC TECHNICAL ASSISTANT OR RIC Original Original Letter, Fax Letter Original Letter Telex, etc. I Original Reply &Copy Addressee of Reply Log and/or Tickler File* Processes Additional Distribution as Indicated and Files in Shared Unit [Bold is required step; Files unbold is may be required or optional] Log and/or Tickler File* 1. Log in original and/or place copy 1. Prepares response, coordinates, 1. Sends reply to addressee. in tickler file. clears. 2. Sends additional distribution as 2. Copy to Manager or other staff. 2. Sends original incomingletter necessary. 3. Return to sender if misdirected. and original response to Staff 3. Clears log and/or destroys tickler Assistant or RIC. file copy. *Optional 3. Retains copy if desired. 4. File original incomingletter and copy of reply in SharedUnitFiles. 3.19 Distributionlists Unless otherwise instructed by their supervisor, staff assistants should use the following distribution pattern: * for outgoing communications only: send the original to the addressee; copies to other addressees, copy to shared unit files 26 Keeping Records - How to file and find May 1999 * for all other documents: record copy to the shared unit files; any supplemental distributionestablishedby the head of the unit If extra copies are requested (by task manager or unit manager) they may be made. However, RICS and staffassistantsmust ensurethat the sharedunit files are complete. Figure 3-6: TaskManagersand the Internal DocumentsUnit Documentstage Task Manager'sactions IDU Actions Yellowandgreen versions Requestsa report number Issuesa report number (pre-missionandpre- negotiation) Sendsthree copiesof drafts, Cataloguesindatabase Includingnon-English Microfichecopy versions Archive file copy Final version On the way to print shop Number(if necessary) with Checkcover Report, Form 14and Form Producedistribution 152 Printing approval Printed version Login Produceexternaldistribution Catalogue/abstract Scaninto imagingsystem Archive file copy Distributeto requesters 27 Figure 3-7: Report types managed by Internal DocumentsUnit ARPP - - - Annual Report on Portfolio Performance Gray Restricted H0 CAS Country Assistance Strategy Document & Progress Gray Restricted / Or special CASP Report instruction ER W EconomicReport Gray Unrestricted ICR Implementation CompletionReport Gray Restricted *- <. IER ImpactEvaluation Report Gray Unrestricted E~- MDR Managing Director's Report Gray Restricted - MOD Memorandumof the Director Blue Restricted MOMD Memorandumof the Managing Director Gray Restricted MOP Memorandumof the President Gray Restricted OER Operations Evaluation AnnualReport or Review Gray Department's Discretion OES Operations Evaluation Study Gray Department's Discretion PAD Project Appraisal Document Buff Unrestricted PCN Project CompletionNote Gray Restricted PD GEF Project Document Green Stripe Unrestricted PIP Project ImplementationPlan Restricted PR President's Report Gray Restricted 0N PPAR Project Performance Audit Report White Restricted W,zSAR Staff Appraisal Report Buff Unrestricted SR Sector Report Gray Unrestricted 5TAN TechnicalAnnexes Gray Unrestricted 4 Typesnumberedin draftform RestrictedReports Have FOR OFFICIAL USE ONLY Have The followingCaveat on the bottom of the cover Draftreports Thk docuie't h% X restricted istributir and my be used he racipieu only in thr perforMnaci Of their effic!M duties. ts cntents ma5' u otherwise He aiscs wihabt wdorld aBAu xauthorfzktio Yellow Covers (pre-mission) have Draft Confidentialover the number Green Covers (pre-negotiations)have Confidentialover the number For moreinformation,contactInternalDocumentsUnit,x 34641or x 34677. 28 Keeping Records - How to file and find May 1999 S 3 3.20 Internalreports Certain typesof Bank reports must be sentby the creating unit to the InternalDocuments Unit. The InternalDocumentUnitsprovidesthe followingnecessary services: * providesresearch andreferral services as requestedby Bankstaff * assignsreport controlnumbersto Bankreports andpublications * controls the distributionof Bankreports to field offices and to United Nationsoffices under the documentexchangeagreement * providesthe required distributionto internalclients * indexes and abstracts the document, and enters data into the Bank's bibliographic database(IRAMS) * designatesarchivalcopyof all reports in microficheandpaper copy * scans selected reports into the Bank's electronic imaging system for access through Inagebank and itspublic versionWorld DevelopmentSources (WDS) Units which produce reports for internal distribution should contact the Internal DocumentsUnit at x 34641 or x 34677 (fax x 22142). SeeFigures 3-6 and 3-7 for more information. 3.21 Classifyingrecordsusingthe BankwideRecordsClassificationScheme Before it is filed in the shared unit files, each document-along with its attachments- must have an identifyingclassificationcode which indicateswhere the document is to be filed and whichwill laterassist anyonein locatinga fileddocument. 3.22 Classifying,coding, and sortingrecords Classifythe records accordingto the hierarchical subjectheadings found in the Bankwide Records ClassificationScheme (BRCS). Mark the primary and secondary classification terms on the top of the document. If in doubt, use the subject index to determine the classificationterm that seemsmostappropriateto the subjectand contextof the document. To classifydocuments, followthe procedure below. * Quicklylookat the recordto identifythe main subjector topic. * In the BRCSfindthe primary classificationterm whichis mostappropriateto the record in hand. 29 g ~~~~~~~~~~~~~~~~~ g . * Look at secondary classificationterms under the primary classificationterm to more narrowlydefine the record category. * Classify the document. Using pencil, write the appropriate primary and secondary classification terms (or numerical coding), together with the specific file title if necessary, at the top right of the document. Alternatively,if the subject or message line of the document clearly indicates the file location, circle the terms on the document,or highlightwitha marker, adding specificfile titlesif necessary. * Sort the documentsto matchthe file locations,and file the documentsaccordingly. * If you are unclear about which classificationterm is most appropriate, consult the BRCS subjectindex. If the title is not in the subject index, contact your unit RIC for advice. 3.23 Crossreferencing If documents clearly belong to more than one subject and there may be confusionabout where to find them in the future, there should be a cross reference to each applicable classificationterm. Write each appropriateclassificationterm in the top right hand corner of the original.Indicatethe cross referencedterms by placingan X next to each term, and photocopy the document (or the cover page of longer documents). File the original document according to the first classificationterm, and file the photocopies under the additionalclassificationterms. 3.24 Examplesof frequentlyoccurringrecords Givenbeloware someexamplesof how to mark commonlyfound records. Programfiles or subjectfilesof the unit shouldinclude: * primary BRCS classification,and * secondaryandtertiary classificationterms as needed;and * individualfile titles. 30 Keeping Records - How to file and find _*ux1999 Sectdo 3.s s Pac f.. Re.ord Keeping Lendingproject files, includingprocurement, should include: * the applicableBRCS categories (includingcountry), and * product ID number, or * loanor creditnumber, or * name of the loan/creditor program, and * appropriateidentificationmark from the checklist. Figure 3-8 ProjectFiles *~~~~~~~~~ ,JA ThFe WNrEdBanktlta 4rrWj ? rtoverber 24. i993 Li. Socorra PadiUa Mo3rroy Gennt dreOperactdt de Fit=Ietamientloi Espdclazes Naonral Firtcatnera, SN.C. Tom 4, P so 6 lastrgentes Sur 197i CoL GCtgdalpe in Mexio, D. Dewr L:c. 4ila: Li reference to 3yourester SRN-E-3073 r%e:t'oteg 2-LP[-00U93-1 under he Scienrceanr Technoiog7 EnF rmctrz Projeer 'an 34h5-ME). we have #er3ewe torer,erjumetnOiton ane have no ob*-econ with zre award of the zonitmatteto te tupptiees indicated. Prior 0t payment. we roqupsc that two copies of the ofgoco contsac be delitered tc uis. 31 _~~~~etu 3- B_s Pract_.ice for ier Keep_ing_ For nonlendingservicesor analyticalor advisoryactivityfiles, the classificationshould include: * the applicable BRCS categories, and _ product ID number,or * report number, or * type of activity,and F appropriateidentificationmark from the checklist. Countryfiles shouldinclude: * the applicableBRCS categories, and * the name (or code)of the country, and * the appropriatesubjectcategoryfromthe CountryFile Scheme(see Annex6). A sample identificationmark for a country file is shownin Figure 3-9: 32 __~~~~~~~ _ g * LIII I |II Ll|L IME_ S-ectlo 3- Best Practices forRecord Keeping F'igure3-9 Country Files The T World BanK SISOt Steer N s ,Qo: A710'23' ;N`E%ZN,A-,ONAo- SANK50 ecSstrt5aCOVt.PShRV5,oo 0,,SSts ZtN5SA | rTsaNAnOtALC evettl eTtA-St-t onT t Case t NO5'O"S MS, Nancy Stiles Director, Central Aaoezio C l'.ei3i rn Aiet.eit st Branth C3naci Aaa r.tern.rtiorral Ie'eiottttent Agencyt Piece ott Centre 'o0, Froetenede du Portoec Hull, Quebec CANADA,. lIA 0904 Dear Itsi. Sto' les: SN .onr uortetore Gt-o_p tot N}oncureas Reoortr RoFece Eents _r* AS yt may &'teaedy "cs-cara H-osrduroe h%as suspetoend s'ccooso ,l,uOiat'cy -rooerl@r this yeaer, Se-eral ontlows xsonned ur,der the original firnanc-n9 p_an desigr to support the Coverrtnent't structural t edjutrnent orogrees -7nit> th.e Vorld Ssnk suppc rte -sicthk loan SAL o 1)55950 esollior. di'd not atesetstizeas erpegred, leaving the luceronen- citrh shortfalls irn ftreCgn e-change revenues. As a consequence, the Goverrnrert fel,l anto arrears witlh Mast its c reditors oby Cvcemther 19S8. ocljudirng the Bank and ZhAF, and 'has notr as yert been able to clear rts arrears tc those irtS?.1.ucOt r rn atccrdanos st-4tc establ',shbeo ptolirt, t')e Sank stos?ended l oan divshuroasteno s ro honduras -n Cere- bo r 198S, -. nen debt tetrice becease Oaerv ue by ?5 lva-s rto Covetrent. the Sans, rnd the IMP have continued to work to ot3t the finanrirg ,13r hart. on track, In Fe.bcuart 1989, ot,oeoane c=ear T;aton orr -aco eple and feasible f ienancing plan for 19E9 woultld reque .zes'eotr ott a Standoy w-ith trne trereogeent fTiP' As a result, vittu, al e tera f inanrissg -is now 1Inked to agreenent between rhe C11 - Gt'err-enzt on a S tanob'- -he negotiattoos toward such a" Arrangement were openexd on Mgech- oith ron.t odetd a . tb oton n s_ ' at a ' r ee'nr -ould hB reac.zhed in the very nesr tern. es the te'oe ctne to comtoS e-r te z- tions reou.ied to co-3lude the n.egoit:iaol s "'tweve- .oe oeverootent eaperi'anced dittdruty ir, holding together ,.... > Section .. Re.t ... t .r RecordK.epi Figure 3-12 Charge-Out Card LO N % _ \l ~~~~~~~~~~~~~~....... _ _ _ _ I*6:6ZI.. _ _ _ _ _ _ I! o Is r, F =1D '.S1 ' ,j4' FS S33~~~,t,(= F 3.28 Bulkymaterial Place bulky material (multi-volumereports, for example) in accordion foldersbehind the correspondencefiles or on bookshelves. Labeleach folder with the name of the country, title of the project, loan/credit number, and description of content. Make a cross reference between the transmittal letter in the correspondence files, and the separated material. Remember to transfer the separatedbulky material to the Archiveswhen transferring the related correspondencefiles. 39 - - - Sedi* - &- PrJp -ping kr4KX 3.29 Transferof recordsfrom one unit to another Records normally remain in the custody of the unit responsible for their creation, maintenance, anduse. When they are no longer needed, staff should eithertransfer them to Archives for storage or destroy them accordingto the relevant RecordsRetention and DispositionSchedule(RRDS)(see Chapter 8). Under certain conditions,however, it may become necessary to transfer custodyand responsibilityto another unit while the records are still active. These changesoccurbecause of differentsituations: * a unit is reorganized,functionschangedor redistributed,or separateunits established * two unitsmerge intoone * a unit is eliminated,requiringa transferof activerecordsto another unit * a task managerdoes notmove, but program responsibilityis reassignedto another unit at headquartersor to a localoffice. Note: A Task Manager moving to another unit may take conveniencefiles only; record copiesmust remain withthe unitwithprimary responsibilityfor the records. Recordsneed to be carefullysurveyedto determineif all files need to be transferred to the new unit. This will depend on whether the receiving unit is responsible for the same functions. Filesshould followfunctions. For advice on how to handle records when there are organizationalchanges, relocations, or closingof the localoffices, contactthe Regionalor Non-RegionalRIC. 3.30 PeriodicRecordsManagementEvaluations Records management evaluationsare conductedby the Regional or Non-Regional RIC, with the cooperationof unit staff. Recordsmanagementevaluationsare intendedto: * ensureadequatedocumentationof functionsandactivities * determinethe levelof user satisfaction * identifyproblemsrelatedto informationandrecords management * provide proceduresfor documenthandling * report on whathas been, or will be, doneto correct anydeficiencies. If there are significant changes within a unit-for example, new staffing patterns or significant reorganizations-systematic visits by the Regional or Non-RegionalRIC may be more frequent to ensure that all staffunderstandeffective files maintenanceprocedures and that any necessarymodificationsare made on a timelybasis. 40 May 1999 ection 3.- -estPra s for Recrd Keping At headquarters, the Regional RIC/Non-RegionalRIC will conduct the evaluation and write up the results, anddiscussthem with the unit head. In the local offices,the unit RIC will complete the evaluationand write up the results in consultationwith the Regionalor Non-RegionalRIC. In all cases,the unit head is responsiblefor reviewingand signingthe report. The unit RIC should file the record copy into the shared files. The RegionalRIC/Non- RegionalRIC willreview the report, alongwith other submissions,to determineif there is a widerpattern that indicatesthe need for further action. 41 - ----- May1999 (RhI Section4- EctronicMl Megs and Faxes Electronic Mail Messages and Faxes Figure4-1 ElectronicMail MessagesandFaxes 4.0 General 4.1 Electronicmail records(email) - general 4.2 Filing emailmessages 4.3 Printingand filing email messages 4.4 Printingand filing email messageswith ashared email account 4.5 IRIS as a recordkeeping systemfor emails 4.6 LotusNotes OfficialMail Repository 4.7 Classifyingemailrecords 4.8 ISGPolicy Kiosk - Best PracticesStatement 4.9 Facsimileand telexmessages 4.0 General World BankGroup staffconduct an increasingamountof businessthroughelectronicmail and facsimile messages. Once thought of as ephemeral materials, emails and faxes are now recognizedto be an integral part of the Bank Group's business activity and record keeping. The basic principles for managingthese materials as records are covered in this chapter. 4.1 Electronicmail records (email) Email messages created or received by or on behalf of the Bank Group, in pursuance of its legal obligations or in the transaction of its business, are considered records and are subject to the records management policies and procedures outlined in Administrative Manual Statement 10.00. Email which arrange or confirm meetings, request copies of documents, and other non-substantivematters are records which do not need to retained withina unit's record keeping system. 43 11* S1I ''0 I 4.2 Filing email messages Email messagesthat are only stored within personal mail accounts are not accessible to others who may need the information, and do not become part of the unit's files. All staff must ensure that email messages which qualify as records should be entered into a record keeping system. If you are the recipient of an email, you will need to print a copy for your shared filesor forward to your sharedunit account. There are three basic options for filing and managing email records: * print messages and file them in your unit's manualpaper filing system * transfer messages to an electronic filing system, such as the Integrated Records and InformationServices (IRIS) system * Use the Official Mail option when sendingLotus Notes messages. 4.3 Printingand filing email messages Creators and recipients of email messages to be filed into a shared unit account may print each message (with all of its attachments), and deliver to the unit RIC for filing in the shared unit files. Alternately, the electronic version of emails may be sent to the RIC, Staff Assistant, or other designated individual for printing and filing. 4.4 Printing and filing messages with a shared email account Units may wish to establisha shared service accountin Lotus Notes to whichemails may be forwarded. If this option is chosen,the unit RIC or other authorizedindividualshould accessthe accountand routinelyprint and file the email messages. 4.5 IRIS as an record keeping system for emails The IRIS system allows units to move their emails from the shared account to IRIS without having to print and file the email messages. The emails are transferred electronically to IRIS and electronically filed within the IRIS file structure for easy accessibilityfrom the user's desktop. The ImagingAssistantfor the unit profilesthe email (provideretrieval information)andfiles it electronicallywithinthe IRIS system. 44 Keeping Records - How to file and find MaN1999 :':.'':.. .. :.:.:. ....:.....-,;,,.............................. Section - Electronic Mail Messaes and Faxes 4.6 Lotus Notes Official Mail Repository The Official Mail Repository (which receives copies of email messages sent as Official Mail in Lotus Notes) provides a secure repository for maintaining authenticversions of electronic mail messages, but it does not (as of this writing) yet have simple classification or retrieval capabilities, nor is it accessible to Bank staff (in order to protect confidential messages). For the time being, therefore, the Official Mail Repository can not be considered an adequate record keeping system for electronic mail. It is best to print emails and their attachments and file them in the shared unit files. When you select Official Mail in Lotus Notes, you will be asked to provide records classificationfor the mail. A pull-down menu is available with classification choices; customizedrecords classificationscan alsobe addedby eachuser. Note: If you are using Lotus Notes, the "Archiving" folder is NOT an electronic record keeping system, nor do messages placed in this folder get transferred to the Bank Group's Archives or to any institutionalrecord keeping system. The "Archiving" function in Lotus Notes is solely a network storage option intended to offset the escalating costs of high speed network access to non-current savedemail messages. 4.7 Classifyingemail records When creating emails, use the subject line to identify the subject of the item being forwarded. Refer to the BRCS for proper records classifications. This also applies to emailsthat you sendusing the "reply"function. 4.8 ISG Policy Kiosk - Best Practices Statement All Bank staff should be familiar with the email policiesdescribed in ISG's website. Go to ISG's website, then enter the Policy Kiosk - Best Practices. Here you will find statements such as "Best Practices: Email Housekeeping" and "POLICY NOTE: Managementof Mail Storageon Network Servers", andothers as they are issued. 45 | 1K1 :sa-J"a, To j _* 4.9 Facsimileandtelex messages The creator (or recipient, in the case of incoming communications)is responsible for sendinga copy of telexes and faxes to the sharedunit files, (or, in the case of program- related procurement, to the procurement files). Documents must be properly classified before filing. If you have a thermal paper fax, you must photocopy the message to normal paper because the thermal paper original will fade in a very short time. If you have a plain paper fax, there is no need to photocopy. 46 Keeping Records- How to file and find May 1999 Vital Records Managementat all levels must establish procedures to maintain the Bank's vital records. Recordsconsidered "vital" are those that containinformationneeded to restore operations after a natural or man-made disaster. Included are documents that contain information neededto: * continueor re-establishthe operationsof the World BankGroup as a whole, or of any of its criticalunits * recreate the institutions' legalandfinancialposition; and/or * protect andpreserve the rights and interestsof the institutions,their staff, shareholders (owners),and other stakeholders. Each BankGroupunit should: * documentin its RRDSall plans for the protectionof vitalrecords * documentall suchproceduresin a separateguidelineor manualfor staff. For assistanceandfurther information,contact: ISG's Business ContinuityProgramfor adviceon the preparationof a comprehensiveplan to managethose records that are vital to restore your business functionsin the event of a disaster. Information is available on the Bank's intranet. Search under "business continuity"or "world bank informationsecurity". TheArchives will assistyour unit in identifyingthose recordsthat are vitalto the business functioningof the World BankGroup as a whole, or those that are essentialto your unit's functioning. In addition, the Archiveswill provide advice aboutprotecting these records againstdisasterand salvagingdanaged records. 47 Vital Records 5.0 VitalRecords Each unit in the World Bank Group, and the institution as a whole, will require certain records to enable its continuance in the event of major or minor disasters. A well thought out vital records program will contribute to the early recovery of normal operations. Figure5-1 Vital Records 5.0 General 5.1 Vital Records - definitions 5.2 Vital Records - examples 5.3 Responsibilities 5.4 Protectionproceduresfor Vital Records 5.5 Duplication and dispersal 5.6 On-sitesecurity storage 5.7 Off-site security storage 5.8 Documentingthe protectiondecisions 5.1 Vital Records - definitions Vital records are those records in any medium that contain information that would be needed during or after an emergency or disaster to: * continue or re-establish the operations of the World Bank Group as a whole, or of any of its critical units * recreate the Bank Group's financialand legalposition * protect and preserve the rights and interests of the institution, its staff members, its shareholders, and other stakeholders. 48 aul"IITIT-How to file and find E~ ~~Ma y~~M1999 a _ _ _ _ _ -~~~~~~~~iw -VtlIewd 5.2 Vital Records - examples Vital Records are those records which are needed to: * determine receivables * determine liabilities * identify the Bank Group's fixed assets (e.g. land, buildings, equipment) and their value * identify, and when possible, fulfill existing commitmentsto clients * rebuild facilities * develop new business * state salaries and benefits due employees and former employees (e.g. pension, leave) * state any other corporate commitmentsto employees * meet corporate legal and financial requirements (e.g., documents such as the Articles of Agreement, and bylaws) * business continuity or disaster plans, and related records, that specify how the Bank Group will respond to an emergency * resume data processing operations. This includes both system and data back-up tapes, as well as system documentationwhich is adequate to operate the system and access the data. 5.3 Responsibilities In collaborationwith the Bank Group Archives, the unit manager identifies: * which, if any, unit records are vital. This normally takes place at the time the Archives prepares a Records Retention and Disposition Schedule for the unit, but may be initiated by the unit at any time. The unit manager will also determine if existing/old records will be includedin this survey3 * records necessary to resume data processing operations. This includes both system and data back-up tapes, as well as system documentationthat is adequateto operate the systemand access the data * the most risk-free and cost-effective way of protecting these records including, if deemed necessary, the method of duplication, the frequency of dispersal, and the appropriate security storage site 3At the outset of a vital records protection program, it is often necessary to reproduce a number of existing documents of whichthere are no extra copies. 49 -~~~~~~~~5 Via Rc * retrieval procedures for vital records. These procedures should require minimal effort, especially since individualsunfamiliar with the records may need to use them during an emergency or disaster * all concernedstaff are appropriately informed about vital records * the designationof vital records is current and complete * vital records are adequately protected, accessible, and immediately usable. 5.4 Protectionproceduresfor Vital Records Vital records, because of their central importance to the functioning of the institution, warrant special protection. There are many ways to guard against losing vital records. The three most common methods of protection are: v duplication and dispersal * on-site security storage - off-site security storage. 5.5 Duplication and dispersal Duplication may occur in one of two ways and each may involve dispersal: * prepare an extra copywhen the record is created * provide for reproduction on an on-going basis if multiple copies are not, and cannot be, created during the normal course of records creation. Scheduled reproduction may be by any process, such as micro-imaging, copying to magnetic tape or disks, or photocopying. Note: Be aware that a copy does not always have the same legal value as a signed, original document. Note: If micro-imagingor copying to magnetic media is chosen, units must ensure that all equipment needed to read vital records will be available in case of emergency or disaster. 50 Keeping Records - How to file and find May 1999 ~~~~Sectin. 5- VitalReeord ..... ... ... .. .. .. . . . . ... .. ..........--- Dispersal consists of placing the copy in a second, safe location, away from the originals. Sometimes an existing copy is already normally held in a relatively secure place. If not, provision must be made for secure storage. 5.6 On-site security storage Vital records, whether originals or copies, can be stored within the unit. Vaults, safes, or special cabinetsafford some protection. Additional security systems, such as alarms, fire detection devices, halon or carbon dioxide systems, fire extinguishers, controlled environments, etc., can increase security. The Bank Group Archives can provide advice on storage equipment. 5.7 Off-site security storage Vital records, whether originals or copies, can be stored at the Bank Group Archives' remote repository at Boyers, Pennsylvania. If off-site storage at the remote repository is deemed appropriate, the procedures for transferring a unit's vital records are established in collaboration with the World Bank Group Archives. Alternately, units may contract with a commercial records center for the storage of vital records. The Archives is able to provide advice on this matter. When considering off-site dispersal, remember that some vital records will need to be accessible in a very short period of time if an emergency or disaster occurs. Although retrieval from the Archives' remote repository normally takes 24 hours, emergency delivery can be arranged. 5.8 Documentingthe protection decisions All plans for the protection of vital records should be documented in your unit's Records Retention and Disposition Schedule. Your unit should also document all such procedures in a separate guidelineor manual for staff. 51 Keeping Records - How to file and find | May 1999 The BankwideRecordsClassificationScheme(BRCS) 6.0 General Keeping Records introduces a Bankwide records classification scheme. The objective of adopting a uniform classification system is to improve the integrity and usefulness of Bank records. Adoption of a Bankwide classification scheme will simplify record keeping, facilitate information retrieval, standardizeprocedures, and reduce complexity. The use of standardized classificationscheme means easier access to information. It providesa "roadmap" to the files and also reduces the learningcurve for staff members who transferfrom one unitto another. In addition, as the use of electronic files and record keeping systems increases in the Bank, the need for standardsbecomes more evident. During the period when paper and electronic systems are operating in parallel, and certainly when electronic document management systems are fully implemented, file naming conventions and common languagebecomenecessary. Figure 6-1 BankwideRecordsClassiricationScheme(BRCS) 6.0 General 6.1 BRCS - an introduction 6.2 Relationshipswith other classificationschemes 6.3 Programfiles vs. administrativefiles 6.4 Localoffices 6.5 BRCS Package 6.6 Primary classificationterms 6.7 Using the BRCS for sharedunit files 6.8 Subject index 53 6.1 BRCS -An introduction The Bankwide Records Classification Scheme (BRCS) is a hierarchical system which organizes records across the Bank according to broad functional groupings: budget, development and lending activities, external affairs, etc. It classifies the records into groups which are linked to the functionswhichproduced the records: all budget records are classifiedsimilarlyand all personnelrecords are classifiedin a similarfashion, etc. Within the primary categories are secondary categories which relate to more specific topics or business processes. Thus, the primary classificationcategory"Budget" may be broken down into secondarycategoriessuch as "administrativebudget", "capitalbudget"; the primary category of "Human Resources" may be broken down into "personnel policies"and "personnelrecruitment". Similarly, these secondary categories can be broken down into more specific topics or subjects. "Administrative budget" may be broken down into sub-categories such as "Corporate", "local office", etc.; "Personnelpolicies" may include sub-categoriessuch as "AlternateWork Schedule", "OutsideInterests", etc. Records classificationterms are not the same thing as file titles. A classificationtern indicateshow the file relatesto other files within the overallclassificationscheme. Afile title consists of what is actuallywritten on the file folder itself. A file title should indicate the records classificationterm but may also have a unique title to distinguishit from other files withinthe same classificationterm. The following examplesdemonstratesthe differencebetween classificationterms and file titles: Primaryclassificationterm External Affairs - Secondaryclassificationterm Publications- Tertiaryclassificationterm Newsletters Filetitles StaffAssociationNewsletter OED Newsletter LEG Newsletter, etc. The file titles would be: External Affairs - Publications - Newsletters - Staff Association Newsletter External Affairs - Publications - Newsletters - OED Newsletter External Affairs - Publications - Newsletters - LEG Newsletter In actualpractice, the classificationterms may be abbreviated,or replaced by the numeric coding systemintroducedin the BRCS. 54 .. .. ... .. . .... .. ... Section6- TheBaMn R&c or,ds siIo' Sch 4BR S 6.2 Relationshipswith other classification schemes. The BRCS is the first time ISG has issued a records classification scheme designed for Bankwide application. Previous records classification schemes were issued with specific units in mind: Regional units, Non-Regional units, or local offices. The BRCS replaces these previous classification schemes, and presents an integrated classification scheme suitable for implementation in headquarters and local offices worldwide. Units should migrate to the BRCS as soon as it is practical to do so - when new files are opened, or at the beginning of a new calendar or fiscal year. 6.3 Program files vs. administrativefiles Unlike previous records classification schemes, the BRCS no longer separatesprogram from administrative files. Program records are those records which document the ,functional responsibilities of the unit, whether those responsibilities encompass development lending, training, research, investment or accounting. For whatever purpose the unit is established and charged to do - these are its functional responsibilities. On the other hand, the administrative records are those records which are created during the business of managing the unit - the day-to-day "household" records produced by all units (regardless of their functional responsibilities): leave and training records of unit staff, the unit's budget records, etc. Nevertheless, records should be filed according to the broad functional categories, regardless of whether they are program or administrative records. You will not have one file system for program records and a separate file system for administrativerecords. 6.4 Local offices The BRCS also incorporates records classification schemes for local offices, which formerly had a separate classificationscheme. The BRCS should be used both in local offices and headquarters, which will thereby facilitate the exchange of information between the units. 55 6.5 BRCSPackage The Bankwide Records Classification Scheme (BRCS) package, provided in Annex 5, consistsof the following: · Descriptionof Primary Classificationterms * BankwideRecordsClassificationScheme * SubjectIndex. 6.6 Primaryclassiricationterms The BRCSis organizedinto twelveprimary classifications,as shownbelow: Figure 6-2 Primaryclassificationternms Budget Country/Area DevelopmentActivities External Affairs Financial Policy& Risk Management FinancialTransactions HumanResources InformationandKnowledgeManagement Management& Oversight ResourceMobilization Services& Facilities Training& Education Within each of these primary classifications are secondary classificationterms. Some tertiary classification terms are included in the BRCS, although these have been intentionallylimited with the realizationthat this level of description is not necessary for all units in all functions, and that where tertiary levels are required, units may wish to insertindividualfile titlesas required. 56 KeepingRecords- Howto fileandfind May 1999 i 6.7 Using the BRCS for sharedunit riles Units shoulduse the BRCSas a frameworkto organizetheir own sharedunit files. Select the primary categories which reflect the functions of your unit. Within those primary categories, select secondary categories which are appropriate to your unit's activities. Createfile foldersbasedon the classificationterms and specificfile titlesas needed. Whether or not a unit needs to set up secondaryand tertiary classificationterms depends upon the functionsof the particular unit. For example, CRM will have a very elaborate classificationhierarchyunderthe Budgetcategory, but will need onlylimited classification terms under the External Affairs category. The situationwill be reversed in the External Affairs Department. Somefile classifications - such as country codesand sector codes- rely upon the Bank's Common Data Stores (CDS). To ensureBankwideconsistency,users should learn how to accessthe CDSthroughthe Bank's intranet. Primary and secondaryclassificationterms shouldnot be added to or changed in any way (althoughall terms may not be needed by all units). Tertiary terms and file titles may be altered to suit the unit's work program. This should be done only after examining the existing schemeand discussingit with the unit RIC or Regional/Non-RegionalRIC. Each unit should indicate any new terms to the RIC, Regional or Non-Regional RIC for forwardingto ISG for inclusionin the electronicupdate of the SubjectIndex. 6.8 Subjectindex A subject index to the BRCS has also been produced and included within Keeping Records. The subject index lists each term in the BRCS, togetherwith related terms, in alphabeticalorder. Each entry presentsthe term, a numericalcoding, and the primary and secondaryclassification(s)to which the term relates. Some records may be classifiedto different classificationterms, dependingupon the unit of origin, the business contextand how the records are to be used. 57 KeepingRecords - How to file and find May 1999 Project-Related Procurement Records Figure 7-1 Project-RelatedProcurementRecords 7.0 Procurementrecords - general 7.1 Typesof procurementrecords 7.2 Location of procurement activity andprocurementrecords 7.3 Keepingprocurementrecordsproperly 7.4 Consultantreports 7.5 Procurementchecklists 7.6 Marking documentsfor filing 7.7 Filing documents 7.8 Completingthe procurementchecklist 7.9 Supplementalprocurementdocuments 7.10 Procurementnot subject to priorreview 7.11 Procurementcomplaintsand disputes 7.12 When procurementis completed 7.0 Procurementrecords- General The Bank Groupdeals withtwo kinds of procurement: * Internal administrativeprocurement (for example, office supplies, computers, and facilities). This chapteris not concernedwith administrativeprocurement. * Project-relatedprocurement, associatedwith regionallending programs, and which is the subjectof thischapter. The Bank's interest in program-related procurement stems from the provisions of its Articles of Agreement. While the Borrower has ultimate responsibility for the implementationof Bank-financedlending services, the Bank is responsible for ensuring that the loans/credits are used only for purposes authorized by the loan or credit agreement. Procurementfiles documentthe audit and monitoringfunction undertakenby the Bankin accordancewith the loan or creditagreements. 59 7.1 Types of procurementrecords Procurement records generally consist of material produced by external contractors or borrowersand sent to the Bankfor information,monitoring,or verificationpurposes. The most commonlyencounteredprocurementrecordsare listed on the followingtable: Figure 7-2: Commonprocurementrecords GOODS & WORKS CONSULTANTS SpecificProcurement Notices (SPN) Invitation to Submit Expressions of Interest Bidding Document: Invitation to Prequalification Document & Advertisement Bid/Technical Specifications Prequalification Report Cost Estimate and Budget Terms of Reference (TOR) Short List Bidding Document: Invitation to Request for Proposal Bid/Technical Specifications/Contract Form etc... Minutes of Bid Opening Technical Evaluation of Firms Bid Evaluation Report Technicaland Financial proposals Contract Contract Amendment Amendment Other procurement documents may be submitted during the procurement process, and shouldbe filed accordingto the appropriatechecklistandbatch. N.B. Consultant reports (feasibility studies, etc.) and certain other products of the procurementprocess may need to be filed separately from the related procurementaction files. See Section7.4 for furtherinformation. 7.2 Locationof procurementactivityandprocurementrecords In the past, the majorityof procurementactivitieshave been managedat headquarters;for some countries this function is moving in part or in whole to local offices. Each country department must establish procedures to ensure that the procurement activity is documentedin a trustworthyand consistentmanner. 60 7.3 Keepingprocurementrecordsproperly In order to ensure that adequatedocumentationof the procurementfunctionis maintained, severalkey pointsshouldbe keptin miind. * The project team leader, and the procurement assistant (and anyone else involved in managing the procurement aspect of a project) must decide who is to be the procurement record keeper - i.e. who is responsible for maintaining the procurement records. * The procurement records must be kept according to the relevant checklist system. Procurement documents are kept together by "batch", each batch documenting either one stage of a procurement action, or the entire procurement action. * Everyone must forward all original documents (see note below) to the procurement record keeper, but may retain copies for convenienceof reference. * Copies kept for convenience of reference may be destroyed at any time (if in doubt that it might be an original document, forward it to the procurement record keeper). · Procurement records must be kept until 10 years after project completion, at which point they may be destroyed. * These principles apply regardless of the location of the parties (project team leader, procurement assistant, procurement record keeper) involved -in headquarters or local office. * If the procurement records are kept at headquarters, inactive records may be transferred to Archives; if the procurement records are kept at an local office, inactive records may not be transferred to Archives. They must remain at the local office or be transferred to an approved off-site storage location. * "Original documents" include the original copies of correspondence and documnents received by the Bank (except that faxes printed on thermal paper must be copied onto plain paper), signed or initialed copies of outgoing correspondence or documents, and printed copies of emails and telexes. 7.4 Consultantreports Notethat the "product"or "output"of sometypesof procurement- specificallyconsultant reports, is not considereda procurementrecord. These reports are typicallyretainedmuch longer than procurement-related documents, and must be managed differently from procurement documents. File these documents with the related program files. Consult your RIC, Regional or Non-RegionalRIC, or the Bank Group Archives if you are in doubt about what should be included in the procurement batch and what should be filed separately. 61 7.5 Procurementchecklists Regional staff involved in handling procurement documents are required to complete a procurementchecklist to accompanythe documentsfor each procurementactivity. There is a separate checklist or transmittal sheet for different types of procurement. Checklist #1 is used for hiring Consultants (Form 1326); checklist #2 is used for the procurement of Goods and Works (Form 1327). There is also a transmittal sheet for sending documents related to procurement not subject to prior review. These forms are availableas Bank Word macros. SeeAnnexes 15, 16, and 17 for examplesof each. 7.6 Markingdocumentsfor filing. To identify each document for filing, mark the upper right corner of the first page to indicate loan or credit number, or product ID. Mark each document with its procurement batch code using the standard procurement checklists. For example, Invitation To Submit Expressions of Interest appears as "Al" and Amendments to Contract as "Cl," on the Consultants checklist. For Goods and Works documents, entering the Bid Number, if any, will be helpful for retrieval. 7.7 Filing documents Procurement materials are best maintained as separate "case" files, filed in expandable folders ("file pockets"), and not incorporated into the shared unit files. The following procedures are recommended: * attach the appropriatechecklistto the documents, and placethem in accordionfolders sequentiallyaccordingto the batch letter (A, B, C, etc.) * label each folder according to its contents: provide country, project name, loan or credit number, bid number, and the descriptionof the goods, works, or services, as needed * put the labels on the top of the accordionfoldersif they will be storedin file cabinets; place labelson the sidefor storage on bookshelves.Figure 7.3 belowdemonstrates. * If the records exceed the capacity of one folder, set up additional folders, or use a records-storagebox for larger documents. Identifyeach folder as vol 1, vol 2, etc. 62 How to file and find * t'. Records - -.-.-.- May 1999 SeiA, 7 rjo rou.reen, RecOrd; * in front of the documents in each folder, maintain a copy of the checklist identifying the materials. Remember to enter the document date and any other necessary information. Figure 7-3. SampleAccordionFolderLabels for ProcurementDocuments Accordion Folder Label Location Top Tab Folder Side Tab Folder Accordion Folders for Multiple Volumes 63 7.8 Completing the procurement checklists To file completed procurement documents, and before transferring these documents to the Support Center, complete the following steps: · fill in all unshaded areas in the header of the front page of each checklist. Write legibly, as this informationwill be usedfor retrieval!! (seeFigure 7-4) * on page 2 of the checklist, indicate with a checkmnarkand document date the items that are attached; write N/A on the line item for those documents that are not attached. (see Figure 7-5) * if the procurement action has multiple contracts, attach a list of the contracts to the checklist · keep a copy of the completed checklist before sending the materials to the Records SupportCenter. Youwill need this copyof the checklistto retrievethe records!! Figure 7-4: Completed Header ~ M -- -c - See checklint on reverse stde *ening 2 of onntan to the checkmisr canb,d iunt da2ttrougte Lae attachd wurp prceturet d( 64 WI~~ Section 7- Project-RelatedProcure~men,t.R~ecords: Figure 7-5: CompletedChecklistBatch 7.9 Supplementalprocurementdocuments Any support documentsfor which there is no specificline item on either of the checklists are known as (a) SupplementalDocuments, or (b) General SupplementalDocuments, as describedbelow. * Correspondence and other material not itemized on the checklist but related to the particular procurementbatch, are identifiedas SupplementalDocuments.For example, an inquiry from the borrower on the statusof the "no objection"to the final bidding documentsshouldbe marked "C SUP". * Documentssupportingthe procurementactivity and not related to a specificbatch are identifiedas GeneralSupplementalDocumentsand marked as "G SUP". For example, samplebid documents, couintrylegislation,newspaperarticles. 7.10 Procurementnot subjectti prior review If the procurement activity falls below the threshold indicated in the loan or credit agreement,it does not need prior reviewof the Bank. Howeverborrowersare still required to send the Bank supportingdocuments. These documents should be batched 65 by type of procurement: consultants, goods and works, or training. Complete a separate transmittal sheet for each type as follows: * complete the header of Form # PRO-XMTL "Transmittal Sheet for Procurement Not Subject to Prior Review"4 (see Annex 17) * attach all relevantdocuments,describe them briefly in the spaceprovidedon the form, andthe date of the most recentcover letter * place the transmittal sheet and documents in an accordion folder. Identify the accordionfolderwiththe labels (topor sidetabs) as shownin Figure 7.3, above. Each folder normallyholds 2.5 inchesof paper * for procurement with multiple contracts under the same bid, attach a list of the contractsto the transmittalsheet - for procurementwith multipleconsultantshired under the samebid, completea single transmittal; attach a listing of the consultants, the contracts, terms of reference, and other required informationalongwith the No ObjectionLetter/Telex/Fax 4Pending conversionto an electronicform, copies of PRO-XTMLare being provided as a Bank Word macro. Seeyour RegionalRIC for instructions. 66 Keeping Records - How to file and find Mav 1999 Se-tio 7-PoetRltdPourement Recrd Figure 7-6: Procurement Not Subject to Prior Review PROCUREMENT NOT SUBJECT TO PRIOR REVIEW Transmittal Sheet Im-auctions: Complete header, attchdocumentsa and tend to the ISC. PROCIRUELENT r2ONSULTANTS 52GOODS AND1WORKS (Checkone) (Use a senarasesheetfor Consuitantsor Goods& Works) COLflY -PROIECt NAME a ZnAly-oe ~,xcLg~Se~n J~ L tPA sD. sTN Y PRODUCT ID No o OFGOOD & W UORCNS TNSGT O 2.614atfr, FiC-/ I 6,6 *ad 8reAfRS SVi i RF-%YtA/L aur es Aatu iNUhS .C6 ,A, 67 7.11 Procurementcomplaintsand disputes During the procurement cycle, complaints and disputes may be filed - in the form of "protests" - by bidders or potential bidders. The Bank is required to examine all such protests submitted,and if appropriate,to seek clarificationsfrom the borrower. If a protest is received, codeit the same as the documentreflectingthe actionbeing protested. For example, identifya protest to the Minutes of the Bid Opening(Goodsand Works) as "D1", and enter a checkmarkin the "Protest"box of the checklist. Whenthe protest clearanceis received, code it the sameas the protest. Enter the clearance date on the checklist,and file the clearancein the appropriatebatch folder. When procurement responsibilitiesare divided between headquarters and local offices, each must determinewherethe recordsrelatingto the protest are to be kept. 7.12 Whenprocurementis completed Procurement documents which are the primary institutionalrecord of the procurement action must be maintainedfor ten years followingthe completion of the lending project. This holds true whether those procurement documents are at headquarters or in local offices. Units at headquarters may transfer procurement documents to the Archives (via the Support Center) for the required storage period. The batches may be sent at any stage of the procurementcycle, as longas actionon the batch is completed. Sendbatches, withthe completedchecklistsattached, to the Support Center, where the procurementchecklistwill be imaged and profile data entered into the IRIS system. The checklist and the procurementdocumentswillbe sentto the Archivesfor off-sitestorage. Local offices which are responsible for maintainingprocurement documents must retain the documents in their office or make arrangements with a qualified off-site storage vendor. Procurementdocumentsfor procurement activitiesconductedin localofficesmay not be sent to the Archives at headquarters for storage. Procurement staff in the local officesmay contactthe RegionalRIC for furtherinformation. However, if the local office has consistently sent all procurement related materials to headquarters, and maintains only duplicate reference copies, then those copies may be destroyed one year after project completion. Staff in the local office should maintain consistent procedures to ensure that documents which should be retained are not inadvertentlydestroyed. 68 Keeping Records - How to fileaindfind May 1999 ~~~~~~~~~~~~~~. . . ....c.'''''''''V' RecordsRetentionand Disposition Figure 8-1 RecordsRetention andDisposition 8.0 General 8.1 Typesof retentionschedules 8.2 Seriesand disposalclasses 8.3 Retentionperiods 8.4 Dispositionrules 8.5 GeneralRecords Schedule(GRS) 8.6 RecordsRetentionand DispositionSchedule (RRDS) 8.7 Transferringrecordsto the Archives 8.8 Retrievingrecordsfrom the Archives 8.9 Recordsdestruction 8.0 General As described in AMS 10.00, Bank records are retained as long as required for operational, fiscal, legal, administrative,or historical use. The time period for retaining records and the final dispositionof theserecords are prescribed in a records retention and dispositionschedule. The retentionschedules: * briefly describethe typesof recordsproducedin the businessunit * provide a timetablefor the systematicretentionand dispositionof thoserecords * authorizedestructionof recordsthat do not warrant continuedpreservation * authorizetransfer to the Archivesof records withcontinuingvalue. 69 ~ ~~~~~~~~~~~~ - 3- ,. ~~~~~b- lE - 8.1 Typesof retentionschedules The Bankuses two typesof schedules: (a) General Records Schedule(GRS)and (b) unit- specificRecords Retention and DispositionSchedule. The GRS applies to those records common to all or many units of the World Bank Group; the unit specificRRDS is based upon a review of the functions of individual units and an examination of the records produced from those functions. Units should use both types of retention schedules to managetheir records. 8.2 Seriesand disposalclasses Both schedulescategorizerecords into generalgroups or series accordingto their function (for example, travel,personnel, budget). A records series is an aggregationof files kept together as a unit because they documenta particular function or subject (for example, a project), result from the same activity, or have a particular form. Each series is assigneda unique number and a brief description that identifies the purpose of the records and the general types and/or contents of the records. Within each series, the scheduleidentifiesone or more disposal classes. A disposalclass is a set of records all of whichhave the sameretention and dispositionand are identifiable' by the same description. The schedule's indication of disposal classes allows different parts of a general class to be treated individuallywith regard to retention periods and dispositionrules. For example, the originals of some documentsmay be retained, while the copies are destroyed. 8.3 Retentionperiods Retentionperiods specifythe minimumperiod of time duringwhich records must be kept before they may be disposed of, and are usually expressedin terms of months or years, after the occurrence of an event (for example, fiscal year, project completion, expiration of a contract). Retention periods are based on the value of the records to the business functionsthey support. Retentionperiodsalso usuallyincludean indicationof storage arrangements(for example, whether records are to be kept in the office, in the Archives, or in a Records Support Center, or some combinationof these options).All retentionperiods indicatedon an 70 Keeping Records - How to file and rind May 1999 RRDSare minimum periods, and if your unit occasionallywishes to retain some records for a longerperiod of time, it may do so withoutrevisingthe RRDS. 8.4 Dispositionrules Disposition refers to the final action to be taken with records, including either destruction or transfer to the Archives for preservation. The three final dispositions are: * Transfer to Archivesfor PERMANENTRETENTION.: This disposition indicatesthat these records are deemed sufficientlyvaluable for research and/or as evidence of the institution's organization, functions, policies, decisions, programs, procedures, operations, or other activities to warrant considering them for permanent preservation. * DESTROY.: These records may be destroyed when their retention period is completed. Records that are not to be transferred to the Archives or to some central file station should be destroyed in office by your unit. Records which are transferred to the Archives for temporary storage will be destroyed by the Archives when their retention period is completed. Note that records in the custody of the Archives are always reviewed before destruction actually takes place, and the staff of the unit that created or inherited the records will be notified of the impending destruction; a re-evaluation or revision of the retention and disposition decisions may be requested at that time. * Archives and Unit to REVIEW Final Disposition:It is not always possible while the records are active to determine whether they are worth designating for permanent retention. In this case, your RRDS specifies a deferral of the decision and indicates the time in the future when the records will be reviewed and a decision made. This re-evaluation is generally done by the Archives in consultation with staff from the unit that created or inherited the records. 8.5 GeneralRecords Schedule(GRS) The GeneralRecords Schedule(GRS)provides retentionand dispositionauthorizationand instructions for those records common to all or many units of the World Bank Group, includinglocal offices. These may includeadministrativerecords (such as budget, human resources, travel), as well as program-related records that are common to many units, such as committeerecords or publicrelationsrecords. 71 The GRS supersedes the General AdministrativeRecords Schedule (GARS) which was issued in 1994. The GARS was issued for headquarters-basedunitsonly; the GRSis to be used by bothheadquarters-basedunitsand localoffices. Your office may not necessarily have all of the record categories covered in the GRS. Apply the retention and disposition instructionsfor the records you have, and ignore the others. All retention periods indicated on the GRS are minimumperiods. If your unit wishes to retain some recordsfor a longerperiod of time in the office, it may do so withoutrevision to the GRS. In order to aid in the identification of records that are due to be transferred to the Archives, each Class and/or Disposal Class of the GRS is cross-referenced to the BankwideRecords ClassificationsScheme. A copyof the GRS is provided in Annex 18. Figure 8-2 To findthe GRS onthe Web In the Bank's intranet,go tothe Archiveswebpage: http:H/wblnOO23.worldbank.org/institutionalVarchives.nsf Whenyou arriveat the ArchivesWeb page,youwill findthesechoices: * AbouttheArchives * Services * RetentionSchedules * FAQs * FactsandPhotos * DisasterPlanningandRecovery * MINEtour Select Retention Schedules, and you will be sent to a page with links to all the records classesincludedin the GRS. 72 May 1999 Section 8- Records Retentioi and Dpfi 8.6 RecordsRetentionand DispositionSchedules(RRDS) A unit-specificRecords Retentionand DispositionSchedule(RRDS)provides instructions for the unit's program records. The retentionperiods are establishedthrough an appraisal process conductedunder the directionof the Bank Group Archivist and agreed to by the relevant staff. During this process, advicemight also be sought from OED, IAD, Legal, andother Bankofficials,as appropriate. During the appraisalprocess, the functionsof the unit are analyzed, the records produced fromthose functionsare reviewed, and the short term and long term information needs of the unit and the institution as a whole are discussed. The RRDS is signed by the senior manager of the business unit and remains in effect until it is superseded by a newer version. Units which have changes of functions or record keeping activities should contact the Archives to have their RRDS revised. 8.7 Transferringrecordsto the Archives The InformationSolutionsGroup (ISG) provides services to allow headquartersstaff to transfer more quickly those records which are no longer needed in the unit. Records which formerly were held in the office until completion of the project (or other time- drivenevent) can now be transferred to the Archivesbefore the projectis completed- i.e. while they are still semi-active. In the Regions, a full-time Archives Assistant, who works with the Regional RIC, provides assistance to units wanting to transfer records to the Archives. In the Non- Regionalunits, assistanceis provideddirectlyby staffin the Archives. Staff in regional units at headquarters should contact their Regional RIC for full instructions on how to transfer records to the Archives. Staff in non-regional units should contact the Non-Regional RIC or may contact the Archives directly. There are strict guidelines for transferring records to the Archives. The Archives receives a huge volume of material each year and it is essential that the Archives' guidelines are followed correctly to ensure that documents and files can be found quickly by anyone who needs them. Units should ensure that they are aware of these guidelines beforepacking material to be shipped to the Archives. This will prevent the need for re-doing work whichwas done incorrectly. Staff in local offices should contact their Regional RIC for information on transferring records to the Archives. Procedures are being establishedto accommodaterecord 73 |~~. - a, AM * S a S S l -* *-~Secin 8i Re *ordsl etentioi-999al Dispsii keeping in local offices, and these procedures will undoubtedly vary from country to country within a region. The local officeRIC mustensure that a copyof the RRDS and copiesof transmittalsheets listingrecords sentto the Archivesare placed intothe sharedlocaloffice files. Archivesstaff and the RegionalRICs will provide informationon the proper suppliesthat the unit must have in order to transfer records to the Archives. Each unit is responsible for the costof all supplies- storageboxes, folders, etc. - involvedin transferringrecords. Figure8-3 ArchivesHandbook The ArchivesproducesanArchives Handbookto staffmembers in charge of records for a Bank unit. This Handbookbrings together in one place all the informationyou need to manageyoursemi-activeandinactiverecords.It includesthe following: * GeneralRecordsSchedule(GRS) * Your unit-specificRecordsRetentionandDispositionSchedule(RRDS) * RecordsTransferListsfor allrecordstransferredto theArchivesby yourunit * Destructionlistsfor recordsdestroyedby the Archivesin accordancewithyourRRDS. * Guidelineson howtouse your RRDStotransferrecordstothe Archives * Instructionson howto packandbox therecords * Informationon Vital Records, emergencyprocedures for wet records, guidelinesfor managingelectronicrecords,andotherinformationrelatedto recordsmanagement. If your unit does not have an ArchivesHandbook,contactthe ArchivesReferenceDesk at x32841. 8.8 Retrievingrecordsfromthe Archives Requests to borrow transferred records, and inquiries from World Bank Group staff, public researchers, and the governments of member countries, may be directed to the Reference Desk from 9 a.m. to 5 p.m., Monday through Friday (ext. 32841, or by fax 477-1499). 74 ..... """' -'-""""""""' ............ ---'--"11|11~~~~~~~~~~~~~~~~~~~~~~~~~~~~ ----- Keeping Records - How to file and find May 1999 ~~~~~~. ... ......... ....... . ,....... ............ Sotion 8 - Records Retenton ad Regional staff who wish to borrow records may also contact their Regional RIC or Archives Assistant. Staffin non-regionalunits should contact the Non-Regional RIC or may contact the Archives directly. Records will be releasedonlyto authorizedstaffmembers. Agencytemporaryemployees must request records through their immediate Bank staff supervisor. The staff member who receivesthem is responsiblefor the safereturn of the recordsto the Archives. Records will be released to members of the public in accordance with the World Bank Group's public disclosure policy in place at the time of the request. Most of the records in the Archives' custody are stored in a remote repositoryin Boyers, Pennsylvania, at a World Bank Group-staffed facility. Requested records are sent to Washington each week night by courier. Records requested by 3 p.m. are normally availablefor collectionfromthe Archivesby 9 a.m. the followingbusinessday. 8.9 Records destruction If, according to your RRDS, your transferred records are due for destruction, the Archiveswill notify the unit and ask if there is any reasonwhy the records should be kept for a longer period of time. If there is no objection or response within ten days, the destructionwill take place. Units may destroy time-expired records in their offices if those records have not been previouslytransferredto the Archives. Recordswith securityclassificationsof "Public" or "OfficialUse Only" may be placed in the trash canisters for recyclingby a World Bankauthorizedexternal contractor. Records with "Confidential"or "StrictlyConfidential"securityclassificationsmustbe shreddedor destroyed in someother manner whichprevents subsequentreconstruction. 75 a;~~~~~~~~~~~~~~a Figure8-4 WhatNot To Sendto the Archives Material that does not need to be transferred to Archives at all and which should be destroyedin the unit when no longerneeded are: * Non-annotatedrough drafts * Conveniencecopieskept for short-termuse (for example, copiesof BankReports) * Referencematerialsuch as newsletters,originatingoutsidethe unit * Stocks of outdatedpublications, originallyheld for distributionpurposes (provided at least one copy is retained in the records or has been forwarded to the Internal DocumentsUnit or to Archives) * Printouts from databases and systems where there are no meaningful annotationsor original signatures and the system is capable of producing a printout identical in content,structure, andappearance * Supersededbackup copies * Blankforms * Faxes on thermal paper (after a plain paper copyhas been made for the files) 76 Keeping Records How to File and Find Annex Documents May, 1999 Keeping Records - How to file and find Annex documents May 1999 Annexdocuments 1. AMS 6.20, "InformationSecurityProgram" 2. AMS 10.00, "Managementof BankGroup Recordsand Archives" 3. AMS 10.20, "Securityof BankGroup RecordsandArchives" 4. Filing Suppliesfor Shared Unit Files 5. BankwideRecord Classification Scheme (BRCS) 6. Sample Records Classification Scheme - Regional/Local Office 7. Filing Checklist for InvestmentLending Project Records 8. Quick Reference Guide - Investment Lending Project Records 9. Filing Checklist for Structural Adjustment Lending Project Records 10. Quick Reference Guide - Structural Adjustment Lending Project Records 11. Filing checklist for Non-Lending Services Records 12. Quick Reference Guide - Non-Lending Services Records 13. Filing checklist for Grant and Trust Fund Project Records 14. Quick Reference Guide - Grant and Trust Fund Project Records 15. Filing checklist for Records Relating to the Procurement of Consultant Services 16. Filing Checklistfor Records Relatingto the Procurement of Goodsand Works 17. Transmittal Sheet for Procurement Not Subject to Prior Review 18. General RecordsSchedule 19. Records Storage Environment 20. Changes from the Regional Information Service Centers (RISCs) to Support Centers 21. Retrieval Form for Records in the Archives 22. Emergency Procedures for Wet Records 23. Glossary I Keepi'ngRecords -. How to File and Find Ki;,ir*wDocuments May V'RD' ~~~~~~~~~~~~~~~~. . .... ......,.99. Administrative Manual December 1996 Statement6.20 INFORMATION SECURITY PROGRAM SCOPE 1. This Statement applies to all World Bank Group 1'staff (IBRD, IDA, IFC,MIGA, and ICSID),at all locations,throughoutthe world, during and after their terms of employment. As used in this policy, the word "staff"includes regular and fixed term employees,as well as short and long terrn consultants and temporary personnel, whether employed directly by the Bank or through contractors. In addition, this Statement also regulates availability to and use of Bank information resources by external individualsand organizations. 2. The Policy outlined below defines actions necessary to safeguard the confidentiality, integrity, and availability of, and accountability for the Bank's information resources, and to enable controlled access to such Resources, where applicable. This policy includes the documents referred to in paragraph 15 below. 3. This Policy should be read in conjunctionwith AMS 10.00 through 10.90 (Information Management and Library Services), where many aspects of InformationSecurity are covered for the purposes of paper-based collections of information. Specifically,AMS 10.20 (Security of Records andArchives)defines the Bank'sdocumentclassificationscheme. 4. This Policy supersedes and replaces Administrative Manual Statements 2.40 (Electronic Mail), 2.50 (Electronic Bulletin Boards and Discussion Groups),6.25 (ElectronicAuthorizationof Bank Group Internal Transactions),6.28 (Microcomputer Software and Data Protection), 12.21 (SoftwareLicensingRestrictions),and 12.40(PasswordManagement). 1/The Bank Groupis referredto as the "Bank" below. 1 BACKGROUND 5. It is the Bank's policy to be open about its activities, and to welcome, and seek out, opportunities to explain its work to the widest possible audience. Developments in information systems and technology allow the Bank to make information available to Bank staff, borrowers, shareholders,and other members of the development community regardless of their location or the location of the information. Along with this new openness comes the need for greater attention to security measures which provide for the appropriate confidentiality, integrity, and availability of information. 6. Informationis recognizedas a major Bank asset. Informationplays a critical role in every aspect of the Bank's operations. Without reliable, accurate, timely, and properly protected information the Bank will not be able to achieve its objectives. 7. The Information security program exists in order to assist the Bank in adequately protecting its information resources. Specifically, this program: enables the Bank to meet its goals of openness while protecting its information systems and safeguarding such information as must remain internal to the Bank. Refer to AMS 1.10 (Directive on Disclosure of Information) or the booklet "The World Bank Policy on Disclosureof Informnation"; provides a framework to enable Bank staff to work in an efficient, effective, andcontrolledmanner; assists Bank staff in protecting informationresources from loss and proscribed activities, such as unauthorized access, disclosure, or modification; enhances the Bank's ability to protect itself from computer-assisted crime. DEFINITIONS 8. The definitionsused in this Policy and its attachments are listed in SectionXI (Glossary). 2 ,,, Keeping Records - How to File aiid Find |Mmw Documenits May W91; POLICY 9. Information is a vital Bank Group asset which requires protection commensurate with its value to the institution. In the Bank Group's decentralized management structure, the authority and accountability for information security rests with business unit managers, supported by appropriate specialist staff. Business unit managers will take measures necessary to protect information and information systems as a regular and planned cost of doing business,and facilitate access to informationfor staff who need touse it for performingtheir duties. 10. All information resources owned and/or used by the Bank are subject to classification as to their degree of sensitivity and value to the organization. The classification scheme is documented in AMS 10.20 (Securityof Recordsand Archives). 11. Controls must be implemented to ensure that the business of the Bank can be completed in accordance with management policies. The management,personnel, operationaland technicalcontrols deployed will be commensuratewith the sensitivityand value of the resourcebeing protected whileutilizing cost effective techniques.The controlsto be deployed are: Authorization to ensure that only staff with a business need are permitted access to those information resources that should be so protected. Authentication to ensure the unambiguous identification of staff accessingan informationresource. Accountabilityto establish an indisputable link between the actions taken andthe staffperforming them. Traceability to ensure that all actions performed are recorded and can be audited. Separation of duties to minimize the risk for mistakes and the opportunitiesfor fraud. Integrity verification to ensure that data are predictably related to their source, and that the characteristics or attributes of an information resource are consistent with policy and systems specifications. 3 Security awarenessprograms to ensure that all staff understandthe risks and exposures involved in dealing with Information Systems, while emphasizingindividual accountability. Staff training to ensure that information security procedures and practices are clearlyunderstood. 12. To achieve a high confidence level that the implemented controls are operational it is necessary to establish monitoring and review procedures. Monitoring is the process of confirming that the implemented controls are operational while reviews are performed to ascertain that existing controlscomply with Bank policies. 13. In the event that adherence to specificinformation security policies is not feasible, the sponsoring business unit manager should document the business andtechnical reasons for the non-compliance.This documentmust be sent to the Information Security Unit of ITSIE (ISU) with copies provided to the Internal Auditing Department (IAD) and the Vice President(s) responsible for the department(s) having a stake in the resource. The sponsoring business unit manager must sign this document thereby assuming full accountability for the non-compliance of the informationresourceto securitypolicies. RESPONSIBILITIES 14. Annex A lists the InformationSecurity related responsibilities. FURTHERINFORMATION 15. The following policy documents constitute the Bank's detailed InformationSecurity policy and are incorporatedherein by reference. These documents are availablefrom the ISU in printed form upon request. They can also be accessed on the Bank's internal Web at URL http://www- int.worldbank.org/html/its/itsie/sec/index.htm,or navigate fromthe Bank's internal home page through Info Resources & Technology, Information Technology, and World Bank Information Security. The Policy is further complementedby a numberof standardsand procedures,maintainedby the ISU and availableon the InformationSecurity home page. 4 Keeping Records - How to File and Find PhomlrwkDocuments May V15J' InformationOwnership Section I documents policy related to ownership, copyright and other legal issues. InformationDisclosure Section II specifies policy on data classification, complementing the provisions of AMS 1.10 (Directive on Disclosure of Information) and AMS 10.20(Security of Recordsand Archives). Access Controls Section III addresses issues related to obtaining access to information resources. Business Continuity Section IV covers business continuity planning for information resources. Fraud/ Theft Section V specifiespolicy on fraud andtheft prevention. Internet andPublic Networks Section VI specifies policy related to public networks including the Internet. Electronic Mail, Groupware, and Collaborative Work Group Systems Section VII documents specific policy related to electronic bulletin boards andelectronicmail methods. Fax andTelephoneSystems Section VIII covers policy on the security of fax and telephone facilities,as well as personaluse and Bankmonitoring. Application and System Acquisition, Development, and Maintenance Section IX addresses issues such as sign-off of software and formal change control. 5 ReportingViolations Section X specifies policy on staff reporting suspected or known information security violations. Glossary Section XI defines the meanings of terms used in Information Security and Business Continuity work in the Bank. Questions regarding this Statement should be addressed to: On legal issues, the Administration and Institutional Affairs Unit of the Legal Department. On technical issues, the Information Security Unit of the Information & Technology Services Department. 6 Ng.IElEI g W| ............................................................................. ........................._ ..... s ._ On-g I ......I *glMay.1999 AMS 10.00 "Maagement o AdministrativeManual September 1996 Statement10.00 MANAGEMENT OF BANK GROUP RECORDS AND ARCHIVES SCOPE 1. This statementcovers all records, includingarchives, regardlessof form or medium, created or received by or on behalf of the Bank Group. The policies and responsibilities set out in this statement apply to all areas of the Bank Group, includinglocal offices. BACKGROUND 2. The charter of each institutioncomprisingthe Bank Group contains provisions establishingthe inviolabilityof institutionalarchives.- This requires the shareholdersand all staff to respect the integrityof the Bank Group's recordsand archives. DEFINITIONS 3. In this statement (and in other statements in series AMS 10), the following terms are used with the meanings shown. (a) Archives: records that are no longer needed for frequent reference and have been transferred to the custody or control of the ArchivesSection. 1/ This statement replaces statements AMS 10.00 (December 1989), 10.51 (October 1988), 10.55 (August 1990) and 10.90 (April 1991) and all annexes to those statements. 2/ The term archives as used in the Articles of Agreement of the various institutions equates to the term records as defined and used in this statement. The terms used in this statement reflect general Bank Group usage. I (b) Bank Groutp Archivist: the Bank Group officer responsible for the management of the Archives Section and for authorizing the disposition of all records and archives. (c) Originating office: the office within the Bank Group that created the record or that first received the record from an external source (such as a member country, borrower or investor) (d) Records: recorded information, regardless of form or medium, created or received by or on behalf of the Bank Group in pursuance of its legal obligations or in the transaction of its business. Records may be in many forns, such as files, volumes, letters, memoranda, reports, documents, cables, telexes, facsimiles, electronic messages, charts, drawings, spreadsheets, maps, plans, photographs, films, videos, sound recordings, databases, etc. (e) Records Retention and Disposition Schedule: a document authorized by the Bank Group Archivist that prescribes the retention and disposition of the records maintained by a Bank Group unit. (f) Responsible office: the originating office, or the office that has succeeded to, and is currently responsible for, the relevant business functions or processes (g) Staff member: any person holding an appointment covered in Staff Rule 4.01 (h) Vital records: records that contain information needed, following a disaster, to restore the operations of the institutions or any of their critical units, recreate the institutions' legal and financial position, and/or preserve the rights of the institutions, their staff members, their shareholders and other stakeholders POLICY Objectives 4. The Bank Group needs records for legal and operational purposes. Records serve the operational and policy formulation needs of the Group, provide an audit trail for decisions and actions, and provide management accountability. Records also document the Bank Group's obligations to and 2 May 1999 AMS MOO"Mgement f n ?GrupRds& Archives" from its shareholders, investors, borrowers, suppliers, staff and other stakeholders, and establish the Bank Group's accountability. Selected records (archives) are retained indefinitely for institutional memory and historical purposes. This allows the institutions to apply lessons learned, ensures transparencyof actions and decisions taken over time, and provides a basis for research. Recordsare alsoretained to ensurethat, in the event of a disaster, the Bank Group is able to resume business and maintain its legal and financial positions,and thoseof its staffmembers, shareholders,and other stakeholders. 5. Records should be retained for as long as they are needed or have value for the business functions they support. Records that are no longer needed should be destroyedin a timely manner. Ownershipof Records 6. All records, regardless of form, medium or custody, are the property of the Bank Group. 7. All intellectualproperty rights (including,but not limited to, copyright) in records and documents created by staff members and contractors in the course of their employment are vested in the Bank Group, except to the extent that the BankGroup has contracted otherwisein writing. Custody 8. Records and archives must remain in the custody of the Bank Group, or the custodyof individual staffmembers, at all times. 9. Subject to their security classification or to any restrictions imposed under AMS 10.20, "Security of Records", records may be loaned to staff members for the conduct of official business. Records should not be removed from Bank Group premises or used for any activity or purpose other than for carrying out staffmembers'responsibilities. 10. Staff members are accountable for the safekeeping of records in their custody. 11. When staff members transfer responsibility for any function, project, transaction or activity, they must also hand over all records relating to such function, project,transactionor activityto their successor. Where there is no 3 successor (i.e., the function, project, transaction or activity has been terminated), staff members must hand over such records to their supervisor or make arrangementsto transferthe recordsto the Archives Section. 12. Upon termination of employment, or expiry of term of office, staff members may not retain,give away or remove from Bank Group premises any records or archives, including those created or acquired by them in the performanceof their duties, otherthan personal copies of documentspreviously disseminated for public information and personal copies of correspondence directlyrelated to the terms andconditions of their employment. Staffmembers must handover anyBankrecords in their custodyto their successor, supervisor, or the ArchivesSectionprior to their departure. 13. Where contractors are required to create and/or maintain records on behalf of the Bank Group, contractors and their employees are accountable for the safekeepingof such records and for the safekeepingof any other recordsto which they may be given access or custody. Upon termination or expiry of contract,contractorsshall hand overto the responsible office all records created or received duringthe performanceof the contract. Integrity of Records 14. Staff members shall ensure that the integrity of the records in their custody is preserved and that the records retain their full evidential and informationalvalues. In particular, unless transferred to the Archives Section, recordsshall be kept intact in the custodyof the responsible office. 15. Staff members shall not take any action, such as alteration or erasure, that would prevent the recovery of records or information from the medium in which they are stored. Similarly, equipment and software shall be preserved and maintained, by the responsible office, for as long as needed for the recovery of records or information. Retentionand Dispositionof Records 16. Apart from the types of records described in Annex A, staff members may not destroy records except in accordance with a Records Retention and Disposition Schedule authorized by the Bank Group Archivist or his delegate. Destruction includes any action that prevents the recovery of informationfrom the medium in which it is recorded (including alteration or erasure of data or information,anddisposalof essentialhardware or software). 4 KeepingRecords- Howto fileand find Annex documents May 1999 A$-10A.00 Management f Ban Group Reco~rdsA&Arcde ' Identiricationand Protectionof VitalRecords 17. Each organizationalunit shall identify those classes or categories of its recordsthat are essentialfor the unit to resume business following a disaster or that uniquely documentthe legal rights of the institutions,their staff members, their shareholdersand other stakeholders. 18. Managers of organizational units should arrange with the Archives Section for such records to be clearly identified on any relevant Records RetentionandDispositionSchedules. 19. Organizational units shall arrange for backup copies of their vital records (regardless of medium or format) to be made on a regular and systematic basis and shall arrange for the storage of such backup copies in a locationat least onecomplete city block distant from their office premises. 20. The Archives Section may provide storage and retrieval services for backup copies of vital records. Access to Records 21. Staff members are entitled to access to records and archives containing information they need to carry out their official duties. Contractors may be given access to records and archives containing information needed for the performanceof their contracts. 22. Staff members and contractors shall protect information from unauthorized access and make appropriateinformation available,in accordance with Bank Group policies on disclosure of information (see AMS 1.10, "Directive on Disclosure of Information") and security of records (see AMS 10.20,"Securityof Records "). 23. Access to records and archivesby members of the public is governedby AMS 1.10, "Directiveon Disclosureof Information". 5 RESPONSIBILITIES 24. Managersof all units (regardlessof location)are responsiblefor: (a) ensuring that units under their control establish and maintain record keeping systems, which properly document their functions, policies, decisions, and transactions, consistent with the Bank Group's records management policies and standards; and (b) informing Bank Group Archives about changes to business functions and processes, and record keeping systems and practices so that Records Retention and Disposition Schedules canbe kept up to date. 25. All Bank Group staff (regardlessof location) are responsiblefor: (a) ensuringthat recordsare properly created and appropriatelyfiled (or otherwise incorporated)into relevant record keeping systems in a timely manner;and (b) complying with relevant Records Retention and Disposition Schedules. 26. The Informationand TechnologyServices Departmentis responsiblefor: (a) developingpolicies, standardsand proceduresfor the secure and cost-effectiveprocessing,storageand retrieval of records; (b) providing Bank Group staff with convenient access to records which need tobe sharedacross differentparts of the institutions; (c) providing advice, guidanceand support to Bank Group units on all aspects of records management, including establishing and maintainingrecord keeping systems; (d) monitoring and evaluating the status of records management activitiesthroughoutthe Bank Group; and (e) providing secure and cost-effectivestorage and retrieval services for archives. 6 AM - 10.0- m Bk zv 27. TheBank Group Archivistis responsiblefor: (a) authorizing Records Retention and Disposition Schedules for Bank Grouprecords; and (b) ensuring appropriate access to information contained in the Bank Group'sarchives. Questions regarding this statement should be referred to Institutional Information Services, ITS. 7 AM -OMaaqRrs i A AdministrativeManual September1996 Statement10.OOA TYPES OF RECORDS AUTHORIZED FOR DESTRUCTION (without a Records Retention and Disposition Schedule) The following types of records (regardless of form or medium) may be destroyed without further authorization: (a) rough drafts that have not been circulated outside the organizational unit (b) convenience copies made expressly for short-term reference use (c) reference material (e.g. issuances, newsletters, circulars, journals, books, etc.) originating from outside the organizational unit (d) stocks of outdated publications, originally held for distribution purposes (provided at least one copy is retained in the records or has been forwarded to the Internal Documents Unit or to the Archives) (e) printouts from databases and systems, where: (i) the printout contains no meaningful annotations or original signatures; and (ii) the database or system is capable of producing a printout identical in content, structure and appearance. (f) superseded backup copies 1/ See the General Administrative Records Schedule issued by the Archives section for disposition instructions covering classes of records common to all parts of the bank Group. 8 KeepingRecords- Howto fileandfind Annexdocuments May1999 AM$ ~'M~igemeut f IBan-Gri Reic:ord&Arie 10.0 (g) blank forms (h) faxesprinted on thermalpaper (butonly after a plain paper copy has been made for the records) Questions regardingthis statementshould be referredtoInstitutional InformationServices, ITS. 9 Annex3 ANS 10.20 SecuritRe & Archive AdministrativeManual September 1996 Statement10.20 SECURITY OF RECORDS PURPOSE 1. The purpose of this statement is to implement the policy of the World Bank, IFC and MIGA (the Bank Group) set out in Administrative Manual Statement (AMS) 1.10, "Directive on Disclosure of Information," insofar as it requires security classification for some records of the institutions. GENERALPOLICY 2. While much of the information held by the Bank Group is considered "public," that is, available in published form or on request to any individual, whether inside or outside the institutions, certain information, because of its nature, content or the conditions utnderwhich it was acquired, must be protected from unauthorized disclosure. To this end, records containing such information are assigned one of thiree security classifications. In descending order of restrictiveness of access, these are: Strictlv Confidential, Confidential and For Official Use Only. 3. Originating offices 2/are responsible for (a) classifying, in accordance with the provisions of AMS 1.10, marking and authorizing distribution of records which they create or receive from outside sources; and (b) downgrading such records to the next level when and as appropriate. 1/ In the Bank Group, records are defined as all letters. memoranda, reports, telexes, charts, maps, photographs, films, recordings, machine readable materials or other documentary materials produced or received in the course of the work of the institutions, and preserved, or appropriate for preservation, as evidence of their organization, functions, policies, procedures, operations, or other activities, or because of their informational value. For purposes of this statement, records include both originals and copies. 2/ In the case of a record which originated outside the institutions, the office first receiving the record for action or which has acquired it for purposes of its own work is considered the "originating office." DEFINITIONS 4. The security classificationsare defined, as follows: (a) Strictly Confidential:arecord containinginformationof a highly sensitive nature requiring that access be confinedto the recipient(s)designatedby the originator. (b) Confidential:a record containinginformationtobe confined to recipients whohave aneed to know as determinedby the originator (exceptthat authorizationis not requiredfor further distributionon aneed-to-knowbasis within a recipient office of the institutions). (c) For OfficialUse Only:a record containinginformationavailable to all staff of the institutionsbut to which externalaccess is limited. 5. Staffshould refer to AMS 1.10 in determiningwhich,if any, of the three classificationsis appropriate. If it is determinedthat a need for security classificationexists,the classificationwhichimposesthe least constrainton accessconsistent with adequateprotectionof the informationcontainedin the record shouldbe selected. Shouldthe recipientof a record questionthe access indicatedor permitted by the originatoreither pursuantto classificationor through failureto classify,the matter shouldfirst be discussed with the originator. If necessary,a determinationconcerningaccess shouldthen be sought fromthe responsibleofficial designatedin AMS 1.10. Where a record coming into the BankGroup carries a classificationwhichis not employedby the Bank Group(e.g., "Secret")or which,under BankGroup usage,would restrict access more than wasintended by the externalsource,it should be appropriatelyreclassified. MARKING SECURITYCLASSIFICATIONS 6. The originatorshould ensure that the marking "StrictlyConfidential" appearson the cover and all pages of records so classified. The marking "Confidential"or "ForOfficialUse Only" should appearon the cover and first page of records so classified. 7. The originatorshould ensurethat documentsprepared for consideration by the executive directors andstandard seriesreports(i.e., Staff Appraisal, President's,Economic,Sector andProject PerformanceAudit Reports) classified "ForOfficialUse Only" carry on the cover,first page and, where 2 Keeping Records - How to file and find ,, Annex documents May 1999 appropriate,on the transmittalmemorandumthat marking and a caveatwhich reads "Thisdocumenthas a restricted distributionand may be used by recipientsonly in the performanceof their official duties. Its contents may not otherwisebe disclosed withoutWorld Bank [IFC] [MIGA]authorization." Where such records alsorequire the classification"Confidential,"both marking and the caveat should appearon the cover, first page and,where appropriate,on the transmittalmemorandum. 8. Until all records in file folders canbe marked as required by this statement, file foldersthemselvesshould be marked with the mostrestrictive classificationlikely to be requiredby the records they contain. As individual records areremoved fromthe folder, they shouldbe appropriatelyclassifiedin accordance withAMS 1.10. Special Categoriesof Records 9. When a security classificationis required,the originator shouldensure that the followingrecordscarry the appropriateclassificationmarking,as indicated: (a) Charts, maps and drawings: under the legend, title block or scale or in the upperright hand corner. (b) Photographs:on the verso sidefor prints; on the envelopefor negatives. (c) Transparencies or slides: if possible, on the medium itself, otherwiseon the frame or holder. (d) Microfilm: on the film itself. (e) Punch card decks: on the firstand last cards, andon any individualcard removed from the deck. (f) Computer magnetic storage media: with external and/or internal notations. (g) Computerprint-outs: on the first page and the frontand back covers. 3 SAFEGUARDINGRECORDS 10. Staff are responsiblefor takingmeasures to ensurethat classified records in their custodyas originators or users are appropriatelysafeguarded andnot made accessibleor availableto unauthorizedindividuals. Specifically, records classifiedas "StrictlyConfidential"mustbe under lock or given equivalent protectionwhen not in use. Records classifiedas "Confidential" shouldbe protected,e.g., inbinders,cabinets,etc., so that they are not visible to unauthorizedindividualswhen notin use. Proceduresfor disposalof classified records are containedin Annex A. 11. Staffshould take proper safeguards(includingauthorizationby the originatingofficefor release)when transmittingrecords classified"Strictly Confidential"inside or outsidethe BankGroup. Any such recordssent outside the institutionsshould be enclosed intwo envelopes. The inner envelope shouldbe marked with the appropriateclassificationand sealed;the outer envelope shouldcarry no classificationmarking. Double envelopes should likewise be used for transmitting "StrictlyConfidential"recordswithin the Bank Group. "Confidential"records distributedwithin the institutionsshould be in appropriatelymarked sealed envelopes. Where the originatorwishesto assure that accessto a record will be confined to the recipient andwill not be made availableto aperson actingfor or underinstructions fromthe recipient, the words "Personal"or "Tobe OpenedOnly by the Addressee"should be added to the "Confidential"label. 12. When a group of physicallyconnectedrecords includes a classified record, the entire group is considered classified. Access to and treatmentof the group shouldbe as required by the record with the mostrestrictive classification. However, a record separatedfrom the group shouldbe handled in accordance withits individualclassification. DOWNGRADING 13. At the time of classification,the originatorshould indicatewhen the record should be reviewedfor possibledowngrading. When feasible,the originatorshould place specificdowngradinginstructionson the record, such as when, in what circumstancesor under what conditionsit mightreceive a lower classification. 4 KeepingRecords - How to file and rind Annex documents May 1999 A-MS`62 'euIy~ m rw~~r~ Arcie 14. When a record is downgraded,the originatorshould cancel allprior markings andenter new instructions,if necessary,as follows: Downgradedto:_ Date: ; Authorizedby 15. TheInstitutionalInformation Services,Informationand Technology Services Department(ITSIS),should annuallyreview thoseoperationalrecords classified "Confidential"or "StrictlyConfidential" in its custodyfor possible downgradingby the originating office. ORGANIZATIONALRESPONSIBILITY 16. ITS is responsiblefor developingpolicies andprocedures to safeguard all recordsand to ensurethat staff complywith the generalprovisions of this statement. ITS and the Security OperationsSection,General Services Department,share administrationof the program. Questionsregarding thisstatement should be referredto theManager, InstitutionalInformationServices,ITS. 5 Administrative Manual July1997 Statement10.20A DISPOSAL OF CLASSIFIED RECORDS 1. Recordsand documents classifiedStrictlyConfidentialor Confidential, andany otherrecords and documentscontaininginformationof a sensitive nature that mustbe protected fromunauthorizeddisclosure,should be destroyedby shreddingwhen no longerneeded. 1/ This includesdrafts, computerprintouts, andcopies. Any downgradinginstructions on the documentto be destroyed shouldbe considered in determiningif shreddingis necessary. 2. Shreddingshould beperformed by Bank staffwho may be entrusted with the informationcontainedin the recordsor documentsto be destroyed. 3. Shreddingshould be accomplishedby the use of shreddingmachinesor shredders whichcross-cutor pulverizethe documentsbeing destroyed. Shredders should producepieces or remnantsthat do not exceed5/16 inches wide and 2 inches long. Older model shredders that do notmeet this criteria should be consideredfor replacement. Heavyduty office-sizecross-cut shredders that meet thiscriteria are availablethrough the Bank'srequisition system. Questions regarding this statement should be referred to the Chief, Security Operations Section, GSD or the Manager, Institutional Information Services, ITS. 1/ NB Disposal should be in accordance with the relevant Records Retention and Disposition Schedule (paragraph 16 of AMS 10.00, Management of Bank Group Records and Archives). 6 Keeping Records - How to file and find Annex documents _ _ AdministrativeManual January 1998 Statement 10.20B CONFIDENTIALITYIN FINANCIALSECTORWORK 1. As the financial crisis in variousAsian countrieshas developed,the Bank has begun to work muchmore intimatelythan usual with the private sector,and withthe IMF,in these countries'financial sectors. In the course of this work, Bank staffoften gain access to informationwhose release could jeopardize the health of a financial institutionor the success of sectoralreforms. The issueshere go beyond the discretionnormallyexpectedof Bank staff (see Principles of StaffEmployment,Principle 3, General Obligationsof Staff Members). 2. Under these circumstances,Bank staffmust be aware of--andtake seriously--theneed to protect the confidentialityof someinformationand documents. In particular, staffmay gainaccess to informationconcerning monetaryandfiscal policies and the affairsof individualfinancial institutions andtheir customers--forexample, (a) informationaboutthe adviceprovidedby anymemberof the BankGroup or the IMFto the governmentconcerningthe value of its currency or the consequencesof a devaluationof its currency; (b) informationon the country'sfinancial institutions'debt obligationsdenominated in foreigncurrencies; (c) informationon the financialconditionof the country'sfinancial institutions; (d) privateor proprietaryinformationfrom or aboutthe country's financialinstitutions; or (e) inforrnationthat the provideridentifiesas confidential.The disclosureof such information,exceptas requiredfor the conduct of the Bank'sbusiness,could be prejudicialto the interests of the country,financial institutionsinthe country,or the Bank Group. 7 EE J wE,s~lS gui KS isus 0. $tt0 urn s .x~ *,,u S g00m~~~~mi~ 3. The following procedures explain how Bank staff are to handle confidential information. These procedures do not apply to any data or information that has been approved for release in writing by the party that provided the information or by the relevant Bank country director. Without such approval for release, even when information appears to have become generally known to the public, the Bank should not be a resource for confirmation or further dissemination. 4. Paper Documents. When Bank staff have access to or handle paper documents containing the kind of information described in para. 2, the country director, in consultation with the Regional vice president and the country lawyer, classifies the information as either Strictly Confidential or Confidential in accordance with the provisions of Administrative Manual Statements 1.10, Directive on Disclosure of Information, and 10.20, Security of Records. The security classification is clearly marked on each such document. (For further details on the transmittal and disposal of classified records, see AMS 10.20.) * For each set of information classified as Strictly Confidential, Regional management and Financial Sector Development develop a list of IBRD staff designated to handle that information. The list is circulated to all people on the list, attached to the document, and filed with Operations Policy and Strategy (MDOPS). It is reviewed regularly. Only staff designated on a particular list may receive the Strictly Confidential information to which that list pertains, and they may not disclose the information to any person (including other Bank Group staff) except another designated recipient. Staff designated on such a list may be required to sign secrecy agreements to protect the confidentiality of the information (see Staff Rule 3.01, para. 4.01 (b)), and to establish a control system for the information, including the numbering of printed copies of the information and the maintenance of a control log. When not in use, Strictly Confidential information must be under lock and key or be given equivalent protection. * Staff who receive information classified as Confidential may not disclose the information, in whole or in part, to any person except other IBRD staff who need to know the information. When they do disclose it to such persons, they must inform each recipient of the confidential nature of the information, and each recipient must acknowledge the requirement to keep the information confidential. When not in use, Confidential 8 l - - - - - we~~~~~~~~~~~~~~~~~~~~~~~~------ JEMJI {i 5 JE l MP May 1999 AMS 19.20 "Securityof Rak Group R i r& Archives" informationis kept inbinders or cabinets, so that it is not visible to unauthorizedpersons. Documentsthat discussor quote classifieddocumentsare marked with the same security classificationas the original document,and are treatedin the sameway as the original. 5. ElectronicDocuments. Staffmust alsobe alert to the security implicationsof electronicdocuments. StrictlyConfidentialmaterialis never stored or transmitted in clear; it is alwaysencrypted. Any electronic documents that discuss or quoteclassifieddocuments are marked withthe samesecurity classificationas the originaldocuments. Staffdo notplace classifiedelectronic documents on shared servers;they carefully reviewthe distributionlists for any emails concerningor incorporatingclassifiedmaterial;and they do not divulge to othersthe passwords that protect electronicinformnation.Furtherdetails on the security of electronicinformnationandthe use of passwords are provided in AMS6.20,InformationSecurity Program. 6. Importanceof these Procedures. If the Bank is to continueenjoying a relationshipof confidencewith itscountry counterparts,Bank staff mustbe known to handle confidentialmatters in a discreetandprofessionalway. Adherenceto theseprocedures will demonstratethat ability. Questionsregardingthis statement should be addressedto OperationsPolicy and Strategy (MDOPS). Specific questionsabout the interpretationand applicationof theAMSs should be referredto the InformationSolutions Group: for AMS 10.20, to the IntegratedDocumentManagementServices (ISGIE), andfor AMS 6.20,to InformationSecuritv(ISGIS). 9 Keeping Records - How to file and find !Annex documents FlingSupplies ar,Shard ~UfitF!iks Filing Supplies for Shared Unit Files Item Quantity/Unit StockNo. Charge-out (Substitution)Cards 100/pack WBG0062 Checklists, Abbreviated SEE REGIONALMACROS Checklists, Procurement DocumentStorageBox - Hollinger - 15"x7.5"xI0" each HOL10755 DocumentStorageBox - Miracle/Bankers- l5"x12"xI0" each FEL12778 FileFolder Labels 500/box AVE05366 File Pocket (Accordion)Folders - Side Tab each 1526KGNSTSP HangingFile Folders - Legal size 25/box OXF91533 LabelInserts (A-Z) each OXF24225 Manila FileFolders - Legalsize withoutprongs 100/box OXF73120 PlasticTab Holders- 1/5cut, for A-ZLabel Inserts 25/pack OXF42000 1 E Annexdocuments MayI9 Annex 5 -B;nkwideRecrdk ClGiri Scheme (RCS) M , : BANKWIDERECORDS CLASSIFICATIONSCHEME (BRCS) The BRCS provides classifications for program and administrative records. It is for use by regional units, local offices and non-regionalunits and supersedes all prior versions. This integrated scheme is organized into twelve primary classifications shownbelow: * Budget * Human Resources * Country/Area * Information& KnowledgeManagement * DevelopmentActivities * Management& Oversight * External Affairs * Resource Mobilization * Financial Policy & Risk Management * Services & Facilities * Financial Transactions * Training & Education The scheme provides an overall structure for the standardization of records management throughout the institution. Additional classifications of related terms at the secondary, tertiary, etc. levels are also given. The classifications indicate where to place the record within the larger scheme. It is not a listing of file titles. For example, staff member files are classified under "Human Resources- Personnel" but the user must add the title consisting of last and first names. A classification numbering system is added to allow for numerical vs. term abbreviation coding (see below). Also provided is a companion Subject Index that includes classifications and file titles for program and administrative records. Program vs. AdministrativeRecords Every office has both program and administrative records. Program records document a unit's business processes, its function, or what it does, and typically comprise 90 percent of all records. Administrative records, on the other hand, are typically thought of as "housekeeping" files necessary for the day-to-day running of the unit. These include records on budget and personnel for example, that are common to all offices. Unlike earlier schemes, the BRCS is not separated into program and administrative categories. For classification purposes, the distinction is not necessary. Budget records are program records in the Budget Department and administrativerecords in other offices, but the records are classified the same way. The primary difference is one of physical location and access; most program records are kept in shared unit files availableto the entire staff, while administrative records are more likely to be held in I A I js,r I separate files held by those performing the functional responsibility such as a Budget Officer. The retention and disposition guidelines will be affected by whether the records relate to program or administrativefunctions Program Records Processing program records for regional units and local offices is quite standardized due to implementationof the File Improvement Program (FIP) and customizedtools. There are few changes in the BRCS affecting these records. Most are under Development Activities, the new classification that includes both lending projects and analytical and advisory activities1. These files continue to be processed utilizing the FIP checklists (see Annexes 7, 9, 11, and 13). In non-regional units, the BRCS is considerably different from earlier program schemes. Non- regional offices may have records under any primary classification, and are less likely to use Country/Area or DevelopmentActivities. Each unit has a unique program. For example, the records of the Translation and Interpretation office are different than those maintained by the Training Department. Some unit prograrns build upon another unit's work. Quality assurance and operations evaluation units (management and oversight) evaluate the quality and effectiveness of loans (developmentactivities) created and managed by regional sector units or local offices. Because of this inter-relationship, some offices use and may temporarily keep records created in another unit. AdministrativeRecords For administrative records, the BRCS contains significant changes from the procedures described in Managing Administrative Records (ISG, 1999). Some classification terms have been deconstructed, and terms moved to one of several different primary classifications. For example, "Budget, Accounting and Work Program" now has classifications under "Budget-Administrative Budget," "Accounting-Financial Transactions" and "Work Program -Management and Oversight." A brief summary of the major changes is shown below. "Analytical and Advisory Activities" were formerly known as Economicand Sector Work (ESW)or other non-lending services. 2 Keeping Records - How to file and find * Annexdocuments May 1999 Banwd eo4 1* fetvi cIm HC)My6, MO9~ MIGRATINGADMINISTRATIVERECORDS Current Former Bankwide Records ManagingAdministrative ClassificationScheme Records NOTES (BRCS)1998 (MAR) 1997 Primary Classifications Notes Budget Budget Work Program& Budget only. See: Management& Oversightfor Accounting Work Program andFinancial Transactionsfor Accounting. External Affairs External Affairs Very similar; new categoryof "People". Financial Transactions Budget, Work Program Accountingaspect only. & Accounting Human Resources Personnel,Benefits & Includes Personnel,Benefitsand Training(for Staff Training staff). Information& Knowledge InformationManagement& Very similar. Added KnowledgeManagementand Management Technology Networks. Management& Oversight Organization&Management Portionsrelating to GSDfunctions moved to Services & Facilities. Services& Facilities Travel & Transportation Travel is a secondarysubject under Services & Facilities. Local Offices See: Country/AreaProgram; Seealso: Services & Facilitiesfor space/asset control. Meetings File by name of meetings under appropriate classification. Example: Regional Management Team Meetings, Management and Oversight. Using the BRCS Subject Index The companion subject index is a tool for finding terms quickly. It lists, in alphabetical order, each classificationin the scheme as well as many other titles that are not included in the BRCS. The term is listed first, then a series of numbers for coding, followed by the primary classificationto which the term is related. Some terms are generic and appear under every primary classification, the most obvious being General and Policies and Procedures. Other terms are indexed in multiple places and selection depends upon context. Green Industries is classified to a country sector and Greening Initiatives (Internal) is indexed to strategy-managementand oversight. Terms having more than one word are cross-indexed, and acronyms and abbreviations are referenced to the full name. For the latter and other selectedterms, "use" is indicated which means to use a preferred term. 3 ClassifyingRecords Getting Started Records are classified according to content. Look for key words that frequently are found in the title or the subject line. In some cases the record may need to be reviewed quickly. Then determine the primary and secondary classifications and other levels as necessary by viewing the appropriate section of the BRCS. Follow the existing scheme as much as possible. A few examplesfollow: Brazil - Country Program-CAS- 1995 Financial Transactions-AdministrativeExpenses-Imprest Accounting Servicesand Facilities-Facilities-Parking Generally, terms are classified to the same BRCS location, regardless of unit but there are some notable exceptions. Many units whose primary function is not development lending may keep partial files on lending projects. In these instances, project files are classified to the primary function to which the records relate (such as "Management and Oversight" for operations evaluation and quality assurance reviews). Country files also may appear under many primary classifications. In both examples, the classifications appear at different levels with the BRCS, perhaps the third or lower level. An example includes: "Management and Oversight-Operations Evaluation-Brazil-Loan 1257- Copel Power Distribution Project." 4 ~~Annexdocuments -AM.'D Annex 5 Ba:kwide Records:Ciassticatin Sch (BRcs M 6,1 CodingDocuments Coding documents may be done by abbreviating the classifications or by using the numbering scheme in the BRCS. Usually, the coding is written in the upper right-hand corner of the document. If abbreviations are used, it is best:to abbreviate the initial part of the classification and spell out the actual file title. Numerical classifications are faster to write down. With some numerical coding - especially with the Country/Area classification- the country code and/or the sector codesmust also be added. Some examples of abbreviation and numerical coding are given below. Use the current country and sector codes as defined in the World Bank group Common Data Stores (CDS). CODINGRECORDS: ABBREVIATIONSORNUMBERS Classification CodingwithAbbreviations CodingwithNumbers Training & Education-Economic T&E-EDI 60-40 DevelopmentInstitute __ Country/Area-[Name of Country] CO-MX-Topical-AX 10-MX-25-AX Country/Area-Topical-Agriculture Management & Oversight-World Bank- M&O-WB-Board XD-Meetings 45-45-10-25 Board of Executive Directors-Meetings _ *Use the Common Data Stores (CDS)to find the right country and sector codeswhen these need to be incorporated into the coding. See the above figure for the example of Mexico (MX) and Agriculture (AX). Sector codes need only be indicated for theprimary sector and all sub-sector records included in the same file. For example, the sub-sectors of Annual Crops or Forestry are coded as AX for agriculture. Modifying the BRCS or Subject Index Primary and secondary classifications cannot be altered -- added to, deleted, or modified. It may be necessary to add additional terms at the third or tertiary higher levels, but this should be done only after giving serious consideration to the existing scheme and discussion with the RIC or Regional or Non-Regional RIC. The BRCS database will be maintainedby ISG, periodically updated and the most current version made available electronically. ISG will also make available updated electronic versions of the Index. Migrating from Earlier Schemes Units should migrate to the BRCS as soon as it is practical to do so. This may be done as new files are opened, or at the beginning of a new fiscal or calendar year. 5 ACTIVITIES AcTI mVISAS General General General General Policies & Procedures Cofinancing & Aid Coord. Policies & Procedures Policies & Procedures Administrative Budget General General Community Outreach Business Plan Consultative Groups Advice & Review Conference/ Seminars Organizations Best Practices Budget Increases Country/Area Information pacesMedia Relations Budget Reductions General Comphance Issues Organizations Budget Transfers Conferences/Seminars Conferences/Seminar People Consultant Information ConrCntas Capital Budget Directory/Key Officials Promo. Materials/ Products Contingency Funds Elections Economic & Sector Work Publications Legislation Form590/Proj. Status Rpt. Cross Support Budget Ministries Re /Hospitality Cross Support requests News Clippings Procurement Spesesentaty Cross rquestsPolitical Spport PartiesPrjcsSehsPeenaisA Dollar Budget Press. Releases [Cntry Area/Pro.Name& Sr a Expenses Socio/Political Matters [ Allocated Speeches Speeches [Bank sponsored] Income Country/Area Program Strategy General Bank resources Annual Rpt on Port. Perf. Externally Funded Prog. Cntry AssistanceStrategy Monitoring CountryBrief Monitoring CountryEconomic Memo Admin Budget System CountryImplement. Rvw Budget Account System CountryPolicy Frame Ppr Budget Info & Transac.Sys Country StrategyPaper Expenses Dept reporting Finan. & Cost Applic. Sys Disburs,Proc. & Audits Internal Controls Environ.Action Plan Quarterly MonitoringReport MgmtBriefings/VIP visits Strategic CompactProgress StatusProj. Under Implem. Time Recording System Topical Information Strategy General [Nameof SectorCode-SC] Policies & Procedures General 6 Annexdocuments - FINANCIALPOLICY& FINANCIAL -HUMAN RESOURCES INFORMATION & RISKMGMT TRANSACTIONS :KNOWLEDGE MGMT General General General General Policies &Procedures Policies & Procedures Policiesand Procedures Policiesand Procedures General General General General CntrvCreditworthiness &Risk AdministrativeExpenses Benefits-General Databases Financial Models Accounts Payable Allowances Develop. &Maintenance Imprest Accounting Education InstitutionalFunding Payroll/Tax Health Services Documents,Records& Lending Asset & Budget accounting Insurance Repositories BudgetAccounting Leave Cost Accounting Loans InformationTechnology Receivables Retirement DeskTop Products Travel Accounting Travel Travel Accounting InformationAccess Travel SearchTools & Engines Borrowing Transactions Work Schedules Standards Authority Benefits-Medical Strategy Investor Support Transactions Grievances/Appeals KnowledgeManagement Debt Repurchases Personnel-General Data Statistics lInvestment transactions Careerdevelopment FAQ InstitutionalInvestment Compensation KeyReadings ys PensionInvestment Competencies KnowledgeMgmt Sys GenderIssues LessonsLearned Lending Job description [Reserved] Borrower Services Job gradmg Networks Loan Accounting OccupationalStream Partnerships/Clients/ Loan Disbursement OcuptsorionalSra Outside Resources Swap Transactions Overtime Strategy CurrentSwap Transac. Staff Association TOR Series Interest Rate Transac. Surveys Tools Work-FamilyIssues Values & Behaviors TreasuryPaymuts& Settle. Who's who Corresp.Bank Transac. Personnel-StaffMember Research PensionAdministration Non-Regular ResearchProd. Outputs Settlement& Control Regular Studies Trust Funds Recruitment Telecom.& Net Infrast. l ~~~~~~~~Client Servicesl iTrustFundAccounting Training Data Communications Action Plans Infrastructure Agency Telephone Services 7 MANAGEMENT& ~~RESO-URCE SRVICES & TAINING & OVERSIGHTMOBILZAINACLTEEDAIO General General General Gene al Policiesand Procedures Policiesand Procedures Policies and Procedures Policies and Procedures General General General General AnniversaryMeetings Capital Management Security Activitiescalendar Annual Meetings CapitalIncreases ConferenceServices Arrangements CapitalSubscription Audio Visual Audit, External GeneralCapital Increases ConferenceRms Onsite Conferences & Seminars Audit, Intemal Maintenanceof Value Retreats Offsite Development Members;Shareholding Teleconferencing Businesserved Debt Structuring Translation& Interpret. Dissemination Brandy Debt Reduc. Plan Facilities EconomicDev Institute InspectionPanel CntryDebt Restructuring Food Services Evaluation Institution Debt Instru. &Mechan. Basic Documents DevelopmentGrant Mail Distribution Learn. & Leader. Training BoardDofxcutient Dir.lomtGrn Board of Executive Dir. Facility Print.,Graph.&MapDesign Programs Boardof Governors }.Procurement Supplies Strategy Disputes& Arbitration Export credits Program History Funding-General Security,ID, Lost &Found Membership l Services-General Replenishments Global Env. Facility StructuralChange Guarantees Operations Translat. & Interpretations Legislation IntemationalDev Assoc. Travel Litigation Official Cofinancing IManagement Team ManagementTeam Other Resources Mobiliz. .. i Operations Evaluations Mechanisms Annual Review ImpactEvaluation Studies Project FinanceProgram Pro. Perform. AuditRpt Trust Funds Special Studies President &Executive Publications &Assurances QualityAssurance Strategy WorkProgram 8 Keeping Records - How to file and find Annex documents May 1999 BANKWIDERECORDSCLASSIFICATIONSCHEME 5 Budaet Theformulation, implementation,andmonitoringof corporate,vice-president,orunitbudgets.Includeall typessuchas thoseforAdministration, CapitalAssetsandCrossSupport.Alsoincludedataanalysis,policyandstrategyrecords relatingtobudgets.IncludeexpensesandincomebasedontheChartofAccountsandallmonitoringactivitiessuchas quarterlyreports.Separatefilesby unitnameorfiscalyearasnecessary.[For Audit,BudgetCommittee,BusinessPlan, andWorkProgram,see: ManagementandOversight.] 5 General [Usethisclassification onlyif therecordsdonotfitintoanyotherclassification at thislevel.] 10 Policies and Procedures 5 General [Separateby typeofpolicies/proceduresonlyasnecessary.Includeresearchanddevelopment.] 15 Administrative Budget 20 Analysis 25 Budget Increases 30 Budget Reductions 35 Budget Transfers 40 Capital Budget 45 Contingency Funds 50 Cross SupportBudget 55 Cross Support Requests 60 Dollar Budget 65 Expenses [UseChartofAccounts.] 5 Allocated 5 Benefits 10OfficeOccupancy 70 Income 5 BankResources 5 ChargebackServices 10ContractedServices 15InstitutionalSupport 10 ExternallyFundedPrograms 5 Chargeback Services 10ContractedServices 15Fees-Administrative Services 20 Fees-TechnicalServices 75 Monitoring [Separatereportsby nameandabbreviationasnecessary.] 5 AdministrativeBudgetSystem 10 BudgetAccountingSystem 15 BudgetInformationandTransactionSystem 20 Expenses 25 FinancialandCostApplicationSystem 30 InternalControls 35 QuarterlyMonitoringReports 5 FirstQuarter 10Mid-Year Review 15Retrospectives 20Third-Quarter 9 !~~~~~~~~~~~~~~~~~!1E! X I 5 Budget 75 Monitoring 40 StrategicCompactProgress 45TimeRecordingSystem 80 Strategy 10 W------ xdocuments__ Anne, B- - Records ClassificakionCShem (B ---- May 6,-1999 10 Country/Area Informationabout cofinancingand aid coordinationsuch as consultativegroups and aid organizations. [See also: ResourceMobilization.] Also includes general backgroundinformationlike socio/political matters,ministries,andpress releases. Topicalinformationincludesgeneral records relating to sectors. [For specific ESWs, seeDevelopment Activities.] Strategy/programrecords cover country reports includingcountry assistancestrategies and relatedrecords as well as informationon AnnualMeetings, Local Offices, BorrowerCorrespondence,etc. 0 [Nameof Country/Area] 10 CofinancingandAidCoordination [Programsand organizations involved incoordinating aid.] 5 General [May include all records. Createseparate foldersonly as necessary.] 10 ConsultativeGroups 15 Organizations(Cofinancing) [Separatebynameof organization as necessary.] 15 Country/AreaInformation [Generalbackgroundinformation.] 5 General [Mayincludeallrecords.Createseparatefoldersonlyasnecessary.] 10 Conferences/Seminars [Non-Bank] 15 ConsultantInformation 20 Directory/KeyOfficials 25 Elections 30 Legislation 35 Ministries 40 NewsClippings 45 PoliticalParties 50 PressReleases 55 Socio/PoliticalMatters 60 Speeches [Non-Bank] 20 Country/AreaProgram [Strategy,planning,countryreports,localoffices,non-projectcorrespondence.] 5 General [Mayincludeallrecords.Createseparatefoldersonlyasnecessary.] 10 AnnualMeetings 15 AnnualReporton PortfolioPerformance 20 BorrowerCorrespondence [Non-project.Formerly,OfficialCorrespondence.] 25 CountryAssistanceManagement 30 CountryAssistanceStrategy 35 CountryBrief 40 CountryBudget 45 CountryEconomicMemorandum 50 CountryImplementationReview 55 CountryPolicyFrameworkPaper 60 CountryPortfolioImprovementProgram 65 CountryPortfolioPerformanceReview 70 CountryProcurementAssessmentReport 75 CountryRiskManagement 11 ~~~~~~~~~~~~~- I 10 CountrV/Area 20 Country/AreaProgram [Strategy,planning,countryreports,localoffices,non-projectcorrespondence.] 80 CountryStrategyPaper 85 CountryTeam 90 DebtReporting 95 Disbursement,ProcurementandAudits 100 Environmental ActionPlan 105 Environmental Issues Paper 110 Local Offices 115 International Development Association Performance Ratings 120 LendingAllocationReview 125 ManagementBriefings/VIPVisits 130 MediumTermFrameworkPaper 135 Payments 140 ProjectionsandRevisedMinimumStandardModel 145 PublicSectorExpenditureReview 150 PublicSectorInvestmentProgram 155 Status of Projects Under Implementation 160 UnifiedSurvey 25 Topical Information [Sector orProgram Objectiverecords which are not specific non-lendingprojects. Use Common DataStoresfor NamesandCodes.] 5 General [Mayincludeallrecords.Createseparatefoldersonlyasnecessary.] 190Policies and Procedures 5 General [Separatebytypeofpolicies/proceduresonlyasnecessary.Includeresearchanddevelopment.] 12 rIE KeepingRecords- Howto fileand find Annex documents A- ---- &*kwwd RocQdw Casdafcati4u scheme.(B1C)My "19 15 DevelopmentActivities Includesallrecordsrelatingto thecreation,implementation andmanagementof lendingandnon-lendingactivities,policies andprocedures.Coversalltypesof lendingprojectssuchasinvestmentorstructuraladjustmentloans,grantsandtrust fundsor financialadvisoryservicesandrecordsrelatingto theadministrationandmanagement ofindependentorintegrated developmentprogramssuchasGEF,MADIA,METAP,IDF.Includesallphasesofprojectplanningandimplementation: cofinancing, procurementandqualityassurance.Alsoincludesnon-lendingservices:report-orientedsectorandeconomic work:policynotesandtechnicalassistance.[Forcountryreports,see: Country/Area Program;for non-Bank-sponsored speeches,conferences,seminarsthatarefiledbycountryname,see: Country/Area Information.ForBank-sponsored speeches,conferences,seminars,use: DevelopmentActivitiesorExternalAffairs.Foroversightsuchasprojectauditsor evaluations,use: ManagementandOversight.] 5 General [Usethisclassificationonlyif therecordsdonotfitintoanyotherclassification at thislevel.] 10 Policies and Procedures 5 General [Separateby typeofpolicies/proceduresonlyasnecessary.Includeresearchanddevelopment.] 15 Advice and Review 20 Best Practices 25 Compliance Issues 30 Conferences/Seminars [Bank-Sponsored] 35 Country Contracts 40 Analytical andAdvisory Activities [Usestandardizedchecklists] O[Country/Area/Report Title/ProductI.D.No.] [SeeAnnexA forCountryName,Abbreviations] 45 Form590/ProjectStatus Reports [Useforgeneralissuesorcollectionsof;fileindividualoutputswithprojects.] 50 Procurement [Fornon-specificprojectprocurementrecords.Separateprojectprocurementintochecklistbatches.] 55 Projects [Useforalltypesof projectsincludingTrustFundswithstandardizedchecklists,as necessary.] o[Country/Area/Project NameandNo.] [SeeAnnexA forCountryName,Abbreviations] 60 Speeches [Bank-Sponsored] 65 Strategy 13 20 ExternalAffairs Thecreation and disseminationof information onBank Group or unitpolicies, functions, or activities to intemal or external audiences. Liaison with extemal organizationsand or partnerships. Liaison withother units within the Bank Group which isundertakenby any unit. Recordsrelating to publication and dissemination: editing,production, marketingand sales activities or mediaand public affairs: publicrelations initiatives (e.g.,50th Anniversary activities),informationalmaterial (pressreleases, speeches,audio/visual mediaand print). Also includerecords relatingto relations with extemal organizationssuchas agreements,meetings, etc., and those on promotionalactivities for extemal audiences (e.g., financial borrowings onbond markets and other investmentproducts, advisoryservices, etc.) 5 General [Use this classificationonly if therecords do not fit intoany other classificationat this level.] 10 Policiesand Procedures 5 General [Separate by type of policies/procedures,only as necessary. Includeresearch and development.] 15 CommunityOutreach 5 Scholarships/Fellowships 10Sponsorships 15UnitedWay 20VolunteerServices 20 Conferences/Seminars [Non Bank-Sponsored. See also: Country/Area: Information.] 5 Invitations 10Programs 25 MediaRelations 5 Contacts 10Interviews 15NewsClippings 20 NewsReleases 30 Organizations 5 External 0 [Nameof Organization] [Or by Typeand then Name, suchas: Govemmental,Intemational, Non-Govemmental, UN/UNAgencies, Private,Educational,etc.] 10 Internal 0 [UnitMOC] [Separate by MOC only as necessary. See also: Executive & President,Management & Oversight] 35 People 0 [Bylastname,thenfirstname.] 40 PromotionalMaterials/Products 5 Brochures 10 Compact Discs 15 Flyers 20 Photographs 25Videos 30WebPages 14 Keeping Records - How to file and find Annex documents May 1999 wkScem ; ;Beod C1sfctw ,19.9 S -' M;i 6, .a 20 ExternalAffairs 45 Publications 5 Handbooks 10 Handouts 15 Issuances 20 Manuals 25 Monographs 30 Newsletters 35 PublishedReports 50 Representation/Hospitality 55 Speeches/Presentations/Articles [BankStaff;forNon-Bank,seeCountry/Area: Information.] 5 Speakers'Bureau 15 ~~~~~~~~~~~~~~~~~~~S _ On. N", R 1 N WINM1 25 FinancialPolicyandRiskManagement Allactivitiesrelatedtothedevelopmentandreviewof institutionalfinancialpoliciesincludingaspectsofmanaging currency,creditrisk,asset/liability,liquidity,andevaluationof countrycreditworthiness,etc. Includerecordsrelatingto overdueservicepaymentsandsuspendeddisbursements,recordsrelatingtoborrowingsuchasinsuranceandratings, cashmanagement,loanrepaymentandvarioustypesofriskssuchasinterestrateor currencyrisks.Alsoincludeanyfinancial modeloutputpreparedforanalysis. 5 General [Usethisclassificationonlyif therecordsdonot fitintoanyotherclassificationat thislevel.] 10 Policiesand Procedures 5 General [Separatebytypeofpolicies/procedures,onlyas necessary.Includeresearchanddevelopment.] 15 CountryCreditworthinessand Risk [byCountry/Area] 5 Creditworthiness 10CreditworthinessReports 15 ExposureManagement 20 OverdueServicePayments 25 SuspendedDisbursements 20 FinancialModels [Outputsonly. Forgeneralinformation,seeInformationandKnowledgeManagement:Databases.] 25 InstitutionalFunding 5 Borrowing 5 Benchmarks 10 Consent/Authority 15 DebtInstruments 20 Insurance 25 Ratings 10 Cash Management 15 CurrencyManagement 20 IncomeManagement 25 Liability Management 30 RiskManagement 5 Adequacyof Income 10 Borrowing/LiquidityRequirements 15 CreditRisk 20 CurrencyRisk 25 FundingRisk 30 InterestRateRisk 35 RatingAgencies 30 Lending 5 LoanDisbursement 10 Loan Products 15 LoanRepayment 16 Keeping Records- How to fileand find Annexdocuments May1999 JwkwieRec rd (2a ifatoScee(RC) My6, 30 FinancialTransactions LoanandCreditadministration anddisbursementsandborroweraccountabilitymonitoring.Financialtransactionssuchas borrowings,swaps,investments,pensioninvestments.Corporateadministrative expensetransactions.Transaction monitoringandreporting.Includerecordsonaccountspayable,payroll,taxandimprestaccountsas wellasbudget,cost, andtravelaccounting andreceivables.Categoryalsocoversauthorityandinvestorrecords,debtrepurchases, institutionalandpensioninvestments,lending,swaps,treasurypaymentsandsettlements, as wellastrustfundandaccounting. 5 General [Usethisclassification onlyif therecordsdonotfit intoanyotherclassification at thislevel.] 10 Policiesand Procedures General [Separatebytypeofpolicies/procedures,onlyas necessary.Includeresearchanddevelopment.] 15AdministrativeExpenses 5 AccountsPayable 5 Accruals 10 imprestAccounting 15 Payroll/Tax 20 AssetandBudgetAccounting 5 BudgetAccounting 10CostAccounting 15 Receivables 20 TravelAccounting 25 BorrowingTransactions 5 Authority 10 Investor 15Transactions 30 DebtRepurchases [By Transaction] 35 InvestmentTransactions [ByTransaction] 5 InstitutionalInvestment 10 PensionInvestment 40 Lending 5 BorrowerServices 10LoanAccounting 15LoanDisbursement 5 Special Accounts 45 SwapTransactions [ByNumber] 5 CurrencySwapTransactions 10 InterestRateTransactions 50 TreasuryPaymentsandSettlements 5 Correspondent BankTransactions 10 PensionAdministration 15 Settlementand Control 55 TrustFunds 5 Client Services 10 Trust FundAccounting 17 35 HumanResources All records relating to the management of human resourcesincluding general subject or issue filesas wellas confidential records on specific staff memberemployment and medical information.Categoryincludes: benefits,grievances/appeals, personnel, recruitment,andstaff training. Also includesrecords on workschedules,benefit travel,healthservices, staff complaints, compensation,attitude and salary surveys,all records relating to recruitmentand staff education benefits and training. [For developmentand disseminationof trainingprograms and materials, see: Trainingand Education.] 5 General [Use this classification only if the records do not fit into any otherclassification at this level.] 10 Policiesand Procedures 5 General [Separate by type of policies/proceduresonly as necessary. Includeresearch and development.] 15 Benefits-General 5 Allowances 10 Education 15 Health Services [See BenefitsMedical for staff medical records.] 20 Insurance 5 Life 10 Medical 15 WorkersCompensation 25 Leave 5 Emergency 10 Home 30 Loans 35 Retirement 40 Travel 5 Education 10 Emergency 15 Home 20 Relocation 45 Work Schedules 20 Benefits-Medical [Confidential] 0 [Last Name,thenfirst name.] 25 Grievances/Appeals 5 AdministrativeReview [ByCaseNo.] 10 AdministrativeTribunal 5 Appeals [ByCaseNo.] 15 Appeals Committee 20 Ombudsman [ByCaseNo.] 25 Staff Complaints [Seealso: Personnel-StaffMember.] 18 Keeping Records - How to file and find Annex documents 0 1 !1 35 HumanResources 30 Personnel-General 5 Assignments 10 CareerDevelopment 15Compensation 20 Competencies 25 EthicsOffice 30 Extracurricular Activities 35 GenderIssues 40 JobDescription 10TermsofReference [Generic] 45 JobGrading 50 ObligationsandRules 55 OccupationalStreams 60 OutsideActivities 65 Outsourcing 70 Overtime 75 PerformanceManagementProcess 80 Redundancy 85 Regularization 90 StaffAssociation 95 Surveys 5 Attitude 10Salary 35 Personnel-StaffMember [Confidential] 5 Non-Regular 0 [Last name,thenfirst name] 10 Regular 0 [Last name,then first name] 40 Recruitment [Filebysubjectincludingareaofexpertiserecordsrelatingtopotentialemployment] 5 ActionPlans 10 Agencies [Byorganizationname.] 15 CurriculumVitae [Foralltypesof staff,e.g.,consultants,etc.] 20 Interns 25 JobAnnouncements 30 JobInterviews 35 JobPostingService 40 StaffRequests 45 YoungProfessionalsProgram 19 Aime Sl lXII 35 Human Resources 50 Training [For individualstaff] 0 [Lastname,thenfirstname] 5 Announcements 10Authorizations 15 Nominations 20 Plans 25 Reports 30 Requests 20 KeepingRecords - How to file and - Il1T = Anniex documents May 1999 Ana-ziS UankwidtRecords,ClassiricationSchee(RS Ma6,19 40 Informationand Knowledge Manaaement Activitiesrelatedtothecreation,management anddisseminationof information andknowledgeincludingresearchpolicy analysisandresearchadministrationandformalandinformalresearchprojectssuchas ResearchProjectOutput(RPOs). IncludeInformationtechnology,Knowledgemanagement systemandinitiativessuchas: networkandsectorboards. Includerecordsrelatingto databasedevelopmentandmaintenance,recordmanagementandrepositoriessuchas archives,libraries,information centers,as wellas information serviceslikeLotusNotes,Intemetandrelatedstandardsand support 5 General [Usethisclassificationonlyif therecordsdonotfitintoanyotherclassificationat thislevel.) 10 PoliciesandProcedures 5 General [Separatepolicies/proceduresonlyasnecessary.Includeresearchanddevelopment.] 15 Databases [Fileby Name&Abbreviation.Forgeneralinformationabout,notoutputs.] 5 Developmentand Maintenance 20 Documents,RecordsandRepositories 5 Archives 5 PublicAccessProject 10 PublicAccessProjectAdvisoryBoard 15 RecordsTransferLists 20 RetrievalServiceRequests 10 CommonData Stores 15 Electronic Media Productsand Services 20 EvaluationTextbase 25 File ImprovementProgram 30 Forms Management 35 ImageBank 40 Integrated Recordsand InformationServices 45 Internal DocumentsUnit 50 RegionalIRIS SupportCenters 55 Legal InformationServices Center 60 Libraries 5 JointBank-FundLibrary 10 JointLibrariesInformationSystem 65 Official Documents 70 Public Policyfor the PrivateSector 75 Speech Bank 80 Strategy 25 InformationTechnology 5 Desk Top Products 5 EnterpriseComputing 10 LotusNotes 15 MaintainedOTEquipment 20 ProductPricingandConfiguration 10 InformationAccess 5 All-in-1 10 DirectoryServices 15 Internet 20 Kiosk 25 LotusNotes 30 MailandMessaging 21 40 Informationand KnowledgeManagement 25 Information Technology 15 SearchTools and Engines [Name] 20 Standards 5 EnterpriseNetwork 10 OperationalCoreServices 25 Strategy 30 Support 5 Committees,AdvisoryGroupsandTaskForces 10 SupportCenter/HelpDesk 30 Knowledge Management 5 Data and Statistics 10 FrequentlyAsked Questions 15 Key Readings 20 KnowledgeManagementSystem 25 Lessons Learned 30 [Reserved] 35 Networks 5 AdvisoryServices 10 Boards 15 Councils 20 Environmentally&SociallySustainableDevelopment 25 Finance,PrivateSectorandInfrastructure 30 HumanDevelopment 35 InformationSolutions 40 OperationalCoreServices 45 PovertyReductionandEconomicManagement 50 Teams 40 Partners/Clients/OutsideResources 45 Strategy 50 Terms of Reference Series 60 Tools 5 Glossary 10 ProfessionalExpertiseProfile 15 Thesaurus 65 Valuesand Behaviors 70 Who'sWho 35 Research 5 Research ProductOutputs [By RPO number.] 10 Studies [Alphabetically by title of study.] 40 Telecommunications andNetworkInfrastructure 5 Data Communications 10 Infrastructure 5 SystemsRenewal 15 Telephone Services 22 Keeping Records - How to file and find Annex documents May 1999 45 ManaaementandOversight Management andoversightofinstitutionorunits. Includesannualmeetings,audits,businesscontinuityplans,as wellas institutionalrecordsonmembership,ArticlesofAgreement,policydirectionandconductofgeneraloperations.Covers recordsontheBoardof Directors,SecretaryandPresident'sactivitiesas wellas litigation,operationsevaluation,quality assurance,publicationsandissuances,workprogramandagreements. 5 General [Usethisclassificationonlyif therecordsdonoffitintoanyotherclassificationatthisleveL] 10 Policies and Procedures 5 General [Separateby typeofpolicies/procedures onlyasnecessary.Includeresearchanddevelopment.] 13 Anniversary Meetings 15 AnnualMeetings [By Year.] 5 Arrangements 10 BriefingBooks 15 Personnel 20 Audit, External 25 Audit, Internal 30 BusinessContinuity 5 Plans [By Unit.] 35 BusinessPlan 40 Inspection Panel 5 Inquiries 10 Requestsfor Inspection 45 Institution [Substituteforinstitution,nameof WorldBankGroupmemberas necessary:IBRD,ICSID,IDA,IFC,MIGA.] 5 BasicDocuments 5 Articles of Agreement 10 By-laws 15 Collections 20 Depositories and Agencies of Communication 25 Updates/interpretations 10 BoardoFExecutiveDirectors 5 Committees [ByName.] 10 Communication [ByNumber.] 15 Elections 20 Handbook 25 Meetings 30 Operations 35 Relations 40 Resolutions 45 Resource Center 50 Travel 23 45 ManagementandOversiaht 45 Institution [Substitute for institution,name of WorldBank Groupmember as necessary: IBRD, ICSID, IDA, IFC,MIGA.] 15 Boardof Governors 20 Disputesand Arbitration 5 Centers 10 ConsenttoJurisdiction 15 InvestmentAgreements 20 InvestmentDisputes 25 Ratifications 25 History [For unit or institution] 30 Membership 5 CapitalSubscription 10 VotingRights 35 Replenishments 40 StructuralChange 5 Reorganization 47 Legislation [By Country/Area] 5 ArbitrationLaws 10 Bilateraland MultilateralTreaties andAgreements 15 InvestmentLaws 50 Litigation [By Subject Name] 53 ManagementTeam 55 Operations Evaluation 5 Annual Review [By Year] 10 Impact EvaluationStudies 15 ProjectPerformanceAudit Reports [By Sector, then by Country] 20 Special Studies [By Study, then by Year] 60 Presidentand Executive [Include: President,Counselor, ManagingDirectors, Vice Presidents] 2 Executive [include Executive other than President] 3 President 5 President-Initiatives 5 AfricaCapacityBuilding 10 AidEffectivenessEvaluation 15 Anti-Corruption 20 Cost-EffectivenessReview 25 Decentralization 30 FinancialSectorActionPlan 35 HeavilyIndebtedPoorCountries 24 Keeping Records - How to file and find Aniiex documeiits May 1999 45 Manaaement and Oversiaht 60 Presidentand Executive 5 President-initiatives 40 Income Dynamics 45 International Development AssociationReplenishment 50 Knowledge Management 55 New Products 60 Partnerships 65 PostConflict Resolution 70 Private Sector Development 75 Rural Development 80 Social Development 85 Strategic Compact 10 President-Promises 5 Vice Presidentsand Directors 65 Publicationsand Issuances [Intemal] 70 QualityAssurance [ByProjectNameand No.] 5 RiskLists 75 Strategy 5 Governance 80 Work Program 5 Agreements 25 B F |* *! | r 1 s ' I g 50 ResourceMobilization Corporate-wideresourcemobilizationfor IBRD, IDA, GEF, etc. Includerecords on advisoryservices,capital management, debt restructuring, export creditsprogram, general sources of funds, GEF and IDA replenishments,guarantee operations, official cofinancing, mobilizationmechanismssuch as specialfacilities, project financeand trust funds. 5 General Use this classificationonly if therecords do not fit into any other classificationat this level. 10 Policiesand Procedures 5 General [Separate by type of policies/proceduresonly as necessary. Includeresearch and development.] 15 Capital Management 5 CapitalIncreases 10CapitalSubscription 15GeneralCapitalIncreases 20 MaintenanceofValue 25 Members'Shareholding 20 DebtRestructuring 5 BradyDebtReductionPlan 10 CountryDebtRestructuring 15 DebtInstrumentsandMechanisms 20 InternationalDevelopmentAssociationDebtReductionFacility 25 DevelopmentGrant Facility 30 ExportCredits Program 5 WhiteBook Projects w/prospectsfor cofinancing w/exportcredits 10 Liaison 15 Projects 35 Funding-General 5 FundingApproaches 10 FundingCoordinatorsMeetings 15 RevenueProjections 20 Sourcesof Funds 25 Strategy 40 Global EnvironmentFacility 5 Donor 10 Donor Meetings 15 Global EnvironmentFacilityTrust Fund 20 MontrealProtocol 25 Replenishments 45 Guarantee Operations 5 CountryAllocations 10 Projects 26 - - - - - -~~~~~~~~~~~~~~~~~~~~~~~~~~~~ ., . . . .. . .... ..... 50 ResourceMobilization 50 InternationalDevelopmentAssociation 5 CommitmentAuthority 10 DeputiesMeetings 15 DonorBurdensharing 20 DonorCountries 25 EligibleCountries 5 TaskForceonSmallStates 30 IneligibleCountries 5 Graduation 35 Replenishments 40 VotingRights 55 OfficialCofinancing 5 BlueBook Projectsw/prospects for alltypesof cofinancing 10 BorrowingCountry By Country 15 DonorRelations By CountryorOrganization 60 Other Resource MobilizationMechanisms 5 B-LoanProgram 10 EuropeanEconomicCommunitySpecialActionAccount 15 ExpandedCofinancingOperations 20 SpecialFacilityforAfricaFunding 25 Sub-SaharanAfricaExternalFinancingandFunding 30 ThirdWindow 65 Project Finance Program [ByProject] 5 PolicyAdvice 10TechnicalAssistance 70 Trust Funds 5 ConsultantTrustFund 10 DonorLiaison 15 Japan-PIHRD 20 OtherTrustFunds 27 .. 22~~~~~~~. 55 ServicesandFacilities Institutional facilitiesandservicesincludingconferences,facilities,food,mailanddistribution,printing,graphicsandmap design,institutionalprocurementandsupplies,security,identification,lostandfound,translationandinterpretationand travel. Alsoincluderecordsonspaceplansandmoves,cateringservices,deliveryservices,distributionlists, reprographicservices,officesupplies,computerinventoryanddisposal,vendors,thefts,visas,traveladvisories,etc. 5 General [Usethisclassificationonlyif therecordsdonotfit intoanyotherclassificationat thislevel.] 10 Policiesand Procedures 5 General [Separatebytypeofpolicies/procedures onlyas necessary.Includeresearchanddevelopment.] 10 Security 5 UnitedNationsSecurityHandbook 15 ConferenceServices 5 Audiovisual 10ConferenceRoomsOnsite 15 RetreatsOffsite 20 Teleconferencing 25 TranslationandInterpretation 20 Facilities 5 Art Program 10LocalOffices [ByCountry/Area] 5 Construction 10 Leases 15 Moves 20 SpaceOccupancy 25 SpacePlans [Includefloorplans.] 30 Storage 15 Headquarters 5 Construction 10 Leases 15 Moves 20 SpaceOccupancy 25 SpacePlans [IncludeFloorPlans.] 30 Storage 20 Help Desk 25 Maintenance and Repair 5 CustodialServices 30 Parking 35 Plants 40 Strategy 25 FoodServices 5 Cafeterias 10 Complaints 15 Dining,Coffee and CateringServices 20 Menus 25 Nutritional Information 30 Surveys 28 i HowAAfififflIN fi UUI - ll_nex documents ; ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~---- --;-hR-Csin-9-@R- BankwideRecordsClassificationScee(RS ~ y6,V9 55 ServicesandFacilities 30 Mailand Distribution 5 Delivery Services 10 Diplomatic Pouches 15 DistributionLists 35 Printing,Graphics and Map Design 5 Bank Logos for Web 10 Composition 15 Design 20 ElectronicDocumentPreparation 25 Illustration 30 Photography 35 ReprographicServices 5 Photocopy 10 Printing 15 Service Request Form 40 Procurementand Supplies 5 Asset Disposal [Separateby locationandtypeasnecessary.] 5 Computers 10 Equipment 15 Office Machines 10 Databases 5 Budget and AccountingSystem 10 CommitmentOrder for Payment System 15 PeopleSoft 15 InventoryControl [Separatebylocationandtypeasnecessary.] 20 Market Research 5 Facilitiesand Equipment [ByName,By Type] 10 InformationTechnology [ByName,ByType] 25 Office Supplies 30 PurchaseOrders [User-Generated,UGPO] 35 Requisitions 40 Vendors 5 Facilitiesand Equipment [ByName] 10 InformationTechnology [ByName] 15 Vendor Addition Forms 29 55 Servicesand Facilities 45 Security,Identification,Lostand Found 5 Complaints 10 ElectronicSecurity 15 Fire 5 Drills 10 ProtectionSystems 20 Found Log 5 UnclaimedLostandFound [Includedonations,sales,auctions.] 25 IdentificationCards 5 VisitorPasses 30 IncidenceResponse 35 SecurityGuards 40 Thefts 50 Services-General 5 Strategy 55 TranslationandInterpretation 5 [Language(s)] 60 Travel 5 Advisories 10 DiscountPrograms 15 Itineraries 20 PassportsNisas/Passes 25 Requests 30 Shipping 35 Vehicles 40 Vendors 5 Agencies 10 Airlines 15 CarRentals 20 Hotels 30 ,, E , 13- IARUM v, ,,MO ,, .... Annex5 BankwideReord Cassifi ai Sheme CS) May 6, 1"999-l 60 Trainingand Education Thedevelopmentanddeployment of Bank-sponsoredtraining activities including: programs,conferences andseminars, initiatives, strategies and evaluations,and trainingmaterials disseminatedto participants. Includeactivitiescalendar, arrangements, EconomicDevelopmentInstitute, Leaming and Leadership Center. [Does not include trainingrecords of individualstaff. Seealso: Human Resources: Training. ForBank-sponsoredconferences/seminarsthat are country-oriented,use: DevelopmentActivities.] 5 General [Use this classificationonly if the records do not fit intoany other classificationat this leveL] 10 Policiesand Procedures 5 General [Separate by type of policies/proceduresonly as necessary. Includeresearchand development.] 15ActivitiesCalendar 20 Arrangements 25 ConferencesandSeminars [Bank-Sponsored] 5 AnnualBankConferenceonDevelopmentEconomics 30 Development 35 Dissemination 5 TrainingMaterials 45 Evaluation 55 Programs 60 Strategy 65 WorldBankInstiltute 31 Subject Index ABCDE Use: Outside Use: AnnualBankConferenceon Development Activities-Personnel-General-HumanResources Economics Activity Completion ABS Report-Economic& Sector Work Use:AdministrativeBudgetSystem 15-40--DevelopmentActivities- Note:Report Account-SpecialAction-European appliesto anynon-lendingactivity Economic Community Ad Hoc Committees Use: EuropeanEconomicCommunitySpecial Bynameunderanyprimaryclassification ActionAccount-OtherResource-Resource Adaptable Lending Mobilization Use: Learning& InnovationLoansor Adaptable Accounting-Budget ProgramLending;Seealso: NewProducts Use: BudgetAccounting-Asset& Budget Adaptable Program Lending Accounting-FinancialTransactions 15-55--DevelopmentActivities- Seealso: New Products Accounting-Cost Use:CostAccounting-Asset& Budget Adequacyof Income-Risk Accounting-FinancialTransactions Management-institutionalFunding Accounting-Imprest 25-25-35-5--FinancialPolicyandRisk Use: ImprestAccounting-Administrative Management Expenses-Financial Transactions Administration-Pension-Treasury Accounting-Loan-Lending Use: PensionAdministration-Treasury Payments Use: LoanAccounting-Lending-Financial &Settlements-Financial Transactions Transactions AdministrativeBudget Accounting-Travel 5-15 -- Budget Use:TravelAccounting-Asset&Budget AdministrativeBudget System Accounting-FinancialTransactions 5-75-5--Budget Accounting-TrustFunds AdministrativeExpenses Use:TrustFundAccounting-Trust 30-15--FinancialTransactions- Seealso: Funds-Financial Transactions Expenses-BudgetorAdministrativeBudget Accounts Payable-Administrative AdministrativeReview 30-15-5 -- FinancialTransactions 35-25-5 -- Human Resources- By Case No. Accruals-Accounts AdministrativeTribunal Payable-AdministrativeExpenses 35-25-10-- HumanResources 30-15-5-5-- FinancialTransactions Advice & Review ACR 15-15-- Development Activities Use:ActivityCompletionReport Advice-Policy Use: PolicyAdvice-ProjectFinance Action Plans-Recruitment Program-Resource Mobilization 35-40-5 -- HumanResources ActivitiesCalendar Advisor Group 60-15--TrainingandEducation Bygroupnameunderanyprimaryclassification Activities-Extracurricular Advisor Groups-Technology Use: ExtracurricularActivities-Personnel Use: Committees/Advisor Ueneral-HumanResources-Groups-Support-Information Technology-information& Knowledge Activities-Outside Management 32 Records- Howto file and find 8 d_q_ments ts =Anexdocme May 1999 -Annex 5 '.';. -~~~~~iwd ke:d hatiiak Schem %BRCS} M---~ 9 Advisories-Travel Agreements-Legislation 55-60-5-- ServicesandFacilities Use: Legislation-Management&Oversight Advisory Services Agreements-WorkProgram 45-80-5--Management andOversight 50-15-- ResourceMobilization Advisory Services-Networks Agribusiness 40-30-35-5-- InformationandKnowledge 1u-CC-25-SC - Country/Area Management Agriculture AfDB 10-CC-25-SC- Country/Area Use: AfricanDevelopment Bank Agro-Industry Africa Capacity 10-CC-25-SC - Country/Area 45-60-5-5-- ManagementandOversight AID Africa Live Database-Databases Use: U.S.AgencyforInternationalDevelopment 40-15--InformationandKnowledgeManagement Aid Coordination- Country Use: Cofinancing&Aid African Development Coordination-Country/Area; Seealso: Resource Bank-Organizations-External Aid Effectiveness 20-30-5-- ExternalAffairs Evaluation-President-Initiatives African Inter-Governmental 45-60-5-10-- Management andOversight Authorityon Aid-Food-Organizations-Cofinancing 20-30-5-- ExternalAffairs Aid-Humanitarian-Organizations- Agencies-Communication Cofinancing Use: Depositories&Agenciesof Communication-Basic AIDS Documents-Institution-Management &Oversight Use: AutoImmuneDeficiencySyndrome Agencies-Rating Air Transport Use: RatingAgencies-Risk 10-CC-25-SC- Country/Area Management-InstitutionalFunding-Financial Airlines Policy& RiskManagement 10-CC-25-SC - Country/Area Agencies-Recruitment Airlines-Vendors-Travel 35-40-10-- HumanResources- ByOrganization 55-60-40-10-- ServicesandFacilities Name ALCO Agencies-Travel-Vendors Use:AssetLiabilityCommittee 55-60-40-5-- ServicesandFacilities All-in-i -InformationAccess 40-25-10-5-- InformationandKnowledge Agency for International Management Cooperation-Organizations-External 20-30-5-- ExternalAffairs 20-30-5-- External ~Allianceof Small Island Affairs States-Organizations-External Agency for International Use: U.S.Agencyfor International Development 20-30-5-- ExternalAffairs Agreements-Bilateral& Multilateral Allocated-Expenses Use: Bilateral&MultilateralTreaties& 5-65-5--Budget Agreements-Legislation-Management & Allocations-Country-Guarantee Oversight Use: CountryAllocations-Guarantee Agreements-Investment-Disputes Operations-Resource Mobilization Use: InvestmentAgreements-Disputes & Allowances-Benefits Arbitration-Institution-Management & Oversight 35-15-5-- HumanResources AlternativeWork Schedules 33 * i 01 1 FIT ILI'it,6 1> Use:WorkSchedules-Benefits-General-Human Approaches-Funding Resources Use: Funding Amsterdam Treaty Approaches-Funding-General-Resource Use: Bilateral&MultilateralTreaties& Arbitration & Disputes Agreements-Legislation-Management & Use: Disputes& Oversight Arbitration-Institution-Management &Oversight Analysis Arbitration Laws-Legislation 5-20 -- Budget 45-47-5 -- Management and Oversight Anniversary Meetings Architecture-FinancialSystem 45-13 -- Managementand Oversight 10-CC-25-SC- Country/Area Architecture-Information 40-25-- Information andKnowledgeManagement Announcements-Training(Staff) 35-50-5-- Human Resources Archives Annual BankConferenceon 40-20-5-- Information andKnowledge DevelopmentEconomics Management 60-25-5-- Training and Education ARPP Annual Briefs Use: AnnualReporton PortfolioPerformance Use: AnnualMeetings Arrangements-AnnualMeetings Annual Budget 45-15-5--ManagementandOversight Use: Budget Arrangements-Training Annual Meetings-Country 60-20--TrainingandEducation 10-CC-20-10- Country/Area Arrears Annual Meetings-institution Use: Payments 45-15--ManagementandOversight Art Program Annual Reporton PortfolioPerformance 55-20-5-- ServicesandFacilities 10-CC-20-10- Country/Area Arthur Annual Reports-Budget 20-30-5-- ExternalAffairs Use: Monitoring Articles of Annual Review-Operations Agreement-Institution-Basic 45-55-5 -- Managementand Oversight - By Year A-Itinasic 45-45-5-5-- ManagementandOversight Anti-CorruptionArilsBn 10-CC-25-SC Country/Area - Articles-Bank Use: Speeches/ Presentations / Articles-External Anti-Corruption-President-Initiatives Affairs 45-60-5-15-- Managementand Oversight AsDB APEC Use: AsianDevelopment Bank Use:Asia-PacificEconomicCooperation ASEAN APL Use:Associationof SoutheastAsianNations Use: AdaptableProgramLending Asia-Pacific Economic Appeals Cooperation-Organizations-ExternaI Use: Grievances/Appeals or Appeal Committee-Human Resources 20-30-5--ExternalAffairs Appeals Asian Development 35-25-15--HumanResources Bank-Organizations-External Appeals-AdministrativeTribunal 20-30-5--ExternalAffairs 35-25-10-5 -- HumanResources- By Case No. ASIS Applications-Recruitment Use:Allianceof SmallIslandStates Use: CurriculumVitae 34 Keeping Records - How to file and find Annex documents May 1999 B0uk~idek U 4~tscheme (1RCS) M~y 6~ 999 Asset & BudgetAccounting Use: CommitmentAuthority-International 30-20-- FinancialTransactions DevelopmentAssociation-Resource Mobilization Asset Disposal-Procurement AuthorityConsent-Borrowing 55-40-5--ServicesandFacilities- Separateby Use: Consent/Authority-Borrowing-Institutional locationandtypeasnecessary Funding-FinancialPolicy Asset Liability Authorizations-Training(Staff) 45-45-10-5--ManagementandOversight- See 35-50-10--HumanResources also: LiabilityManagement Auto ImmuneDeficiencySyndrome Assignments-Personnel 10-CC-25-SC - Country/Area 35-30-5-- HumanResources Aviation Assistance-Technical 10-CC-25-SC- Country/Area Use:TechnicalAssistance-Resource B-Loan Program Mobilization 50-60-5--ResourceMobilization Associationof South EastAsian Back-to-OfficeReports-Projects Nations-Organizations-External 15-55-- DevelopmentActivities 20-30-5-- ExternalAffairs Balanceof Payments Association-Staff 10-CC-25-SC Country/Area - Use: Staff BalticAmerican Partnership Association-Personnel-General-Human Fund-Organizations-External AttitudeSurvey 20-30-5-- ExternalAffairs Use: Survey-Attitude-Personnel-General-Human Bank Resources Use: International BankforReconstruction& DevelopmentforWorldBankand/ornameof other Audiovisual-ConferenceServices bank 55-15-5--ServicesandFacilities- Seealso: Video Bankfor International Audit Committee-Board Settlements-Organizations-External 45-45-10-5-- Management andOversight 20-30-5-- ExternalAffairs- Seealso: Disputes& Audit Country Arbitration Use:Disbursement,Procurement, Bank Logos for Audits-Country/Area-Program 55-35-5-- ServicesandFacilities Audit External Bank Resources-income 45-20--ManagementandOversight 5-70-5--Budget Audit Internal Bank Statement 45-25--ManagementandOversight Use: ImprestAccounting-Administrative Audit Project Performance Expenses-FinancialTransactions Use: ProjectPerformanceAudit Bank-Imprest Reports-OperationsEvaluation-Management& Accounting-Administrative Audit Reports-Country 30-15-10-- FinancialTransactions 10-CC-20- Country/Area Bank-Speech Audit Reports-Non-Project Use: Speeches/Presentations/Articles-External 45-20-- Management andOversight- Seealso: Affairs Audit-Internal Banking AuthorityBorrowingTransactions 10-CC-25-SC- Country/Area 30-25-5-- FinancialTransactions BasicDocuments-Institution AuthorityCommitment-international 45-45-5--ManagementandOversight DevelopmentAssociation Behaviors& Values 35 ~~~~~~~~~~~~~~~~~~~~~~~~~~~~ -~~~ Use: Values&Behaviors-Knowledge Book-White-ExportCredits Management-Information & Knowledge Use:WhiteBook-ExportCredits Management Program-Resource Mobilization Benchmarks-Institutional BorrowerCorrespondence 25-25-5-5--FinancialPolicyandRisk 10-CC-20-20- Country/Area. Formerly Management "OfficialCorrespondence" Beneficiary-Insurance BorrowerServices-Lending 35-15-20-- HumanResources- Seealso: 30-40-5-- FinancialTransactions Personnel-StaffMember BorrowingCountry-Official Benefits-Allocated-Expense 50-55-10--ResourceMobilization- ByCountry 5-65-5-5-- Budget Borrowing InstitutionalFunding Benefits-General 25-25-5-- FinancialPolicyandRiskManagement 35-15--HumanResources Benefits-Medical BorrowingLiquidity 35-20-- HumanResources- Confidential,byLast Requirements-Risk Name 25-25-35-10-- FinancialPolicyandRisk Management Benefits-Travel 35-15-40-- HumanResources BorrowingTransactions Bertini, Catherine-People 30-25--FinancialTransactions 20-35-- ExternalAffairs- UnitedNationsWorld BPI FoodProgram,Director Use:BusinessProcessInnovation Best Practices Brady Debt Reduction Plan 15-20-- DevelopmentActivities 50-20-5--ResourceMobilization Bilateral & MultilateralTreaties & Brief-Country Agreements-Legislation Use: CountryBrief-Country/Area-Program 45-47-10--ManagementandOversight BriefingBooks-Annual Meetings 45-15-10--Management andOversight Bilateral Financing 10-CC-10- Country/Area Briefings-Management-Country Use: ManagementBriefings/VIP BillingStatements Visits-Country/Area-Program Use: Payments BiogrPaphiestsBrochures-Promotional Materials Biographies 20-40-5-- ExternalAffairs Use: People-ExternalAffairs;Seealso: ProfessionalExpertiseProfiles Brookings 20-30-5-- ExternalAffairs Use: Bankfor InternationalSettlements Brundtland,Gro Harlem-People 20-35-- ExternalAffairs- UnitedNations-World Blue Book-OfficialCofinancing HealthOrganization,DirectorGeneral 50-55-5-- ResourceMobilization Boardof Executive BTOR 45-45-10--Management andOversight Use: Back-to-OfficeReports-Projects Boardof Governors-Institution BudgetAccounting 45-45-15--Management andOversight 30-20-5 Financial -- Transactions Boards-Networks BudgetAccounting 40-30-35-10-- InformationandKnowledge System-Databases-Procurement Management 55-40-10-5--ServicesandFacilities Book-Blue-OfficialCofinancing BudgetAccounting Use: BlueBook-OfficialCofinancing-Resource 5-75-10-- Budget Mobilization BudgetAdministrative 36 > Annex documents ;ankwide - -R6& C4sficstJo4 Sch (BRCS) May6, 1999 Use:AdministrativeBudget-Budget 45-45-40-- ManagementandOversight BudgetAllocation Monitoring By-laws-Basic Use: Monitoring-Budget 45-45-5-10-- ManagementandOversight BudgetCapital Cafeterias Use: CapitalBudget-Budget 55-25-5--ServicesandFacilities BudgetCommittee-Board Calendar-Activities-Training 45-45-10-5--ManagementandOversight Use: ActivitiesCalendar-Training & Education Budget Country CAM Use: CountryBudget-Country/Area.Program Use: CountryAssistanceManagement BudgetCross Support Camdessus,Michel-People Use: CrossSupportBudget-Budget 20-35--ExternalAffairs- InternationalMonetary Budget Dollar Fund.ManagingDirector Use: DollarBudget-Budget CAN Budget Increases Use: CountryAssistanceNote 5-25--Budget Cancellation-Loans Budget Information& Transaction 15-55--DevelopmentActivities- Seealso: System-Monitoring Legislationor Disputesand 5-75-15-- Budget Arbitration-ManagementandOversight Budget Institution CapacityBuilding Use: Budgetandtypeof 10-CC-25-SC- Country/Area Budget Reductions Capital Budget 5-30--Budget 5-40--Budget BudgetReports-Monitoring Capital Increases-Capital 5-75--Budget 50-15-5-- ResourceMobilization BudgetTransfers Capital Item Project 5-35--Budget Proposals-CapitalBudget BudgetUnit 5-40-- Budget Use: Budgetandtypeof Capital Management BudgetVice-President 50-15-- ResourceMobilization Use: Budgetandtypeof Capital MarketsDevelopment Burdensharing-Donor-International 10-CC-25-SC- Country/Area DevelopmentAssociation Capital Subscription-Capital Use: DonorBurdensharing-International 50-15-10-- ResourceMobilization DevelopmentAssociation-ResourceMobilization Capital Subscription-Country Bureau-Speakers-ExternalAffairs 10-CC-20- Country/Area Use: Speakers'Bureau-Speeches-External Affairs Capital Subscription-Membership-Institution 45-45-30-5--Management andOversight BusinessContinuity CAR 45-30--ManagementandOversight Use: CountryAssistanceReview BusinessPlan-Contract Car Rentals-Vendors-Travel Use: BusinessPlan-Management&Oversight 55-60-40-15--ServicesandFacilities BusinessPlan-Country Cards-Staff Use: CountryBudget-Country/Area Program Use: Identification Cards-Security-Services& BusinessPlan-Unitor Institution Facilities 45-35--ManagementandOversight Career Development BusinessProcess 35-30-10--HumanResources Innovation-Structural 37 ~~~~~* b I -* i gm~wi~ l!~or~ C i.L.L.~ L.j 6. 19 CaribbeanCommunity& Common Chargeback-Bank Market-Organizations-External 5-70-5-5-- Budget 20-30-5-- ExternalAffairs Chargeback-Externally CartographicServices 5-70-10-5-- Budget Use: Printing,Graphics&MapDesign-Services Checks & Facilities Use: Banksor Bank-ImprestAccount CAS CIR Use:CountryAssistanceStrategy Use: CountryImplementationReview Cash Management-Institutional CIS 25-25-10-- FinancialPolicyandRisk Use: Commonwealthof IndependentStates Management Civil Service Reform Catalogs-Announcements-Training 10-CC-25-SC - Country/Area 35-50-5-- HumanResources Clearanceof Arrears Catering-FoodServices Use: Payments Use: Dining,Coffee& CateringServices-Food Client Services-TrustFunds Services-Services& Facilities 30-55-5-- FinancialTransactions CBSS Clients Use: Councilof BalticSeaStates Use: Partners/Clients/Outside Resources-KnowledgeManagement-Information CCCM &KnowledgeManagement Use: CaribbeanCommunity&CommonMarket CD Clippings-Country Use: CompactDiscs Use: NewsClippings-Country/Area-Information CDS Clippings-News-Media Use: CommonDataStores Use: NewsClippings-MediaRelations-External CEM Affairs Use: CountryEconomicMemorandum CMU Census Use: CountryManagementUnit Use: Demographics Coal Center-Disputes& 10-CC-25-SC- Country/Area 45-45-20-5--ManagementandOversight Cocoa Center-Learning& Leadership 1i0-CC-25-SC- Country/Area Use: LearningandLeadershipCenter-Training& Coconut Education 10-CC-25-SC- Country/Area Center-LegalInformationServices CODAM Use: LegalInformationServices Use: DirectorsAdministrativeMatters Center-Documents-Information &Knowledge Committee-Committee-Board-Institution-Manage- Management ment&Oversight Center-RegionalIRIS Support CODE Use: RegionalIRISSupport Use: DevelopmentEffectiveness Centers-Documents-Information&Knowledge Committee-Committee-Board-Institution-Manage- Management ment&Oversight Center-Resource-Board Coffee Use: ResourceCenters-Board of Executive 1o-CC-25-SC- Country/Area Directors-Management&Oversight Coffee-FoodServices Change Management Process Use: Dining,Coffee& CateringServices-Food Use: StructuralChange-Management & Services-Services & Facilities Oversight 38 Annex documents May 1999 ;-~~~~~~~~~~~~~~~~~~~~~~~~~~~~~r'""'""B-''' ';: Baikwide R"f* 0rd~Ct4tfatoi :(BmRC May 6,:1999: Cofinancing& AidCoordination Use: PensionFinance Committee-Committee-Board-lnstitution-Management & 10-CC-10- Country/Area.Seealso: Resource Oversight Mobilization Collections-Basic Committee Personnel-Board 45,45515, ManagementandOversightUse: PersonnelCommittee- Committee- 45-45-5-15 BMankAgementsandOversightBoard-Institution-Management &Oversight C,ommercialBank Accounts Use: Nameofbank,Bank,or ImprestAccounts Committee Steering CommitmentAuthority-International Bynameunderanyprimaryclassification DevelopmentAssociation CommonData Stores 50-50-5--ResourceMobilization 40-20-10-- InformationandKnowledge CommitmentOrder for Payment Management System-Database-Procurement CommonMarketof Eastern& South 55-40-10-- ServicesandFacilities Africa-Organizations-External Commitments-Expenses 20-30-5-- ExternalAffairs 5-65-- Budget Commonwealthof Independent Committee States-Organizations-External Bynameunderanyprimaryclassification;name 20-30-5-- ExternalAffairs mayincludetypesuchassteeringcommittee Communications-Board-Institution CommitteeAd Hoc 45-45-10-10-- Management andOversight- By Bynameunderanyprimaryclassification Number CommitteeAdvisory Groups & Task Communications-Data Force-InformationTechnology Use: DataCommunications-Telecommunications 40-25-30-5-- InformationandKnowledge &NetworkInfrastructure-Information & Knowledge Management CommitteeAppeals Communications-InternalUnits 20-30-10-- ExternalAffairs- Seealso: Boardor Use:Appeals PresidentandExecutive-Institution-Management & Committee-Appeals/Grievances-Human Oversight CommitteeAudit-Board CommunityOutreach Use: Audit Committee- Committee- C 0-15--ExternalAffairs Board-Institution-Management &Oversight 2 Compact Discs-Promotional Committee Board-Institution 20-40-10-- ExternalAffairs 45-45-10-5--Management& Oversight Compensation Committee Budget-Board 35-30-15-- HumanResources Use: BudgetCommittee-Committee-Board- Institution-Management&Oversight Compensa:on-Workers Use:Workers Committee Development Compensation-Insurance-Benefits-General-Human Effectiveness-Board Resources Use: DevelopmentEffectiveness Competencies Subcommittee-Committee-Board-Institution-Manage- 35-30-20-- HumanResources ment&Oversight Complaints-Food Services Committee DirectorsAdministrative 55-25-10-- ServicesandFacilities Matters-Board Complaints-Security Use: DirectorsAdministrativeMatters 55-45-5-- ServicesandFacilities Committee-Committee-Board-Institution-Manage- Complaints-Staff-PersonnelIssues ment&Oversight 35-25-25-- HumanResources Committee Pension Finance-Board Compliance Issues 39 15-25 -- Development Activities Management Composition-Printing,Graphics & Conservation MapDesign 10-CC-25-SC- Country/Area 55-35-10--ServicesandFacilities Consolidation-Institution ComprehensiveNuclearTest Ban Use: StructuralChange-Institution-Management Use:Bilateral& Multilateral & Oversight Treaties-Management& Oversightor Suspension Construction or Cancellation-Loans 1o-CC-25-SC- Country/Area Computers-Asset Construction-Field 55-40-5-5--ServicesandFacilities 55-20-10-5--ServicesandFacilities Computers-InformationTechnology Construction-Headquarters-Facilities 40-25 -- Informationand Knowledge Management 55-20-15-5-- Services and Facilities ConsultantCurriculum Computers-MillenniumBug 35-40-15-- HumanResources Use:Telecommunications & Network Consultant Information Infrastructure-Information&Knowledge 10-CC-15-15- Country/Area Managementforyear2000 ConsultantTrust Funds Concept Paper 50-70-5--ResourceMobilization Use: Projectsor Economic&Sector ConsultativeGroup Meetings Work-DevelopmentActivities Contacts-Media Relations Conditionality-Loans 20-25-5--ExternalAffairs 15-55-- DevelopmentActivities Contagion-Financial ConferenceRoomsOnsite 10-CC-25-SC- Country/Area 55-15-10-- Services and Facilities ConferenceServices ContingencyFunds 55-15--ServicesandFacilities 5-45-- Budget Conferences/Seminars Continuity-Business (Bank-Sponesored byCounty)Use: s BusinessContinuity-Management& (Bank-Sponsoredby County) Oversight 15-30--DevelopmentActivities Contract-BusinessPlan Conferences/Seminars Use: BusinessPlan-Management & Organization 60-25--TrainingandEducation Contract-Country Conferences/Seminars(Non-Bank Use:CountryContracts-DevelopmentActivities by Country) Contract-Employment 10O-CC-15-10- Country/Area Use: Non-Regularor Regular-Personnel-Staff Conferences/Seminars(Non-Bank) Member-HumanResources 20-20--ExternalAffairs ContractedServices-Bank Confidentiality-Information-Policies Resources-Income & Procedures 5-70-5-10-- Budget 40-10-5--InformationandKnowledge ContractedServices-Expenses Management 5-65 -- Budget Consentto Jurisdiction-Disputes& ContractedServices-Externally Arbitration-Institution Funded-income 45-45-20-10-- ManagementandOversight 5-70-10-10-- Budget Consent/Authority-Borrowing-Institutional Control & Settlement-Treasury Funding Use: Settlement&Control-TreasuryPayments& 25-25-5-10--FinancialPolicyandRisk Settlements-FinancialTransactions 40 Keeping Records - How to file and find Annex documents May 1999 Control-Internal-Budget-Monitoring DevelopmentAssociation Use: InternalControls-Monitoring-Budget Use: EligibleCountries-International Control-Inventory-Procurement DevelopmentAssociation-ResourceMobilization Use: InventoryControl-Procurement-Services & CountryAllocations-Guarantee Facilities 50-45-5-- ResourceMobilization Coopers&Lybrand CountryAssistanceManagement Use: PriceWaterhouse-Coopers 10-CC-20-25-Country/Area Copiers CountryAssistance Use: Photocopy Note-OperationsEvaluation-Special Copyright-Legislation 45-55-20--ManagementandOversight- See Use:Bilateral&MultilateralTreaties& also:CountryAssistance Agreements-Legislation-Management& Strategy-Country/Area-Program Oversight CountryAssistancePlanning Core Services Use:CountryAssistanceStrategy Use: OperationalCoreServices CountryAssistance Review-Operations Correspondence-Borrower-Country 45-55-20-- ManagementandOversight- See Use: Borrower as:CutyAssac Correspondence-Country/Area-Program alsto Country/Area-Program Correspondence-Country-Non-Project Use: BorrowerCorrespondence CountryAssistance Strategy CorrespondentBank Transactions- 10-CC-20-30- Country/Area Treasury Payments Country Borrowing-Official Use: BorrowingCountry-Official 30-50-5--FinancialTransactions Cofinancing-Resource Mobilization Corruption Country Brief Cost Accounting-Asset& Budget Country Budget 30-20-10--FinancialTransactions 1 -CC-g0-40- Country/Area Cost Effectiveness Country Contracts Review-President-Initiatives 15-35-- DevelopmentActivities 45-60-5-20-- ManagementandOversight CountryCreditworthiness& Risk Cotton 25-15-- FinancialPolicyandRiskManagement 10-CC-25-SC - Country/Area Country Debt Restructuring Council of Baltic Sea 50-20-10--ResourceMobilization States-Organizations-External Country Directors-Field-Based 20-30-5--ExternalAffairs Use: FieldOffices-Country/Area-Country Councils-Networks Program 40-30-35-15-- InformationandKnowledge Country EconomicMemorandum Management 10-CC-20-45- Country/Area Counselor-institution Use:Presidentand CountryImplementationReview Executive-Institution-Management& Oversight 10-CC-20-50- Country/Area Countries-Donor-International CountryManagement Unit DevelopmentAssociation Use:StructuralChange-Institution-Management &Oversightor FieldOffices Use: DonorCountries-InternationalDevelopment Association-ResourceMobilization Country PolicyFramework Paper 10-CC-2-55Country/Area - Countries-Eligible-International Country PortfolioImprovement 41 |~~~~3uieeo~ OIsilato _cem _B S Ma 6l 11 ____!999_-11_ 10-CC-2-60- Country/Area 25-15-5-- FinancialPolicyandRiskManagement Country Portfolio Performance 1O-CC-2-65- Country/Area CreditworthinessReports Country ProcurementAssessment 25-15-10-- FinancialPolicyandRisk 10-CC-2-70- Country/Area Management Country Risk Management Cross Sectional EconomicAnalysis 10-CC-2-75- Country/Area 10-CC-25-SC- Country/Area Country Strategy Paper Cross Support Budget 10-CC-2-80- Country/Area 5-50 -- Budget Country Team Cross Support Requests 10-CC-2-85- Country/Area 5-55 -- Budget Country/Area (Nameof) CSP 10-CC- Country/Area.AreaincludesRegion Use:CountryStrategyPaper Country/Area Information CurrencyDevaluation 10-CC-15 - Country/Area 10-CC-25-SC- Country/Area Country/Area Program CurrencyManagement-Institutional 10-CC-20- Country/Area 25-25-15 -- FinancialPolicyandRisk Courier Services Management Use: DeliveryServices CurrencyMarkets Course Description-Training(Staff) 10-CC-25-SC- Country/Area Use: Announcements-Training-Human CurrencyRisk-Risk Resources Management-institutionalFunding CP 25-25-35-20 -- FinancialPolicyandRisk Use: ConceptPaper Management CPPR CurrencySwap Transactions Use: CountryPortfolioPerformanceReview 30-45-5-- FinancialTransactions Credit Risk-Risk CurriculumVitae-Country-Consultant Management-institutionalFunding 10-CC-15-15Country/Area - 25-25-35-15-- FinancialPolicyandRisk CurriculumVitae-Recruitment Management 35-40-15 -- HumanResources- Alltypesof staff, Credits-Export-Resource consultants,etc. Use: ExportCreditsProgram-Resource CustodialServices Mobilization 55-20-25-5-- ServicesandFacilities Credits-GreenhouseGas Emission CVs Reduction Use:CurriculumVitae Credits-Guidelines DAIS Use: Policies&Procedures-Development Use: Development AssessmentInformation Activities System Credits-Policy Dams Use: Policies& Procedures-Development 10-CC-25-SC- Country/Area Activities Data & Statistics-Knowledge Credits-Strategy 40-30-5 -- InformationandKnowledge 15-65 -- DevelopmentActivities Management Creditworthiness Data 10-CC-25-SC- Country/Area Communications-Telecommunication Creditworthiness 40-40-5-- InformationandKnowledge Management 42 May 1999 .....W..k cl 'If :ai,'w.', . ,..... 'e 6' 19'* ''' DataStores Decentralization-President-Initiative Use:CommonData 45-60-5-25--Management andOversight Stores-Documents-information &Knowledge DecentralizedCountryManagement Databases Use:FieldOffices-Country/Area-Country 40-15--Information andKnowledgeManagement Program -GeneralInformation byName&Abbreviation DecisionDraft Use:ProjectsorEconomic &Sector Databases-Procurement &Supplies Work-Development Activities 55-40-10--ServicesandFacilities Declassification D)CMUs Project-Documents-Archives Use:DecentralizedCountryManagement Units Use:PublicAccessProject DD Decrees Use:Decision Draft Use:Legislation-Country [)DSR Information-Country/Area Use:DebtandDebt-Service Reduction DelegationofAuthority DeathBenefits-Insurance 45-5--Management andOversight-Seealso: 35-15-20--HumanResources ImprestAccounts Debt&DebtServiceReduction DeliveryReceipts 50-20-15--ResourceMobilization 55-40--ServicesandFacilities DebtInstruments&Mechanisms DeliveryServices 50-20-15--ResourceMobilization 55-30-5--ServicesandFacilities DebtInstruments-Borrowing-Institutional Demographics/Census 25-25-5-15--Financial PolicyandRisk 10-CC-25-SC - Country/Area Management Depositories& Agenciesof DebtManagement Communication-Basic 10-CC-25-SC - Country/Area 45-45-5-20--Management andOversight DebtReductionFacility-International Development DeputiesMeetings-International Use:International DevelopmentAssociationDebut Development Association ReductionFacility-Resource Mobilization 50-50-10--Resource Mobilization DebtReductionPlan-Brady Design-Printing,Graphics&Maps Use:BradyDebtReductionPlan-Debt 55-35-15--ServicesandFacilities Restructuring-Resource Mobilization Desk Top Products-Information DebtReporting 40-25-5--InformationandKnowledge 10-CC-20-90 - Country/Area Management DebtRepurchases Development& 30-30--Financial Transactions-ByTransaction 40-15-5--InformationandKnowledge DebtRestructuring Management 50-20--Resource Mobilization Development ActionPlan DebtTables Use:Performance Management-Personnel Use:GlobalDevelopment Finance,formerly World General-Human Resources DebtTables Development Activities Decentralization 15- DevelopmentActivities 10-CC-25-SC - Country/Area Development Assessment Decentralization-Institution InformationSystem Use:StructuralChange-Institution-Management Use:Career &Oversight Development-Personnel-General-Human 43 DevelopmentCareer Materials-External Affairs Use: CareerDiesCotl Development-Personnel-General-Human 1 -CC-25-SC- Country/Area DevelopmentEffectiveness Disposal-Asset-Procurement Subcommittee-Committee-Board-Ins Use; AssetDisposal-Procurement-Services & 45-45-10-5-- ManagementandOversight Facilities DevelopmentGrant Facility Disputes& Arbitration-Institution 50-25 -- Resource Mobilization 45-45-20 -- Managementand Oversight DevelopmentLendingStrategies Dissemination Use: Strategy-Development Activities 60-35--TrainingandEducation DevelopmentStaff DistributionLists-Mail & 60-30--TrainingandEducation 55-30-15--ServicesandFacilities DGF Distribution/Transmission Use: Development GrantFacility 10-CC-25-SC - Country/Area Dining, Coffee& CateringServices Documents,Records,& 55-25-15--ServicesandFacilities 40-20-- InformationandKnowledgeManagement Diplomatic Pouches-Mail& 55-30-10-- ServicesandFacilities Documents-Official DirectorsAdministrativeMatters Use: OfficialDocuments-Documents-Information Committee-Committee-Board-Institution &KnowledgeManagement 45-45-10-5--ManagementandOversight Dollar Budget DirectoryServices-Information 5-60-- Budget 40-25-10-10-- InformationandKnowledge Donor Burdensharing-International Management DevelopmentAssociation Directory/KeyOfficials 50-50-15--ResourceMobilization 10-CC-15-20- Country/Area Donor Countries-International Disaster Plans DevelopmentAssociation Use: BusinessContinuity-Organization & 50-50-20-- ResourceMobilization Management Donor DisbursementCountry DonorGlobal Environment Use: Facility-Replenishment Disbursement/Procurement/Audits-Country/Area- Facility- Reshment 50-40-5-- ResourceMobilization DisbursementLoan DonorLiaison-Trust Funds Use: LoanDisbursement-Lending-Financial 50-70-10--ResourceMobilization Policy& RiskManagement Donor Meetings-Consultative DisbursementLoan-Lending Groups-Country/Area Use: LoanDisbursement-Lending-Financial Transactions Donor Meetings-GlobalEnvironment DisbursementProcurement& Audits Facility-Replenishment 10-CC-20-95 Country/Area - 50-40-10 -- Resource Mobilization DisbursementSuspended-Country Donor Relations-Official Use: SuspendedDisbursements-Country 50-55-15--ResourceMobilization- ByCountryor Creditworthiness-FinancialPolicy&Risk Organization DiscountPrograms-Travel Drainage 55-60-10 -- Services and Facilities 1n-CC-25-SC- Country/Area Discs-Compact-Promotional Drills-Fire-Security Use:CompactDiscs-Promotional 44 Annexdocuments Bade a. si.ficationSche Q;(S) May61 "99 55-45-15-5-- ServicesandFacilities See:WorldBankInstitute DroughtRecovery Education 10-CC-25-SC- Country/Area 10-CC-25-SC Country/Area - Drugs - Illegal Education-Benefits 10-CC-25-SC- Country/Area 35-15-10 -- Human Resources Drugs- Pharmaceutical Education-Travel-Benefits 10-CC-25-SC- Country/Area 35-15-40-5 -- Human Resources Duisenberg,Wim-People EIP 20-35--ExternalAffairs- EuropeanCentralBank, Use: EnvironmentalIssuesPaper President El Nino EarthquakeRecovery 10-CC-25-SC- Country/Area 10-CC-25-SC- Country/Area Elections-Board-Institution EBRD 45-45-10-15-- Management andOversight Use: EuropeanBankfor Reconstruction& Elections-CountryInformation Development Electric Power & Other Energy EC Electronic Document EuropeanCommunity;useEuropeanUnion 55-35-20--ServicesandFacilities EC-Administrative Electronic Filing Use: EuropeanCommissionorEuropeanUnion Use: IntegratedRecords& Information ECB Services-Documents-Information & Knowledge Use: EuropeanCentralBank Management ECO Electronic Media Products& Use: ExpandedCofinancingOperations 40-20-15--InformationandKnowledge Economic& Sector Reports Management 15-40-- DevelopmentActivities ElectronicSecurity Economic& SectorWork 55-45-10--ServicesandFacilities 15-40-- DevelopmentActivities EligibleCountries-International EconomicCommunityof West DevelopmentAssociation African 50-50-25-- Resource Mobilization 20-30-5 -- ExternalAffairs EMDB Economic DevelopmentInstitute Use: EmergingMarketsDatabase Use:WorldBankInstitute EmergencyDrought Recovery Economic Management 10-CC-25-SC- Country/Area 10-CC-25-SC- Country/Area EmergencyFamine Relief Economic Memorandum-Country 10-CC-25-SC-Country/Area Use: CountryEconomic EmergencyFlood Reconstruction Memorandum-Country/Area-Program 10-CC-25-SC- Country/Area EconomicStrategy Note Emergency-Leave-Benefits Use: CountryEconomicMemorandum 35-15-25-5--HumanResources EconomicStudies Emergency-Travel-Benefits 10-CC-25-SC- Country/Area 35-15-40-10-- Human Resources EconomicSurveys EmergingMarkets 10-CC-25-SC- Country/Area 40-15 -- Informationand KnowledgeManagement ECOWAS Use: EconomicCommunityof WestAfricanStates EmissionCap & Trade EDI 10-CC-25-SC- Country/Area 45 ~~~- g -.- I - - |~~~ -- Employee Use: Facilities& Equipment-Market Use: Personnel-StaffMember-HumanResources Research-Procurement-Services & Facilities Equipment& Employment Facilities-Vendors-Procurement 10-CC-25-SC- Country/Area Use: Facilities& EMU Equipment-Vendors-Procurement Use: EuropeanMonetaryUnion Equipment-Asset Energy 55-40-5-10-- Services and Facilities 10-CC-25-SC- Country/Area Ernst & Engineering 20-30-5 -- External Affairs 10-CC-25-SC- Country/Area ESSD Engines-Technology Use: Environmentally &SociallySustainable Use: SearchTools& Engines-Information Development-Network Technology-Information& Knowledge Management Establishmentof FieldOffices Use: Leases-FieldOffices-Facilities-Services& EnterpriseComputing Facilities 40-25-5-5 -- Informationand Knowledge ESW Management Use: Economic&SectorWork EnterpriseNetwork-Standards Ethics Office 40-25-20-5-- InformationandKnowledge 35-30-25-- HumanResources Management EU EnterpriseNetwork -Telecommunications- EUse: EuropeanUnion Infrastructure Euro 40-40-10--InformationandKnowledge Use:CurrencyManagementPolicies-Institutional Management Funding-FinancialPolicy&RiskManagement EnterpriseRestructuring 10-CC-25-SC- Country/Area European Bankfor Reconstruction Environment & Development 10-CC-25-SC- Country/Area 20-30-5 -- ExternalAffairs EnvironmentalAction Plan European Central 1O-CC-20-105- Country/Area Bank-Organization-External EnvironmentalInstitutions Bn-raiainEtra 10-CC-25-SCl-Country/Area 20-30-5 -- ExternalAffairs - Formerly, European MonetaryInstituteandallcentralbanksof EnvironmentalIssues Paper Europeancountries 10-CC-20-105- Country/Area EnvironmentalReports European 10-CC-25-SC- Country/Area Commission-Organization-External EnvironmentalStrategy 20-30-5-- ExternalAffairs- Administrativebodyof 10-CC-25-SC- Country/Area EuropeanUnion Environmentally&Socially European Community SustainableDevelopment-Network Use: EuropeanUnion 40-30-35-20-- InformationandKnowledge European EconomicCommunity Management SpecialAction Account 50-60-10-- ResourceMobilization EnvironmentallySustainableDevelopment European Monasitute 10-CC-25-SC- Country/Area European Monetary Institute Equipment& Facilities-Market Use: EuropeanCentralBank Research-Procurement EuropeanMonetaryUnion-Currency 46 omAnnex documents May 1999 -~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ . --... A...... .......... Management ExposureManagement-Country Use: CurrencyManagement Policies-institutional Creditworthiness Funding-FinancialPolicy&RiskManagement 25-15-15-- FinancialPolicyandRisk Management European Extensions-Personnel 20-30-5-- ExternalAffairs Use: Non-RegularorRegular-Staff Member-Personnel-Human Resources Evaluation 60-45--TrainingandEducation ExternalAffairs EvaluationTextbase 20 - ExternalAffairs 40-20--InformationandKnowledgeManagement ExternalFinancing& Funding-Sub-SaharanAfrica EXC Use: Sub-Saharan AfricaExternalFinancing& Use: PresidentandExecutive-Management & Funding-Other Resources-Resource Mobilization Oversight ExternallyFunded ExchangeMarkets 5-70-10-- Budget 10-CC-25-SC - Country/Area ExtractiveProcesses ExchangeRates 10-CC-25-SC - Country/Area 10-CC-25-SC- Country/Area ExtracurricularActivities Executive 35-30-30-- HumanResources 45-60-2-- Management andOversight- Include: Facilities otherthanPresident.Seealso: President 55-20--ServicesandFacilities Facilities& Equipment-Market Executive DevelopmentProgram Research-Procurement Use:Conferences&Seminars-Training & 55-40-20-5--ServicesandFacilities- Byname, Education type Executive Directors Facilities& Use: Boardof Executive Equipment-Vendors-Procurement Directors-Institution-Management &Oversight 55-40-40-5--ServicesandFacilities- ByName, ExpandedCofinancingOperations byType 50-60-15-- ResourceMobilization Facility-DevelopmentGrant Expenditure Review-Public Use: Development GrantFacility-Resource Use: PublicSectorExpenditure Mobilization Review-Country/Area-Program Facility-InternationalDevelopment Expenses Association-DebtReduction 5-65--Budget Use: InternationalDevelopment Expenses-Monitoring Association-ResourceMobilization 5-75-20-- Budget Facility-Specialfor Africa Funding Expertise-Professional Use:SpecialFacilityforAfricaFunding-Other Use: Professional ExpertiseProfile-Knowledge Resources-Resource Mobilization Management Tools-Information & Knowledge Management FactSheets Use: Handouts Export Credits Program 50-30-- ResourceMobilization Fair-use-Copyright Use: Legislation-Bilateral&MultilateralTreaties Export Development &Agreements-Management &Oversight 10-CC-25-SC - Country/Area Exports Family Planning 10x-0-25-SCCountry/Area - 10-CC-25-SC - Country/Area 47 | | l!.ws ! SL.] .: _!2 'i I I * S 1l ]t Famine Relief 25-20--FinancialPolicyandRiskManagement - 10-CC-25-SC- Country/Area OutputsOnly Faxes-OfficeMachines-Asset Financial Plans Disposal-Procurement 10-CC-25-SC- Country/Area 55-40-5-15--ServicesandFacilities FinancialPolicy & Risk FDI FinancialReports Use: ForeignDirectInvestment Use: BudgetReports-Monitoring-Budget Fees-Administrative FinancialSectorAction Services-Income-ExternallyFunded Plan-President-Initiatives 5-70-10-15--Budget 45-60-5-30-- Management andOversight Fees-Technical FinancialSystem Development Services-Income-ExternallyFunded 10-CC-25-SC - Country/Area 5-70-10-20-- Budget FinancialTechnical Assistance Fellowships Use: Projects-DevelopmentActivities Use: Scholarships/ Fellowships-ExternalAffairs FinancialTransactions Fertilizer& Other Chemicals 10-CC-25-SC- Country/Area 10-CC-25-SC - Country/Area Financial-Contagion FieldOffice Use: Contagion-Financial Use:LocalOffice FIP FiftyYears is Use: FileImprovement Program Enough-Organizations-External Fire-Security 20-30-5-- ExternalAffairs 55-45-15-- ServicesandFacilities File ImprovementProgram FirstQuarter Review-Quarterly 40-20-25-- InformationandKnowledge MonitoringReports Management 5-75-35-5--Budget File Plans/Schemes Fiscal Policy Use: FileImprovementProgramorIntegrated 10-CC-25-SC- Country/Area Records& Information Services Fishing File Studies 10-CC-25-SC- Country/Area Use: FileImprovementProgramor Integrated Floor Plans Records& InformationServices Use: SpacePlans Files Flyers-PromotionalMaterials Seealso: Recordsordocumentsortypeoffiles, 20-40-15--ExternalAffairs e.g.,projects,etc. FoodAid Film 10-CC-25-SC - Country/Area Use: PromotionalMaterials-External Affairs FoodAid-Organizations-Cofinancing Finance 10-CC-10-15 - Country/Area 10-CC-25-SC - Country/Area FoodSecurity Finance, PrivateSector & 10-CC-25-SC- Country/Area InfrastructureNetwork Food Services 40-30-35-25-- Information andKnowledge 55-25--ServicesandFacilities Management ForeignAid 10-00-25-SC- Country/Area Financial& Cost Application F DrCt Inesmnt System-Monitoring SysemMontoin Foreign Direct Investment Use: Funding-General-Resource Mobilization Foreign Investment FinancialModels 10-CC-25-SCCountry/Area - 48 - s.~~ -,.- --m .1Lnkwide Re6rds Ma 6, M99 Forestry Use: ContingencyFunds-Budget 1O-CC-25-SCCountry/Area - Funds New Products-Internal Form Management Use: Strategy-Management&Oversight 40-20-30--InformationandKnowledge FundsSources of Management Use:Sourcesof Form-590 Funds-Funding-General-Resource Mobilization 15-45--DevelopmentActivities FundsSourcesof-Budget Form-Service Use: Income- Budget Use: ServiceRequestForm-Reprographic Furniture/Furnishings-Inventory Services-Printing, Graphics Use: InventoryControl-Procurement-Services & Form-Vendor Facilities Use: VendorAddition G-15 Form-Vendors-Procurement-Services & Facilities Use: Groupof 15 Found Log-Security G-28 55-45-20--ServicesandFacilities Use:Groupof 28 FPSI G-7 Use: Finance,PrivateSector& Use:Groupof7 Infrastructure-Network G-77 FrameworkPaper-Medium Use: Groupof77 Use: MediumTermFramework G-8 Paper-Country/Area-Program Use: Groupof8 FrequentlyAsked GARS Questions-KnowledgeManagement Use: GeneralAdministrativeRecordsSchedule 40-30-10-- InformationandKnowledge Gartner Management 20-30-5 -- External Affairs Friendsof Gas 20-30-5-- ExternalAffairs 10-CC-25-SC - Country/Area FTA GATT Use: FinancialTechnicalAssistance Use: GeneralAgreementonTariffsandTrade FunctionalStatements GEF Use: StructuralChange-Management & Use: GlobalEnvironmentFacility Oversight Gender Analysis FundingApproaches 10-CC-25-SC- Country/Area 50-35-5-- ResourceMobilization Gender Issues-Personnel 35-30-35 -- Human Resources Funding Coordinators Meetings GnrlAmnsrtv eod 50-35-10 -- Resource Mobilization General Administrative Records FundingGeneral Use: Policies& Procedures-Information & 50-35--ResourceMobilization KnowledgeManagement Funding Institutional GeneralAgreementon Tariffs & Use: InstitutionalFunding-FinancialPolicy& Risk Use: Bilateral& MultilateralTreaties& Management Agreements-Management&Oversight FundingRisk-Risk General Budget Management-institutionalFunding 5-5-- Budget 25-25-35-25-- FinancialPolicyandRisk General Capital Increases Management 50-15-15-- ResourceMobilization FundsContingency General Counsel-institution Use: PresidentandExecutive-Management& 49 0, .. g m . Oversight 60-10-5 -- Training and Education General Country/Area Information General Resource Mobilization 50-5 -- Resource Mobilization 10O-00-15-5 - Country/Area General Services & Facilities General Country/Area Program 55-5 -- Services and Facilities 10-CC-20-5- Country/Area General Topical General Development Activities 10-CC-25-5- Country/Area 15-5 -- Development Activities General Training & Education General External Affairs 60-5 -- Training and Education 20-5 -- ExternalAffairs Global General Financial Policy & Risk 40-40-10 -- Informationand Knowledge Management Management 25-5 -- Financial Policyand Risk Management Global Development Finance General Financial Transactions Use: Published Reports-Publications-External 30-5 -- FinancialTransactions Affairs; Formerly,World Debt Tables General Human Resources Global Environment Facility 35-5 -- Human Resources 50-40 -- Resource Mobilization General Information & Knowledge Global Environment Facility Management Global Environment Facility 40-5 -- Informationand Knowledge Management 50-40-25 -- Resource Mobilization General Management & Oversight Global Environment Facility Trust 45-5 -- Managementand Oversight 50-40-15 -- Resource Mobilization General Policies & Global Warming 5-10-5 -- Budget 10-CC-25-SC- Country/Area General Policies & Glossary-Tools-Knowledge General Policies & 40-30-60-5-- Informationand Knowledge Procedures-Development Activities Management 15-10-5-- Development Activities Governance-institution General Policies & Use: Strategy-Management& Oversight Procedures-External Affairs Government Agencies Use: Ministries-Country/Area-Information 20-10-5 -- ExternalAffairs General Policies & Government Directories Procedures-Financial Transactions Use: Directory/Key Officials-Country/Area-Information 30-10-5 -- FinancialTransactions Government Information Systems General Policies & 10-CC-25-SC- Country/Area Procedures-Human Resources Governors-Board of 35-10-5 -- Human Resources Use: Board of Governors-Institution-Management General Policies & & Oversight Procedures-Resource Mobilization Grading-Job 50-10-5 -- Resource Mobilization Use: Job Grading-Personnel-General-Human General Policies & Resources Procedures-Services & Facilities Graduation-Ineligible 55-10-5 -- Services and Facilities Countries-international General Policies & 50-50-30-5-- Resource Mobilization Procedures-Training & Education Grains 50 - Annexdocuments May 1999 , .. ~~~~~~~~~~....... ... .............d. Rec~rd ... B SC.1e--.. R-CS May6,1999 10-CC-25-SC- Country/Area HarvardUniversity-Training Graphics Use:Training-Human Resources 55-35 -- Services and Facilities HD Green Industries Use: HumanDevelopment-Network 10-CC-25-SC- Country/Area Headquarters-Facilities Greening Initiatives-internal 55-20-15--ServicesandFacilities Use: Strategy-Management &Oversight Health Greenpeace 10-CC-25-SC- Country/Area International-Organizations-External Health Insurance 20-30-5 -- ExternalAffairs 10-CC-25-SC- Country/Area Grievances/Appeals Health Reform 35-25 -- Human Resources 10-CC-25-SC- Country/Area Group of 15-Organizations-External HealthServices-Benefits-General 20-30-5 -- ExternalAffairs - [Developing nations] 35-15-15 -- Human Resources Group of 28-Organizations-External HeavilyIndebted Poor 20-30-5-- ExternalAffairs- [Developingnations] Countries-President-Initiatives Group of 7-Organizations-External 45-60-5-35--ManagementandOversight 20-30-5 -- ExternalAffairs - [Majordeveloped Help Desk nations]PreferredtermisGroupof8 55-20-20-- ServicesandFacilities Group of 77-Organizations-External HelpDesk-Technology 20-30-5 -- ExternalAffairs - [Developing Use: Support Center/Help nations-environmental issues] Desk-Support-Information Technology-Information Group of 8-Organizations-External & KnowledgeManagement 20-30-5 -- ExternalAffairs - [Majordeveloped Higher Education nations;G-7+ Russia] Highways Groups-Consultative 10-CC-25-SC- Country/Area Use: ConsultativeGroups-Country/Area HIPC Cotinancing Use: HeavilyIndebtedPoorCountries GuaranteeOperations Historian-Institution 50-45 -- ResourceMobilization Use: History-Institution-Management &Oversight Guidelines Use: PolicyandProceduresunderanyprimary Historyof Unitor Institution classification 45-45-25-- ManagementandOversight Handbook-Board-Institution HIV 45-45-10-20-- Management andOversight Use: HumanImmuneDeficiencyVirus Handbook-Publications HomeLeave Benefits-General 20-45-5-- ExternalAffairs 35-15-25-10-- HumanResources Handbook-UnitedNations-Policies& HomeTravel Benefits-General Procedures 35-15-40-15-- HumanResources Use: UnitedNationsSecurity Hospitality/Representation Handbook-Security-Policies & Use: Representation/Hospitality-ExternaI Affairs Procedures-Services & Facilities Hospitals Handouts-Publications 10-CC-25-SC- Country/Area 20-45-10--ExternalAffairs Hotels-Vendors-Travel Hardware 55-60-40-20-- ServicesandFacilities 1 H-CC-25-SC- Country/Area Housing 1 0-CC-25-SC- Country/Area 51 Human DevelopmentNetwork 35-10 HumanResources 40-30-35-30-- InformationandKnowledge Impact Evaluation Management Studies-OperationsEvaluation Human ImmuneDeficiencyVirus 45-55-10--ManagementandOversight 10-CC-25-SC Country/Area - ImplementationCompletionReport Human Resources Use: Projects-DevelopmentActivities 35- HumanResources ImplementationReview-Country Human Resources Use: CountryImplementationReview 10-CC-25-SC- Country/Area Implementation-Statusof Human Rights Use:Statusof ProjectsUnder 10-CC-25-SC- Country/Area Implementation-Country/Area-Program HumanitarianAid CofinancingOrganizations Imports 10O-CC-10-15- Country/Area 10-CC-25-SC- Country/Area Hydro Imprest Accounting-Administrative 10-CC-25-SC- Country/Area Expenses IBRD 30-15-10-- FinancialTransactions Use: InternationalBankforReconstruction& Development;Seealso: WorldBankorWorldBank Imprest Reporting Group Use: ImprestAccounting-Administrative Expenses-FinancialTransactions ICR IncidenceResponse-Security Use: Implementation CompletionReport Incidence R esponse-Security 55-45-30-- ServicesandFacilities ICSID Income Use: InternationalCentreforSettlementof 5-70--Budget Investment Disputes 50c Bug Income IDA 10-CC-25-SCCountry/Area - Use: InternationalDevelopment Association I Adequac- risk Income Adequacy-Risk IDB Use:Adequacyof Income-Risk Use: Inter-AmericanDevelopmentBank Management-institutionalFunding-Financial IdentificationCards-Security Policy&RiskManagement 55-45-25 -- Services and Facilities Income IEC 45-60-5-40 -- Managementand Oversight Use: InternationalEconomicCommissionInoeM agmt-siuinl Income Management-Institutional IFAD 25-25-20-- FinancialPolicy and Risk Use: InternationalFundforAgricultural Management Development IFC Increases-Budget Use: InternationalFinanceCorporation Use: BudgetIncreases IFIs Increases-Capital Use: InternationalFinancialInstitutions Use: CapitalIncreases-Capital Illustration-Printing,Graphics,& Management-ResourceMobilization 55-35-25-- ServicesandFacilities Increases-Capital-General ImageBank Use: GeneralCapitalIncreases-Capital 40-20-35-Information andKnowledge Management-ResourceMobilization Management Indigenous People IManagement1 0-CC-25-SC- Country/Area IMF IndustrialRestructuring Use: InternationalMonetaryFund 10-CC-25-SC- Country/Area Immunities-Personnel-Policies& Industry 52 I3ankwide Reod ClassificaiiouScheme(11S) May41r9M9 10-CC-25-SC- Country/Area InspectionPanelWorkingGroup IneligibleCountries-International Use: InspectionPanelWorkingGroup- DevelopmentAssociation Committee-Board-Management &Oversight 50-50-30-- ResourceMobilization Instituteof International Inflation Finance-Organizations-External 10-CC-25-SC- Country/Area 20-30-5 -- ExternalAffairs Informatics InstitutionBuilding 10-CC-25-SC - Country/Area 10-CC-25-SC - Country/Area Information& Knowledge InstitutionDevelopment 40 - InformationandKnowledgeManagement 10-CC-25-SC- Country/Area InformationAccess-Information InstitutionManagement & Oversight 40-25-10--InformationandKnowledge [Internal] Management 45-45 -- Management and Oversight - Substitute InformationNutritional-Food forinstitution,nameof WorldBankGroupmember, Use: NutritionalInformation-Food IBRD,IFC,ICSID,MIGA,IDA Services-Services& Facilities InstitutionalFunding InformationSolution Network 25-25-- FinancialPolicyandRiskManagement 40-30-35-35-- InformationandKnowledge InstitutionalInvestment-investment Management Transactions InformationTechnology 30-35-5-- FinancialTransactions 40-25-- InformationandKnowledgeManagement InstitutionalSupport-Income-Bank Resources InformationTechnology Association 5-70-5-15--Budget of America-Organization-External Instruments& 20-30-5--ExternalAffairs Mechanisms-Debt-Resource Information Use: DebtInstruments&Mechanisms-Debt Technology-Procurement-Market Restructuring-Resource Mobilization 55-40-20-10-- ServicesandFacilities- ByName, Insurance-Benefits-General by Type 35-15-20 -- Human Resources Information Insurance-Borrowing-Institutional Technology-Procurement-Vendors 25-25-5-20-- FinancialPolicyandRisk 55-40-40-10-- ServicesandFacilities- ByName Management Infrastructure Insurance-Facilities 10-CC-25-SC - Country/Area Use: Facilities-Field Officesor Use:Typeof,suchastransportation, Headquarters-Services& Facilities Telecommunications, etc. IntegratedRecords & Information Infrastructure-Telecommunications 40-20-40-- InformationandKnowledge &Networks Management 40-40-10-- InformationandKnowledge Integrity Management Use: Anti-corruption;Seealso: Conferences& Initiatives-President Seminars-Training & Educationor EthicsOffice 45-65-5-- ManagementandOversight Inter-AmericanDevelopment Inquiries-InspectionPanel Bank-Organizations-External 45-40-5 -- Managementand Oversight 20-30-5 -- ExternalAffairs InspectionPanel Interest Rate Risk-Risk 45-40--ManagementandOversight Management-InstitutionalFunding 53 - - - -------.... _wy z U ... X_ . p..i....X~~~~~~~~~ 25-25-35-30-- FinancialPolicy and Risk 50-50-25 -- Resource Mobilization Management International Development Interest Rate Transactions-Swap Association-Graduation-Ineligible Transactions 50-50-30-5 -- ResourceMobilization 30-45-10 -- FinancialTransactions International Development Interest Rates Association-ineligible Countries 10-CC-25-SC- Country/Area 50-50-30 -- Resource Mobilization Internal Affairs International Development Use: Organizations-Internal-ExternalAffairs Association-Institution Internal Communications 45-45 -- Managementand Oversight - Substitute Use: Organizations-Internal-ExternalAffairs; see name of World Bank Group memberfor institution also: Boardor Presidentand Executive International Development Internal Computing-Expense Association-Performance Ratings 5-65 -- Budget 10-CC-2-115- Country/Area Internal Controls-Monitoring International Development 5-75-30-- Budget Association-Replenishment-Preside Internal Documents Unit 45-60-5-45 -- Managementand Oversight 40-20-45-- Informationand Knowledge International Development Management AscainRpeihet International Bank for Association-Replenishments Reconstruction & 50-50-30 -- Resource Mobilization 45-45 -- Managementand Oversight - Substitute International Development name of World BankGroup member for Institution Association-Resource Mobilization 50-50 -- Resource Mobilization International Centre for Settlement International Development of Investment Disputes-institution Association-Task Force Small 45-45 -- Managementand Oversight - Substitute 50-50-25-5 -- Resource Mobilization name of World Bank Group memberfor Institution International Economic Commission-Databases International Development 40-15 -- Informationand Knowledge Management Association-Commitment Authority - See also: ExternalAffairs-Organizations 50-50-5 -- Resource Mobilization International Development International Finance Association-Debt Reduction Facility 45-45 -- Managementand Oversight - Substitute name of World Bank Group memberfor Institution 50-25-20-- ResourceMobilization International Development Association-Deputies Meetings International Financial 50-50-10 -- Resource Mobilization 20-30-5 -- ExternalAffairs International Development Association-Donor Burdensharing International Fund for Agricultural 50-50-15 MbilizationDevelopment-Organizations- Resource External 50-50-15-- Resource Mobilization -- 20-30-5 -- ExternalAffairs International Development Association-Donor Countries International Monetary 50-50-20 -- Resource Mobilization 20-30-5-- ExternalAffairs International Development Association-Eligible Countries International Organizations 54 X Keeping Records- How to file and find Annex documents May 1999 ::: ::: :: ....... .................. . - - . ... ..... ....... .. . .. . 'ntkwldeRekt6i W1RCS); My619 InternationalOrganizations 30-35-- FinancialTransactions-ByTransaction 20-30-5--ExternalAffairs-Seealso: InvestorsBorrowingTransactions Cofinancing &AidCoordination 30-25-10 --FinancialTransactions InternationalTrade Invitations-Conferences/Seminars 10-CC-25-SC- Country/Area [Non-Bank] Internet-InformationAccess 20-20-5--ExternalAffairs 40-25-10-15--InformationandKnowledge IRIS Management Use:Integrated Records&InformationService Interns-Recruitment Iron&Steel 35-40-20--HumanResources 10-CC-25-SC - Country/Area Interpretation& Irrigation& Drainage Translation-Conference Services 10-CC-25-SC- Country/Area Use:Translation&Interpretation-Conference Issuances-Publications (Internal Services-Services &Facilities 45-70--Management andOversight Interpretations-Basic Issuances-Publications[External Use:Updates/Interpretations-Basic 20-45-15--ExternalAffairs Documents-Institution-Management &Oversight Issues Interviews-Employment Bysubjectnameunderanyprimaryclassification Use:JobInterviews-Recruiting-Human Issues Resources Use:Environmental Issues Interviews-MediaRelations Paper-Country/Area-Program 20-25-10--ExternalAffairs Issues-Compliance-Development InventoryControl-Procurement& Use:ComplianceIssues-DevelopmentActivities 55-40-15--Services andFacilities Issues-Gender-Personnel InvestmentAgreements-Disputes& Use:GenderIssue-Personnel-General-Human Arbitration-Institution Resources 45-45-20-15--ManagementandOversight ITAA InvestmentDisputes-Disputes& Use:InformationTechnologyAssociationof Arbitration-Institution America 45-45-20-20--ManagementandOversight Itineraries-Travel InvestmentInstitutional 55-60-15--ServicesandFacilities Use:InstitutionalInvestment-Investment Japan-PHRD-TrustFunds Transactions-FinancialTransactions 50-70-15--Resource Mobilization InvestmentLaws-Legislation JobAnnouncements-Recruitment 45-47-15--ManagementandOversight 35-40-25HumanResources -- InvestmentLendingProjects JobDescription-Personnel 15-55--DevelopmentActivities 35-30-40--HumanResources InvestmentPension JobFamily Use:PensionInvestment-Investment Use:Occupational Streams Transactions-FinancialTransactions JobGrading-Personnel InvestmentProgram-PublicSector 35-30-45--HumanResources 10-CC-25-SC- Country/Area JobInterviews-Recruitment InvestmentProgram-Public 35-40-30--HumanResources Use:PublicSectorInvestment JobPostingService-Recruitment Program-Country/Area-Program 35-40-35 --HumanResources InvestmentTransactions JointBank-FundLibrary 40-20-60-5--Information andKnowledge 55 BankwbleReod LLi. C1;;aA~ S 3,(BRCS) Miay Management Kyoto Treaty Joint Japan/World Bank Graduate 10-CC-25-SC - Country/Area Scholarship Kyoto Treaty-Legislation Use: Bilateral & MultilateralTreaties & Use: Scholarships/Fellowships-Community Agreements-Legislation-Management& Outreach-ExternalAffairs Oversight Joint Libraries Information System Labor Markets 40-20-60-10 -- Informationand Knowledge 10-CC-25-SC- Country/Area Management LAIX JOLIS Use: Latin America InfrastructureXchange Use: Joint Libraries InformationSystem Land Management JPS 10-CC-25-SC - Country/Area Use: Job PostingService Land Reclamation Jubilee 2000-Organizations-External 10-CC-25-SC- Country/Area 20-30 -- ExternalAffairs - See also: Debt and Land Resettlement Debt ServiceReduction or Heavily Indebted Poor 10-CC-25-SC- Country/Area Countries Languages-Translation & Judicial System 55-55-5 -- Servicesand Facilities- See also: 10-CC-25-SC- Country/Area ConferenceServices-Translation& Interpretation Jurisdiction-Consent to Late Payment Notices Use: Consent to Jurisdiction-Disputes& Use: Payments-Country/Areaor Payments Arbitration-Institution-Management& Oversight Overdue-Creditworthiness KDB Latin America Infrastructure Use: Korean DevelopmentBank Xchange-Databases Key Officials-Country 40-15 -- Informationand Knowledge Management Use: Directory/Key Officials-Country/Area-Information Laws-Arbitration Key Readings-Knowledge Use: Arbitration Laws-Legislation-Management& 40-30-15 -- Informationand Knowledge Oversight Management Laws-investment Kiosk-Information Access Use: InvestmentLaws-Legislation-Management& 40-25-10-20-- Informationand Knowledge Oversight Management LDNs Knowledge Management Use: Least DevelopedNations 40-30 -- Informationand Knowledge Management Learning & Innovation Loans 15-55-- Development Activities Knowledge Management System Learning & Leadership Center 40-30-20-- Informationand Knowledge Use:World Bank Institute Management Learning Initiative-Training (Staff) Knowledge 35-50 -- HumanResources Management-President-Initiatives Leases- Facilities-Field Offices 45-60-5-50-- Managementand Oversight 55-20-10-10-- Services and Facilities Korean Development Leases-Facilities-Headquarters Bank-Organizations-External 55-20-15-10-- Services and Facilities 20-30-5 -- ExternalAffairs Least Developed Nations KPMG Peat 110-CC-25-SC- Country/Area 20-30-5-- ExternalAffairs Leave Benefits-General 56 Keeping Records - How to file and find May 1999 -------.................. Annex......................... documents . ........ ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~...; ....... h. ................................... -yi. -a s"i n BankWid *Rec wr lcC~sfaarScheie (ARP)~-~ a 6 35-15-25-- HumanResources Liaison-ExportCredits Program Leave Records-StaffMember 50-30-10-- ResourceMobilization 35-35-- HumanResources Liaison-Organizations-External Leave Requests-StaffMember Use:Organizations-External-External Affairs 35-35-- HumanResources Liaison-Units-Internal Leave Schedules-StaffMember Use:Organizations-Internal-External Affairs 35-35-- HumanResources LIBOR LegalInformationServices Center Use: LondonInter-BankOfferRate 40-20-55--InformationandKnowledge Libraries Management 40-20-60-- InformationandKnowledge LegalIssues Management Use: Legislationor Litigation-Management& Life Insurance-Benefits-General Oversight 35-15-20-5--HumanResources LegalReform LIL 10-CC-25-SC - Country/Area Use:Learning&InnovationLoans Legislation Liquidity Requirements-Institution 10-CC-15-30- Country/Area Use:Borrowing/LiquidityRequirements-Risk Legislation Management-Institutional Funding-Financial 45-47-- Managementand Oversight- By Policy Country/Area Lists-Distribution LendingAccounting Use: DistributionLists-Mail& 30-40--FinancialTransactions Distribution-Services& Facilities LendingAllocation Review Lists-RecordsTransfer 10-CC-20-120- Country/Area Use: RecordsTransfer Lists-Archives-Documents-Information & Lending Financial Knowledge Management 25-30--FinancialPolicyandRiskManagement LendingInvestmentGuidelines Litigation 15-10--DevelopmentActivities 45-50-- ManagementandOversight- BySubject Name LendingInvestmentPolicies 15-10 -- Development Activities LLC LendingInvestmentStrategy Use:WorldBankInstitute 15-65--DevelopmentActivities LoanAccounting LessonsLearned 30-40-10--FinancialTransactions 40-30-25-- InformationandKnowledge Loan Benefits-General Management 35-15-30 -- Human Resources Lettersof Loan Disbursement AppointmenVAcceptance/Extension 30-40-15--FinancialTransactions Use: Personnel-StaffMember-Human Resources Loan Disbursement-Lending 25-30-5-5-- FinancialPolicyandRisk Levels/Grades-Staff Management Use:JobGrading-Personnel-Human Resources Loan Products-Lending Liability Management-Institutional 25-30-10-10-- FinancialPolicyandRisk 25-25-30-- FinancialPolicyandRisk Management Management Loan Repayment-Lending Liaison-Donor-TrustFunds 25-30-15-15-- FinancialPolicyandRisk Use: DonorLiaison-TrustFunds-Resource Management Mobilization LocalOffice Service 57 ~~~~~~~~~~~~~~~* 0 Sm Use: DeskTopProducts-information Equipment-DeskTop Products Technology-Information & Knowledge 40-25-5-15-- InformationandKnowledge Management Management LocalOffices Maintenance& Repair-Facilities 10-CC-20-1 10- Country/Area 55-20-25 -- Services and Facilities LocalOffices-Facilities Maintenanceof Value-Capital 55-20-10 -- Services and Facilities- By 50-15-20--ResourceMobilization Country/Area Major OrganizationalCodes Use: Organizational Structure-Management & Local Oversight Offices-Telecommunications-Infrastructure 40-40-10--InformationandKnowledge Management& Oversight Management 45- Management andOversight ManagementBriefings/VIPVisits LocalStaff-FieldOffices 10-CC-20-125-Country/Area Use: Personnel-StaffMember-Human Resources ManagementCapital-Resource Use:CapitalManagement-Resource Mobilization LocalTransportation-Expense 5-65 -- Budget Management Cash Log-Found-Security Use:CashManagement-institutional Use: FoundLog-Security-Services & Facilities Funding-FinancialPolicy& RiskManagement London Club-Organizations-External ManagementCountry Assistance 20-30-5 -- External Affairs - See also: Debt Use: CountryAssistance reduction Management-Country/Area-Program London Inter-BankOffer Rate ManagementCurrency Use: InterestRates-RiskManagement-Financial Use CurrencyManagement-cnstitutional PolicyandRiskManagement Funding-FinancialPolicy& RiskManagement Long DistanceTravel-Expense Management Income 5-65-- Budget Use: IncomeManagement-Institutional LotusNotes-DeskTop Products Funding-FinancialPolicy& RiskManagement 40-25-5-10-- InformationandKnowledge Management Management Liability LotusNotes-InformationAccess Use: LiabilityManagement-Institutional 40-25-10-25-- InformationandKnowledge Funding-FinancialPolicy&RiskManagement Management Management Review Machines-Office-Procurement-Services& Facilities Use: Performance Use:OfficeMachines,Procurement& Management-Personnel-General-Human Supplies-Services& Facilities Management Risk Use: RiskManagement-institutional Macroeconomics Funding-FinancialPolicy&RiskManagement 10-CC-25-SC Country/Area - ManagementTeam MAI 45-53 -- Managementand Oversight Use: MultilateralAgreementon Investment ManagementTeam Meetings Mail & Distribution Use: ManagementTeam-Management & 55-30 -- Services and Facilities Oversight Mail & Messaging-Information ManagingDirectors 40-25-10-30--InformationandKnowledge Use: PresidentandExecutive-Management & Management Oversight MaintainedOffice Technology Manpower 58 Keeping Records - How to file and find Annex documents May 1999 t ~~~~~~~~~~~~. ,... ,,..........,,,00,..,.M.,............................ :--..............a ...Re -.Aankwide K * .~~~~..... .... May.6...999 61w 10-CC-25-SC - Country/Area Use: ExternalOrganizations-ExternalAffairs Manpower Plans Meetings-Funding Use:ActionPlans-Recruitment-Human Use: FundingCoordinators Resources Meetings-Funding-General-Resource Manuals-Publications Meetings-ManagementTeam 20-45-20-- ExternalAffairs Use: Management Team-Management & Manufacturing Oversight 10-CC-25-SC - Country/Area Members'Shareholding-Capital Market Research-Procurement& Management 55-40-20-- ServicesandFacilities 50-15-25--ResourceMobilization Marketing Membership-institution 10O-CC-25-SC- Country/Area 45-45-30-- Management andOversight Materials-Training-Dissemination Memorandumof Understanding Use: TrainingMaterials-Dissemination-Training Use: Maybeunderanyprimaryorsecondary &Education classification McNamara Fellowships Menus-FoodServices Use: Scholarships/Fellowships-Community 55-25-20--ServicesandFacilities Outreach-ExternalAffairs MERCOSUR Media Relations Use:SouthernConeCommonMarket 20-25--ExternalAffairs Messaging-Information MedicalBenefits Use:Mail&Messaging-Information Use: Benefits-Medical-HumanResources Access-Information&KnowledgeManagement MedicalInformation-StaffMember MFIMP 35-20-- HumanResources- Byname,confidential Use: MultilateralFundfor Implementationof the MontrealProtocol MedicalInsurance-Benefits Mid-YearReview-Monitoring 35-15-20-10-- HumanResources 5-75-35-10--Budget MediumTerm FrameworkPaper MIGA Meetings Use: MultilateralInvestmentGuaranteeAgency Bynameunderanyprimaryclassification. Millennium Bug-Computers Meetings-Anniversary Use:Telecommunications& Network Use: AnniversaryMeetings-Management& Infrastructure-information & Knowledge Oversight Management foryear2000 Meetings-Annual Minerals Use: AnnualMeetings-Country/Area-Program 10-CC-25-SC Country/Area - Meetings-Annual-Institution Mining& Other Extractives Use:AnnualMeetings-Management&Oversight 10-CC-25-SC- Country/Area Meetings-Board-Institution Ministries 45-45-10-25-- ManagementandOversight 10-CC-15-35 - Country/Area Meetings-Deputies-International Mission Terms of Reference DevelopmentAssociation 15-55-- DevelopmentActivities Use: DeputiesMeetings-International Mission-Establishmentof Field DevelopmentAssociation-Resource Mobilization Use: Leases-Field Offices-Facilities-Services & Meetings-Donor-GlobalEnvironment Facilities.Seealso: Country/AreaProgram Use: DonorMeetings-GlobalEnvironment Mission-Non-Project Facility-Resource Mobilization 10--Country/Area/ [Nameof Country/Area] - Use: Meetings-External 59 Country/AreaProgram-General NAFTA MOO Use: NorthAmericanFreeTradeAgreement Use: MajorOrganizationalCodes National Income Modeling 10-00-25-SC - Country/Area 10-00-25-SC - Country/Area National Organizations Models-Financial Use:Organizations-External-External Affairs Use: FinancialModels-FinancialPolicy&Risk Natural Gas Management[outputsonly] 10O-00-25-SCCountry/Area - MonetaryPolicy& Performance Natural ResourcesManagement Monitoring-Budget 10O-00-25-SCCountry/Area - 5-75-- Budget NEAP Monographs-Publications Use: EnvironmentalActionPlan 20-45-25 -- ExternalAffairs Negative Pledge Monthly AdministrativeReview Use: General-Country/AreaProgram Use: Monitoring-Budget 50-4-20gemestourcetMoblizaio Newok-EnvirS- onmntaly/A&e Network Monthly EconomicUpdates Security-Telecommunications& 10O-00-25-SC - Country/Area 40-40-10-- InformationandKnowledge Monthly Status Reports Management Use: Monitoring-Budget Networks 40-30-35-- InformationandKnowledge Montreal Protocol-Global Management EnvironmentFacilityMetworks-EnPlionmestNlua G 50netary Poliy &PesurcMobzatince NSociallySustainable Development MoU Use: Name of & Networks-Knowledge Use: Memorandumof Understanding Management-information& Knowledge Moves-Facilities-FieldOffices Management 55-20-10-15-- ServicesandFacilities Moves-Facilities-Headquarters Networks-Finance,PrivateSector & 55-20-15-15-- ServicesandFacilities Infrastructure MP Use:Nameof &Networks-Knowledge Use: MontrealProtocol Management-Information& Knowledge Management MTFP Use: MediumTermFrameworkPaper Networks-HumanDevelopment Multilateral Agreementon Use: Nameof &Networks-Knowledge Multilateacl InvestmentdGuarateercnmisaagmn Use: Bilateral& MultilateralTreaties& Management-Information&Knowledge Agreements-Legislation-Management & Management Oversight Networks-Operational Core Multilateral Fundfor Use: Nameof &Networks-Knowledge Imple:Mentatondof theontrertang Management-Information& Knowledge Implementation the MontrealManagement of 50-40-20-- ResourceMobilization MultilateralInvestment Guarantee Networks-PovertyReduction& Agency-institution Inomicture 45-45--Managementand Oversight- Substitute namePofMngmt and oversigh Sustitute Use: Nameof &Networks-Knowledge Management-information& Knowledge name:ofWontraldBanroupcomemberforinstitutionManagement Municipal Development New ProductsFund-Internal 10-00-25-SC - Country/Area Use: Strategy-Management& Oversight 60 Keeping Records - How to file and find Annex documents May 1999 ~~~~Bi:kit -:.~4 -1sncto Sceme fB ) Mafy6, 999 NewProducts-President-Initiatives Occupancy-Space-Headquarters-Facilities 45-60-5-55--ManagementandOversight Use: Space News Clippings Occupancy-Headquarters-Facilities-Services & 10-CC-15-40 - Country/Area Occupational Streams-Personnel News Clippings-MediaRelations 35-30-55-- HumanResources 20-25-15-- ExternalAffairs OCS News Releases-MediaRelations Use: OperationalCoreServices 20-25-20-- ExternalAffairs ODC Newsletters Use: OverseasDevelopment Council 20-45-30-- ExternalAffairs OECD NGO Use:OrganizationforEconomicCooperation& Use:Non-Governmental Organizations Development NILS OECF Use:Non-LendingServices Use:Organizationfor EconomicCooperation Nominations-Training Fund 35-50-15--HumanResources OECS Non-GovernmentalOrganizations Use:Organizationof EasternCaribbeanStates Use: Organizations-External-ExternalAffairs Office Field-Facilities Non-LendingServices-Economic& Use: FieldOffices-Facilities-Services &Facilities SectorWork OfficeMachines-Procurement-Asset 15-40-- DevelopmentActivities Disposal Non-Regular-StaffMember 55-40-5-15--ServicesandFacilities 35-35-5--HumanResources- Byname, Office confidential;Seealso: 5-65-5-10--Budget Regularization-Personnel-General Office Supplies-Procurement NorthAmerican FreeTrade 55-40-25--ServicesandFacilities Use: Bilateral& MultilateralTreaties& Agreements-Legislation-Management & Office Technology Oversight Use: Information technology OfficialCofinancing NRS 50-55-- ResourceMobilization NRuclear OfficialCorrespondence-Country Nuclear -CC-25-SC-Country/ArUse: BorrowerCorrespondence 10-CC-25-SC- Country/Area OfficialDocuments-Documents, Nutrition Records & Repositories 10-CC-25-SC - Country/Area 40-20-65-- InformationandKnowledge NutritionalInformation-Food Management 55-25-25--ServicesandFacilities OfficialVisits OAU Use:ManagementBriefings/VIP Use: OrganizationofAfricanUnity Visits-Country/AreaProgram Obligations & Rules-Personnel Oil & Gas 35-30-50--HumanResources 1O-CC-25-SC- Country/Area Occupancy-Office-Expenses Oil & Gas Exploration Use: Office Occupancy-Allocated-Expenses-Budget 10-00-25-SC- Country/Area Oil & Gas Transportation Occupancy-Space-Field 10-CC-25-SC- Country/Area Use:SpaceOccupancy-Facilities-Services & Ombudsman-Grievances/Appeals 35-25-20--HumanResources- ByCaseNo. 61 Onnan, Kofi-People Oversight 20-35-- ExternalAffairs- UnitedNations, rn n Secretary_General 40-3035-4Kofi InformtoladKoweg OSCerih 20-30 -- ExternalAffairs Operational Core Services Network OSCE 40-30-35-40-- InformationandKnowledge Use: OrganizationforSecurity&Cooperationin Management Europe Operational Core OT Services-Standards-Information OfficeTechnology;useInformationTechnology 40-25-20-10-- InformationandKnowledge Other ResourceMobilization Management 50-60 -- Resource Mobilization Operations Evaluation Other Trust Funds 45-55 -- Managementand Oversight 50-70-20 -- ResourceMobilization Operations-Board-Institution Outreach-Community 45-45-10-30-- ManagementandOversight Use:CommunityOutreach-ExternalAffairs OPIC OutsideActivities-Personnel Use: OverseasPrivateInvestmentCorporation 35-30-60-- HumanResources Orders-Purchase-Procurement OutsideResources Use: PurchaseOrders-Procurement-Services& Use: Partners/Clients/Outside Facilities Resources-KnowledgeManagement-Information OrganizationCofinancing &KnowledgeManagement OrganizationExternal Outsourcing-Personnel 20-30-5 -- ExternalAffairs - File by name or by type 35-30-65 -- HumanResources andthenname,suchas: Governmental, Overdue Service International,Non-Governmental,UN Payments-CountryCreditworthiness Organizationfor Economic 25-15-20-- FinancialPolicyandRisk Cooperation& Management 20-30-5-- ExternalAffairs Overhead-Expense Organization for Security & 5-65 -- Budget Cooperationin Overseas Development 20-30-5-- ExternalAffairs Council-Organization-External OrganizationInternal 20-30-5-- ExternalAffairs 20-30-10-- ExternalAffairs- Separatebyunit Overseas Private Investment MOCasnecessary.Seealso: Executive& Corporation-Organization-External President,Management&Oversight 20-30-5-- ExternalAffairs Organizationof African Overtime-Expense Unity-Organization-External 5-65 -- Budget 20-30-5-- ExternalAffairs Overtime-Personnel Organizationof EasternCaribbean 35-30-70-- HumanResources States-Organizations-External Oxfam 20-30-5 -- ExternalAffairs 20-30-5 -- ExternalAffairs Organizationof the Islamic PAD Conference-Organizations-External Use: ProjectAppraisalDocument 20-30-5 -- ExternalAffairs PAHO OrganizationalStructure Use: PanAmericanHealthOrganization Use:StructuralChange-Institution[Nameof PanAmerican Health WorldBankGroupMember]Management& Organization-Organizations-External 62 _ ~Records - How to file and find May 1999 ; S ............. ex -:::- BankwideRe rdsCtk~ Scheme }BRCS),.May 6X199 20-30-5 -- ExternalAffairs Pension Finance Panel-Inspection Committee-Committee-Board-Institution Use: InspectionPanel-Management &Oversight 45-45-10-5-- ManagementandOversight Pension Investment-Investment Panels Transactions Use: Anyprimaryclassification;filebyname 30-35-10-- FinancialTransactions Paper People 10-CC-25-SC- Country/Area 20-35 -- ExternalAffairs - By last name ParisClub-Organization-External PeopleSoft-Databases-Procurement 20-30-5--ExternalAffairs- Seealso: Debt 55-40-10-15-- ServicesandFacilities reduction PEP Parking-Facilities Use: ProfessionalExpertiseProfile 55-20-30 -- Services and Facilities PER Parties-Political Use: PublicExpenditureReview Use: PoliticalParties-Country/Area-Information Perennial Crops Partners/Clients/OutsideResources 10-CC-25-SC - Country/Area 40-30-40--InformationandKnowledge PerformanceManagementProcess Management 35-30-75 -- HumanResources Partnerships-President-Initiatives Performance Ratings-International 45-60-5-60-- Management andOversight DevelopmentAssociation Passes-Travel Use: InternationalDevelopment Association Use: Passports/ Visas/ Passes-Travel-Services PerformanceRatings-Country/Area-Program & Facilities Personnel Passes-Visitors-Security Committee-Committee-Board-Institution Use: VisitorPasses-Identification 45-45-10-5-- Management andOversight Cards-Security-Services & Facilities Personnel-AnnualMeetings Passports/Visas/Passes-Travel 45-15-15-- Management andOversight 55-60-20--ServicesandFacilities Personnel-General Payments 35-30 -- Human Resources 10-CC-20-135- Country/Area Personnel-StaffMember Payments-Overdue-Country 35-35 -- Human Resources- By name,confidential Use:OverdueServicePayments-Country Creditworthiness-Financial Policy&Risk Pest Management Management Payroll/Tax-Administrative 10-CC-25-SC- Country/Area 30-15-15-- FinancialTransactions Petrochemicals PBA 10-CC-25-SC - Country/Area Use: Professional BankersAssociation Petroleum PCD 10-CC-25-SC- Country/Area Use: ProjectConceptDocument PettyCash-FieldOffices Peat Use: ImprestAccounting-AdministrativeExpenses 10-CC-25-SC - Country/Area PFP PensionAdministration Use: PolicyFrameworkPaper 10-CC-25-SC - Country/Area Pharmaceuticals PensionAdministration-Treasury 10-CC-25-SC - Country/Area Payments& Settlements Photocopy-Reprographic 30-50-10-- FinancialTransactions 63 55-35-35-5 -- Services and Facilities 30-10 -- FinancialTransactions Photographs-PromotionalMaterials Policies& Procedures-Human 20-40-20 -- ExternalAffairs 35-10 -- Human Resources Photography-Printing Policies& Procedures-Information 55-35-30-- ServicesandFacilities & KnowledgeManagement PHRD 40-10--InformationandKnowledgeManagemer,t Use:Japan-PHRD PHRD-Japan-TrustFunds Policies& Procedures-Management Use:Japan-PHRD-TrustFunds-Resource & Oversight Mobilization 45-10--ManagementandOversight PIP Policies& Procedures-Resource Use: PortfolioImprovementProgram Mobilization Pipelines 50-10 -- ResourceMobilization 10-CC-25-SC- Country/Area Policies& Procedures-Services& Plans-Business 55-10--ServicesandFacilities Use: BusinessPlan-Management &Oversight Policies& Procedures-Training& Plans-BusinessContinuity 60-10--TrainingandEducation 45-30-5 -- Management andOversight - By Unit P 0-10 AdvTraining at Plans-Environmental ~~~~~Policy Advice-Lendingor Plans-Environmental Use: ProjectsorAdviceandReview-Development Use: EnvironmentalAction Activities Plan-Country/Area-Program Plans-Floor-Facilities PolicyAdvice-ProjectFinance Use: SpacePlans 50-65-5-- ResourceMobilization Policy FrameworkPaper-Country Plans-Space-FieldOffice-Facilities Use:CountryPolicyFramework Use: SpacePlans-Field Paper-Country/Area-Program Offices-Facilities-Services& Facilities Policy Research& Development Plans-TechnicalAssistance Use: PolicyandProcedures Use: Projects-Development Activities Political Parties Plans-Training(Staff) 10-CC-1 5-45- Country/Area 35-50-20--HumanResources Political-Country Plants-Facilities Use: Socio/Political-Country/Area-Information 55-20-35--ServicesandFacilities PollutionControl Policies& Procedures-Budget 10-CC-25-SC- Country/Area 5-10 -- Budget Population Policies& Procedures-Country/Area 1o-CC-25-SC- Country/Area 10-10-- Country/Area/ PoliciesandProcedures Population,Health& Nutrition Policies& Procedures-Development 10-CC-25-SC - Country/Area Activities 15-10-- DevelopmentActivities PortfolioImprovement Use: CountryPortfolioImprovement Policies& Procedures-External Program-Country/Area-Program 20-10-- ExternalAffairs PortfolioPerformance Review Policies& Procedures-Financial Use: CountryPortfolioPerformanceReviewor Policy & Risk Management AnnualPortfolioPerformance Review 25-10--FinancialPolicyandRiskManagement PortfolioPerformance Policies& Procedures-Financial Use: AnnualReporton Portfolio Transactions Performance-Country/Area-Program 64 Annex documents May 1999 iBanki.de Recor as atifn Scheme CS) M 6,19 PortfolioPerformance Press Briefings Use:CountryPortfolioPerformanceReview Use: PressReleases-External Affairs Ports PressReleases 10-CC-25-SC - Country/Area 10-CC-15-50 - Country/Area PositionDescription PressReleases-MediaRelations Use: JobDescription-Personnel-Human 20-25-20 -- ExternalAffairs Resources PresslerAmendment Post Conflict Use: U.S.ArmsControl&ExportAct 45-60-5-65-- Management andOversight Price-WaterhouseCoopers-Organizations- PostalServices External 10O-00-25-SCCountry/Area - 20-30-5 -- ExternalAffairs Pouches-Diplomatic-Mail& Primary Education Use: DiplomaticPouches-Mail & 1 E-CC-25-SC- Country/Area Distribution-Services &Facilities Printing,Graphics & Map Design Poverty Immersion 55-35 -- ServicesandFacilities Use: Programs-Training&Education Printing-ReprographicServices Poverty Reduction 55-35-35-10-- ServicesandFacilities 10-CC-25-SC - Country/Area Private Organizations PovertyReduction& Economic Use:Organizations-External-ExternalAffairs ManagementNetwork Private Sector Development 40-30-35-45-- InformationandKnowledge Private Sector Management I10-CC-25-SC- Country/Area Power Development-President-Initiative 1O-CC-25-SC - Country/Area 45-60-5-70 -- ManagementandOversight PPF Private Sector-Public Use: ProjectPreparationFacility Use: PublicPolicyforthe Private Practices-Best-Development Sector-Documents-Information&Knowledge Use: BestPractices-Development Activities Management Pre-lnvestmentPortfolio Private VoluntaryOrganizations PREM Use: Organizations-External-External Affairs Use: PovertyReduction&Economic Privatization Management-Network 10-CC-25-SC- Country/Area Prepayments Privileges & Use: Payments-Country/Area-Program Immunities-Institutional-Policies& Presentations Presentations~ ~ 45-10-5--Managementand Oversight Use: Speeches/ Presentations/ Articles-External Affairs Privileges& Immunities-Policies& Procedures President 45-60-3 -- Management andOversight 35-10-- HumanResources President& Executive Procedures 45-60 -- ManagementandOversight Use: PoliciesandProcedures,anyprimary classification President-initiatives 45-60-5-- ManagementandOversight Procurement& Supplies President-Promisesto Vice 55-40 -- ServicesandFacilities Presidents& Directors ProcurementAssessment Use: CountryProcurementAssessment 45-60-10-- ManagementandOversight Report/Country/Area-Program 65 -4 Procurement Non ProjectSpecific Use: TopicalInformation-Country/Area 15-50--DevelopmentActivities ProgramSpecial Assistance Procurement ProjectSpecific ProgramTraining (Bank-Sponsored) Filein procurement batcheswithappropriate 60-55--TrainingandEducation checklist ProjectAppraisal Document Procurement-Country Use: Projects-Development Activitiesor Business Use: Disbursements, Procurement, ProcessInnovation--Organization Audits-Country/Area-Program[fornon-specific Project CompletionReport Product Lending Use: Implementation CompletionReport Use: LendingProducts-Financial Policy&Risk Project Concept Document Management Use: Projects-Development Activitiesor Business ProductLoan ProcessInnovation-Organization Use: LoanProducts-Lending-FinancialPolicy& Project DevelopmentActivities RiskManagement 15-55--DevelopmentActivities- Alltypes ProductNew-Internal Project ExportCredits Program Use: NewProducts 50-30-15-- ResourceMobilization ProductOutputs-Research Project FinanceProgram Use: ResearchProduct 50-65-- ResourceMobilization Outputs-Research-Information& Knowledge ProjectGuarantee Operations ProductPricing& 50-45-10-- ResourceMobilization Configuration-Information Project PerformanceAudit 40-25-5-20--InformationandKnowledge Reports-OperationsEvaluation Management 45-55-15-- Management andOversight- By ProfessionalBankers Sector,thenCountry Association-Organizations-External Project PreparationFacility 20-30-5--ExternalAffairs Use: Projects-Development Activities;Seealso: ResourceMobilization ProfessionalEthics Use: EthicsOfficeorAnti-corruption or Project FinanceProgram Conferences& Seminars-Training &Education 50-65-5-- ResourceMobilization ProfessionalExpertise Project Public Access to Records Profile-Knowledge Use: PublicAccess Project-Archives-Documents-Information & 40-30-60-10--InformationandKnowledge KnowledgeManagement Management- Seealso: Peopleand Profiles-People Project Risk List-QualityAssurance 45-70-5-- Management andOversight- Use: Profiles-People QualityAssurance-Management &Oversight 20-30--ExternalAffairs- Seealso: Professional ExpertiseProfile Project Status Report-Lending 15-55-- DevelopmentActivities- Supersedes Program Conferences/Seminars Form590 20-20-10--ExternalAffairs- Non-Banksponsored ProjectUnderExecution Program Discount-Travel Use: Statusof ProjectsUnder Use: DiscountPrograms-Travel-Services& Implementation-Country/AreaProgram Facilities Project Under Preparation Program ExternallyFunded-Income Use: Statusof ProjectsUnder Use: ExternallyFundedPrograms-income Implementation-Country/AreaProgram Program Objective ProjectWatch List-Quality 66 Annex documents Mav 1999__ _- 45-70-5-- Management andOversight Management Projections&RevisedMinimum PublicRelations StandardModel Use: MediaRelations-ExternalAffairs Projections-Revenue-Funding PublicSector ExpenditureReview Use: Revenue Public Sector InvestmentProgram Projections-Funding-General-Resource Public Sector Management Promisesto Vice-Presidents& PublicationTask Force Directors by President 40-20--InformationandKnowledgeManagement 45-65-10-5--Management andOversight PromotionalMaterials/Products Publications 20-40-- ExternalAffairs 20-45--ExternalAffairs Promotional Products Publications& Issuances Use: PromotionalMaterials/Products 45-65-- Management andOversight Property PublishedReports-Publications Use: Inventories-Services& Facilities 20-45-35-- ExternalAffairs PropertyRights Pulp & Paper 10O-CC-25-SC - Country/Area 10-CC-25-SC- Country/Area ProposedProjects Purchase Orders-Procurement& Use: Projects-DevelopmentActivities 55-40-30--ServicesandFacilities ProspectSummaries PVOs Use: BusinessPlan Use: PrivateVoluntaryOrganizations ProtectionSystems-Fire-Security PwC 55-45-15-10-- ServicesandFacilities Use: Price-Waterhouse Coopers Protocol-Policies& Procedures QMR 35-10-- HumanResources Use:QuarterlyMonitoringReports PSER Quality Assurance Use: PublicSectorExpenditureReview 45-70-- Management andOversight- ByProject PSIP NameandNo. Seealso: Projects-Development Use: PublicSectorInvestmentProgram Activities& ProjectAppraisalDocument PSR Use: ProjectStatusReport Quarterly Monitoring PublicAccess Project Advisory 5-75-35--Budget Board-Documents-Archives Ratifications-Institution-Disputes& 40-20-5-10-- InformationandKnowledge Arbitration Management 45-45-20-25--Management andOversight PublicAccess RatingAgencies-Risk 40-20-5-5-- InformationandKnowledge Management-InstitutionalFunding Management 25-25-35-35-- FinancialPolicyandRisk Public Administration Management 10--Country/Area/ [NameofCountry/Area] Ratings-Borrowing-Institutional Public EnterpriseReform 25-25-5-25--FinancialPolicyandRisk Public Expenditure Review Management Use: PublicSectorExpenditureReview Reassignments Public Policyfor the Private Use: Assignments-Personnel-General-Human Sector-Documents,Records& Resources 40-20-70-- InformationandKnowledge Receivables-Asset& Budget 67 |~ ~~Buwd Rerd Ma, 6, 19 30-20-15-- FinancialTransactions Relations-Board-Institution Reconciliation-Bank 45-45-10-35-- Management andOversight Use: ImprestAccounting-Administrative Relations-Donor-Official Expenses-FinancialTransactions Use: DonorRelations-Official Reconstruction Cofinancing-ResourceMobilization 10-CC-25-SC- Country/Area RelocationTravel Benefits-General RecordsManagement 35-15-40-20-- HumanResources Use: Documents,Recordsand Remote Repositories-information &Knowledge Access-Telecommunications& Records Management-Sector 40-40-10--InformationandKnowledge RecordsRetention& Destruction Management Schedule-Policies& Procedures Renewal-Systems 40-10--InformationandKnowledgeManagement Use: SystemsRenewal-Infrastructure-Information & KnowledgeManagement RecordsTransfer Rent 40-20-5-10-- InformationandKnowledge Use:LeasesorExpenses Management Rentals-Car-Vendors-Travel Recruitment Use:Car Rentals-Vendors-Travel 35-40--HumanResources Reorganization-StructuralChange Red Cross-Organizations-External 45-45-40-5--ManagementandOversight 20-30-5--ExternalAffairs Repair& Maintenance-Facilities ReducedWork Schedules Use: Maintenance& Repair-Facilities-Services & Use:WorkSchedules-Personnel-General-Human Facilities Resources Repayment-Loan Reductions-Budget Use: LoanRepayment-Lending-Financial Policy& Use: BudgetReductions RiskManagement Redundancy-Personnel Replenishments-GlobalEnvironment 35-30-80--HumanResources 50-40-25-- ResourceMobilization Refining,Storage & Distribution Replenishments-Institution 10-CC-25-SC - Country/Area 45-45-35-- ManagementandOversight RegionalIRISSupport Centers Replenishments-international 40-20-50--InformationandKnowledge DevelopmentAssociation Management 50-50-35 -- Resource Mobilization RegionalManagementTeam Reports-Budget Use: ManagementTeam-Management& 5-75--Budget Oversight Reports-Debt-Country RegionalOperationsCommittee Use: DebtReporting-Country/Area-Program Use:Projects-Development Activities Reports-Published RegionalSupport Centers Use: PublishedReports-Publications-External Use: RegionalIRISSupport Affairs Centers-Documents-Information& Knowledge Management Reports-Quarterly Use: QuarterlyMonitoringReports-Budget Regular-Personnel-StaffMember Reports-Training(Staff) 35-35-10 -- Human Resources- Confidential 35-50-25 -- Human Resources Regularization-Personnel Repositories 35-30-85 -- HumanResources- See also: See: Documents,Records and Non-Regular-Personnel-StaffMember Repositories-Information &Knowledge 68 Annexdocuments d ..... . ........ ... a.s .~~~~...... S.. .... 'i"' B.ankwde.e '' i- Classiiatiu S,he cS) May , 1"9 Representation/Hospitality Debt-ResourceMobilization 20-50--ExternalAffairs Use: CountryDebtRestructuring-Debt ReprographicServices Restructuring-ResourceMobilization 55-35-35-- ServicesandFacilities Restructuring-Debt-Resource Repurchases-Debt Use: DebtRestructuring-Resource Mobilization Use: DebtRepurchases-Financial Transactions Results Agreement& Requestsfor Inspection-Inspection Assessment-Personnel-Performance 45-40-10-- Management andOversight 35-30-75--HumanResources Requests-CrossSupport Retirement-Benefits-General Use: CrossSupportRequests-Budget 35-15-35--HumanResources Requests-Training(Staff) RetreatsOffsite-Conference 35-50-30-- HumanResources 55-15-15--ServicesandFacilities Requests-Travel Retrieval-Request 55-60-25-- ServicesandFacilities 40-20-5-15--InformationandKnowledge Requisitions-Procurement& Management 55-40-35-- ServicesandFacilities Research Retrospectives-Budget-Monitoring 40-35--InformationandKnowledgeManagement 5-75-35-15-- Budget Revenue Research& Extension Use: Income-Budget Revenue ResearchProductOutputs 50-35-15-- ResourceMobilization 40-35-5-- InformationandKnowledge Management- ByRPONumber Review-Administrative Use:Administrative Research-Market-Procurement Review-Grievances/Appeals-Human Resources Use: MarketResearch-Procurement-Services & Review-DevelopmentActivities FacilitiesReiwDvlpetAiiis Use:AdviceandReview-Development Activities Resettlement Review-Mid-year-Budget-Monitoring 10O-CC-25-SC- Country/Area Use: Mid-YearReview-Monitoring-Budget Residence-inventories Revised MinimumStandard Use: InventoryControl-Procurement-Services & Model-CountryProjections Facilities ResidentMission Rice Use: FieldOffices 10-CC-25-SC- Country/Area Resolutions-Board-Institution Rights-Voting-Institution 45-45-10-40-- Management andOversight Use: VotingRights-Membership- ResourceCenter-Board-Institution Institution-Management&Oversight 45-45-10-45-- Management andOversight Rights-Voting-International ResourceMobilization DevelopmentAssociation 50- ResourceMobilization Use: VotingRights-international Development ResourceMobilization Association-Resource Mobilization Use:OtherResourceMobilization RISCs Mechanisms-Resource Mobilization Use: RegionalIRISSupportCenters Resources-Bank-Income RiskAssessment Use: BankResources-Income 10-CC-25-SC - Country/Area RestructuringProspects-Debt RiskManagement-Creditworthiness Use: DebtReporting Use: CountryRisk Restructuring-Country Management-Country/Area-Program 69 m iKlIUIIIIt~I- II ~~~~~~~ ~ , 3 ., RiskManagement-Institutional Organization 25-25-35--FinancialPolicyandRisk Rules-Personnel Management Use: Obligations& RiskManagement-Country Rules-Personnel-General-Human Resources Use: CountryCreditworthiness and RuralAdjustment Risk-FinancialPolicy& RiskManagement Risk-Credit 10-CC-25-SC - Country/Area Use:CreditRisk-RiskManagement-institutional Rural Development Funding-Financial Policy&RiskManagement 10-CC-25-SC Country/Area - Rural Risk-Currency 45-60-5-75--Management andOversight Use: CurrencyRisk-Risk Management-institutional Funding-Financial Rural Roads Policy& RiskManagement 10-CC-25-SC - Country/Area Risk-Funding Sachs,Jeffrey-People Use:FundingRisk-Risk 20-35-- ExternalAffairs- HarvardUniversity, Management-Institutional Funding-Financial Economist Policy&RiskManagement Safety Nets Risk-InterestRate Use:SocialSafetyNets Use: InterestRate-RiskManagement-Institutional Salaries-Expense Funding-Financial Policy& RiskManagement 5-65-- Budget Salaries-Staff RMSM Use:Compensation-Personnel-General Use: RevisedMinimumStandardModel Salary-Surveys-Personnel RMT 35-30-90-10--HumanResources Use: RegionalManagement Team SALs Robinson, Mary-People Use:StructuralAdjustmentLoans 20-35-- ExternalAffairs- UnitedNations,High Sanctions-Aid Commissioner forHumanRights Use: Cancellationor Suspension-Loans ROC SAP Use: RegionalOperationsCommittee Use: SystemsApplications&Products RoundTable Discussions Satellite Use: Consultative Group Hookup-Telecommunications& Meetings-Cofinancing-Country/Area 40-40-- InformationandKnowledgeManagement RPOs Use: ResearchProductOutputs Scanning-Records RRDS Use: IntegratedRecords& InformationServices Use: RecordsRetention& Destruction.Schedule Schedules-Work RRIC Use:WorkSchedules-Benefits-General-Human Use:RegionalRecords& Information Resources Coordinator Scholarships/Fellowships Rubber 20-15-5--ExternalAffairs 10-CC-25-SC - Country/Area SearchTools & Engines-information Rubin, Robert E.-People Technology 20-35--ExternalAffairs- U.S.Treasury, 40-25-15-- InformationandKnowledge Secretary Management - ByName Ruggiero, Renato -People Secondary Education 20-35-- ExternalAffairs- WorldTrade 10-CC-25-SC - Country/Area 70 Keeping Records- How to file and find Annex documents May 1999 .Bank~de R Ca~si~4~ S~h~ne (HUCS) May.6, 199 Secondment Service Request Use:Assignments-Personnel-General-Human Form-Reprographic Resources 55-35-15--ServicesandFacilities Secretary-Institution-Board Services & Facilities-Institutional 45-45-10-- ManagementandOversight Services-Administrative-Fees-Externally Sector Codes Funded-Income Use:AnnexBof BRCSforcodes Use: Fees-Administrative Services-Externally Sector Management Unit Funded-Income Use: OrganizationalStructure-Management& Oversight Services-Advisory-Resource Use: AdvisoryServices-ResourceMobilization Sector ReportsSevcsBror 15-40-- DevelopmentActivities Services-Borrower Use: BorrowerServices-Lending-Financial Security Transactions 55-45-10-- ServicesandFacilities Security Electronic Services-Chargeback-Bank Use: ElectronicSecurity-Security-Services& Resources-Income Facilities Use: ChargebackServices-Income Security Guards Services-Chargeback-Externally 55-45-35-- ServicesandFacilities Funded-Income Security Handbook-UnitedNations Use: ChargebackServices-Externally Use: UnitedNationsSecurity Funded-Income Handbook-Security-Policies& Services-Client-TrustFunds Procedures-Services&Facilities Use: ClientServices-TrustFunds-Financial Transactions Security Identification,Lost & 55-45--ServicesandFacilities Services-Contracted-Bank Security Policies& Procedures Resources-Income 55-10-10-- ServicesandFacilities Use: ContractedServices-Income Security Travel Services-Contracted-Externally Use: Advisories-Travel-Services &Facilities Funded-Income Seminars Use. ContractedServices-Externally Use: Conferences/Seminars(Bank)-Training& Funded-Income Education Services-Custodial-Services& Seminars/Conferences(Non-Bank) Use: CustodialServices-Maintenance & Use: Conferences/Seminars (Non-Bank)- Repair-Services& Facilities ExternalAffairs Services-Directory Seminars/Conferences(Non-Bank) Use: DirectoryServices-Information by Country Access-information& KnowledgeManagement Use:Conferences/Seminars(Non-Bank)by Services-General Country-Country/AreaInformation 55-50--ServicesandFacilities Senior ManagementTeam Services-Health Use: Management Team-Management& Use: HealthServices-Benefits-General-Human Oversight Resources Series-Termsof Reference Services-Technical-Fees-Externally Use:Termsof ReferenceSeries-Knowledge Funded-Income Management-Information &Knowledge Use: Fees-Technical Services-Externally Management Funded-income 71 Services-Volunteers Donor Use: VolunteerServices-Community Sourcesof Funds-FundingGeneral Outreach-ExternalAffairs 50-35-20-- ResourceMobilization Settlement& Control-Treasury SouthernCone Common Payments& Settlements Market-Organizations-External 30-50-15-- FinancialTransactions 20-30-5-- ExternalAffairs Settlements& TreasuryPayments Space Occupancy-Facilities-Field Use:TreasuryPayments& Settlements-Financial 55-20-10-20-- ServicesandFacilities Transactions Space Sewerage 55-20-15-20-- ServicesandFacilities 10-CC-25-SC - Country/Area Space Plans-Facilities-Field Shareholding-Members 55-20-10-25--ServicesandFacilities Use: Members'Shareholding-Capital Space Management-Resource Mobilization 55-20-15-25-- ServicesandFacilities Shipping--Travel Speaker-Biographies 55-60-30-- ServicesandFacilities Use: Speakers'Bureauor People-External Affairs SignatureAuthority-Bank-Imprest 30-15-10-- FinancialTransactions Speaker-Programs Skills Use: Speakers'Bureau Assessment-Personnel-Performance Speakers' Bureau 35-30-75-- HumanResources 20-55-5--ExternalAffairs Small Scale Enterprise SpecialAccounts-Loan 10-CC-25-SC- Country/Area Disbursements-Lending SMU 30-40-15-5-- FinancialTransactions- Seealso: Use: SectorManagementUnit Disbursement,Procurement& Social Benefit Administration Audits-Country/AreaProgram 10-CC-25-SC- Country/Area Special Assistance Programs Social 10-10-15-5--Country/Area/ Policiesand 45-60-5-80--ManagementandOversight Procedures Social Safety Nets Special Facility for Africa Funding 10-CC-25-SCCountry/Area - 50-60-20--ResourceMobilization Social Sector Special Grants Program 10-CC-25-SC - Country/Area Use: DevelopmentGrantFacility-Resource Socio/PoliticalMatters Mobilization 10O-CC-i5-55- Country/Area SpecialStudies - Procurement Sociological-Country Use: Disbursement, Procurement& Use:Socio/Political-Country/Area-lnformation Audits-Country/Area-Program S E: te-we a-E Errprriisee Special Studies-Operations Use: State-OwnedEnterprise 45-55-20--ManagementandOversight- By SOE-Expense Study,thenbyYear Use:Statementof Expenses Speech Bank Solid Waste 40-20-75--InformationandKnowledge 10-CC-25-SC- Country/Area Management SOP Speeches(Bank Staffby Country) Use: StandardOperatingProcedures 15-60--DevelopmentActivities Soros, George-People Speeches(Non-Bank byCountry) 20-35-- ExternalAffairs- SorosFoundations, 72 Annex documents May 1999 0 Speeches/Presentations/Articles StrategicCompact (BankStaff) Progress-Budget-Monitoring 20-55--ExternalAffairs 5-75-40-- Budget Sponsorships Strategic 20-15-10-- ExternalAffairs 45-60-5-85-- ManagementandOversight SPR Strategy Country Use:StructuralPolicyReview Use:CountryAssistance Stabilization Strategy-Country/Area-Program 10-CC-15-5- Country/Area Strategy DevelopmentActivities StaffAssociation 15-65--DevelopmentActivities 35-30-90-- HumanResources Strategy Documents, Records& Staff Complaints Repositories 35-25-25--HumanResources- Seealso: 40-20-80-- InformationandKnowledge Personnel-StaffMember Management Staff Member Strategy Facilities 35-35-- HumanResources- Use: 55-20-40--ServicesandFacilities Personnel-StaffMember Strategy Funding-General Staff Requests-Recruiting 50-35-25-- ResourceMobilization 35-40-40--HumanResources Strategy InformationTechnology StandardOperating Procedures 40-25-25-- InformationandKnowledge Use: Policies&Procedures Management Standards Strategy KnowledgeManagement Use: Policies&Procedures 40-30-45-- InformationandKnowledge Standards-informationTechnology Management 40-25-20--InformationandKnowledge Strategy Management& Oversight Management 45-75-- ManagementandOversight Standards-Procurement Strategy Paper-Country Use: Disbursement,Procurement&Audits Use: CountryStrategy StandingCommittees-Board Paper-Country/Area-Prog ram Use: Committees-Board-Management& StrategyServices Oversight 55-50-5--ServicesandFacilities State-OwnedEnterprise StrategyTraining & Education 10-CC-25-SCCountry/Area - 60-60--TrainingandEducation Statementof Expenses Streams-Occupational 5-65-- Budget Use: Occupational Statistics-Data Streams-Personnel-General-Human Resources Use: Data&Statistics-Knowledge StructuralAdjustment Loans Management-information & KnowledgeManagement Use: Projects-Development Activities Status of ProjectsUnder Implementation StructuralChange-Institution 10-CC-20-155Country/Area - 45-45-40-- ManagementandOversight SteeringCommittee StructuralPolicyReview-ESW [Bynameunderanyprimaryclassification] Use:Economic&SectorWork,Development Storage-Facilities-LocalOffices Activities.[ConfidentialreportjSeealso: New 55-20-10-30--ServicesandFacilities Products Storage-Facilities-Headquarters Studies-Impact Evaluation 55-75-15-30- ServicesandFacilities Use: ImpactEvaluationStudies-Operations Evaluation-Management&Oversight 73 Studies-Research 35-30-95-10--HumanResources 40-35-10 -- Informationand Knowledge Surveys-Unified-Country Management - Alphabetically, bytitleofstudy Use: UnifiedSurvey-Country/Area-Program Studies-Special Suspended Disbursements-Country Use: SpecialStudies-Operations Creditworthiness& Risk Evaluation-Management &Oversight 25-15-25--FinancialPolicyandRisk Sub-SaharanAfrica External Management- Seealso: Development Financing & Funding Activities-Projects 50-60-25-- ResourceMobilization Suspension-Loans Subscription-Capital Use: Projects-DevelopmentActivitiesor Use: CapitalSubscription-Capital LegislationorDisputesandArbitration Management-Resource Mobilization Sustainable Development Subscription-Capital-Membership Use: EnvironmentallySustainableDevelopment Use: Capital Swap Transactions Subscription-Membership-Institution-Management 30-45--FinancialTransactions- ByNumber Subscriptions-Publications System-Budget& Use: Expenses-Budget Use: Budget&Accounting SumnmerInterns System-Databases-Procurement-Services& Use: Interns-Recruitment-Human Resources System-CommitmentOrderfor Summers, LawrenceH.-People Payment-Procurement 20-35--ExternalAffairs- U.S.Treasury,Deputy Use: CommitmentOrderfor Payment Secretary System-Databases-Procurement-Services& Summit of the Americas SystemsApplications & Use: ConferenceslSeminars-External Affairs Products-Telecommunications& Supplies-Office-Procurement-Services Network Infrastructure & Facilities 40-40-- InformationandKnowledgeManagement Use: OfficeSupplies-Procurement-Services & Facilities Systems Renewal-Infrastructure- Support Center/Help Telecommunications& Network Infrastructure Desk-informationTechnology 40-40-10-5--InformationandKnowledge 40-25-30-10--InformationandKnowledge Management Management Systems-Protection-Fire Support-InformationTechnology Use: ProtectionSystems-Fire-Security-Services 40-25-30--InformationandKnowledge & Facilities Management Task Forceon Small States-Eligible Support-Institutional-Bank Countries-International Resources-income 50-50-25-5-- ResourceMobilization Use: InstitutionalSupport-Bank Task Forces-Technology Resources-Income-Budget Use: Committees/AdvisorGroups&Task Surveys-Attitude-Personnel Forces-Support-Information 35-30-95-5-- HumanResources Technology-Information &Knowledge Surveys-FoodServices Tax Reform 55-25-20 -- Services and Facilities 10-CC-25-SC- Country/Area Surveys-Personnel Taxation 35-30-95 -- Human Resources 10-CC-25-SC- Country/Area Surveys-Salary-Personnel Tea 74 8 | l82 . | Wg | z ' May 1999 * BankwideRecoRdsCl ieationScheie(BRC-S) May 6, 199 1O-CC-25-SC - Country/Area TORs Team-Country Terms of Reference-Job Use: CountryTeam-Country/Area-Program Description-Personnel Teams-Networks 35-30-40-10 -- Human Resources- Generic 40-30-35-50-- InformationandKnowledge TORs Management Terms of Reference-Projects TechnicalAssistance-Financial Use: Projects-Development Activities Use: Projects-Development Activities Textiles TechnicalAssistance-Project 10-CC-25-SC - Country/Area FinanceProgram Thefts-Security 50-65-10-- ResourceMobilization 55-45-40-- Servicesand Facilities TechnicalEducation Thermal 10-CC-25-SC - Country/Area 10-CC-25-SC-Country/Area T'echnology Thesaurus-Tools-Knowledge I10-CC-25-SC -Country/Area 40-30-60-15--InformationandKnowledge TechnologyInformation-Market Management Research-Procurement Third Quarter-Monitoring Use: InformationTechnology-Market 5-75-35-20--Budget Research-Procurement-Services &Facilities ThirdWindow-Other Resource Technology-Information-Vendors- 50-60-30-- ResourceMobilization Procurement Time RecordingSystem-Monitoring Use: Information 5-75-45-- Budget Technology-Vendors-Procurement Tobacco Telecommunications 10-CC-25-SC- Country/Area 1O-CC-25-SC - Country/Area Tools-Knowledge Management Telecommunications& Network 40-30-60-- InformationandKnowledge Infrastructure Management 40-40 -- InformationandKnowledgeManagement Topical Information 10-CC-25-SC Country/Area - Teleconferencing-Conference Tourism 55-15-20-- Servicesand Facilities 10-CC-25-SC- Country/Area TelephoneCharge Monitoring Trade 5-75-20-- Budget 10-CC-25-SC - Country/Area Telephone Services Trade Policy Reform 40-40-15-- Informationand Knowledge 10-CC-25-SC - Country/Area Management Training & Education-Bank Temporaries-Recruitment 60 - TrainingandEducation.Note: For Use: Agencies-Recruitment-Human Resources individualstafftraininguseTraining-Staff- Termination-Personnel HumanResources 35-35-- HumanResources Training Materials-Dissemination 60-35-5-- Trainingand Education Terms of Reference Training Staff Series-KnowledgeManagement 35-50 -- HumanResources- Lastname,thenfirst 40-30-50-- Informationand Knowledge name Management Transactions-Borrowing Terms of Reference-Consultants 30-25-15-- FinancialTransactions 35-30-40-10-- Human Resources- Generic Transactions-CorrespondentBank 75 |L..!za S llL!!a I S i.zi !,:L 1.1* Use: CorrespondentBankTransactions-Treasury 20-35--ExternalAffairs- EuropeanCentralBank, Payments&Settlements-Financial Transactions President-Elect Trust FundAccounting Transactions-CurrencySwap 30-55-10--FinancialTransactions Use: CurrencySwapTransactions-Swap Trust Fund-Consultant Transactions-Financial Transactions Use: ConsultantTrustFund-Trust Transactions-InterestRates Funds-ResourceMobilization Use: InterestRateTransactions-Swap Trust Fund-GlobalEnvironment Transactions-FinancialTransactions Use: GlobalEnvironmentFacilityTrust Transactions-Investment Fund-ResourceMobilization Use: InvestmentTransactions-Financial Trust Fund-Japan-PHRD Transactions Use:Japan-PHRD-TrustFunds-Resource Transactions-Swap Mobilization- Use: SwapTransactions-FinancialTransactions Trust Fund-Other Transfers-Budget Use: OtherTrustFunds-ResourceMobilization Use: BudgetTransfers Trust Funds Translation& Interpretation 30-55-- FinancialTransactions 55-55 -- Services and Facilities Trust Funds Translation& 50-70 -- Resource Mobilization Interpretation-ConferenceServices Trust Funds-AidCoordination 55-15-25-- Servicesand Facilities 10-CC-10-10 - Country/Area Transmission Trust Funds-Projects Use: Distribution/Transmission Use: Projects-DevelopmentActivities Transparency-FinancialSystem U.S.Agency for International Transparency-Institution Development-Organizations-External Use: OrganizationalStructure-Management& 20-30-5-- ExternalAffairs Oversight U.S.Arms Control & Export Act Transportation Use: InvestmentLaws-Legislation-Management & 10-CC-25-SC- Country/Area Oversight Travel UMT 55-60-- ServicesandFacilities Use: UnitManagementTeam Travel Accounting UN 30-20-20--FinancialTransactions Use: UnitedNations Travel Benefits-General UNAIDS 35-15-40--HumanResources UnclaimedLost & Found Travel Board-Institution 55-45-20-5-- Services and Facilities - Include 45-45-10-50-- ManagementandOversight donations,sales,auctions Treasury Payments& Settlements UNDP 30-50-- FinancialTransactions Use: UnitedNationsDevelopmentProgramme Treaties-Bilateral& Multilateral Unemployment Use: Bilateral& MultilateralTreaties& 10-CC-25-SC- Country/Area Agreements-Legislation-Management& UnifiedSurvey Oversight 10-CC-20-160- Country/Area Tribunal-Administrative Unit ManagementTeam Use: Administrative Use: ManagementTeam-Management& Tribunal-Grievances/Appeals-HumanResources Oversight Trichet, Jean-Claude-People 76 iS(~JKIiri1g...V1~TiTiEIII[, May 1999 _ i ........ ---:-.;...................................................... ... -.. . flankwideRecorW-Cassification Scheme(BRCS- My 6 1999 - - UnitedNations Development 40-30-65--InformationandKnowledge Programme-Organizations-External Management 20-30-5--ExternalAffairs VAT UnitedNations Global Climate Use:ValueAddedTax Use: Bilateral& MultilateralTreaties& Vehicle-Expenses Agreements-Management &Oversight;Seealso: 5-65--Budget KyotoTreaty Vehicle-Inventories LUnitedNations Security HanitedbNatiook-security Proc55-40-15 --ServicesandFacilities Handbook-Policies& Procedures 55-10-10-5--ServicesandFacilities 55-40-15-LeServcsnsFclte 55-40-15-- ServicesandFacilities UnitedNations Volunteers Vehicle-Travel 10-00-10-10- Country/Area VhceTae 55-60-35--ServicesandFacilities UnitedNationsWorld Food Vendor Addition Forms-Procurement Program-Organization-External 55-40-40-15--ServicesandFacilities 20-30-5-- ExternalAffairs Vendors-Procurement& Supplies UnitedNations World Health 55-40-40--ServicesandFacilities Organization-Organizations-External Vendors-Travel 20-30-5-- ExternalAffairs 55-60-40--ServicesandFacilities United Very Important Person 20-30-5--ExternalAffairs Use: Management Briefings/VIP United Nations-WorldIntellectual Visits-Country/Area-Program Property Vice Presidents 20-30-5-- ExternalAffairs- Seealso: Bilateral& Use: PresidentandExecutive-Management & MultilateralTreaties& Oversight Agreements-Legislation-Management & Vice Presidents& Oversight Directors-President-Promises UnitedWay-CommunityOutreach 20-15-15-- ExternalAffairs 45-60-10-5-- Management andOversight Updates/Interpretations-Basic Videos-Promotional Documents-Institution 20-40-25-- ExternalAffairs 45-45-5-25-- Management andOversighit VIP Urban-5-25--Development and OversightUse: ManagementBriefings/VIPVisits- Country/ Urban Development Area-Program 10-CC-25-SC - Country/Area VIP Visits IJSAID Use: Management Briefings/ VIP Use: U.S.AgencyforInternationalDevelopment Visits-Country/Area Program User-GeneratedPurchaseOrders V Use: PurchaseOrders-Procurement-Services & Use: Passports/ Visas/ Passes-Travel-Services &Facilities USGPO Visitor Passes-Ildentification Use: UserGeneratedPurchaseOrders Visito Passes-Idenican 55-45-25-5-- ServicesandFacilities ValueAdded Tax 10-00-25-SC- Country/Area VitalUse: Records BusinessContinuity-Management & Value-Maintenanceof Oversight Use: Maintenance of Value-Capital Management-Resource Mobilization Vocational Education Values& Behaviors-Knowledge 10-CC-25-SC - Country/Area Management Voice Mail-TelephoneServices 77 * ~ 40-40-15-- InformationandKnowledge Work Schedules-Benefits-General Management 35-15-45-- Human Resources VolunteerServices-Community Workers Compensation 20-15-20-- ExternalAffairs 35-15-20-15-- HumanResources Voting Rights-International Workers Insurance-Benefits DevelopmentAssociation Use:Workers 50-50-40-- ResourceMobilization Compensation-Insurance-Benefits-Human Voting Working Groups 45-45-30-10-- ManagementandOversight Use: Anyprimaryclassification;filebyname Wages World Bank 10-CC-25-SC- Country/Area Use: InternationalBankforReconstruction& Waivers-Sanctions-Aid Development Use: Cancellationor Suspension-Loans World Bank Institute Waste Management 60-65--TrainingandEducation 10-CC-25-SC- Country/Area World Debt Tables Watch List-Projects-Quality Use:GlobalDevelopmentFinance 45-70-5 -- Managementand Oversight - Use: World Food Program Projects-Development Activities Use: UnitedNationsWorldFoodProgram Water Supply& Sanitation World IntellectualProperty 10-CC-25-SC- Country/Area Organization-Organization-External Waterways Use: UnitedNations-WorldIntellectualProperty 10-CC-25-SC- Country/Area Organization Web Pages-Promotional World Trade 20-40-30--ExternalAffairs Organization-Organization-External Web-Bank Logos-Printing,Graphics 20-30-5-- ExternalAffairs- Seealso: Disputes& Use: BankLogosforWeb-Printing, Arbitration-Management &Oversight Graphics-Services& Facilities World Wildlife Fund- Organization- White Book-ExportCredits Program Organization-ExternalAffairs 50-30-5-- ResourceMobilization WHO 20-30-5 -- ExternalAffairs Use: UnitedNationsWorldHealthOrganization WTO Who'sWho-KnowledgeManagement Use:WorldTradeOrganization 40-30-70 -- Informationand Knowledge WWF Management Use:WorldWildlifeFund WID WID Y2K ~~~~~~~~~~~~~~Use: Year2000 Womenin Development;Use:GenderAnalysis Year 2000 Window-Third-OtherResources Use:Telecommunications & Network Use:ThirdWindow-OtherResource Infrastructure-Information &Knowledge Mobilization-ResourceMobilization Management Wolfensohn,James D. Young Professionals Use: President-Management &Oversight 35-40-45-- HumanResources Womenin Development ypp Use:GenderAnalysis-Country/Area-Topical Use: YoungProfessionals Program Work Program 45-80 -- Managementand Oversight 78 .. ample Reod Casi-cation- Sche'me Regonal/Loca Office'............................ COUNTRY/AREA FILE PLA'N I.COUNTRY/AREA -2.COFINANCIN- 3 TOPICAL..ORMATION INFORMAION & (Coer geea bakrud --- ritttO Lactvt of -. - - General General General Organizations(Cofinancing) General may include the followingor separate files may be created as necessary: Agriculture Cross-SectionalEconomic Analysis Economic Management Education Electric Power &Other Energy Environment General may include the following Environmentally SustainableDev. or separatefiles maybe created as Finance Generalmay include the necessary: Gender Analysis followingor separate files may Industry be created as necessary: ConsultativeGroup Meetings Mining &Other Extractive Oil & Gas Conferences/Seminars(non Other Non-Sector Specific Bank) Population.Health& Nutrition Consultant Information Poverty Reduction Directory/KeyOfficials Pre-lnvestment/PortfolioDevelopment Elections Private SectorDevelopment Legislation Public SectorManagement Ministries Social Sector News Clippings Telecommunications& Informatics PoliticalParties Trade Policy Reform Press Releases Transportation Socio/PoliticalConsultantInformaton Matters Urban Development Poverty Reductio Speeches (non Bank) Water, Supply& Sanitation I~~~~~~~~~~~~~~~~~~~~ -- =-~~ft General Unit Lending* Country AssistanceStrategy (CAS) Projects Country Econ. Memorandum Grants &Trust Funds (CEM) CountryCountr-yPortfolio Procuremnentdocumentsshould be Portfolio batched accordingto appropriate PerformanceReview Procurement Checklist (CPPR) CountryPolicy Framework Paper (PFP) Unit Non-Lending* Conferences/Seminars General may include the following (Developedby WB Group) or separate files may be createdas ESW necessary: Policy Notes Annual Meetings Speeches Annual Report on Portfolio (Developedby WB Group) Performance(ARPP) Technical Assistance Borrower Correspondence Country Assistance Management (CAM); Brief; Budget; ImplementationReview (CIR); Risk Management; StrategyPaper; Team Debt Reporting *Useabbreviatedchecklists- alphas Disbursement,Procurement, & only Audits Environmental IssuesPaper (EIP) EnvironmentalAction Plan (NEAP) Local Office IDA PerformanceRatings LendingAllocation Review ManagementBriefings/VIP Visits Medium Term Framework Paper Payments Projections including Revised Minimum StandardModel (RMSM) Public Sector ExpenditureRev. (PSER) Public SectorInvestmentProgram (PSIP) Statusof ProjectsUnder Implementation Unified Survey 2 Keeping Records - How to file and find Annex documents May 1999 A s... rd 5: i ;7;ls. A~~~~MVitW. f. .k.veg''m.,,.,................,t E..i Cjet Recwds INSTRUCTIONS: 1.Markthe filing locationi.e. A, B, C, etc., and the Product IDNumberin the upper right-handcornerof the document. 2.Establish a file folder for each segment (A, B, C, etc.)and file all documents inreverse chronologicalorder (mostrecent on top) withinthe folder. (Itemslistedbelow are samplesof key documents in each cycle. Documentslisted may not be all inclusive.but are representative.) 3.Open a new volume whena file folder has 3/4 inch of material. Numbersucceeding volumesas VOLI, VOL II, etc. 4. For S-SupplementalDocuments, file documents,i.e., GeneralCorrespondenceand othermaterial whichdo not relate to a specific segment (A,B, C, etc.). 5. If a significantnumberof documentsfor Componentsand Sub-projectsexist, they may be labeled and put behind the S-SupplementalDocuments. 1 ~~~~~~~~ * I I S . 5 l ll ::g 5ti F;UXi chcii for.w8m Len;iPoe Rec s :giS X;g E Country - Project Name Loan/Credit No. Product ID No. Product Type: e.g. TA, APL,LIL,etc. A. PROJECTPREPARATIONDOCUMENTS PPF External Grant/Trust Fund (May File with Trust Fund/Grant Checklist) Identification Missions, TORs/Aide Memoires/BTOs Preparation Missions, TORs/Aide Memoires/BTOs Pre-Appraisal Missions, TORs/Aide Memoires/BTOs Other Project Preparation Related Documents B. EXECUTIVEPROJECTSUMMARY (EPS)/PROJECTCONCEPTDOCUMENT(PCD) (draftPAD) IEPS/Project Concept Note/Document (Including Attachments) Environmental Overview/Project Information Document (PID) Minutes of Pre-Appraisal Review Meeting/Comments Decision Meeting/Comments FEPS/PCD Package to Regional Vice President(RVP)Country Management Unit Director (CMUDR) RVP/CMUDR) Authorization to Appraise Other Related Project Concept Documents C. LOAN/OPERATIONSCOMMITTEEMEETING (IfMeeting is Called) Loan/Operations Committee Agenda/Minutes/Comments Other Related Documents D. APPRAISAL Appraisal Missions, TORs/Aide Memoires/BTOs Appraisal Meetings/Agenda/Comments Staff Appraisal Report (SAR)/Project Appraisal Document (PAD) SAR/PAD Translations Project File Document Other Related Appraisal Documents E. MEMORANDUMOF THE PRESIDENT(MOP) Gray Cover MOP Other Related MOP Documnents 2 F KeepingRecords-Howtofileandfind -, Annex documents Filin -Chek, -t --i--.st.teut L.ndin Prjct Records CouDtfy- PfojectName Loan/Credit No. Product ID No. Product Type F. LEGAL DOCUMENTS LegalAgreements Legal AgreementTranslations SupplementalLetters/Side Letters Other Related Legal Documents G. AMENDMENTSDOCUMENTATION CountersignedLettersof Amendments DocumentsAmending ClosingI)ates Other Related Amendment Documents H. NEGOTIATIONS NegotiationMissions,TORs/Aide Memoires/BTOs AuthorizationtoNegotiate Negotiations/StandardLetters Delegation/List/AgreedMinutes/Statusof Negotiations Other Related Negotiation Documents I. COFINANCING Agreements Other Related Cofinancing Documents J. TECHNICALASSISTANCE Agreements Other Technical Assistance Documents K. BOARDPRESENTATION StatutoryCommittee Report AdvanceBoard Documents/Comments Transmittalto RVP/CMUDR) AttachingBoard Documents Board Presentation/Comments/Questions/Summary Other Board Presentation Documents L. SIGNING Signing/PostSigning Noticeto Borrower Documents Other Signing Documents M. EFFECTIVENESS EffectivenessMissions,TORs/Aide Memoires/BTOs Legal Opinions/Announcements/Approvals Other Related Effectiveness Documents 3 soo~~FligUhekist fo Inetmet,, Lendin2g1wX.ro;;;djectRecordn sSSP.ie0Ni;5i0 Country - Project Name Loan/CreditNo. ProductID No. Product Type N. SUPERVISION Annual Audits ImplementationReports (PIIF) Mid-TermReview SupervisionMissions. TORs/AideMemoires/BTOs Other Related Supervision Documents 0. DISBURSEMENTS Reallocationof Funds Suspensionof Disbursements LiftingSuspension Other Related Disbursement Documents P. CANCELLATION Cancellationof Loan Amount Other Related Cancellation Documents Q. IMPLEMENTATIONCOMPLETIONREPORT(ICR) (formerPCR) ICR/Translation R. PROJECTPERFORMANCEAUDIT REPORT(PPAR) RelatedPPAR Documents S. GENERALSUPPLEMENTALDOCUMENTS (Seeinstructionson Page 1.) 4 | ~~- e=i 'S * = i _""_-.-_5 I ,. _ ',.......... . ....... | | _ _ I S IB zI _ I-I1 ||,!| Annex8 QuickReferenceGuidefor InvetnLendin P Records'- A. PROJECTPREPARATIONDOCUMENTS D. APPRAISAL (Cont'd) PPF - Request fromthe Government Comments - Yellow Cover SAR(includingpeer review) PPF - Covering Memo to CMUDR/CD SAR (replacedraft withBuff Cover)/ProjectAppraisal PPF - Transmittal Sheet Document(PAD) PPF - Letter from the Bank (with annexesand SAR/PADTranslations countersignedby Gov't) AppraisalMeetings PPF - Extensionof RefinancingDate - Requestfrom Government E. MEMORANDUMOF THE PRESIDENT(MOP) PPF - Extensionof RefinancingDate- Request(memo) Replace draft withGray Cover to CMUDR/CD PPF - Extensionof RefinancingDate - OutgoingTelex F. LEGALDOCUMENTS Memo Canceling PPF Balance Loan or Development Credit Agreement Cancellation Memo (if applicable) Amendment to Loan/Credit Agreement Identification Missions (TORs,Aide Memoires,BTOs) Legal AgreementTranslation(if applicable) PreparationMissions (TORs.Aide Memoires,BTOs) Project Agreement(if required) External Grant/TrustFund (Preparation Grant Agreement Finance)/Cancellation Development PolicyLetter/Statement Pre-AppraisalMissions (TORs,Aide Memoires,BTOs) Guarantee Agreement SubsidiaryLoan/Credit Agreement B. EXECUTIVEPROJECTSUMMARY(EPS)/ ShareholderAgreements (if required) PROJECTCONCEPTDOCUMENT(PCD)(DRAFT SupplementalLetters/SideLetters PAD) StatutoryCommitteeReport Initial ExecutiveProject Summary(IEPS) (including G A D Environmental Overview/Project G. AMENDMENTDOCUMENTATION InformationDocument (PID) and CoverMemo) Memo RequestingAmendment IEPS Comments(includingPeer Review) IncomingRequest from Government IEPS ReviewMeeting Minutes CountersignedLetter of Amendment EPS Updates andInformationBrief Updates Telex AmendingClosingDate Draft FEPS/WhiteCover SAR Minutes of Pre-AppraisalReview Meeting/ H. NEGOTIATIONS FEPS Comments Memo to RVP/CMUDR/CD- Pre NegotiationsPkg Project Concept Document(draft PAD) (including Authorizationto Negotiate/Clearance attachments) Noticeof Invitationto Negotiate(initialeddraft and final) Decision ReviewMeeting/Comments Telex of Invitationto theGovernmentand Donors FEPS/PCD Packageto Regional VicePresident Listof DelegationMembers (RVP)/CMUDR/CD StandardLettersto Delegation RVP/CMUDR/CDAuthorization toAppraise Agreed Minutes of Negotiations Memo on SignificantChange/s from FEIPS/PCD Statusof Negotiations(initialand final version) SummaryMemo of Outcome C. LOAN/OPERATIONS COMMITTEEMEETING GovernmentConfirmationof NegotiatedDocuments PAPERS (if meetingis called) I. COFINANCING Regional Loan/OperationsCommitteeMeetingAgenda AgreementBetween Bank andCofinanciers Minutes of Loan/OperationsCommittee AgreementBetween Governmentand Cofinanciers Meeting/Comments AgreementBetween Governmentand Bank U'. APPRAISAL AppraisalMissions (TORs.Aide Memoires,BTOs) (includingPost Appraisal) Letter/Telex to Borrower ConfirmingAide Memoir CoverMemo - Yellow Cover - Staff AppraisalReport (SAR) J. TECHNICALASSISTANCE(Project Management) 0. DISBURSEMENTS K. BOARD PRESENTATION Arrears Transmittalto RVP/CMUDR/CD Attaching Board Authorizationto Withdraw Funds Documents DisbursementLetter Cover Memo to Officeof thePresident Reallocation of Funds - OutgoingTelex Commentson AdvanceBoard Documents Suspensionof Disbursements- Memo (with approval) Memo to SecretaryGivingBoard Attendance Suspensionof Disbursements- Notification to Borrower Speech Suspensionof Disbursements- Notification to Board Questionsfrom ExecutiveDirectors Lifting Suspension - Memo (withapproval) Summaryof Discussions(initialeddraft and final) Lifting Suspension- Notificationto Borrower Telex to GovernmentConfirmningBoard Approval Lifting Suspension- Notificationto Board Revised Withdrawal Schedule - Outgoing Communication L. SIGNING OutgoingTelex - Notification of Closing (includelast TelexlLetter from Gov't Authorizing Sign of Statutory disbursementschedule) CommitteeReport Revised AmortizationSchedule - Outgoing ManagementServiceAgreement Communication UNDP Project Document UNDP Project - ConsultantContract Signedwith IBRD P. CANCELLATION (signed version) Cancellationof Loan Amount - Outgoing Other Agreements Communication Telex/Letterfrom Gov'tAuthorizing Sign of Project's Q. IMPLEMENTATIONCOMPLETIONREPORT Legal Agreements (ICR) - FORMERPCR Memo to/from Secretary- SigningAttendance ICR - ImplementationReport Fax/Letterto Borrower's RepresentativeConfiriing ICR - ImplementationReport Translation(if applicable) SigningDate Memo to RVP - Talking Points R. PROJECTPERFORMANCEAUDITREPORT Telex to GovernmentConfirmingSigning (PPAR) M. EFFECTIVENESS S. GENERALSUPPLEMENTAL SelectedEffectiveness Documents General Correspondenceand other material which do Telex/Letter to GovernmentAnnouncingEffectiveness not relate to aspecific segmentof the Project Cycle. Memo from Legal (LEG) AnnouncingEffectiveness Memo Requesting Approvalof ExtensionOWaiver Signed Telex to GovernmentApproving Extension/Waiver SubsidiaryLoan/CreditAgreements betweenBorrower and ThirdParty Legal Opinions Ratification of Loan/Credit Agreement N. SUPERVISION SupervisionMissions/Reports (TORs,Aide Memoires,BTOs) 590's Project Implementation/ProgressReports Mid-Term Review Audit Reports (Annual,SpecialAccounts, Project Accounts, SOEs) 2 Filin Checklist' fr StructuralAdjusmu LndngPrjet Recors INSTRUCTIONS: 1. Mark the filing location, i.e. A, B, C, etc., and the Product ID Number in the upper right-hand corner of the document. 2. Establish a file folder for each segment (A, B. C, etc.) and file all documents in reverse chronological order (most recent on top) within the folder. (Items listed below are samples of key documents in each cycle. Documents list may not be all inclusive, but are representative.) 3. Open a new volume when a file folder has 3¾inch of material. Number succeeding volumes as VOL 1.VOL II. etc. 4. For U - SupplementalDocuments, file documents, i.e., General Correspondence and other material which do not relate to a specific segment (A, B. C, etc.). 5. If a significant number of documents for Components and Sub-projects exist, they may be labeled and put behind the U - Supplemental Documents. Country - Project Name Loan/Credit No. Product ID No. A. PROJECTPREPARATIONDOCUMENTS PPF Identification Missions, TORs/Aide Memoires/BTOs Pre-Appraisal Missions, TORs/Aide Memoires/BTOs Preparation Missions, TORs/Aide MernoireslBTOs And Other Preparation Related Documents B. INITIATINGBRIEF(IB) Initiating Brief (IB) Cover Memo to RVP Project Information Documrfent (PID) Anod Otherthnitiating Br efoRelated Docuiments C. INITIATING MEMORANDUM(IIM) Initiating Memorandum (IM)/Comments Minutes of Draft IM Meeting (working level review) Cover Memo to RVP Attaching IM Regional Loan Committee (RLC) Meeting Agenda | B.INITIATING Summary Minutes of the RLC Meeting BRIEF (IB)~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ And Other Initiatingmemorand U p Related Docu.ents D. BANKWIDELOANCOMMITTEEMEETING PAPERS Cover Memo to Loan Committee Attaching IM Loan Conimittee Meeting Agenda Minutes of Loan Committee Meeting And Other Loan Committee Meeting Related Documents E. APPRAISAL AppraisalMissions,TORs/AideMemoires/BTOs Post-AppraisalMissions, TORs/AideMemoires/BTOs And OtherAppraisal RelatedDocuments F. PRESIDENT'SREPORT Minutesof Yellow Cover ReviewMeeting Comments- Yellow Cover PR (includesPeer Review) President's Report (PR) (replacedraft withgray cover) And OtherPresident's Report RelatedDocuments G. LEGAL DOCUMENTS Legal Agreements Legal AgreementTranslation SupplementalLetters/SideLetters And OtherLegal RelatedDocuments H. AMENDMENTDOCUMENTATION CountersignedLetters of Amendment DocumentsAmendingClosing Dates And OtherAmendmentRelated Documents I. NEGOTIATIONS NegotiationMissions,TORs/Aide Memoires/BTOs AuthorizationtoNegotiate Negotiations/StandardLettersDelegationsList/AgreedMinutes/Statusof Negotiations And OtherNegotiationRelatedDocuments J. COFINANCING Agreements And Other CofinancingRelatedDocuments K. TECHNICALASSISTANCE(ProjectManagement) Agreements And Other TechnicalAssistance RelatedDocuments L. BOARD PRESENTATION StatutoryCommitteeReport Documents AdvanceBoard Documents/Comments Board Presentation/Comments/Questions/Summary(andotherBoard relateddocuments) And Other Board PresentationRelated Documents 2 * Keeping Records- How to file and find - Annex documents May 1999 ~~~~~~~~~~~~~~~~~~~~. ' X z A @, . . . ' ............. . . . . . . . . . . . . , ''''''''''''''.. . FiligCh4I$t fo Stu 0ra Adju de.u LeningProjectRecord ..... M. SIGNING Signing/PostSigning Noticeto BorrowerDocuments And Other SigningRelatedDocuments N. EFFECTIVENESS EffectivenessMissions,TORs/AideMemoires/BTOs LegalOpinions/Announcements/Approvals And Other EffectivenessRelatedDocuments 0. TRANCHERELEASES Board Papers/Approvals And Other Tranche ReleaseRelatedDocuments P. SUPERVISION Annual Audit ImplementationReports (PIIF) MidTerm Review SupervisionMissions,TORs/AideMemoires/BTOs And Other SupervisionRelatedDocuments Q. DISBURSEMENTS Suspensionof Disbursements TrancheReleases - Communicationsto Government And Other DisbursementsRelatedDocuments R. CLOSINGDATE/CANCELLATION Cancellationof LoanAmount And Other ClosingDate/CancellationRelatedDocuments S. IMPLEMENTATIONCOMPLETIONREPORT- ICR (formerPCR) ICR - ImplementationCompletionReport ICR - ImplementationCompletion Report - Translation(if applicable) And Other ICR RelatedDocuments T. PROJECTPERFORMANCEAUDIT REPORT(PPAR) And Other PPAR RelatedDocuments U. GENERAL SUPPLEMENTALDOCUMENTS (Seeinstructions onPage 1) 3 Keeping Records - How to file and find NWeT1gWITM MayI410| ...~~ ~ ~........ , ............ -- QuickReerence Gui--deStncua A4utun Led Pot Records-- A. PROJECTPREPARATIONDOCUMENTS F. PRESIDENT'SREPORT PPF - Requestfrom the Government CoverMemo -Yellow Cover (PR) PPF - CoveringMemo to CMUDR/CD Comments- Yellow CoverPR (includesPeerReview) PPF - TransmittaltSheet Minutes of Yellow Cover Review Meeting PPF - Letter from the Bank (with annexesand President's Report (PR) countersignedby government) PPF -Extension of RefinancingDate- Requestfrom G. LEGALDOCUMENTS Government Loan or DevelopmentCredit Agreement PPF - Extension of RefinancingDate- Request(memo)to Amendmentto Loan/Credit Agreement CMUDRICD Legal AgreementTranslation PPF -Extension of RefinancingDate- OutgoingTelex Project Agreement Memo Canceling PPF Balance Grant Agreement Telex to GovernmentCanceling PPF Balance DevelopmentPolicy Letter/Statement Cancellation Memo GuaranteeAgreement Identification Missions (TORs,Aide Memoires,BTOs) SubsidiaryLoan/CreditAgreements Preparation Missions (TORs,Aide Memoires,BTOs) Shareholder Agreements Preappraisal Mission (TORs,AideMemoires,BTOs) SupplementalLetters/Side Letters Statutory CommitteeReport B. INITIATINGBRIEF (IB) Cover Memo to Regional Vice President(RVP) H. AMENDMENTDOCUMENTATION InitiatingBrief MemoRequesting Amendment Project InformationDocument (PID) IncomingRequestfrom Government CountersignedLetter of Amendment C. INITIATINGMEMORANDUM(IM) Telex Amending ClosingDate Initiating Memorandum Comments I. NEGOTIATIONS Minutes of DraftIM Meeting (workinglevel review) Memo to RVP -Pre-NegotiationPackage CoverMemo to RVP AttachingIM (GreenCover SAR) Regional Loan Committee(RLC)Meeting Agenda Authorizationto Negotiate/Clearance SummaryMinutes of the RLC Meeting Notice of Invitationto Negotiate(Initialed draftand final) Telex of Invitationto the GovernmentandDonors List of Delegation Members D. BANKWIDELOAN COMMITTEEMEETING StandardLettersto Delegation PAPerS Memo to Loan/Operations ComrnitteeAgreed Minutes of Negotiations CoverMemo to Loan/OperationsCommittee Status of Negotiations(draft and final version) Loan/OperationsCommitteeMeetingAgenda SummaryMemo of Outcome Minutes of LoaOperations CommitteeMeeting GovernmentConfirmation of Negotiated Documents E. APPRAISALE. APPRAISAL J. COFINANCING ~~~~~~~~~~AgreementCofinanciers(ifrequired) Between Bank and AppraisalMissions (includingPost Appraisal) (TORs, AgreementBetween Governmentand Cofinanciers Aide Memoires,BTOs) AgreementBetween Governmentand Bank Letter/Telexto Borrower Confirning Aide Memoir (as Fund Administrator) Memo to RVP on SignificantChange/sfrom IM Memo to Loan Committeeon Significant Change/s K. TECHNICALASSISTANCE (ProjectManagement) from IM ManagementServiceAgreement UNDP Project Document (signedversion) UNDP Project - ConsultantContractSignedwith IBRD J. COFINANCING P. SUPERVISION AgreementBtw Bank & Cofinanciers(if required) SupervisionMissions (TORs,Aide Memoires.BTOs) AgreementBetween Government& Cofinanciers Annual Audit Report AgreementBtw Gov't & Bank (Fund Administrator) And Other CofinancingRelated Documents Q. DISBURSEMENTS TranceReleases - Communicationto Government L. BOARD PRESENTATION Suspensionof Disbursements Transmittalto RVP AttachingBoard Documents (initialed) R. CLOSINGDATE/CANCELLATION CoverMemo to Officeof the President Cancellation of Loan Amount - OutgoingCommunication Commentson AdvanceBoard Documents RevisedWithdrawal Schedule- OutgoingCommunication Memo to SecretaryGivingBoard Attendance OutgoingTelex - Notification of Closing Speech Revised AmortizationSchedule- OutgoingLetter Questionsfrom ExecutiveDirectors Incoming Requests for Extension Summaryof Discussions(initialed draftand final) SignedTelex to GovernmentApprovingExtensions Telex to GovernmentConfirmingBoard Approval S. IMPLEMENTATION COMPLETION REPORT M. SIGNING (ICR) (Former PCR) Telex/Letter from Gov't AuthorizingSigningof Statutory CommitteeReport ImplementationCompletion Report Memo to/from Secretary- Signing Attendance ImplementationCompletion ReportTranslation Fax/Letter to Borrower's RepresentativeConfirming Signing Date Memo to RVP - TalkingPoints T. PROJECTPERFORMANCEAUDITREPORT Telex to Government ConfirmingSigning U. GENERAL SUPPLEMENTALDOCUMENTS General Correspondenceand other materialwhich do not N. EFFECTIVENESS relate to a specific segmentof the Project Cycle. Selected EffectivenessDocuments Telex to GovernmentAnnouncing Effectiveness Memo from Legal (LEG) AnnouncingEffectiveness Memo Requesting Approvalof Extension/Waiver Signed Telex to GovernmentApprovingExtension/Waiver Subsidiary Loan/CreditAgreements BetweenBorrower and ThirdParty Legal Opinions Ratification of Loan/Credit Agreement 0. TRANCHERELEASES Memo -RVP with Recommendations Memo - RVP to ManagingDirector Board Paper/Approval 2 Keeping Records - How to file and find Mav 1999 Ch s I.... Filing Cecklstfo N L0in Srvce Records Analytical and AdvisoryActivities INSTRUCTIONS: 1. Markthe filing location,i.e., A, B, C, etc., and the Product IDNumberin the upperright-handcornerof the document. 2. Establisha file folder for each segment (A, B, C, etc.)and file all documents in reversechronologicalorder (mostrecent on top) withinthe folder. (Itemslisted below are samples of key documents in each cycle. Documentslisted may not be all inclusive,but are representative). 3. Opena new volumewhen a file folderhas 3/4inch of material. Numbersucceeding volumesas VOLI, VOLII, etc. 4. For F - SupplementalDocuments, file documents,i.e., GeneralCorrespondence,and othermaterial whichdo not relate to a specific segment (A, B, C, etc.). 5. If a significantnumberof documentsfor Componentsand Sub-projectsexist, they may be labeled and put behindthe F.-SupplementalDocuments. Colintrv/Area - Study Name Prc)ducct No Mr | Product Type: e.g.,AnalyticalandAdvisoryActivities A. PREPARATION Concept Paper (CP)/IssuesPaper/InitiatingMemorandum(WhiteCover) Minutes of Concept PaperReviewMeeting Comments (includingPeer Review) Other Preparation Related Documents B. MISSIONS Missions (TORs/AideMemoires/BTOs) Other Mission Related Documents C. INTERNALBANKREVIEW DecisionDraft (DD)/YellowCover Report Minutes DecisionDraft ReviewMeeting Comments (includingPeer Reviews) Other Internal Bank Review Related Documents D. COUNTRYDISSEMINATION Country Dissemination(Country DistributionDraft/Green Cover) Transmittal to the Government(covering letterby CMU) Other Country Dissemination Related Documents E. FINAL REPORT OROTHER PUBLICATIONS FinalReport/ (Gray Cover/RedCover, or other) Final Report Dissemination Task/ActivityCompletionReport Other Final Report Related Documents F. SUPPLEMENTALDOCUMENTS (See Instructions Above) 1 __ * I _ I I 11111 | ! | P_~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~I . i* e a~~~~~~~~~~~~~~~~~~~~~~ . a... ; =~~~~Fln Checklisl or ___Lndn Reod =eve _effiS z:mc;m; e;n w S . ./!. 1- - .~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ ... ... Conference/Speech, etc. INSTRUCTIONS: 1. Mark the filing location, i.e.,A,B,C,etc. and the Product ID in the upper right-hand corner of the document. 2. Establish a file folder for each segment (A,B,C, etc) and file all documents in reverse chronological order (most recent on top) within the folder. (Items listed below are samples of key documents in each cycle. Documents listed may not be all inclusive, but are representative.) 3. Open a new volume when a file folder has 3/4 inch of material. Number succeeding volumes as VOL.1, VOL II, etc. 4. For F. SUPPLEMENTALDOCUMENTS,file documents, i.e., General Correspondence and other material which donot relate to a specific segment (A,B,C, etc.) 5. If a significant number of documents for Components and Sub-projects exist, they may be labeled and put behind F- Supplemental Documents. Country /Area Name of Product Product ID No. Product Type e.g. Conference/Speech, etc. A. PREPARATION Request from the Govt./Agency Proposal Draft Authorization to Proceed List of Participants, Moderators, Delegates Proposed Agenda B. MISSIONS Missions (TORs, Aide Memoires, BTOs) C. ADMINISTRATIVEARRANGEMENTS Budget Attendee Invitations/Responses Interpreters Travel Arrangements Meeting Arrangements Printing Arrangements 2 Filing Checkit r N u iServices Records..... D. PROCEEDINGSPREPARATION BackgroundPapers FinalLetters to Participants/Moderators/Delegates CopyrightArrangements E. FINAL REPORTOR OTHER PUBLICATION FinalReport/Speech/Article/Book/Proceeding FinalReport Dissemination FinalList of Participants Task/ActivityCompletionReport F. SUPPLEMENTAL DOCUMENTS (See Instructions Above) 3 Keeping Records - How to file and find -l May 1999 Quick Reereni Guide iLedn Serie RZi~d - Conferences/Seminars, Speeches, Articles, etc. A. PREPARATION Request from the Govt./Agency Proposal Draft Authorization to Proceed List of Participants, Moderators, Delegates Proposed Agenda B. MISSIONS Missions (TORs, Aide Memoires, BTOs) C. ADMINISTRATIVEARRANGEMENTS Budget Attendee Invitations/Responses Interpreters Travel Arrangements Meeting Arrangements Printing Arrangements D. PROCEEDINGSPREPARATION Background Papers Final Letters to Participants/Moderators/Delegates Copyright Arrangements E. FINAL REPORT/OTHER PUBLICATION Final Report/Speech/Article/Book/Proceeding Final Report Dissemination Final List of Participants Task/Activity Completion Report F. SUPPLEMENTAL DOCUMENTS 1 Analytical andAdvisory Activities A. PREPARATION Concept Paper (CP)/IssuesPaper/Initiating Memorandum (WhiteCover) Minutesof Concept Paper ReviewMeeting Comments (includingPeer Review) Other Preparation Related Documents B. MISSIONS Missions (TORs/AideMemoires/BTOs) Other Mission Related Documents C. INTERNAL BANK REVIEW DecisionDraft (DD)/YellowCover Report MinutesDecisionDraft ReviewMeeting Comments(including PeerReviews) Other InternalBank ReviewRelated Documents D. COUNTRY DISSEMINATION CountryDissemination(Country DistributionDraft/GreenCover) Transmittalto the Government(coveringletterby CMU) Other Country Dissemination Related Documents E. FINAL REPORT/OTHERPUBLICATIONS Final Report! (GrayCover/RedCover,or other) FinalReport Dissemination Task/ActivityCompletionReport Other Final Report Related Documents F. SUPPLEMENTAL DOCUMENTS 2 l~~~~~~~~~~~~~~~~~~ i11i i-|- B~~~~~~~i fo Pr INSTRUCTIONS: 1. Mark the filing location,i.e. A, B, C, etc.,and the Trust FundNumber/ProductID Numberin the upperright-hand cornerof the document. 2. Establish a file folderfor each segment (A, B, C, etc.)and file all documentsin reverse chronologicalorder withinthe folder. Documentsmay not existfor all items. 3. Open a new volume whena file folderhas 3/4"of material.Number succeedingvolumesas VOLI, VOL II, etc. 4. For L - SupplementalDocuments,file documents,i.e.,General Correspondenceand othermaterialwhich do not relate to a specific segment(A, B, C, etc.). 5. If a significantnumberof documentsfor Componentsand Sub-projectsexist, they may be labeledand put behind the L - SupplementalDocuments. Country - Project Name Trust Fund/GrantType (IDF, GEF, PHRD,MontrealProtocol, or Other) Trust Fund/GrantNo. |IProduct ID No. |IRelatedto Loan/CreditNo. (if Applicable) A. PROJECTIDENTIFICATION,TECHNICALREVIEW & PREPARATION B. EXECUTIVEPROJECTSUMMARY/INITIATINGBRIEF(IBTF) C. LOAN COMMITTEEMEETING (IF APPLICABLE) D. APPRAISAL E. MEMORANDUMOF THEDIRECTOR(MOD) (IF APPLICABLE) F. LEGALDOCUMENTS/AMENDMENTS(May Include Negotiations, Cofinancing, Technical Assistance, Approval (Board/ENVGC/Other), Signing, Effectiveness) G. PROCUREMENT(File allDocuments with Appropriate Procurement Checklist) H. SUPERVISION(MayInclude Implementation Summary Reports) I. DISBURSEMENTS(MayInclude Reallocation of Funds) J. CLOSING/CANCELLATION K. IMPLEMENTATIONCOMPLETIONMEMORANDUM (ICM) ICR/ PPAR(IF APPLICABLE) L. SUPPLEMENTALDOCUMENTS 1 __o MIM7L7-e and rind 1 I Annex documents May 19993 Antnex14 QuickReference-Guide ra and Tu E Funds GLOBALENVIRONMENTFACILITY(GEF) GLOBALENVIRONMENTFACILITY(GEF) (Continued) A.PROJECTIDENTIFICATION,TECHNICAL REVIEW &PREPARATIONDOCUMENTS F. LEGAL DOCUMENTS (Continued) ENVGC& CTRTAClearance NEGOTIATIONS Extensionof RefinancingDate Agreed Minutes of Negotiations GEFSecretariat/ImplementingAgencyComments Authorizationto Negotiate/Clearance GEFTA Review of TOR Memo to RVP (InitialedbyRVP) GovernmentRequest(Bank & ConventionFocal Points) SummaryMemo of Outcome Letter of Agreement Memoto GovemmentCanceling Balance COFINANCING PreparationMissions (TORs,Aide Memoires,BTOs) AgreementBetweenCofinanciersand Bank Project Concept(Endorsedby GEF Ops Team) (as Fund Administrator) RequestMemo to CMUDR/CD AgreementBetween Governmentand Cofinanciers TechnicalOpinions (ByBank & OutsideSpecialists) TechnicalAssistance (ProjectManagement) Project Document (SignedVersion) B. EXECUTIVEPROJECTSUMMARY DraftInitial ExecutiveProject Summary(JEPS) APPROVAL Environmental As$esfment Qyvryicw INYGCClearance FEPS Comments Final Blue Cover &TA Transmittal(Signedby RVP) FEPS ReviewMeetingMinutes TransmittalMemo to RVP Memoto RVP on SignificantChange/sfrom FEPS Project InformationDocument (PID) EFFECTIVENESS (includingCriteria Sheet)and CoveTMemo Revised SignedTelexto GovernmentApprovingExtension/Waiver FEPS SocialAssessment/NGO& Local Community Telex/Letterto GovernmentAnnouncingEffectiveness ConsultationsWhiteCover Memorandumof the Director(MOD)& TechnicalAnnexes (TA) G. PROCUREMENT(NotApplicable) C. LOAN COMMITTEEMEETING (Not Applicable) H. SUPERVISION Annual Audits D. APPRAISAL Form 590 (non-mission) AppraisalMissions (TORs,Aide Memoires,BTOs) SupervisionMissions (TORs,AideMemoires,BTOs) Comments- YellowCover MOD& TA CouncilEndorzmwnt I. DI)IRUEMENTS Draft(YellowCover) Grant Agreement Lifting Suspension- Notificationto Recipient (For ReviewMeeting) Suspensionof Disbursements- Notificationto Recipient Final Project Document(WithGEF Logo) Post AppraisalMissions (TORs,Aide Memoires,BTOs) J. CLOSINGDATE/CANCELLATION Revised(Green& Blue)MOD & TA/StaffAppraisal Cancellation of Grant Amount - OutgoingTelex Report (BankSAR) IncomiBgRequestforExtengion Yellow Cover(MOD)& Technical Annexes(TA) MemoRequestingApprovalfor Extension Yellow CoverReview MeetingMinutes OutgoingTelex -Notificationof Closing (includingLast DisbursementSchedule) E. MEMORANDUMOF THEDIRECTOR SignedTelex to GovernmentApprovingExtension (NotApplicable) Telex/s AmendingClosingDate F. LEGAL DOCUMENTS K. IMPLEMENTATIONCOMPLETION Grant Agreement MEMORANDUM(ICM) ICR/PPAR(If Applicable) Amendment/sto GrantAgreement ProjectAgreement(if required) L. SUPPLEMENTALDOCUMENTS GeneralCorrespondenceandother materialwhich donot relate to a specific segment (A. B. C., etc.) - ~~~~~~~~1 INSTITUTIONAL DEVELOPMENT FUND (IDF) POLICY & HUMANRESOURCES DEVELOPMENT (PHRD) FUND A. GRANT PROPOSAL PREPARATION DOCUMENTS A. GRANT PROPOSAL PREPARATION FundingProposal DOCUMENTS Notice of IDF Approval FundingProposal Regional PHRDApprovalLetter B. EXECUTIVE PROJECT SUMMARY/ INITIATING BRIEF (IBTF) (Not Applicable) B. EXECUTIVE PROJECT SUMMARY/ INITIATING BRIEF (IBTF) (Not Applicable) C. LOAN COMMITTEE MEETING (Not Applicable) C. LOAN COMAIITTEE MEETING (Not Applicable) D. APPRAISAL (Not Applicable) D. APPRAISAL (Not Applicable) E. MEMORANDUM OF THE DMLCTOR MOD) (Not Applicable) E. MEMORANDUM OF THE DIRECTOR (MOD) (Not Applicable) F. LEGAL DOCUMENTS IDF Grant Agreement F. LEGAL DOCUMENTS Amendmentsto Grant Agreement JapaneseGrant Agreement Managing DivisionFax/Telex to Government Amendmentto GrantAgreement Approvalof ClosingDateExtension ContractBetween IBRD/IDAand Consultant/Firm TMRequestforExtensionofClosingDate G. PROCUREMENT (File all documents with G. PROCUREMENT (File all Documentswith appropriateProcurementChecklist) AppropriateProcurement Checklist) H. SUPERVISION H. SUPERVISION SupervisionMissions (TORs,Aide Memoires,BTOs) ImplmfntalitnSummary Reports PHRD SupervisionReport 1. DISBURSEMENTS I. DISBURSEMENTS(Bankor GovernmentExecuted) DisbursementLetter DisbursementLetter Reallocationof Funds Reallocationof Funds J. CLOSING/CANCELLATION J. CLOSING/CANCELLATION Memo to OPP, CTRTA,ACTTP A LOX TMCompletionMmotoCAPOC TM CompletionMemo to OPR CAPOCMemo to CTRTA,ACTTF& LOA TM Memo toGovernment (if applicable) Unused BalanceReturnMemo TM Memo ChangingStatus of Grant Memo of Cancellation Unused BalanceReturn Memo K. IMPLEMENTATION COMPLETION AMENDMENT9 MEMORANDUM (ICM) ICRIPPAR (Not TM Request of Closing Date Applicable) CAPOCClearanceof Closing DateExtension Managing DivisionFax/Telex to Government L. SUPPLEMENTAL DOCUMENTS General Correspondenceothcrmatorlial and whichdo K, IMPLEMENTATION COMPLETION not relate to a specific segment (A. B. C., etc.) MEMORANDUM (ICM)/IClR/PPAR L. SUPPLEMENTAL DOCUMENTS General Correspondenceandother material whichdo not relateto a specificsegment(A.B. C. etc.) 2 An'nex.14 QuickReference:Guide-. Grant and Trust Fund Project Records MONTREALPROTOCOLDOCUMENTS MONTREALPROTOCOL(Continued) A. PROJECTPREPARATIONDOCUMENTS F. LEGALDOCUMENTS Grant/Trust Fund (Preparation Finance )/Cancellation Grant Agreement/Translation Identification Mission (TORs, Aide Memoires, BTOs) Subsidiary Grant Agreement Memo Canceling PPF Balance Amendments to Grant Agreement PPF - Covering Memo to CMUDR/CD Model Sub-grant Agreement PPF - Extension of Refinancing Date - Outgoing Telex Development Policy Letter/Statement PPF - Extension of Refinancing Date - Request Memo Guarantee Agreement To CMUDR/CD Request from Government - Letter Statutory Committee Report from Bank (with annexes and countersigned by Supplemental Letters/Side Letters Government) - Transmittal Sheet Pre-Appraisal Missions (TORs, Aide Memoires, BTOs) AMENDMENT DOCUMENTATION Preparation Missions (TORs. Aide Memoires, BTOs) Incoming Request from Government Telex to Government Canceling PPF (PPA) Balance Memos Requesting Amendments Countersigned Letters of Amendment B. EXECUTIVE PROJECT SUMMARY Telexes Amending Closing Date Environmenta] Overview/Project Information Document (PID)/Cover Memo Initial Executive NEGOTIATIONS Project Summary (IEPS) Negotiation Missions (TORs/Aide Memoires/BTOs) EPS Updates and Information Brief Updates Pre-Negotiation Packlage/Memo to RVP/CMUDR/CD IEPS Comments Authorization to Negotiate/Clearance IEPS Review Meeting Minutes Telex of Invitation to Government and Donors Final Executive Project Summary Notice of Invitation to Negotiate (initialed draft/final) FEPS Package to Regional Vice President (RVP) List of Delegation Members FEPS Review Meeting Minutes Standard Letters to Delegation Minutes of Pre-Appraisal Review Meeting Agreed Minutes of Negotiations RVP Authorization to Appraise Status of Negotiations (initialed draft/final version) White Cover MOD Summary Memo of Outcome C. LOAN COMMITTEEMEETING (If meeting COFINANCING called) Agreement Between Bank and Cofinanciers Regional Loan Committee Meeting Agenda Agreement Between Government and Cofinanciersl Minutes of Loan Committee Meeting Agreement Between Government and Bank D. APPRAISAL TECHNICALASSISTANCE (ProjectManagement) Appraisal Missions (TORs, Aide Memoires, BTOs) Management Service Agreement Letter/Telex Confirming Aide Memoir Other Agreements Yellow/Green Cover Comments (includes Peer UNDP Project Document - Review)/Meeting Minutes Post Appraisal Missions Consultant Contract Signed with IBRD (TORs. Aide Memoires. BTOs) SIGNING E. MEMORANDUM OF THE DIRECTOR Fax/Letter to Recipient's Representative Confirming Signing Gray Cover MOD Date Memo to RVP - Talking Points Memo to/from Secretary - Signing Attendance Telex/Fax to Government Confirming Signing Telex/Letter from Government Authorizing Signing of Project's Legal Agreements 3 MONTREALPROTOCOL (Continued) F. LEGAL DOCUMENTS (Continued) EFFECTIVENESS Effectiveness Missions (TORs,Aide Memoires,TORs) Ratification of Grant Agreement Legal Opinions Memo from Legal (LEG) AnnouncingEffectiveness Memo Requesting Approvalof Extension/Waiver SignedTelex to GovernmentApproving ExtensionlWaiver SubsidiaryGrant AgreementsBetween Recipient and ThirdParty Telex/Letterto GovernmentAnnouncingEffectiveness G. PROCUREMENT(Notapplicable) H. SUPERVISION AnnualAudits Form 590 (non-mission) * Global Environment Facility (GEF) Mid-TermReview * Institutional Development Fund (IDF) ProgressReports SupervisionMissions (TORs,Aide Memoires,BTOs) * Policy & HumanResources Development Fund (PHRD) 1. DISBURSEMENTS * Montreal Protocol DisbursementLetter LiftingSuspension- Memo/Notificationto Board/Notificationto Recipient OutgoingTelex- Notificationof Closing (includinglast disbursementschedule) Reallocationof Funds - Incoming/OutgoingTelex RevisedAmortizationSchedule - OutgoingCommunication RevisedWithdrawal Schedule- Outgoing Communication Suspensionof Disbursements - Memo withapproval /Notificationto Board/Recipient Inforiation Solutions Group J. CLOSING/CANCELLATION Cancellationof Grant Amount - Outgoing Communication K. IMPLEMENTATIONCOMPLETIONREPORT (ICR)/PPAR ImplementationCompletionReport/Translation (1t0 11/97) Project PerformanceAudit Report 4 Annex16. FilingChecklistforRecordsRelatingto the Procurementof Good&and Work.S PROCUREMENT CHECKLIST II - GOODS AND WORKS L Instructions for Entering Header Information Below 1. Country - Project Name Name of country and complete name as shown on the Loan/Credit Agreement. 2. Loan/CreditNo. Assigned by LoanDept. Enterthe 4-digit numberand ISO 2-lettercountrycode. Example: 3340-BR 3. Product ID No. OPMIS/CostAccountingSystem number. Example: 6MX-PA-7709 4. Bid No. Example: CRM SDIHFQPO9/94 5. Contract No. As shown in contract (whenavailable) 6. Descriptionof Goods& Describethe goods/worksbeing provided. Works Example: Technical Assistance- PavementAnalysis 7. ContractorName Contractoror firm providingservice (when available) 8. ProcurementMethod ICB (International),NCB (National),Shopping,Direct Contracting,etc. 9. EstimatedValue As shownin Project ImplementationPlan in PAD/SAR. Enter data whenavailable. I0. Subcomponent As shownin PAD/SAR or Schedule I of the Loan/Credit Agreement. Enter data when available. 11. Funding Sources Enter onlyif funds are providedby organizationsother than IBRD/IDA. Example: GEF, JGF, METAP, etc. Use also for PPF funding. Enterdata when available. Note: Information must beprovided in unshaded boxes before Procurement documents are sent to the ISC. Complete shaded boxes when information becomes available. HEADER 1. Country- Project Name | 2. Loan/CreditNo. 3 ProductID No. |4. Bid No. 5. ContractNo. 6. Descriptionof Goods andWorks 7. Contractoror FirmName 1-A. Metho 9W-Esi,edvrocurement alue: 1 , ~~~~~~~~~., .,.. ,..., -A, | :: .. .-. : ,;:;-; ;;;;......... -. ..... ; .?;.' ... ..... ;';;--;:;;:; ;.;:;-;: Task Manager's Name Ext. Sinature |Date Sent to 1SC: l |~~~~~4 D . . .!.:k y INSTRUCTIONS: 1. Mark the document,i.e. A-2, B-5,etc., in the upper righthand corner. Complete 2. Checkoff batches when sentto the ISC. header on 3. Check offProtest box whencondition applies.Enterdate protest cleared. reverseside 4. Enter N/A in document dateline if datais not available. Sent to ISC A. NOTIFICATIONANDADVERTISEMENT Document Protest Date Protest Date Cleared 1. Specific Procurement Notices ____ 2. Notification of Embassies Sent to ISC B. PREQUALIFICATION 1. Prequalification Documents and Advertisement ___ 2. Fax/Telex from Bank - Comments, Objections, and No Objections 3. Prequalification Report/List Prequalified Bidders _ 4. Clearances: ElDiv. E1Dept. ElRegional ElCentral ____ 5. Fax/Telex from Bank - Comments, Objections, and No Objections SupplementalDocuments El Sentto ISC C. BIDDING 1. Draft Bidding Documents Invitations forBids (IFB) Technical Specifications/Drawings Instructionsto Bidders (ITB) Bid Forms/PriceSchedules GeneralConditionsof Contract (GCC) Bid Security Form Special Conditionsof Contract Contract Form Scheduleof Requirements/Billof Quantities PerformanceSecurityForm 2. Clearances: ElDiv. 3Dept. ElRegional ElCentral 3. Fax/Telex from Bank - Comments, Objections, and No Objections 4. Final Bidding Documents/Addenda 3 5. Clearances: ElDiv. ElDept. nRegional ElCentral 6. Fax/Telex from Bank - No Objections SupplementalDocuments E] Sent to ISC D.BID EVALUATION ____ 1. Minutes of Bid Opening___ E ____ 2. Bid Evaluation Report/Recommendation of Award/Amendments _ 3. Clearances: L Div. ElDept. ElRegional rl Central 4. Fax/Telex from Bank - Comments, Objections, and No Objections SupplementalDocuments El Sent to ISC E. CONTRACTREVIEW/AWARD 1. Draft Contract 2. Clearances: ElDiv. LiDept. E] Regional ElCentral 3. Fax/Telex from Bank - Comments, Objections, and No Objections 4. Signed Contract ___ ContractorFirm Name Contract No. (Continuedon followingpage) 2 - r4w d'iI|1 MIM 1 iI Annex documents May 1999 .......... ':.... ~~~~~~~.......:'.''.....-.?9 ?"9...............''.'' Fili-g -hecklis f-r Recor Relain to theProcuremnet of Go-ds W orks 5. Fax/Telex from Bank - Comments, Objections, and No Objections Supplemental Documents El Form 384 (optional) Sent to ISC F. AMENDMENTS 1. Amendments to Contract F] 2. Clearances:F Div. F Dept. R Regional D Central 3. Fax/Telex from Bank - Comments, Objections, and No Objections Supplemental Documents Sent to ISC G. GENERAL SUPPLEMENTAL DOCUMENTS(Not relatedto segmentsA throughF) 3 Keeping Records - How to file and find .Annexdocuments May 1999 -r 1inVtaShe l f' o t NofSubjct t PXi ROWi Transmittal Sheet Instructions: Complete header, attach documents, and send to the ISC TYPE OF PROCUREMENT E] CONSULTANTS IZ GOODS AND WORKS D TRAINING (Checkone) (Usea separate sheetfor Consultantsor Goods &Works) COUNTRY - PROJECT NAME: LOAN/CREDIT No: PRODUCT ID No.: FUNDING SOURCE: DESCRIPTION OF GOODS & WORK/CONSULTANTS: DOCUMENT DATE REMARKS: TM NAME: UNIT: PHONE: SIGNATURE: DATE SENT TO ISC: 1 Keeping Records - How to file and find Annex documents May 1999 s~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~.... Ge. ... ... ........... ~ General WeordsScheduleAGRS THE WORLD BANK GROUPARCHIVES THE GENERAL RECORDS SCHEDULE (GRS) A RecordsRetention and Disposition Schedule for those Program and AdministrativeRecords that are Commonto most Bank Units * Guideto the GeneralRecords Schedule * GeneralRecords ScheduleList of Classes * GeneralRecords Schedule Number 1998/018 August, 1998 1 CLASSTITLE CLASSNO Local Office BankAccounts 1941 Local Office Imprest Accounting Records 3316 Local Office Premises: Offices and Residences 3317 Local Office Motor Vehicles 3318 BusinessContinuity Plans and Disaster Plans 4859 Budget and Accounting Records - Division Level 4860 Budget and Accounting Records - Department Level 4861 Budget and Accounting Records - Vice-PresidentLevel 4862 Chronological Files ("Chrons") 4863 Committee Records 4864 Conferences and Seminars Records - Organized by Unit 4865 Conferences and Seminars Records - Organized by Others 4866 Facilities, Furniture, Equipment and Supplies 4867 Organization and ManagementRecords 4868 Personnel, Benefits and TrainingRecords 4869 Public RelationsRecords - Division Level 4870 Public RelationsRecords - Department and Vice-PresidentLevels 4871 Publicationsand Issuances 4872 2 Keeping Records - How to file and find bAnnexdocuments A q ~~~.................... ....................... .... . . .................. keWdmchdle (GRS).: Records Management 4873 Travel Records (Operational& Benefit)- Division and Department Levels 4874 Travel Records (Operational& Benefit)- Vice-PresidentLevel 4875 3 ..................... I.... . . . . . . . Definitions A General Records Schedule (GRS) is a type of records retention and disposition schedule that provides retention and disposition authorization and instructions for those records common to all or many units of the World Bank. A Records Retention and Disposition Schedule lists and describes all records produced, acquired, and maintained by organizational units in the Bank, provides a timetable for the systematic retention and disposition of those records, and authorizes the destruction of those records that do not warrant continuedpreservation. For retention and disposition instructionsfor your unit's otherprogram records, consult the specific records retention and disposition schedule created by the Archives for your unit. If a retention schedule has not been produced for your unit, contactthe Archives at Ext. 32841. Records are defined as recorded information, regardless of form or medium, created, or received by or on behalf of the Bank Group in pursuance of its legal obligationsor in the transaction of its business. Records may be in many forms, such as files, volumes, letters, memoranda, reports, documents, cables, telexes, facsimiles, electronic messages, charts, drawings, spreadsheets, maps, plans, photographs, films, videos, sound recordings, databases, etc. Purpose A properly implemented records retention and disposition schedule ensures the legal, administrative and fiscal accountability of the Bank, as well as the continuity and preservation of its corporate memory. This means that: * records are kept as long as required to carry out the business of the Bank * records of no further value are disposed of with proper authorization and in a timely manner * there is an orderly flow of records from the creating offices to the Archives. 4 _GeneralRecords Schedule (GRS) Effectiveness and Coverage The retention and disposition instructions in this GRS are effective as of August, 1998. The GRS supersedes any other records retention and disposition schedules you may have for the records covered in this schedule and applies to all Bank units. However, unit-specific RRDS describing specific program files of your unit still apply. The GRS is different than the former General Administrative Records Schedule (GARS) in two ways: 1) GARS applied only to records at headquarters . The GRSmay be used by units at headquarters and by local offices 2) GARS covered primarily administrative records. The GRS covers records which may be program or administrative. When the retention and disposition instructions apply only to local offices, it is obvious from the class title, such as "Local Office Bank Accounts." Otherwise, local office and headquarters records have the same retention and destruction instructions unless there is a note or exception given within the schedule. Responsibility Unit managers are responsible for ensuring that their unit implements adequate record keeping measures. These responsibilities include ensuring that an effective filing system is maintained; that the unit's records are reviewed on a regular basis; that records are routinely sent to local file stations; and that records no longer required for day-to-day use are disposed of in accordance with records retention and disposition schedules. Ownership Administrative Manual Statement 10.00 states that all records produced in the course of Bankwork, regardless of form or physical characteristics, are the property of the Bank Group. It further states that upon termination of employment Bank Group staff members are not permitted to retain, donate to others, or remove from Bank Group premises any records or other material, including those made or acquired by them in their capacity as officials or employees of the Bank Group, other than documents disseminated for public information and personal copies of correspondence directly related to the terms and conditions of their employment. 5 HOW THE GRS IS ORGANIZED NOTE: Youroffice may not maintain all of the records covered in the GRS. Apply the retention and disposition instructions that are relevant to your records and ignore the others. Class Records are grouped into classes according to their function (e.g., travel, personnel, budget). For each class, a brief description is provided that identifies the purpose of the records and the general types and/or contents of the records. Disposal Class Within each general class the GRS identifies one or more disposal classes. A disposal class is a group of records, all of which have the same retention and disposition and are identifiable by the same description. Disposal classes allow different parts of a general class to be treated individually with regard to retention periods and disposition rules. For example, the originals of some documents may be retained while the copies are destroyed. RetentionPeriods Retention periods specify the minimum period of time during which records must be kept before they may be disposed of, and are usually expressed in terms of months or years after the occurrence of an event (e.g., fiscal year, employee termination, expiration of contract, etc.). Retention periods are based on the value of the records to the business functionsthey support. Retention periods also usually include an indication of storage arrangements (e.g., whether records are to be kept in the office or in the Archives or some combination of these options). In the GRS, retention periods and transfer arrangements are indicated by the following symbols: Di Indicatesthe retention period in the Office Q Indicates a transfer to either the Archives or another repository 6 Keeping Records - How to file and find Annex documents May 1999* A..e x- .............. G Records:Schedule (GRS) All retention periods indicated on the GRS are minimum periods. If your unit wishes to retain the records for a longer period of time, it may do so without the need for revising the GRS. DispositionRules The GRSprescribes a disposition for each disposal class. Dispositionrefers to the final action to be taken with records, including either destruction or transfer to the Archives for preservation. The most commondispositions are: P Send to ARCHIVES for PERMANENT RETENTION: This disposition indicates that these records are deemed sufficiently valuable as evidence of the Bank's organization, functions, policies, decisions, programs, procedures, operations or other activities and/or for research purposes, to warrant considering them for permanent preservation. This disposition does not mean that the records will never be reappraised. The long-term value of records is revealed only over time and cannot be predicted with certainty. Problems of preservation, the acquisition of records that better document the same activity, or the cost of storage are typical factors that can lead to the reappraisal of records. 'fi DESTROY: These records may be destroyed when their retention period is completed. Records that are not to be transferred to the Archives should be destroyed in office by your unit. Records that are transferred to the Archives for temporary storage will be destroyed by the Archives. Note that records are always reviewed before destruction actually takes place. In addition, the staff of the unit that created or inherited the records will be notified of the impending destruction and given the opportunityto request a re-evaluation of the retention and disposition decisions. ~ Archives and Unit to REVIEW: It is not always possible while records are active to determine whether they are worth designating for permanent retention. In this case the GRS specifies a deferral of the decision and indicates the time in the future when the records will be reviewed and a decision made. In general, this re-evaluation is done by the Archives in consultation with staff from the unit that created or inherited the records. 7 *~~~~~~~~~~~~~~~s S1 I e ' Cross Referenceto BankwideRecords ClassificationScheme In order to aid in the identification of records that are due to be transferred to the Archives, each Class and/or Disposal Class of the GRS is cross-referencedto the Information SolutionsGroup's Bankwide Records ClassificationScheme. Thefollowingtypesof records(regardlessof formor medium)maybedestroyedwithoutfurther authorization: (a) roughdraftsthathavenotbeencirculatedoutsidetheorganizationalunit (b) conveniencecopiesmadeexpresslyforshort-termreferenceuse (c) referencematerial(e.g.,issuances,newsletters,circulars,journals,books,etc.)originating fromoutsidetheorganizationalunit (d) stocksof outdatedpublications,originallyheldfordistributionpurposes(providedat least onecopyis retainedintherecordsor hasbeenforwardedtotheInternalDocumentsUnitor totheArchives) (e) printoutsfromdatabasesandsystems,where: (i) theprintoutcontainsnomeaningfulannotationsororiginalsignatures;and (ii) thedatabaseorsystemiscapableof producinga printoutidenticalincontent, structure,andappearance (f) supersededbackupcopies (g) blankforms (h) faxesprintedonthermalpaper(butonlyaftera plainpapercopyhasbeenmadeforthe records) .............. ............WE 8 MM Keeping Records - How to file and find Annex documents May 1999 .:- : - - - :: : ii *? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~. ........... 1941 LOCALOFFICEBANKACCOUNTS Purpose:Usedtodocumentbankingactivities Content:Correspondenceandotherrecordsrelatingto the operationof accountswithexternalbanks(central banksorcommercialbanks) CrossreferencetoBankwideRecordsClassification Scheme:FINANCIALTRANSACTIONS- ADMINISTRATIVE EXPENSES-IMPREST ACCOUNTING 1941.01 Generalinstructionson convertibleand non-convertible m RetaininOfficeuntil accounts superseded,then X DESTROY 1941.02 Correspondence anddocumentsrelatingto theopening m RetaininOfficefor6 andoperationof bankaccounts,includingauthorizations yearsfromdateaccount tooperateontheaccount closed,then X DESTROY 1941.03 Routinecorrespondence withtheBank m RetaininOfficefor 6 yearsfromendof fiscal year,then A DESTROY 1941.04 Bankstatements,cancelledandvoidedchecks D Retainin Officefor6 yearsfromendof fiscal year,then X DESTROY ,.......?..-. :-- "' : , 9....... .... 9 3316 IMPRESTACCOUNTING RECORDS(LOCAL OFFICE OR HEADQUARTERS) Purpose: Used to record the local office's financial transactions of local offices and units at headquarters whichmaintainimprestaccounts Content: Records relating to the operation of imprest accounts CrossreferencetoBankwideRecordsClassification Scheme: FINANCIALTRANSACTIONS- . ADMINISTRATIVEEXPENSES-IMPREST ACCOUNTING 3316.01 Local office correspondence relating to new imprest 0 Retainin Officefor 6 years accounts,fund balances,delegationsof authority,etc. from endof fiscalyear;then X DESTROY 3316.02 Localofficeimprestreports(papercopy), bankstatements kD Retainin Officefor 6years andbankreconciliationreports. from endof fiscal year;then X DESTROY 3316.03 Localofficecancelledchecks D Retainin Officefor 6years from endof fiscalyear; then X DESTROY 3316.04 Localofficepaid invoicesand supportingdocuments r Retainin Officefor 6years from endof fiscalyear;then A DESTROY 3316.05 Local office petty cash vouchers and supportingreceipts D Retainin Officefor 6years anddocumentation from endof fiscalyear;then t DESTROY continuedon next page 10 E M M | Annex documents May RAN .......--;-:-:............................................. .:---..........' '".........t.. --- . . . . . . . . . . . . . . . . . . . . . . . . . . ... >vAS. . . . . . . . . . . . . ... 3316 IMPRESTACCOUNTING RECORDS (LOCAL OFFICE (continued) ORHEADQUARTERS 3316.06 Local office bank deposit slips and supporting m RetaininOfficefor6 years documentation fromendoffiscalyear;then t DESTROY 3316.07 Localofficetelexesandother authorizationsof k Retainin Office for 6 years acceptance/disbursementof funds from endof fiscal year; then X DESTROY 3316.08 Local office chargeback authorizations for charges to D Retainin Officefor 6 years Headquarters from end of fiscal year; then t DESTROY 3316.09 Local office Statements of Expense (SOE) and D Retain in Office for 6 years supportingdocumentation from end of fiscal year; then X DESTROY 3316.10 Local office chargeback for expense adjustments and D Retain in Office for 6 years supportingdocumentation from end of fiscal year; then t DESTROY 3316.11 Headquartersimprest accountrecords (asabove) D Retainin Office for 3 years from end of fiscal year; then r Transfer to ARCHIVESfor 3 years; then X DESTROY . . . . ... . . . . . . . . .X. ............ 1 ........... -~~~~ _~~~~~~~eRr~cf~~ Sti~M SSGkS {020. >>TI adRiDi,;,, tet a Z)siaiw fm >2.... 3317 LOCAL OFFICEPREMISES: OFFICESAND RESIDENCES Purpose: Used to documentacquisition/dispositionand maintenanceof localofficepremisesand residences. Content: Files relatingto the acquisition,maintenance, use anddispositionof officepremisesand residences Note: Seealso No.4867 Facilities,Furniture,Equipment and Supplies. Note: Copies of titles, deeds, leases, and other importantdocumentsshould be forwardedto HQ at the time of acquisitionfor safe keepingas vitalrecords. Crossreferenceto BankwideRecordsClassification Scheme: FINANCIALTRANSACTIONS-Administrative Expenses-ImprestAccounting;SERVICES& FACILITIES-Facilities-LocalOfficesor Procurement& Supplies-AssetDisposal 3317.01 Titles,deeds andsignedleasedocuments(if not handed D Retainin Officefor 6 years overto subsequentpurchaser/tenant) from sale or dispositionof premises,then t DESTROY 3317.02 Records relating to acquisition and disposition of m Retainin Officefor 6years premises, major alterations/renovationsand significant from sale ordispositionof maintenanceactivities premises,then X DESTROY continuedon next page 12 Keeping Records - How to rile and find Annex documents May 1999 ,,, w ..... ~~~~~~~~~~~~~~~~~~~..................... .. 3317 LOCALOFFICEPREMISES:OFFICESAND (continued) RESIDENCES 3317.03 Records relating to minor or routine maintenance r7 RetaininOfficefor6 activities years fromendoffiscalyear, then . DESTROY 3317.04 Records relating to installation,commencementor 0 RetaininOfficefor6 terminationof utilities, e.g., water, gas, electricity, years fromsaleordisposition telephone,trashremoval,sewerage,drainageservices, of premises,then etc. (paymentsfor servicesshouldbe filed in Imprest t DESTROY Accountingrecords.) .............. . . ............. 1 . ... 13 331 LOCALOFFICEMOTORIVE I SE . l ~~I JJ -__ X |3318 LOCALOFFICEMOTORVEHICLES Purpose: Used to document motor vehicle transactions by localoffices Content: This classincludes records relatingto acquisition, disposition,maintenance,use and insurance of motor ;O l vehicles IV, | Cross reference to Bankwide Records Classification Scheme: SERVICES & FACILITIES-Procurement & Supplies-Asset Disposalor Travel-Vehicles 3318.01 Recordsdocumentingthe acquisitionand dispositionof motor D Retain in Office for 6 years vehicles,titlepapers,registrationand/orlicensing from disposition of vehicle, then | DESTROY 3318.02 Records documenting motor vehicle maintenance and 0 Retain in Office for 1year insurance from disposition of vehicle, then X DESTROY 3318.03 Trip Notes,DriverLogs,etc. D Retainin Office for 6 months from end of fiscal year, then X DESTROY 14 Keeping Records - How to file and find Annex documents May 1999 '.""''''....~~~~~~~~~~~~~~~ ttt ttt ttt Annex 18 ~~ .............. ('eneral Records Schedule (GRS) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~.........-.- .... f .. .. ...... .......................... ........................................... 4859 BUSINESSCONTINUITYPLANSANDDISASTER PLANS Purpose: Used to enable Bank units to recover essentialbusinessfunctionsintheeventof adisaster. Content: This class comprisesrecordsdocumenting businesscontinuityplansdesignedto enableBankunits to recovertheir businessfunctionsin the event of a disasteror majorinterruptionof theirnormaloperations, as well as disasterrecoveryplansspecificallydealing with the restorationof data processingequipment, facilities,andrecord-keepingfunctions. Note: TheseprovisionsDO NOTAPPLYto program recordsoftheBusinessContinuityAdvisor Crossreferenceto BankwideRecordsClassification Scheme: MANAGEMENT& OVERSIGHT-Business Continuity 4859.01 One copy of currentBusinessContinuityPlan and Q Sendimmediatelyto DisasterPlanandupdates BusinessContinuity Coordinator 4859.02 One copy of currentBusinessContinuityPlan and D Retaininofficeuntil DisasterPlanandupdates superseded;then A DESTROY 4859.03 Duplicatecopiesmaintainedintheofficeof thebusiness D Retaininofficeuntil unitandoff-site superseded;then X DESTROY continuedonnextpage 15 ?0 3''.'.??<~~~~~~~~~~~~~~~~~~~~~~~M MMEM-tll> !gt2' 4860 BUDGETAND ACCOUNTINGRECORDS- UNIT (continued) LEVELANDLOCALOFFICES 4860.02 Budget management and monitoring - Copies of D Retain in Office for 1year monthlystatus reports submitted to parent department; from end of fiscal year; operations summaries;statistics;workingfiles then X DESTROY 4860.03 Budget management and monitoring - Quarterly 2 Retain in Office for 2 years Monitoring Reports, Mid-Year Review; Retrospective from end of fiscal year; Review then t DESTROY 4860.04 Accruals management- All records relatedto accruals D Retainin Office for 1 year management from endof fiscal year; then A DESTROY 4860.05 Accounting/Expenditure management - All records k- Retainin Office for 1 year related to expenditures and payment of accounts, from endof fiscal year; includingtransactionreports, reportsfrom the Accounts then Payable System, purchase orders, invoices, X DESTROY statements of expense (SOEs), petty cash vouchers. Also includesrecords relatedto payment of consultants and part-time staff, including attendance records, invoices,claims for payment,etc. Note: For headquarters units only. Local offices use No. 3316 - Imprest Accounting Records for their accounting and expenditurerecords. Note: Record copies of payment authorizations and supporting documentation are maintained by the AccountingDepartment 4860.06 Guidelines, budget manuals, accounting systems D Retain inOffice while manuals needed;then X DESTROY 18 *lIw.'ugoIuII Keeping Records - How to file and find ,, . : :.-Aniix ,I, - - ~~.... e . ' ' S. ??..>....'.. -S 4861 BUDGETANDACCOUNTINGRECORDS-DEPARTMENT LEVEL Purpose:Used to documentthe department'sbusiness plan,budget,andexpenditures. Content:Thisclassappliesto departmentlevelrecordsat headquartersandcountrydepartmentslocatedin the field. Includesrecordsrelatedto budgetplanning,implementation, monitoring,and review. Also includesrecordsrelatedto expendituresandpaymentof accounts. Note:TheseprovisionsDONOTAPPLYto programrecords of the CorporateResourceManagementGroup,or of the AccountingDepartment. Note: Forunitworkprogram,useNo. 4868- Organization andManagement. Cross referenceto BankwideRecords Classification Scheme: BUDGET, FINANCIALTRANSACTIONS& MANAGEMENT &OVERSIGHT 4861.01 Budgetplanning- ProspectSummariesandfinal Business Dt7RetaininOfficefor2 years Plan and Budgets (includingformal BusinessPlan and fromendof fiscalyear;then Budgetsfromsubordinatedivisionsandunits) * Transferto ARCHIVESfor P PERMANENTRETENTION 4861.02 Budget planning - Divisional inputs and informal D RetaininOfficefor 1year submissionsfor BusinessPlanpreparation fromendof fiscalyear;then X DESTROY continuedonnextpage 19 ILSm 4861 BUDGETAND ACCOUNTINGRECORDS- (continued) DEPARTMENTLEVEL 4861.03 Budget managementand monitoring - Quarterly RetaininOfficefor 2 years Monitoring Reports (including submissions from fromendoffiscalyear;then subordinatedivisionsandunits) DESTROY 4861.04 Budget managementand monitoring- Mid-Year Retainin Officefor2 years ''~ ReviewandRetrospectiveReview(includingReviews fromendoffiscalyear;then from subordinatedivisions and units) * Transferto ARCHIVESfor P PERMANENTRETENTION 4861.05 Budget management and monitoring Monthly status - Retain in Office for 1 year reportsfromdivisions fromendoffiscalyear;then DESTROY 4861.06 Capital budget-All records related to capital budget L -} Retain in Office for 2 years projects aftercompletionofcapital project;then Note: Record copies of this material are maintained DESTROY byGeneralServicesDepartmentandtheAccounting Department. 4861.07 Accrualsmanagement:All recordsrelatedto accruals i--- RetaininOfficefor 1year management fromendof fiscalyear;then DESTROY COntinuedonnextpage 20 l tAnnexdocumvents May 1999 Amuex18 Geeral Reo Schedule:(R) '' :0 - -; B.Titwe .an Desiptn 4861 BUDGETANDACCOUNTINGRECORDS- (continued) DEPARTMENT LEVEL 4861.08 Accounting/Expendituremanagement: All records 0 RetaininOfficefor 1 related to expendituresand payment of accounts, yearfromendof fiscal including transaction reports, reports from the year;then AccountsPayableSystem,purchaseorders,invoices, t DESTROY statementsof expense(SOEs),petty cashvouchers. Also includes records related to payment of consultantsand part-timestaff, includingattendance records,invoices,claimsfor payment,etc. Note: Recordcopies of paymentauthorizationsand supporting documentationare maintained by the AccountingDepartment. 4861.09 Guidelines, budget manuals, accounting systems m RetaininOfficewhile manuals needed:then t DESTROY 21 S_ noI *1: 1 14 1 IS, 4862 BUDGETAND ACCOUNTINGRECORDS- VICE PRESIDENTLEVEL Purpose: Used to document the business plan, budget,andexpendituresof thevicepresidency. Content: This class includes records of the vice presidencyand its departmentsrelated to budget planning, implementation,monitoring, and review. Also includes records related to expendituresand paymentof accounts. Note: TheseprovisionsDO NOT APPLYto program records of the Corporate Resource Management Group,or oftheAccountingDepartment. Note: For unit work program, use No. 4868 OrganizationandManagement Crossreferenceto BankwideRecordsClassification Scheme: BUDGET,FINANCIALTRANSACTIONS& MANAGEMENT&OVERSIGHT 4862.01 Budget planning - Prospect Summariesand final m Retainin Officefor2 years BusinessPlanandBudgetfor thevicepresidency fromendof fiscalyear;then * Transferto ARCHIVESfor P PERMANENTRETENTION 4862.02 Budget planning - Business Plan and Budget D RetaininOfficefor 2 years submissionsfromsubordinatedepartmentsandunits fromendoffiscalyear;then A DESTROY continuedon nexKpage 22 Keeping Records - How to file and find documents May 1999 - - * 9 : * § 9 ' ' ° s ' ' ? v o X u ; - : ~~~~~~~~~~~. * -,,.. :. -..... A. 4862 BUDGETAND ACCOUNTINGRECORDS- VICE- (continued) PRESIDENTLEVEL 4862.03 Budget management and monitoring - Quarterly Di Retainin Office for 2 years MonitoringReports from end of fiscal year; then A DESTROY 4862.04 Budget management and monitoring - Mid-Year D' Retainin Office for 2 years Review and RetrospectiveReviewfor vice presidency from end of fiscal year; then * Transfer to ARCHIVESfor P PERMANENTRETENTION 4862.05 Budget management and monitoring - Submissions D Retainin Office for 2years from subordinate departments and units for Quarterly from end of fiscal year; then Monitoring Reports, Mid-Year Reviews, and X DESTROY RetrospectiveReviews 4862.06 Capital Budget - All records related to capital budget mi Retainin Office for 2 years projects from completionof capital Note:Record copies ofthis materialare maintainedby project;then General Services Department and the Accounting A DESTROY Department 4862.07 Accruals management:. All records related to accruals f Retainin Office for 1 year management from end of fiscal year; then X DESTROY contnued onnextpage 23 4862 BUDGETAND ACCOUNTINGRECORDS- VICE- (continued) PRESIDENTLEVEL 4862.08 Accounting/Expendituremanagement: All records E-' RetaininOfficefor 1year related to expendituresand payment of accounts, fromendoffiscalyear; includingtransactionreports,reportsfrom theAccounts then PayableSystem,purchaseorders,invoices,statements :Z DESTROY of expense(SOEs),pettycashvouchers. Alsoincludes recordsrelatedto paymentof consultantsandpart-time staff, includingattendancerecords,invoices,claimsfor payment,etc. Note: Record copies of paymentauthorizationsand supportingdocumentationaremaintained bytheAccounting Department. 4862.09 Guidelines, budget manuals, accounting systems L~' RetaininOfficewhile manuals needed:then Y~DESTROY 24 Keeping Records - How to file and find Annex documents - 4863 CHRONOLOGICALFILES ("CHRONS') Purpose:Usedasa methodof keepingduplicatecopies of correspondence,reports,etc.,inchronologicalorderfor convenienceofreference. Content:Thisclassincludesduplicatecopiesof incoming and/oroutgoingcorrespondence, faxes,emails;duplicate 1 21 copiesof reports;and/orduplicatecopiesof otherrecords 9 createdorreceivedwithintheunit. Note: Originalsof all unit recordscreatedor received SHOULDbe filed in appropriateproject,subject,etc., files. If originalshaveNOTbeenfiledin appropriatefiles, contact the Archives (x32841) for advice on the dispositionof therecords. 4863.01 Centralized unit chron file: duplicate copies of 27 RetaininOfficefor2 years correspondence,faxes,emails;reports;etc.,createdor fromendoffiscalyear;then receivedbytheunit . DESTROY 4863.02 Staff member chron file: duplicate copies of m RetaininOfficefor2 years correspondence,faxes,emails;reports;etc.,createdor fromendoffiscalyear;then receivedbythestaffmember X DESTROY 4863.03 Centralizedunit chronfile, whenunit recordsare NOT 2 ContactArchives(x32841) filed in appropriate subject, project, etc., files: foradvice correspondence,faxes,emails,reports,etc.,createdor receivedbytheunit 4863.04 Staffmemberchronfile,whenunitrecordsare NOTfiled 2 ContactArchives(x32841) inappropriatesubject,project,etc.,files:correspondence, foradvice faxes,emails,reports,etc., createdor receivedby the staffmember 25 Wl~~~~~~eeaRod Seu1 RS 4864 COMMITTEERECORDS Purpose: Usedto document the functions of Bank and Bank Group committees, subcommittees, task forces, working groups, etc., that establish, recommend, or monitor implementationof policyand procedures.May be eithertemporaryor standingcommittees. Content: This class includes records relating to the establishment, organization, terms of reference, participation, and functioning of committees, subcommittees, task forces, working groups, etc., on which the Bank unit is represented,or about which the unit is kept informed. Note: These provisions DO NOT APPLY to teams formed to address unit administrative issues (see ORGANIZATIONAND MANAGEMENT,class no.4868). Crossreference to BankwideRecords Classification Scheme: File by name under any primaryclassification exceptfor Board Committees,see MANAGEMENTAND OVERSIGHT 4864.01 All Committees (Bankwide or within a department) - Secretariat's records: one copy of terms of reference m RetaininOfficefor2years; (TORs),agenda,agenda papers,decisions,memberlists, then supporting or background documentation, minutes and Q Transferto ARCHIVESfor reports P PERMANENTRETENTION Note: Bank-wide committees are defined as standing committeesof institutional-widerangewith a membership that includesmorethanonedepartment. continuedonnet page 26 Keeping Records - How to file and find ________________________---- May 1999 ........ .- ..-.-- :--'0': -. GeneralRecurs :Schedule(R) 4864 COMMITTEERECORDS Note: If there is no Committee Secretary,the Chair is deemedto holdthe officialrecordsof the Committee. 4864.02 All Committees - Chair's records (where a Secretariat Ll Retainin Officefor 2years exists) from endof fiscalyear; then > Transferto Archivesfor 5 years;then f DESTROY 4864.03 All Committees - Committee member's or observer's D RetaininOffice for2 years records from endof fiscalyear;then X DESTROY 4864.04 All Committees- Supportingmaterials,originaldata, etc.: i-7 Retainin Officefor 2years Materialscollectedtowardsthe productionof Committee from endof fiscalyear;then reports,papers,etc., and thought to have potentialfuture - ARCHIVESand UNITto precedentor informationalvalue REVIEWdisposition 4864.05 All Committees - Administrative arrangement records, r Retainin Officefor 2years such as meeting locationand refreshmentarrangements from endof fiscalyear;then records,duplicatecopiesof minutes,agenda,etc. A DESTROY 27 I i!..;Si L1L;L1; ...... iLuX .i... X~~~~~~~ 33 4865 CONFERENCESAND SEMINARS ORGANIZED BY - UNIT Purpose: Used to document events organized or sponsored by the unit, and designed to disseminate information,discuss or study findings, exchange views, and/or consult on issues. Also used for reference in developingfutureevents. Content: This class contains records relating to the establishment,organization, proceedings and output of HOUARTER conferences, meetings, symposia, seminars, etc. May -i l UA 1 also include informalpresentations,'brown bag lunches', etc. Material may include records relating to the identificationand selection of themes, topics, speakers and/or participants;proposals;reports; printedpapers or proceedings;audio-visual material; transcripts;copies of invitations and brochures; administrative arrangements; budgetrecords;etc. Note: This class DOES NOT INCLUDEeventswhichare organized to discuss unit administration - See ORGANIZATIONandMANAGEMENT,classno.4868. Note: ThisclassDOESNOTINCLUDEtrainingundertaken by staffas partof theirindividualdevelopmenttraining- See PERSONNEL,BENEFITS,AND TRAINING RECORDS disposalclassno.4869.02. Note: These provisionsDO NOT APPLY to the program records of organizationalunits whose principal function includesconductingseminarsandconferences,for example the EconomicDevelopmentInstitute. Cross reference to Bankwide Records Classification Scheme:TrainingandEducation. continuedonnextpage 28 Keeping Records - How to fileandfind Annex documents ........ .... ............. ..... Auex18, GeneralRecr&sShdl GS , .....~~~~~~~............ .............. - 4865 CONFERENCES AND SEMINARS- ORGANIZEDBY UNIT 4865.01 Proceedings,papers,andconferenceprogram: m RetaininOfficefor1year One copy:printedpapersand/orproceedings;audio- fromendoffiscalyear;then visual materials (and/or transcripts)of conference o Transferto ARCHIVESfor proceedings;conferenceprogram, and substantive P PERMANENT RETENTION materialsdisseminated to conferenceparticipants 4865.02 Distributioncopies of proceedingsand papers - Di RetaininOfficewhile distributioncopiesof printedpapersand/orproceedings; needed;then transcripts; materials disseminatedto conference X DESTROY participants 4865.03 Conferenceinitiationrecords- recordsrelatingto the m RetaininOfficefor1year identificationandselectionof themes,topics,speakers fromendoffiscalyear;then and/orparticipants;proposals;reports;etc. Q Transferto Archivesfor5 years;then A DESTROY 4865.04 Administrative arrangementsrecords- recordsrelatingto m RetaininOfficefor1year administrative arrangements such as travel; fromendoffiscalyear;then accommodation;copiesof invitationsand brochures;etc. X DESTROY 4865.05 Conferencebudgetrecords - referencecopies of budget m Retainin Officefor 1year records from endof fiscalyear;then A DESTROY Note: Record copies of conferencebudget records are maintainedbytheunitBudgetAdministrator. 29 _ _ l * __lGenral Recr_is Sceue( 4866 CONFERENCESAND SEMINARS - ORGANIZEDBY OTHERS Purpose: Used to document events, organized or sponsoredoutsidethe unit,whichwereattendedby unit staff as observers, or at which unit staff made presentations. Content: This class contains recordsthat relateto unit staff attendance and participation in conferences, seminars, meetings, symposia, etc., which were sponsored or organized by other units in the Bank Group,or byoutsideinstitutionsor organizations. Note: Thisclassdoes not includetrainingundertakenby staffas part of theirindividualdevelopmenttraining- See PERSONNEL,BENEFITSAND TRAININGRECORDS, disposalclassno.4869.02 Cross reference to Bankwide Records Classification Scheme: EXTERNAL AFFAIRS- Conferences/Seminars 4866.01 Paperspresented- onecopyof paperpresentedby unit D Retainin Officefor 1year staff member from endof fiscal year;then J Transferto ARCHIVESfor P PERMANENTRETENTION 4866.02 Administrativearrangementsrecords - records relating D Retainin Officefor 1year to administrative arrangements such as travel; from endof fiscalyear;then accommodation; copies of invitations and brochures; :Z DESTROY etc. 30 l~~~~~~~~~~~ I . , * * I I I |WI...1 -~~ IIliii AI& --.. -- -- -eerat ReGordsSchedule(GRS- Chs3Ta... ........ Retigonand fpmt 4867 FACILITIES, FURNITURE, EQUIPMENTANDSUPPLIES RECORDS Purpose: Used to maintain conveniencecopies of recordsrelatedto the planningof facilitiesoccupiedby theunit,orto theacquisitionanddispositionof furniture, equipment,andsuppliesusedbytheunit. Content:This class contains records relatingto the planninganddesignof officeaccommodations, records i relating to moving and the acquisition,control and dispositionoffurniture,officeequipmentandsupplies. Note: Project-relatedprocurementrecords are NOT coveredbythisclass. Note: Localofficessee also No. 3317- LocalOffice Premises,Officesand ResidencesandNo. 3318- Local OfficeMotorVehiclesfortheserecords. Note: Requisitions, paymentauthorizations andsupporting documentation for itemspurchasedshouldbe filed with BudgetandAccountingrecordsorwithLocalOfficeImprest Accountingrecords. Note: These provisionsDO NOT APPLYto records maintainedby those unitswithin the GeneralServices Departmentor the InformationSolutionsGroupwhichare responsibleformaintainingrecordcopiesof recordsrelating to the procurementof facilities,furniture,equipmentand suppliesfortheBankHeadquarters orlocaloffices. Crossreferenceto BankwideRecordsClassification Scheme:SERVICES&FACILITIES continuedonnextpage 31 qrv~~~~~~~~~~~~~~~* S S * i S;}WB 4867 FACILITIES,FURNITURE,EQUIPMENTANDSUPPLIES (continued) RECORDS 4867.01 Recordsrelatedto planninganddesignof officeandother m RetaininOfficefor 6 accommodation,layout,space allocation,facilities,and monthsfromdate utilities officevacatedorplans superseded;then Note: Theserecordsshouldbehandedovertosucceeding t DESTROY tenant,ifpartof theBankGroup. 4867.02 Recordsrelatedto moving Dz RetaininOfficefor6 monthsfrom completionof move; then DESTROY 4867.03 Records related to the ordering, acquisition, and m RetaininOfficefor 1 dispositionof furniture,officeequipment,officetechnology yearfromendoffiscal equipment (personal computers, printers and other year;then computerperipheralswhich are purchasedseparately, A DESTROY mainframe and mini computers, fax machines, photocopiers,audio-visualequipment,calculators)and supplies Note:Recordcopiesofrequisitions,paymentauthorizations, deliveryreceipts,andsupportingdocumentationfor items purchasedareretainedbytheGeneralServicesDepartment and/orAccountingDepartment. 4867.04 Recordsrelatedto maintenanceand inventorycontrolof r RetaininOfficefor 1 furnitureandallequipment yearfromdispositionof equipment;then A DESTROY 32 Keeping Records - How to file and find Annex documents May 1999 Generl"~o~s ~~1 G$ 4868 ORGANIZATIONANDMANAGEMENT RECORDS Purpose: Used to document unit functions and responsibilitieswithintheorganization,as wellas internal unitadministration. Content:This classcoversrecordsdescribingthe unit's mission,functionsand responsibilities. Includedare recordsformulatingprogramdevelopment,coordination anddirection,andthedevelopmentandexecutionof plans Department2 Depatment3 inrelationto programgoalsandobjectives.Alsoincluded arerecordsof managementgroupmeetingsandretreats ? 1-A D 1-B (suchas agendas,minutes,reportsof decisions,decision memoranda,etc.) The class also includesrecords relatingto generaladministrativematterswhichare not describedintheotherGeneralRecordsScheduleclasses (such as office organization,internal office support services and procedures,including secretarial,word processing,translation,duplicationand reproduction, entertainment,security,etc.) Cross referenceto BankwideRecords Classification Scheme: MANAGEMENT& OVERSIGHT;SERVICES& FACILITIES continuedon net page 7 33 -~~~ 4868 ORGANIZATIONANDMANAGEMENTRECORDS (continued) 4868.01 Unit mission statement, final work program records, Retainin Office for 4 years description of unit functions and responsibilities, unit from end of fiscal year; then policyandproceduresstatements(includingbackground Q Transferto ARCHIVESfor and briefingmaterials),recordsdescribingunit structure, P PERMANENTRETENTION reportinglines,etc. 4868.02 Records relating to major studies involving agency D Retainin Office for 4 years structure and organization, work procedures, from end of fiscal year; then management improvement studies, systems analysis, Q Transferto ARCHIVESfor reorganizationsandthe effectsof reorganizations P PERMANENTRETENTION 4868.03 Recordsrelatingto managementteam meetingsand unit C- Retainin Office for 2 years retreats- Division-levelandbelow from end of fiscal year; then X DESTROY 4868.04 Records relating to management team meetings, unit D Retain in Office for 2 years retreats, or regional management team meetings - from endof fiscal year;then Department-levelandhigher,or region-wide Q Transferto ARCHIVESfor P PERMANENTRETENTION 4868.05 Records relating to routine administrationof the unit, D Retain in Office for 1 year includinglettersof appreciation,compliments,etc. from end of fiscal year;then A DESTROY 34 L nafluiX documents ....................................... . ........ .......... . ............. ... ~~~~. ...... . .............. ...... ...... ....... ....................... . ............... ................. enr1ReccardSchdul (GRS) azs.... lak-OAMOCR Rd~~~~~~~~~~~~entiorn and4pomition. .- tme ->3.-.i: :i-..--Th?tsffaions 4869 PERSONNEL,BENEFITS,AND TRAININGRECORDS Purpose:Usedto maintainconveniencecopies of records relating to appointments,leave, performance reviews and othermattersrelatingto staffin the unit. Content: This class contains records, maintained for convenience of reference for the unit, pertaining to personnelmatters. Includedmay bestafffiles(containing letters of appointment, performance plans and reviews, etc.), training files, leave records, and other records relating to individual members of staff. Also included may be consultantfact sheets and rosters. For local offices,these records may include local staff, consultants, and headquarterspersonneltemporarilyassigned to localoffice duties. Note: Theserecordsarefor convenienceof referenceonly, andwill notbe maintainedas an institutional record. All units - includinglocal offices - must forward originals of all relevantdocumentsto HRS for inclusionin the institutional personnelfiles. Note: The term "staff"includesregular,fixed-term,temporary, local,andpart-timestaffandconsultants,openendedandterm contracts Note: TheseprovisionsDONOTAPPLYto programrecordsof the Human ResourcesDepartment or of the Accounting Department,which are responsiblefor maintainingthe record copiesof thismaterial. Note: When individualstaff membersmoveto anotherunit, their leave records and other importantrecords should be transferredto thenewunit. Cross reference to Bankwide Records Classification Scheme: HUMAN RESOURCES-Benefits;Grievances; Personnel;Recruitment;Training. continuedon nextpage 35 *~ ~I * - It I w- ~~~~~Gnrl)Records Scedl (l S 22. '0rmj.2................5->. ~~~~~~~~~~~ .gg..........o22g2g 2.g>g>2g ;- 4869 PERSONNEL,BENEFITS,AND TRAININGRECORDS (continued) 4869.01 Copies of recordsrelatingto recruitmentand appointment D Retainin officefor 1 (including seconded staff, World Bank Graduate yearfrom transferor Scholarship Program interns and Executive Director's terminationof assistant appointments), performance plans and employment;then performancereviews,renewalof contracts,andtermination :Z DESTROY of employmentof regular,fixed-term,temporary,local and part-timestaffandconsultants Note: All original records documenting the formal employer/employee contractual relationship, and the original copy of the performance review signed by employee, supervisor and senior manager should be forwarded to Staff Records, Local Staff Records, or ConsultantRecords,asappropriate,forfiling. 4869.02 Recordsrelatedto trainingreceivedbystaff L7 Retainin officefor 1 yearfromtransferor terminationof employment;then X DESTROY 4869.03 Recordsrelatingto leave I Retainin officefor 6 monthsfromendof Note: Annual summary of leave taken should be leaveyear;then forwarded to Staff Records, Local Staff Records or Z DESTROY ConsultantRecords,asappropriate,for filing. 4869.04 Records relatingto payment of consultantsand part-time Z7 Retainin officefor 1 staff, includingCVs, correspondence,attendancerecords, yearfromtransferor invoices,claimsfor payment,etc. terminationof employment,then ff DESTROY continuedonnet paqge 36 Auu~ 18 GenraRcors chdul(G.RS Cuss ~~~fltk an4~~~ion dmion and T) ot ~so : 4869 PERSONNEL, BENEFITS, AND TRAINING RECORDS (continued) 4869.05 Otherrecordsrelatingto individualmembersof staff ? Retaininofficewhile needed;then Note: Originaldocumentson mattersof substanceshouldbe Y DESTROY forwarded to Staff Records, Local Staff Records, or Consultant Records, as appropriate,for filing; anything remainingisephemeralandof short-terminformationvalue. 4869.06 Consultantfact sheets, summaryinformationor card roster m Retainin officewhile (withbiographicalinformationandlatestevaluation) needed;then X DESTROY 4869.07 Records related to general personnel issues, such as m Retainin officewhile sexual harassment policies, unit work schedule needed;then agreements,general notices about salary increases,and R DESTROY memoranda about administration of the performance reviewprocess(e.g.,policies,objectives,timetables) 4869.08 Job descriptions; informationabout occupationalstreams D Retainin officeuntil andjob competencies superseded;then X DESTROY 4869.09 StaffAssociationannouncements,newsletters,etc. m Retainin officewhile needed;then AT DESTROY 37 I I.. _ 4870 PUBLICRELATIONS RECORDS-DIVISIONLEVEL Purpose: Used to document policies, procedures, and strategies developed to raise awareness of the unit's operations and functions in its client community (within and/oroutsidethe BankGroup). Content:This class includesrecordsdetailing information dissemination, public relations initiatives and other arrangementsbetweenthe unit and governments,NGOs, the financial,academic or businesscommunities,and the media. The class may include inquiries or other correspondenceof a general or routinenature receivedby the unit from its client community. The class may also includenews clippingsand other externalmaterialrelating specifically to the work of the unit which has been gatheredby the unit. Note:These provisions DO NOT APPLY to the program records of units whose primaryfunctions includeexternal relations,e.g. ExternalAffairs Department. Note:These provisionsDO NOTAPPLY to institutionalor governmentalliaison, projectrelatedrecords or to records related to cofinancing. Refer to your unit-specific RecordsRetentionand DispositionSchedulefor treatment of this material. CrossreferencetoBankwideRecordsClassification Scheme:: EXTERNALAFFAIRS-CommunityOutreach; MediaRelations;Organizations;Promotional Materials/Products;Representation;Speeches/ Presentations/Articles. continuedon nextpage 38 Keeping Records - How to file and find Annex1- GeneralRecordsSchedule(GRS) cl - $.tand&CdPtio and iti ins Nu:mer. .......... 4870 PUBLICRELATIONSRECORDS- DIVISIONLEVEL (continued) 4870.01 Recordsdocumentingthedevelopmentof thedivision's m Retaininofficefor3 years publicrelationspolicies,proceduresand strategies(if fromendofcalendaryear; capturedatthedepartmentallevel) then X DESTROY 4870.02 Recordsdocumentingthedevelopmentof thedivision's D Retaininofficefor5 years publicrelationspolicies,proceduresand strategies(if fromendofcalendaryear; NOTcapturedatthedepartmentallevel) then * Transferto ARCHIVESfor P PERMANENT RETENTION 4870.03 Published material (hard copy or electronic) or Et Retaininofficeuntiltheend audiovisual material prepared by the unit for ofthecalendaryear;then disseminationto its clients as a result of its public Q TransfertoARCHIVESfor relationsactivities:onecopy P PERMANENT RETENTION 4870.04 Finalversionof speechespresentedbyunitstaff: one D Retaininofficeuntiltheend copy ofthecalendaryear;then Q Transferto ARCHIVESfor P PERMANENT RETENTION 4870.05 Press releases, press briefings, interviews, press D Retaininofficewhile clippings, and other external material specifically needed;then mentioningunitactivities:onecopy * Transferto ARCHIVESfor P PERMANENTRETENTION 4870.06 Correspondencewith client communities(including k7 Retaininofficefor3 years inquiries,complaints,compliments,and miscellaneous fromendofcalendaryear; correspondence) then f DESTROY 4870.07 Recordsrelatedto involvementin charitableinitiatives D Retaininofficefor 3 years (e.g.,UnitedWay,WBVS),requestsfor sponsorshipof fromendofcalendaryear; events,andrelateddocuments then R DESTROY 39 .! I; ; b S. L." a .. 4871 PUBLIC RELATIONSRECORDS- DEPARTMENTAND VICEPRESIDENTLEVEL Purpose: Used to document policies, procedures, and strategies developed to raise awareness of the unit's operations and functions in its client community (within and/oroutsidethe BankGroup). Content:This class includesrecordsdetailing information dissemination, public relations initiatives and other arrangementsbetweenthe unit andgovernments,NGOs, the financial,academicor businesscommunities,andthe media. The class may include inquiries or other correspondenceof general or routine nature received by the unit from its client community. The class may also includenews clippingsandother externalmaterialrelating specifically to the work of the unit which has been gatheredbythe unit. Note:These provisions DO NOT APPLY to the program records of units whose primary functionsinclude external relations,e.g. ExternalAffairs Department. Note: This class DOES NOT APPLY to institutional or governmentalliaison, projectrelatedrecords or to records relatedto cofinancing.Referto your unit-specificRecords Retentionand DispositionSchedule for treatment of this material. Crossreferenceto BankwideRecordsClassification Scheme: EXTERNALAFFAIRS-CommunityOutreach; MediaRelations;Organizations;PromotionalMaterials/ Products;Representation;Speeches/Presentations /Articles. continuedon nextpage 40 Keeping Records - How to file and find Annex documents Mav 1999 ., s...... ~~~~~~~~~~~~... . ...... ....................... ..0 . '' . O8 S8?' S>o'.......... . .'''''.. . '''''........................ .. .... 4871 PUBLIC RELATIONS RECORDS - DEPARTMENT (continued) AND VICEPRESIDENTLEVEL 4871.01 Recordsdocumentingthe developmentof the unit's k7 Retaininofficefor5 years publicrelationspolicies,proceduresandstrategies fromendof calendaryear; then r Transferto ARCHIVESfor P PERMANENTRETENTION 4871.02 Published material (hard copy or electronic) or D Retaininofficeuntiltheend audiovisual material prepared by the unit for ofthecalendaryear;then disseminationto its clients as a result of its public Q Transferto ARCHIVESfor relationsactivities:onecopy P PERMANENT RETENTION 4871.03 Finalversionof speechespresentedbyunitstaff: one E Retaininofficeuntiltheend copy ofthecalendaryear;then r Transferto ARCHIVESfor Pl PERMANENT RETENTION 4871.04 Press releases, press briefings, interviews, press kD Retain in office while clippings, and other external material specifically needed; then mentioning unit activities: one copy * Transfer to ARCHIVES for P PERMANENT RETENTION 4871.05 Correspondence with client communities (including D Retain in office for 3 years inquiries, complaints, compliments, and miscellaneous from end of calendar year; correspondence) then t DESTROY 4871.06 Records related to involvement in charitable initiatives D Retain in office for 3 years (e.g., United Way, WBVS), requests for sponsorship, from end of calendar year; and related documents then t DESTROY 41,, ' , , ?, . .'.......... . ..... .~~~~~~........... ................. 41 = E~~~~G~ea R-d Sddk GS _~~~~~~ ........ .. . .... . .. .. . 4872 PUBLICATIONS,MANUALS, HANDBOOKS, AND ISSUANCES Purpose:Used to maintain a record of informational and promotionalmaterialcreatedby the unitfor distributionto internalandexternalaudiences. Content:This class appliesto publicationsand reports originatingwithin an individualunit and intended for distributionto an internalor externalaudience. Included may be books,reports(economic,sector,and research reports), journal articles, serial publications(bulletins, newsletters, magazines, etc.), public speeches and addressesmadeby Bankstaff(inthecourseof theirwork program),audio visual material,and training materials developedfor internalandexternalinstruction.It mayalso include material of an instructional,informationalor directionalnature,whether producedon a regular or occasional basis (such as directives, guidelines, handbooks,manuals,userguides, FYIs,catalogs,etc.) Note: The unit (whether at the level of vice presidency, department,division,or work group)which is primarily responsiblefor the creationof the work is responsiblefor retaining and transferringa record copy of the materialto the IDU or the Archives for permanent retention, as per instructionsbelow. Note: TheseprovisionsDONOTAPPLYifthepublication is describedunder its own individualseriesdescription. See yourunit-specificRecordsRetentionand Disposition Schedule. continuedonnextpage 42 AnnexI General RecordsSchedule(GRS) C(os .... er ~ iJ dto . ... .. ..... 1;eet~ aqo~D~psin Inamrctons 4872 PUBLICATIONS, MANUALS, HANDBOOKS,AND (continued) ISSUANCES Crossreferenceto BankwideRecordsClassification Scheme:EXTERNALAFFAIRS-Publications 4872.01 Selecteddocumentsby agreed-uponarrangementwith * Sendto IDUimmediately; InternalDocumentsUnit(IDU): threecopies * Onecopyforwardedto ARCHIVESfromIDUfor PERMANENTRETENTION 4872.02 Recordcopy of each item (if not sent to Internal Z7 Retaininofficeuntilendof DocumentsUnit). calendaryear;then | TransfertoARCHIVESfor P PERMANENTRETENTION 4872.03 Extracopiesfordissemination m Retaininofficewhile needed;then I DESTROY 4872.04 Productioncopy(film, electronic,or printedversions) D Retaininofficefor2 years retainedforreprinting fromendof calendaryear; then I DESTROY 4872.05 Workingfiles,includingdrafts,correspondenceregarding m Retaininofficefor2 years printing/publicationarrangements,andothersupporting fromdateofpublicationof documentation item;then I DESTROY 43 ... a a a a~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ ..... -~~~~~~~~~~~~~~~~~~~~~~~~~~~~ . ... mm....... ._-_.... General I _ _d * ) * _ l- --- _a i ........ S ...................... - 4873 RECORDSMANAGEMENT Purpose: Used to documentthe managementof all unit records inany media,whetheractive,semi-active,inactive, or destroyed. Content: This class includes records related to records management standards and procedures specific to the unit; recordsmanagementpolicystatements,guidelines,or manuals issuedby the InformationSolutionsGroup or the Archives; Records and Information Coordinator (RIC) guidelines;lists of records (e.g. file classificationschemes, either current or superseded);all supporting access and retrieval aids (e.g. indexes); Records Retention and DispositionSchedule (RRDS); lists of records transferred to the Archives; destruction notifications, authorizations/ refusals, and lists of records destroyed; unit records evaluationand monitoringreports. Cross reference to Bankwide Records Classification Scheme: INFORMATION & KNOWLEDGE MANAGEMENT-Policies& Procedures or Documents, Recordsand Repositories. 4873.01 Unit-specific records management standards and C Retainin Officeuntil. procedures, if substantially different from Bank records superseded;then managementstandardsandprocedures * Transferto ARCHIVESfor P PERMANENTRETENTION 4873.02 Recordsmanagementpolicystatements,guidelinesand/or D Retainin Officeuntil manuals, and RIC guidelines, issued by ISG or the superseded;then Archives f DESTROY continuedon nextpage 44 Keeping Records - How to file and find Annex~~~~~~~~~~~~~~~~~~~~~~~. documents May 1999 ... .................... ............ ,,......... Ue....... . .... . ............ ... . . . . . .. . . . ... . . . . .. . . ... .. ... . ; " , Ri 4 e?. -----...... ............ GenealRcord Schdule(GRS) ''' '' C A * ,, ,* ~~~~~~~~~~.................,,,,,,,,, =..... 4873 RECORDSMANAGEMENT (continued) 4873.03 RecordsRetentionandDispositionSchedule(RRDS) E7 RetaininOfficeuntil superseded; then f DESTROY 4873.04 List of records,suchas file list or file classification D RetaininOfficeuntilendof scheme,andall supportingaccessandretrievalaids, thecalendaryearinwhich suchasindexes thedocumentis superseded; then Note: This materialshould be transferredto the Q TransfertoARCHIVESfor successorunit alongwith relatedfiles when related P PERMANENT RETENTION functionsaretransferred. 4873.05 Unitrecordsevaluationandmonitoringreports D RetaininOffice1yearfrom endoffiscalyear;then A DESTROY 4873.06 Listsof recordstransferredto theArchives;destruction P RetaininOffice notifications,authorizations/refusals, andlistsof records PERMANENTLY destroyed Note: This materialshould be transferredto the successorunit alongwith relatedfiles when related functionsaretransferred. 4873.07 Generalcorrespondence, backgroundmaterials,and Eji RetaininOffice2 yearsfrom notesrelatedto recordsmanagement issues,including endofcalendaryear;then minutesof RICmeetingsandcorrespondence withthe A DESTROY InstitutionalRecordsImprovementUnit (IRIU)or the Archives .------------------................--........... .... .... .... ..................... ....... ........................ 45 I ~~~~Garl _e Ld ch NEd.uale (Gk$| >gE..~~~...... .......... m .:.......... 4874 TRAVEL(OPERATIONALAND BENEFIT)RECORDS- DIVISIONLEVELANDDEPARTMENTLEVEL Purpose: Used to maintain convenience copies of records relating to travel by divisional or departmental personnel. Content: This class includes travel requests and authorizations,statements of expenditure(SOEs), travel advisories,and copiesof Backto OfficeReports(BTOs). Note: These provisions DO NOT APPLY to program recordsmaintainedbyTravel ManagementSection or the Accounting Department, which are responsible for maintaining the formal Bank Group records related to travel. Cross reference to BankwideRecords Classification Scheme: FINANCIALTRANSACTIONS-Asset& Budget Accounting-Travel Accounting or SERVICES & FACILITIES-Travel 4874.01 Travel requests,authorizations,statementsof expenditure m RetaininOfficefor 1 year (SOEs),andsupportingdocumentation from endof fiscalyear; then | DESTROY Note: Recordcopies of this materialare maintainedby the Travel Management Section and/or Accounting Department. 4874.02 Travel advisories,travelguidelines,andother 2 RetaininOfficefor 1year informationalmaterials from end of fiscalyear; then x DESTROY 4874.03 Duplicatecopies of Back to Office reports (BTOs),if filed D RetaininOfficefor 1year withtravelrecords from end of fiscalyear; then I DESTROY Note: Original BTOs should be filed in the appropriate filesrelatedto thework of the unit --e.g.,projectfile 46 Keeping Records - How to file and find May 1999 A-nex 1$ ...... General Th. S ( 4875 TRAVEL(OPERATIONALANDBENEFIT)RECORDS- VICEPRESIDENTLEVEL Purpose:Used to maintain conveniencecopies of records relating to travel by personnelin the Vice President'sFrontOffice. Content:This class includes travel requests and authorizations,statementsof expenditure(SOEs),travel advisories,andcopiesof Backto OfficeReports(BTOs). Note: These provisionsDO NOT APPLYto program recordsmaintainedbyTravelManagementSectionorthe Accounting Department,which are responsiblefor maintainingthe formal Bank Grouprecordsrelatedto travel. Crossreferenceto BankwideRecordsClassification Scheme:FINANCIALTRANSACTIONS-Asset& Budget Accounting-TravelAccounting or SERVICES & FACILITIES-Travel-Advisories 4875.01 Travel requests, authorizations, statements of m RetaininOfficefor1 expenditure(SOEs),andsupportingdocumentation yearfromendoffiscal year;then Note:Recordcopiesof this materialare maintainedby X DESTROY Travel & Shipping Division and/or Accounting Department. 4875.02 Traveladvisories,travelguidelines,andother Z7 RetaininOfficefor1 informationalmaterials yearfromendoffiscal year;then X DESTROY continuedonnextpage 47 4875 TRAVEL (OPERATIONAL AND BENEFIT) (continued) RECORDS- VICE-PRESIDENTLEVEL 4875.03 Back to Office reports(BTOs) for travel by Vice C~ RetaininOfficefor1 year President fromendoffiscalyear;then Transferto ARCHIVESfor P PERMANENTRETENTION 4875.04 Duplicatecopiesof all other Backto Office reports [D RetaininOfficefor1 year (BTOs),if filedwithtravelrecords fromendof fiscalyear;then X DESTROY Note: OriginalBTOsshouldbefiledin theappropriate filesrelatedto theworkoftheunit,e.g.,projectfile 48 RecordsStorageEnvironments- Headquartersand LocalOfrices Physical storage recommendationsinclude: 1. The physical facilities for records storage must conform to industry requirements for records storage. * All buildingsmust meet or exceed all applicablebuilding, safety and fire codes. * Storage sites must be carefully selected. Proximity to industrial waste will adversely affect records in storage. R Buildings in earthquake zones and areas subject to tropical storms must be constructed in accordance with industry standards. r Buildings should not be located in areas subject to flooding. * Buildings should be insulated against heat and cold; vapor retardant materials should be used in humid climates to prevent excesshumidity infiltration. * Materials used in the construction of storage facilities should be fire-resistant; walls, doors, and furniture should be non-flammableor fire-resistant. * Storage areas should have fire detection and fire suppression equipment such as alarms, sprinkler systems, fire extinguishers, etc. * Buildings should be secured against infiltrationby rodents and insects which can destroy records. * Records maintained in areas prone to insect infestation must establish and maintain routine pest eradication techniques. Fumigation chambers or systematic building fumigation may be required to maintain Bank Group records. New building facilities should ensure that surrounding soil areas are cleansed of termites and other insectswhich can damage records. * Floors must be able to bear the great weights inherent in records storage. * Shelving should be industrial strength metal shelves, anchored to the floor, and be braced and supported accordingto industry standardsto prevent collapse. * Records should not be stored beneath water pipes or in building areas subject to water seepage or exposure to storms or flooding. 2. The storage environment should not adversely affect the records. Records shouldbe protected from damage, loss and deterioration due to environmental conditions, man-made or natural disasters. A proper storage environment consists of the following environmentalfactors: 1 ......... .... , ' g S L.. 0 * Constant temperature and relative humidity. There should be little seasonal change or change from day to night conditions. High temperatures in combination with high relative humidity is likely to lead to mold infestation, for which the treatment is hazardous and costly. * Temperatures should remain between 60 - 70 degrees Fahrenheit (16 - 21 degrees Centigrade). * Relative humidity should remain between 50% - 60%. * Thermohygrographs should be installed to monitor temperature and relative humidity. * Records should be protected from dust and dirt entering through windows and doorways. * Air circulating in records storage areas should pass through air filters or purifiers to remove gaseous pollutants such as sulfur dioxides, nitrogen dioxide, ozone, and other contaminants. * Records should be protected from excess exposure to ultraviolet light. Storage areas for records should have low illumination when not being used; blinds should be installed at windows, and ultraviolet filters installed on fluorescent lights to minimize light and heat levels; incandescent bulbs may be used instead of fluorescent lights. * Records storage areas must be cleaned on a regular basis to minimize potential damage to records. Regular cleaning reduces dust and organic materials which may attract fungi, insects or animal pests. Routine maintenance should check for blocked drains, faulty electrical equipment, or other potential hazards. * Cleaning fluids and other hazardous materials should be stored away from records storage areas. 3. In tropical areas, records storage presents unique problems. Humidity, insects and fungi are especially problematic. * Humidity in the storage areas should be checked frequently by means of a hygrometer. Permanent air-conditioningis essential. * Shelving should allow air circulation -- avoid compact shelving, solid shelves and rear panels. * Special care must be taken to ensure that roofs and openings are watertight. Rain water run-off can be a particular problem. * Basement store rooms should not be used to store records. 2 Keeping Records - How to file and find Annex documents May 1999 | ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~.. ....... , .......... .;.M......;;.;.... * Anti-fungal coatings should be used on walls, floors and ceilings. Periodic checks for the presence of fungal spores should be taken. Fungicides should be used once a year to disinfect the air in storage rooms, or as soon as fungus is detected. Records may need to be fumigated separately. Note: Care is needed in selecting fumigating chemical agents. Some chemicals can be damaging to records. * Records should be stored in such a way that they are protected from wind and water damage if doors or windowsare broken during tropical storms. * Sunlight in tropical areas can damage records which are exposed to it. Records should be boxed or covered when not in use. Awnings, window shades or ultraviolet filters should be used when records are removed from storage for prolonged periods of time. * Insect and rodent damage is a particular hazard in tropical climates. Buildings should be spaced away from tree trunks and stumps which might attract insects, and there should be no trees or plants close to the building. Buildings can be raised on concrete piles or surrounded by protective trenches of concrete. All building openings (ventilation shafts, drain pipes, etc.) should be sealed with wire mesh to prevent insects and rodents from entering. Adequate light levels and air circulation are important tools in fighting insects and rodents: records should not be stored in dark, closed areas. 3 -~~~~~~~~ I. * I * I 6 - Chigsfro theRegiOnanOOrmatoSevc enters(IU)t upr -CenS Changes from Regional ISCs to Support Centers In 1998 the Regional Information Centers (RISCs) were closed and were replaced by Support Centers. These Support Centers provide different servicesthan the RISCs. The major changesare explainedbelow. Whatdocumentswill be sentto the Centers? The Centers will no longer be receiving and processing individual documents, whether they be letters, memos, faxes, reports, etc. All documents will be filed into the filing systemsof the relevantbusinessunits,under the proper subjectmatter. The onlyexception is procurement-relatedmaterial. Whatwill happento the businessunits'files? All filing systems in Regional units will be reviewed by the Archives Assistants periodically (at least once a year), to identify files that are inactive and that can be transferred to Archives. Large files (for example, project files) will be reviewed more frequently, andthe less activeparts can be transferredto Archives. If a file containslarge documents, such as progress reports, the older reports can be separatedand transferredto Archives. Indeed, even more recent reports can be transferred to Archivesif they are not needed for reference. Non-Regionalunits and local offices should contact the Archives directly. How will businessunitstransfermaterialtoArchives? In the Regions, an Archives Assistant will contactbusiness units at least once a year to arrange a visit in order to reviewtheir files and identifymaterialthat can be transferred to Archives (or that might even be destroyed - certain reference material or copies of Bank Reports, etc.). The Archives Assistant wifl arrange the transfer, including packing and listing - once processed,the files anddocumentswill be immediatelyshippedto Archives. Non-Regionalunitsand local officesshould contactthe Archives directly. How can itemsbe recalledfrom Archives? Simply call the Archives (x32841) to request the items. Requested material is normally availableby 9 a.m. the followingbusiness day. It will help Archives if you can quotethe relevant accession and box numbers, but Archives staff can also obtain this information from their database. 1 Whataboutemail? Until systems are in place for the automaticcapture and processing of electronic mail, businessunitswill continueto print their messagesfor filing into their files(just as they do now). There will be no need to send copies to the Centers (whether in paper or by includinga Center on the distributionlist). How willprocurementdocumentsby handled? All procurement-relatedmaterials will be handled using the "checklist" system, under which all records relating to a particular procurement action (i.e. one or more "batches" of procurement material)are kept togetherin the same file. When the procurementaction has been completed,the whole file will be sentto the relevantSupport Center for eventual transfer to Archives. Whataboutvoluminousnon-procurementdocuments(alsoknownas externaldocuments)? Any reports, especiallyconsultantreports, that may be of interestBankwidewill be sentto the Internal Documents Unit (IDU) for inclusion in ImageBank. All other documents (includingstudies, progress reports, audit reports, etc.) will be placed into (or with) the relevant file. The file will be reviewed periodically,with the assistanceof Archivesstaff, and inactive documentstransferred to Archives. For retrieval and dispositionpurposes, it is important that business units keep together documents relating to the same topic (for example, project)and notmix them withunrelated documents. 2 Keeping Records - How to file and find ! Annex documents FAX TO ARCHIVES:EXT. 22535 Total number pages of fax, including this page _ Requestor Name UPI No. Telephone No. Date (N.B. Dept/Div and Room No. will be supplied automaticallywhen Archivesinputs yourUPI into the retrieval request databasesystem.) RETRIEVAL INFORMATION AccessionNo Box No Descriptionof each item* Delivery Options o Sendby inter-officemail(default) O I will collect from HBI-001 - call me when ready o Sendrecord by "rush delivery" messenger |Send this fax as soon as you know you want to retrieve the material. Records requested by 3:00 p.m. are usually l available for collection ftom the Archives by 9:00 a.m. the followingbusiness day (but if too many requests are ireceived at 3pm, they might not all be processed). *If requesting documents scannedin IRIS, print and attachfirst/coverpage of requesteditem. Otherwise, provide sufficient description, e.g. title, date, author, and other information such as loan/credit number. If requesting more than one record. list each separately. I How to retrieve items from the Archives 1. Do you have the Accession and Box Numbers? If Yes, fill out the Record Retrieval Request form, and fax to the Archives at the mine1 If No, go to 2. 2. Have the items you want been fully or partially scanned in IRIS? If Yes, go to 3. If No, go to 4. 3. Can you find the Accession and Box Numbersin the Document Profile (Control Fields) in IRIS? If Yes, fill out the Record Retrieval Request form, and fax to the Archives at the mine. If No, go to 4. 4. Do you (or your local InformationAssistant or Records & InformationCoordinator) have a records transfer list that gives the relevant Accession and Box Numbers? If Yes, fill out the Record Retrieval Request form, and fax it to the Archivesat the mine. If No, call one of the followingfor assistance (they will find the required information and will place the retrieval request on your behalf): Africa Support Center Ext. 35149 Asia Support Center Ext. 84476 ECA/MNA Support Center Ext. 32993 Latin America/Caribbean IRIS Support Center Ext. 39444 Legal InformationCenter Ext. 82606 Archives Reference Desk Ext. 32841 * All material borrowedfrom Archives will have a Retrieval Requestform attachedto it. Keep thisform attachedto the materialat all times, and return it to the Archives with the material. * Return borrowed material to the Archives at room HBl-OOl. * Archives will send out reminder noticesfor material not returned within one month. You can use these notices to advise Archives how much longeryou need the material. ' Most material held by the Archives is kept at the mine, an underground repository located in western Pennsylvania. Faxing the request directly to the Bank staff at the rnine ensures that the request will be handled promptly. The staff there will know if the records are in transit or are stored at HQ, and will re- direct the request appropriately. 2 KeepingRecords - How to file andfind Annex documents May 1999 g TABLE OF CONTENTS Introduction........................... 2 General Guidelines........................... 2 HowToAir-Dry Wet Paper Records........................... 4 HowToAir-Dry Wet Books........................... 5 SalvagingWet Photographs.......................... 5 SalvagingWet Diskettes.......................... 6 Salvaging OtherMedia .......................... 6 -- =--~~~~Aje INTRODUCTION When a disaster such as a water leak or flood occurs, it is important to act quickly to recover any records damaged by the water. Depending on the local temperature and relative humidity, you will have 48-60 hours to complete the salvage before you have to deal with major restoration problems. In general, water emergencies may be categorized as minor, moderate, or severe. * minor emergencies: in this category, there is a sufficiently small number of items that it is practical to air dry them on-site immediately, or the records are merely damp and not saturated with water. See instructions in this section on how to air-dry paper records and books. - moderate emergencies: this category applies to larger quantities of records (e.g., up to 1000 items). Contact the Archives (ext. 32841) immediately for advice on records recovery. - severe emergency: when large quantities of records are involved, and damage is severe, contact the Archives (ext. 32841) immediately. The Archives will arrange for full disaster recovery services from Blackmon-Mooring-Steamatic Catastrophe Inc. (BMS/CAT). In any water-related emergency, some damage and loss is inevitable. The object of a salvage operation is to recover the records collection as a whole, while minimizing the damage. Do not hesitate to contact the Archives for help in assessing the damage, determining the appropriate recovery procedures, and carrying out the recovery operation. GENERAL GUIDELINES Assess the damage Is the emergency minor, moderate, or severe? How much help will you need to deal with the damaged records? Have any vital records been damaged? Has anything unique or of intrinsic value been damaged? Remove the records of highest priority from the flood area first. Has any mold developed? Contact the Archives for advice (ext. 32841). 2 *CIX*lUlil48|> lvl~~~~ay.YVY .... Emergncyroceuresfoir WetRecords:; .E......... m. Discard Discard all material that is replaceable or disposable - this will reduce one source of humidity and mold growth in the area and will leave you with a more manageable volume of materials. Discard suppliesof envelopes, stationery, file folders, cardboard boxes, and other paper suppliesthat are wet. Air dry items Records and books that are damp or slightly wet can be air-dried (see instructions in this section). For records that are thoroughly wet, unique records or records of intrinsic value, records on coated-stockpaper (such as are often found in books of photographs, magazines, annual reports, etc.), photographs, or diskettes, contact the Archives for advice (ext. 32841). Documentthe damage For insurance purposes, make as complete a record of the damage as possible under the circumstances. Photographsare especially usefulfor such documentation. 3 HOW TO AIR-DRY WET PAPER RECORDS Air dryingis most suitablefor small numbers of records that are damp or water damaged only aroundthe edges. Note: Wet paper is extremely fragile and easily torn or damaged, so handle documents withcare. Note: Once wet, records will never look the same. Some cockling or distortion shouldbe expected. 1. Secure a clean, dry environment where the temperatureand relative humidity are as low as possible. The temperature must be below 70 degrees F and the relative humiditybelow 50%, or mold will probablydevelop and distortion willbe extreme. 2. Use fans to keep the air moving at all times in the drying area. Air movement will accelerate the dryingprocess and discourage the growth of mold. Train fans into the air and awayfrom the dryingrecords. 3. Immediately remove all records in the water emergency area from their storage containers, even if the original containers seem dry. If the records themselves are dry, place them in new, dry containers. Substitute temporarycontainersif necessary. To enhance air circulation, do not cover the dry containers. Keep careful notes of where records were taken from so that they can be put back in the correct location when everythingis dry. If the recordsare wet, do not re-box them. Removemetal fasteners or clips to prevent the formationof rust, whichcan cause as much damageas mold. Note: Even if you do not remove recordsin the water emergencyarea from file cabinets at this time, plan to remove them later, at least long enough to disinfect the cabinets as you completethe restorationof the affected area. 4. Single leaves (individual pages) can be laid out on tables, floors, and other flat surfaces covered, if necessary, by paper towels or clean, unprinted newsprint. Alternately, clotheslines may be strung close together and records laid across them for drying. Once dry, records may be re-housed in clean folders and boxes, or they may be photocopied or re-formatted on microfilm or microfiche. Dried records will always occupy more spacethan ones that have not been water damaged. 4 1~~~~~4 HOW TO AIR-DRY WET BOOKS Air drying is most appropriate for books that are only damp or wet in places, such as along the edges. If books are composed of coated-stock paper, contact the Archives at Ext. 32841. 1. Secure a clean, dry environment where the temperature and relative humidity are as low as possible. The temperature must be below 70 degrees F and the relative humiditybelow 50%, or moldwill probably develop anddistortion will be extreme. 2. Use fans to keep the air moving at all times in the drying area. Air movement will accelerate the drying process and discouragethe growth of mold. Train fans into the air andaway fromthe dryingbooks. 3. Interleave the books. Using paper towels or clean, unprinted newsprint, place a dry sheet between the book's pages at regular intervals, starting from the back of the book, turning carefully. Be careful not to interleave too much as the spine will become concave, and the volume will be distorted. Complete the interleaving by placing paper towelsinside the front andback covers. Close the book and place it on a layer of paper towels or clean, unprinted newsprint. Change the interleaving frequently. Turn the book over each time it is interleaved. 4. When the books are dry but still cool to the touch,they should be closed and laid flat on a table or other horizontal surface, gently formed into the normal shape, with convex spine and concave front edge (if that was their original shape) and held in place with a light weight. Do not stack drying books on top of each other. In no case should books be returned to shelves until thoroughly dry since mold may develop,particularlyalong the innermargins. 5. Dampness will persist for some time in the inner margins, along the spine, and between boards and flyleaves. Check oftenfor mold growth whilebooks are drying. 6. If the edges are only slightly wet, a book may be stood on end and fanned open slightly in the path of a flow of air (as from a fan). To minimize distortion of the edges,lay volumesflat under light pressurejust before dryingis complete. SALVAGING WET PHOTOGRAPHS In general,the best approachto recovering wet photographsis to arrange for professional salvage. Contactthe Archivesfor advice(ext. 32841). 5 -~~~~~I SALVAGINGWET DISKETTES Any salvage work on diskettes is going to entail a significantexpenditureof time, effort, and perhaps money, so locating backup or replacement copies of information and discardingall but essentialdisks is wise. For essential disks, keep them wet until treatment. Contact the manufacturer for advice as to how to proceed. Some manufacturershave a toll-free hotline that you can contact for assistance (e.g., 3M Diskette Hotline can be reachedat 1-800-328-9438). Contact the Archivesfor further advice(ext. 32841). SALVAGINGOTHER MEDIA For wet records on other media, contact the Archives for advice at Ext. 32841. 6 Keeping Records - How to file and find Annexdocuments May 1999 Glossaryof SelectedRecordsManagementTerms ACTIVERECORDS Recordswhichare oftenor regularlyused in day-to-dayoperationsand consequently shouldbe keptwiththe businessunit. ADMINISTRATIVERECORDS Recordsrelatingto budget,personnel,managerial,supply,andsimilaradministrative functionscommon to most work units, in contrast to program records. See also PROGRAMRECORDS. APPRAISAL Theprocessof determiningthe valueandthus the dispositionof recordsbasedupon: (1) theiradministrative,legal,andfiscaluse;(2) their evidentialandinformationalor researchvalue;(3)their arrangement;and(4) theirrelationshipto otherrecords. ARCHIVES (1) Records produced as evidence of the institutional policies, functions, organization,procedures, and transactions.(2) The unit responsiblefor appraising BankGrouprecordsandpreservingthoseof continuingvalue. BACKGROUNDDOCUMENTS SeeSUPPORTINGDOCUMENTS. BATCH A collectionof documentsfiled accordingto unit or a segmentof the procurement checklist,identified by a letter, correspondingto the activitiesof the procurement cycle. BUSINESS UNIT FILES See SHAREDUNIT FILES CASEFILES Records documentinga specific project, place, event, person, location, or action. Examplesinclude files on individualstaff members, Bank projects, loans, credits, etc. 1 CHARGEOUT The act of documentingthe removaland loan of a document,file folder or binder fromits usualfile locationandrecordingwho borrowedit. Bankproceduresrequire the use of a chargeoutform(or substitutioncard). CHECKLIST A form which lists the documents found in the relevant file type and used for coding and classifying these documents. See Annexes 7, 9, 11, 13, 15, and 16 of KeepingRecordsfor samples of the availablechecklists. CHRONOLOGICALFILES(CHRONS) Files containing correspondence arranged by date (and not by subject) usually retained for convenience or reference. These files are normally used only for convenientreference,and shouldnotbe transferredtothe Archives. CLASSIFICATION The processof determiningwherein thefile schemea documentshouldbeplaced. CLASSIFICATIONSCHEME A logical and systematic arrangement into subject groups or categories for the arrangementof files. CLOSEDFILES Files on which actionhas been completedand to whichfurther documents are not likelyto beadded. CODINGDOCUMENTS Markingor identifyingthe folder designationor batch accordingto the appropriatechecklistcategories. CONVENIENCE COPY SeeREFERENCECOPY. CORRESPONDENCE Letters,memoranda,notes,facsimiles,electronicmailmessages,andanyother addressed,writtencommunicationsthat are sentandreceived. CUTOFF Breaking, or ending,files at regularintervals,for example,at the end of a fiscal or calendaryear,topermittheirdispositioninblocks(transferanddisposal). 2 Keeping Records - How to file and find Annex documents Mav 1999 DISPOSITION An action to be taken with records, in accordance with the appropriate records retention and disposition schedule. This includes either destruction (including deletion)or transferto the Archivesfor storageand/orpreservation.Finaldisposition maybe destructionor permanentretention. DOCUMENT Recordedinformation,regardlessof mediumor format. EPHEMERALRECORDS A generalterm for typesof recordsthat losetheir valuewithina shortperiodof time andthat shouldbe separatedduringfilingfromrecordsrequiringlongerretention. FILE (1) An organizedunit of relateddocumentsarrangedaccordingto a plan. (2) A unit, such as a folder, microform or electronic medium, containing such records or nonrecords. (3) In electronicrecordkeeping,anorganizedcollectionof relateddata, usuallyarranged into logicalrecords that are stored togetherand treated as a unit. (4) Storage equipment, such as a filing cabinet. (5) Arrange documents into predeterminedsequencesfor futurereference. FILE ARRANGEMENT The characteristicby whicha documentis filed and found,such as project number, date, title, name or subject. A filing system should use the file arrangementbest know by the file users. Examples of several arrangementsinclude: Alphabetic, Functional (also known as Hierarchical or Encyclopedic), Geographic, Numeric or Chronological. FILE PLAN SeeCLASSIFICATIONSCHEME. FILE SCHEME SeeCLASSIFICATIONSCHEME. FILING SYSTEM The method by which records are stored, including procedures, physical arrangement,classificationsystem,equipment,etc. FINDING AID Manual or automated indexes, lists, catalogs, etc., used to facilitate finding of documentsor information. 3 GRS General Records Schedule provides guidance on the retention and disposition of administrativerecords and other records that are commonlyfound throughoutthe Bank. IMAGEBANK IMAGEBANK is a web accessed database containing World Bank reports, documents,and workingpapers. Many of the reports are availablein full text with extensivesearchcapability.You can read reportsonline or ordercopies. See alsoWORLD DEVELOPMENTSOURCES. INACTIVERECORDS Records no longer required for the conduct of daily business. Based on the instructionscontained in the relevant records retention and disposition schedule, inactiverecordsmay be storedin the work unit and then destroyedor transferredto the Archivesforlong-termstorageorpermanentretention. INFORMATIONCOPY That copyof a record sent to or kept by individualsor work units interestedin, but not actingon, a matter. INTERNALDOCUMENTSUNIT The business unit which provides central coordination and reference services, primarily for Bank reports. The IDU also assigns report numbers and provides controlto internalreportdistribution.Thisunitis alsoresponsiblefor Imagebank. IRAMS Integrated Records and Archives Management System (IRAMS), a bibliographic database used by some units in the World Bank Group to track and retrieve recordsin their repositories or transferred to their custody. IRIS IntegratedRecords andInformationServices (IRIS)is an electronicservice which involvesscanning,indexing,storageandretrievalof records. LIFE CYCLEOFRECORDS The concept that records (both paper and electronic) pass through successive management stages: creation, use, retirement/transfer, storage, retrieval and disposition.For electronicrecords, an additionalmanagementstage is required in that priorto creatingelectronicrecordssystem,a plan shouldbe inplace to manage all subsequentstagesofthe recordslife cycleincludingthe expectancyor the need to migrate to upgraded software, and a considerationof the life expectancy of the storagemedium. 4 - I - NONRECORDS Material excludedfrom the definitionof records, such as stocks of publications, material intended solely for reference or exhibition, and blank forms. These materialsarenottransferredto Archives. NON-REGIONALRECORDSAND INFORMATIONCOORDINATOR Staff memberappointedto disseminateand coordinaterecordkeeping policiesand practicesin each of the non-regionalVPUs. The Non-RegionalRIC monitorsand evaluatesrecordkeeping,andprovidestrainingandassistanceas needed. OFFICIALDOCUMENTS (1) Original signed records which come through one of the Bank Group's Legal Departmentsand are storedas vitalrecords.(2) The unit in the Archivesand IBRD LegalDepartmentwhichhandlesofficialdocuments. OFFICEOFRECORD An office (orunit) designatedto maintainthe recordcopyof documentsforthe Bank Group. The officeof recordusuallyhas primaryresponsibilityfor the functionsand activities documented by the records, although some offices of record may be responsibleonlyfor maintenanceof the records. OFFICIALFILE COPY SeeRECORDCOPY. ORIGINATINGUNIT Unit where record is created. In the case of recordsoriginatingoutside the Bank Group,it is the unit wherethe recordwas firstreceivedfor action,or that requiredit for purposesof its ownwork. PAPERLESSOFFICE A term used to describe the unit where IRIS or imaging has been implemented and shared unit files are no longer maintained. The paper records are boxed and indexed with the appropriateretrieval information and transferred to the Archives for long-term retention. More aptly described as a "Less Paper Office". Staff are remindedthat no records should be destroyed unless specificallyinstructedin the unit's retention schedule. Paper records must be retained by the World Bank Groupunits even thoughelectronicimages of these recordshave been created. PERMANENTRECORDS Thosearchiveswhichare tobe keptpermanently. 5 PROGRAMRECORDS Recordsdocumentingthe unique,substantivefunctionsfor whichthe unitis responsible(incontrastto administrativerecords). RECORDCOPY That copyof a documentthat is maintainedas evidenceof the Institution'spolicies, functions, organization,procedures, and transactions(as distinct from a reference copyor conveniencecopy). RECORDSERIES Items or documentsarranged in accordancewith a filing plan/systemkept together because theyrelate to a particularfunctionor subject,result fromthe same activity, have a particular form, or because of some other relationship arising out of circumstancesof their creationor use. Portionsof a record series may be kept in separatelocations. RECORDS Recorded information, regardless of form or medium, created, received and maintained by the Bank Group in pursuance of its legal obligations or in the transaction of its business or as evidence of its organization,functions, policies, decisions and procedures. Records may be in the form of contracts,agreements, letters, memoranda, reports, telexes, facsimiles, charts, maps, plans, drawings, photographs, films, recordings, electronic text, emails, transactions, databases, spreadsheets. RECORDSANDINFORMATIONCOORDINATOR(RIC) Staff member whose role is to manage the work group's records management system. RECORDSMANAGEMENT That area of generaladministrativemanagementconcernedwith achievingeconomy and efficiencyin the creation,maintenance,use and dispositionof records, that is, duringtheirentirelifecycle. RECORDSRETENTIONAND DISPOSITIONSCHEDULE(RRDS) A documentcreatedby the World Bank Group Archivesin consultationwith unit staff. This agreement governs how long each record series should be kept in the work unit. It covers record series produced, received and kept by the unit and authorizes their systematic transfer to Archives or destruction. No transfer of recordsto the Archiveswillbe acceptedwithoutanRRDS. 6 Keeping Records - How to file and find Ainnexdocuments May 1999 REFERENCECOPY A duplicate or informationcopymaintainedfor convenienceand usuallydestroyed in the officeaccordingto the retentionschedule. REGIONALINFORMATIONSERVICESCENTER(S)(RISCs) Centralfile rooms organizedto maintain program recordsfor each regionalVPU. The RISCswere closedin 1998,and somerecord keepingfunctionswere assumed by SupportCenters. REGIONALRECORDSANDINFORMATIONCOORDINATOR Staffmember appointedto disseminateand coordinaterecord keepingpolicies and practicesin each of the regionalVPUs. The RegionalRIC monitorsand evaluates recordkeeping,andprovidestrainingandassistanceas needed. RETENTIONPERIOD The specifiedperiodof timethat recordsarekeptin thebusinessunit or Archives. SECURITYCLASSIFICATION A coding whichindicates variouslevels of accessto records.The World Bank Groupuses four separatesecurity classificationsin descendingorderof restriction: Strictly Confidential, Confidential, For Official Use Only, Public. The staff memberresponsiblefor the creation or receiptof documentsis responsible for assigningthe appropriatesecurityclassification.SeeAdministrativeManual Statementno. 10.20. SHAREDUNITFILES Files accumulatedby one or more offices or organizationalunits and maintained near thepointsof usageandsharedby relevantunits. SUBJECTFILES These filesare arrangedaccordingto theirgeneralinformational,or subject,content. They may relate to program or administrativefunctions (as opposed to case files whichrelateto specificactions,events,etc.,in aunit's workprogram). SUPPORTCENTERS Business units which have replaced the former Regional Information Services Centers. Staffing of the Support Centers may include an Archives Assistant, a RegionalRecords and InformationCoordinatorand an Imaging Coordinator.The Support Centers include the Africa Support Center, the Asia Support Center, the ECA/MNASupportCenter,andthe LCRIRISSupportCenter. 7 __, f:Sc .~~Issr M#!gI !t i T rms SUPPORTINGDOCUMENTS Background or support files, such as worksheets, questionnaires,rough notes, calculationsor drafts,whichareusedto supportdecisionson projectsor programs. TECHNICALREFERENCEFILES Nonrecordcopies of articles, periodicals, vendor catalogs, technicalmanuals and similarmaterialsthat are used for referenceand informationbut are not part of the unit's records in that they do not documentunit activitiesor functions. Does not include technical factual documents such as feasibility studies, or design studies directlyrelatedtoBank operations. TEMPORARYRECORDS Records which will be destroyedeither imrnediatelyafter use or after a specified retentionperiod. VITALRECORDS Recordsidentifiedand set aside as being neededto (1) restorethe operationsof the Bank Group or any of its critical units; (2) recreate the institutions'legal and financial position; and/or (3) preserve the rights of the institutions'staff and/or shareholdersin theevent of a disaster.Originalsor copiesofthese documentsshould be setasideandstoredina separatelocationtobe usedin caseof emergency. WORLDDEVELOPMENTSOURCES (WDS) WDS delivers images andtext of WorldBank Reports,the majorityof which were producedduringthe last six years.This applicationis used tohelp external partners andclients findpublic bank reportsrapidly, review the content of the reportsonline, and then use the informationelectronically.WDS is availableto the public. 8