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CHAPTER 5 INSTITUTIONAL ISSUES AND ORGANIZATIONAL STRUCTURE BUDGET INCENTIVES FOR CROSS SUPPORT 5.51 Budget rules hinder staff from working across organizational boundaries. Current arrangements require each unit to estimate the amount of cross support it expects to sell and purchase in the coming year. Even though the Bank’s time recording system captures actual cross support across organizational units in real time, deviations from the beginning-of-year estimate for inter-VPU cross support are only reconciled through adjustments in the budget for next fiscal year, or in limited circumstances twice per fiscal year. Each VPU is free to set internal rules for intra- VPU budget settlements, but in some cases, cross support within the same sector department may not involve budget settlements at all. This non-payment or substantial delay between the provision of cross support and the payment for that work penalizes a unit for providing unanticipated cross support. On the demand side, a disincentive arises from the significant differential between the cost of staff and the cost of consultants due to the markup charged to purchasing units for sustaining costs of staff. 79 Any initiative to jump-start cross support must address these penalties. Quality Assurance and Conflicts of Interest 5.52 The Bank currently lacks a mechanism for transparent assessment of operational quality in real time, independent of line management. Effective organizations ensure the quality of product delivery and operational support processes by undertaking additional due diligence for quality control, although both tend to be under line management. In addition, separate mechanisms for quality assurance, financial audits, and independent evaluations provide independent feedback to senior management, governing bodies, and external constituents on quality. These systems for quality assurance, audits, and evaluation are not considered credible unless they are administered by third parties. 5.53 While the Bank has an Internal Audit Department and an Independent Evaluation Group, no entity is responsible for undertaking third-party quality assurance of operations during implementation since QAG was dissolved in June 2010. Upon its dissolution, QAG’s budget and remaining staff were transferred to the OPCS vice presidency which retains primary responsibility for those functions, including portfolio reviews. Management has responded that the funds were used in part for completing an ongoing QAG review; that review has not been made public. 80 As of the end of FY11, no alternate mechanism had been put in place to generate independent or arm’s-length data on lending and AAA quality 81 and provide feedback to senior management. In effect, an information gap has been created in the Bank’s quality assurance system. 101
CHAPTER 5 INSTITUTIONAL ISSUES AND ORGANIZATIONAL STRUCTURE 5.54 Because of its heavy corporate responsibilities and support functions for regional operations, OPCS itself cannot play an independent quality assurance role. OPCS performs a crucial corporate role for the Bank. Its core corporate functions are (a) formulating operational policies and guidance to Bank staff for lending and nonlending operations, (b) overseeing country services across the Bank, (c) acting as the secretariat to the managing directors and the Operations Committee, and (d) consolidating results and results reporting to the Board of Directors. In addition to those four vital roles, OPCS also provides a home for additional functions, including (e) the financial management and procurement network anchors, which provide operational services to task teams, (f) quality control for fiduciary and safeguards for all lending operations, (g) results reporting, (h) the Internal Reforms Secretariat, and (i) the fragile and conflict affected countries unit. Because it houses the financial management and procurement Sector Boards, OPCS states that it is both inside and outside the matrix. As the anchor of country services, it prepares the CAS and DPL Retrospectives, and as the home of the Results Secretariat, it is responsible for the production of the Results Report and the Corporate Scorecard initiated in FY11. Its counterpart Operational Services units in the Regions provide fiduciary and safeguards clearances and undertake quality control for all operations; they also act as the secretariat to the Regional Operations Committee. 5.55 The additional functions beyond the core corporate functions of OPCS can give rise to conflict of interest. The quality control function for safeguards was moved to OPCS from the vice presidency that houses the environmental and social development sectors when it merged with infrastructure sectors to avoid potential conflicts of interest by ensuring that the units providing clearances do not provide operational support to task teams. However, the same firewall to avoid conflict of interest has not been established for fiduciary areas—financial management and procurement—where the OS units provide both operational support and clearances. 5.56 Senior management currently lacks a mechanism to receive transparent feedback on operational quality independent of line management. Given the corporate role of OPCS, its role in quality control, and its role in providing guidance to staff and oversight of specialized areas, including CASs, DPLs, and new lending instruments, OPCS and its regional OS units play a critical role in the Bank’s delivery of services to country clients. As such, it is unreasonable to expect that OPCS or its regional OS units will be able to undertake quality assurance to assess the quality and robustness of the Bank’s quality control systems with any degree of independence. 102
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The Matrix System at Work An Evalua
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©2012 Independent Evaluation Group
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Costs of Country and Sector Strateg
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Table 3.6. Total Cross-Support Sold
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Abbreviations AAA AFR ARDE ARPP BET
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Glossary Term Anchor sector directo
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GLOSSARY Practice managers (PM) Reg
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Overview The Matrix System at Work
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OVERVIEW rather than on the 1997 ma
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OVERVIEW satisfactory or better in
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OVERVIEW toward capacity building a
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OVERVIEW Innovation in the field is
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OVERVIEW Figure D. Outcomes of Bank
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OVERVIEW modernization in the corpo
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OVERVIEW management structure but t
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OVERVIEW Structure Bank-wide matrix
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MANAGEMENT RESPONSE interest and ow
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MANAGEMENT RESPONSE Management cons
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MANAGEMENT RESPONSE that reach far
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CHAPTER 1 INTRODUCTION AND CONTEXT
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2. The Strategic Alignment of Secto
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CHAPTER 2 THE STRATEGIC ALIGNMENT O
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CHAPTER 3 THE PROMISE OF A KNOWLEDG
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Page 145 and 146: 6. Conclusions and Recommendations
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APPENDIX D EXPERIENCE IN THE TRENCH
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APPENDIX D EXPERIENCE IN THE TRENCH
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Appendix E Key Findings from Sector
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APPENDIX E KEY FINDINGS FROM SECTOR
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Table E.1. Country Directors and Ma
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# Other Questions Q # 7 APPENDIX E
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APPENDIX F FOCUS GROUP DISCUSSIONS:
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APPENDIX F FOCUS GROUP DISCUSSIONS:
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Appendix G Comparison of the Six Re
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APPENDIX G PROFILES OF THE BANK’S
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Appendix H Working across Organizat
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APPENDIX H WORKING ACROSS ORGANIZAT
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Appendix I Budgetary Incentives 65.
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APPENDIX I BUDGETARY INCENTIVES Bud
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APPENDIX I BUDGETARY INCENTIVES 72.
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APPENDIX I BUDGETARY INCENTIVES com
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APPENDIX I BUDGETARY INCENTIVES Fig
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APPENDIX I BUDGETARY INCENTIVES mea
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APPENDIX J WORKING ACROSS SECTORS A
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Appendix K World Bank Sector Strate
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APPENDIX K WORLD BANK SECTOR STRATE
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APPENDIX K WORLD BANK SECTOR STRATE
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Appendix L International Finance Co
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APPENDIX L IFC 2013 CHANGE INITIATI
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APPENDIX M STAFFING DATA Note: Head
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APPENDIX M STAFFING DATA Table M.7.
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Appendix N Managers Interviewed Nam
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References Barnett, Michael N. and
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REFERENCES Sy, Thomas and Laura Sue
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Endnotes 1 See Wapenhans 1992, 1994
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ENDNOTES appropriately assessed by
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ENDNOTES 46 The respondents to this
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ENDNOTES 71 See Safeguards and Sust
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