2 Content What is a standard Role of WMO as a global regulator and standard-making organizationCurrent international regulatory framework established by the WMO Technical Regulations:HistoryCompositionAmendment proceduresImplementationRules and procedures of making regulationsEnhanced organizational “Culture of Compliance”
3 Introduction - What is a standard? There are many definitions of a 'standard'. Very generally, a standard might simply be defined as 'a set of rules for ensuring quality‘ISO/IEC Guide 2:2004, definition 3.2 defines a standard as:document established by consensus and approved by a recognized body that provides for common and repeated use, rules, guidelines or characteristics for activities or their results, aimed at the achievement of the optimum degree of order in a given context.NOTE: Standards should be based on the consolidated results of science, technology and experience, and aimed at the promotion of optimum community benefits.
4 Introduction - What is a standard? International standard - ISO/IEC Guide 2:2004, definition 3.1.2standard that is adopted by an international standardizing/standards organization and made available to the publicWMO is an international standardizing organization
5 Introduction - WMO as a standards organization WMO Convention:Article 2, Purpose (c) To promote standardization of meteorological and related observations and to ensure the uniform publication of observations and statistics;Article 8, Functions (of WMO Congress) (d) To determine regulations prescribing the procedures of the various bodies of the Organization, in particular the General, Technical, Financial and Staff Regulations;WMO General Regulations:Annex III, Structure and Terms of Reference of Technical CommissionsGeneral terms of reference… each technical commission shall:(2) Develop, for consideration by the Executive Council and Congress, proposed international standards for methods, procedures, techniques and practices in meteorology and operational hydrology including, in particular, the relevant parts of the Technical Regulations, guides and manuals;
6 Introduction - WMO as a standards organization Working arrangements between ISO and WMO:ISO has recognized WMO as an international standardization body through ISO Council Resolution 43/2007WMO is listed on the web as a standard-making organization, e.g.:
7 Introduction - other standards or regulatory organization UN:ICAO regulatory framework for international air navigationWHO international health regulationsITU international standards and regulations in telecommunicationsWTO international agreements and regulations related to tradeEtc.Non-UN:ISO International Standards OrganizationCEN European Committee for Standardization
9 WMO Technical Regulations - History Pre-WMO:IMO created some Technical Resolutions that established the basis for future regulation and standardizationWMO:Cg-I (1951):Interim arrangements – Res 4 (Cg-I) extended the validity of the IMO technical resolutions until the preparation of the new WMO technical regulationsCg-II (1955):Res 17 (Cg-II) – Defined the WMO Technical Regulations and the terms “standard meteorological practices and procedures” and “recommended meteorological practices and procedures”Res 18 (Cg-II) – Definition of the Guides of WMO (still valid and available in WMO-No.508)Res 19 (Cg-II) – Adopted the Technical Regulations (Vol I and Vol II) for implementation as of 1 July 1956Res 20 (Cg-II) – Notification of deviations from standard meteorological practices and procedures (“standards”) (amended by Cg-III (1955) to include notification of compliance, as well)
10 WMO Technical Regulations - History Cg-VI (1971):Introduced the concept of Manuals as Annexes to the Technical Regulations; Manual on the GTS became Annex III; the global aspects of Annexes consist standards and recommendations (same status as the TRs); approval of amendments by the ECAdopted Volume III – Operational HydrologyCg-VII (1975):Alignment of the TRs with the World Weather WatchAfter Cg-X (1987):Edition 1988 was published and remained valid with some Supplements until Cg-XVI in 2011EC-60 (2008):Approved the Working Arrangements between ISO and WMOCg-XVI (2011):Res 45: called for revision of the regulatory documents in a systematic manner and ensure that the published versions of the regulatory documents can be used as reference documentation; adopted Volume IV, Quality Management
11 WMO Technical Regulations - definitions The Technical Regulations comprise standard practices and procedures and recommended practices and procedures. They are defined by Congress – Res 17 (Cg-II); currently included in the General Provisions of TRs and Introduction part of ManualsStandard practices and procedures (standard):Shall be the practices and procedures which it is necessary that Members follow or implement; and thereforeShall have the status of requirements in a technical resolution in respect of which Article 9 (b) of the Convention is applicable; andShall invariably be distinguished by the use of the term shall in the English text, and by suitable equivalent terms in the Arabic, Chinese, French, Russian and Spanish texts.
12 WMO Technical Regulations - definitions Recommended practices and procedures (recommendation):(a) Shall be the practices and procedures which it is desirable that Members follow orimplement; and therefore(b) Shall have the status of recommendations to Members, to which Article 9 (b) of the Convention shall not be applied;(c) Shall be distinguished by the use of the term should in the English text (except where otherwise provided by decision of Congress) and by suitable equivalent terms in the Arabic, Chinese, French, Russian and Spanish texts.Note: the term desirable needs clarification
13 WMO Technical Regulations - Implementation Required actions by Members:Convention - Article 9, Execution of Congress decisionsAll Members shall do their utmost to implement the decisions of Congress;If, however, any Member finds it impracticable to give effect to some requirement in a technical resolution adopted by Congress, such Member shall inform the Secretary-General of the Organization whether its inability to give effect to it is provisional or final, and state its reasons therefor.General Regulations – GR 128: [notification of non-compliance (deviation)] A Member which is unable to give effect to a requirement in a technical resolution which has been adopted by Congress, or by the Executive Council on behalf of Congress, and to which the provisions of Article 9 (b) of the Convention and of these Regulations have been specifically stated to apply, shall so inform the Secretary-General in writing within a period of 90 days after the notification of the decision by the latter. The Member concerned must indicate, in its communication to the Secretary-General, whether its inability to give effect to the resolution is provisional or final and state its reasons therefor.
14 WMO Technical Regulations - Implementation Required actions by Members:General Regulations – GR 128: [notification of compliance] Members shall specifically notify the Secretary-General in writing of their intention to apply the “standard practices” of the Technical Regulations except for those for which they lodge specific deviations. [notification of change] Members shall also inform the Secretary-General, at least three months in advance, of any change in the degree of their implementation of a “standard practice” as previously notified and of the effective date of the change.GR 202 (General functions of the Secretariat)(8) To maintain records of the extent to which each Member implements the decisions of the Organization;
15 WMO Technical Regulations – the two types Types of regulations - SPPs and RPPsStandard practices and proceduresRecommended practices and proceduresnecessary for Members to follow or implementdesirable for Members to follow or implementdistinguished by the use of the term shalldistinguished by the use of the term shouldstatus of requirementsstatus of recommendationsdefined in a technical resolution-Members shall do their utmost to implementMembers urged to comply withArticle 9(b) of the Convention is applicableArticle 9(b) of the Convention is not applicableMembers shall inform SG of inability or impracticability of implementationNo requirementGR 128 is applicableGR 128 is not applicable
19 Guides Manuals TRs WMO Technical Regulations - Composition PrescriptiveTRs(Vol 1 – 4)Manuals(Annex 1 – 8 to Vol 1 of TRs)GuidesOther reference docs (e.g., TR Manuals Vol II, WMO-No.9, Guidelines, etc.)Basic SARPs (definitive)Mostly requirement-drivenApproval by Congress (in principle)Relatively Conservative“Shall”and “Should”have specificmeaningMore detailed SARPs (procedures and specifications)Could be technology-drivenApproval delegated to ECRelatively DynamicDescriptiveNon-Regulations“Shall”and “Should”have ordinarymeaningProcedures and practicesImplementation guidanceExplanationsExamples, good practiceFlexible updates
20 WMO Technical Regulations - Composition WMO Technical Regulations – Basic Documents No. 2, WMO-No.49:Volume I General Meteorological Standards and Recommended PracticesVolume II Meteorological Service for International Air NavigationVolume III HydrologyVolume IV Quality Management
21 WMO Technical Regulations - Composition WMO Technical Regulations – Annexes/Manuals:Annex I International Cloud Atlas (WMO-No. 407), Volume I – Manual on the Observation of Clouds and Other Meteors, (in part)Annex II Manual on Codes (WMO-No. 306), Volume I.1 (Part A - Alphanumeric Codes); Volume I.2 (Part B - Binary Codes, Part C - Common Features to Binary and Alphanumeric Codes)Annex III Manual on the Global Telecommunication System (WMO-No. 386), Volume IAnnex IV Manual on the Global Data-processing and Forecasting System (WMO-No.485), Volume IAnnex V Manual on the Global Observing System (WMO-No. 544), Volume IAnnex VI Manual on Marine Meteorological Services (WMO-No. 558), Volume IAnnex VII Manual on the WMO Information System (WMO-No. 1060)Annex VIII Manual on the Implementation of Education and Training Standards in Meteorology and Hydrology (WMO-No. 1083)WWW
22 WMO Technical Regulations - Composition WMO Technical Regulations – webpage:Other elements of the Technical Regulations:DefinitionsAppendicesAnnexesNotesTheir status and format is defined in the TR’s General ProvisionsTypeStatusDefinitionPart of the standard or recommendation in which the term is usedNoteExplanatory material (often including references to other parts of the document or to other publications); not having a status of a standard, nor a recommendationAppendixThe same status as the standard or recommendation to which it refers
23 WMO Technical Regulations Summary“This history [of WMO and WWW] illustrates a profoundly important transition from voluntarist internationalism, based on shared interests, to quasiobligatory globalism, based on a more permanent shared infrastructure. The WMO and the WWW thus represent infrastructural globalism, by which “the world” as a whole is produced and maintained (as both object of knowledge and unified arena of human action) through global infrastructures.”Paul N. Edwards, Meteorology as Infrastructural Globalism
24 WMO Technical Regulations - Amendments Approval processApproval of amendments to TRs – as a rule, by Congress“Fast-track” procedures:Approval by Executive Council (in accordance with Article 14(c) of the Convention):if the change is to be implemented before the time of next Congress;Amendments to Annexes to the Technical Regulations proposed by the appropriate technical commissions are normally approved by the Executive Council.The President of the Organization may approve a change on behalf of the Executive Council (in accordance with GR 9(5)) if the change is urgent.
25 WMO Technical Regulations - Amendments Timeline for regular updates
26 How to formulate a regulation: WMO Technical Regulations – how to make themHow to formulate a regulation:Each standard defines a requirementEach standard-making body should develop mechanisms for defining (user) requirements (e.g., CBS Rolling Review of Requirements – RRR)Two main types of requirements:Institutional or System requirementsEstablishment of global, regional, and national networks and facilities with their scope, objectives and compositionEstablishment of authority, responsibility, mandatory management practicesHuman resources requirements (e.g., ETR, competences, qualifications)Technical – operational, functional, procedural
27 How to formulate a regulation: WMO Technical Regulations – how to make themHow to formulate a regulation:Examples – System requirementsDefinition of a system, including its scope, objectives and composition:[A.2.1.] 1.1:The Global Data-processing System shall include World Meteorological Centres, Regional Meteorological Centres and National Meteorological Centres.Designation of national facilities/networks:Manual on GOS:2.8.3: Each Member shall establish and maintain at least one reference climatological station.Designation of regional facilities/networks:: Regional networks shall be established in relation to the regional requirements.
28 How to formulate a regulation: WMO Technical Regulations – how to make themHow to formulate a regulation:Examples – Technical requirementsDefinition of standard observing procedure:Manual on GOS:: The intermediate standard times for surface synoptic observations shall be 0300, 0900, 1500 and 2100 UTC.Definition of standard product/service:Manual on MMSs:: Weather and sea bulletins for the high seas shall include, in the order given hereafter: Part I: Warnings; Part II: …Recommended procedure – data processing:[B.1.]4.2.4: Annual averages should be computed from the monthly averages by dividing the sum of the monthly averages by twelve, without consideration of the varying lengths of the months.
29 Some difficulties: WMO Technical Regulations – how to make them It is relatively easy to develop regulations related to technical matters, e.g., observations (e.g., how to measure temperature)It is more difficult to develop regulations about services, e.g., services in support of DRR; why?WMO regulations are international by nature, but implemented nationallyUser requirements should be very well identified and clearThere should be an enforcement mechanismRegulations should be fit to service delivery modelsEtc.A good example is aviation, because:Users are clear and their requirements are well defined – e.g., “safety first”Aviation is an international business, thus the regulations are aimed at interoperability, efficiency and smooth cross-border operationsThere are explicit liabilitiesThere is a culture of compliance in the communityService provision is getting more and more deregulated
30 Summary: WMO Technical Regulations – how to make them Making regulations – from concepts to realityBest practices should become regulations through consensusRegulations should be globally implementableRegulations should be enforceableRegulations should bring benefits
31 WMO Technical Regulations - Implementation Through the TRs, WMO has established an international (global) regulatory framework enabling a harmonized and standardized conduct of the meteorological, hydrological and climatological activitiesTRs require all Members to align their national practices with specified set of standard and recommended practices and proceduresThe enforcement of the international regulatory framework should be achieved through the “translation” of the TRs into appropriate national legislation and regulation, which each Member establishes for the conduct of meteorological, hydrological and climatological activities
32 How to improve WMO Technical Regulations General Principles in the selection of material for inclusion in the Technical Regulations (agreed by Congress)Technical commissions should not recommend that a Regulation be a standard practice unless it is supported by a strong majority; (mature for global implementation)Technical Regulations should contain appropriate instructions to Members regarding implementation of the provision in question; (implementable)No major changes should be made in the Technical Regulations without consulting the appropriate technical commissions; (relevant)Any amendments proposed to these Technical Regulations submitted by Members or by constituent bodies should be communicated to all Members at least three months before they are submitted to Congress. (globally coordinated)
33 How to improve WMO Technical Regulations Guidelines for preparation and promulgation of WMO Technical RegulationsA mature draft has been presented to EC-65 (May 2013). The Guidelines are based on:All relevant WMO material;Experience of other standardizing organizations – e.g., WHO, ICAO, ITU, etc.;ISO/IEC Directives, Part 2 – Rules for the structure and drafting of International Standards
34 How to improve WMO Technical Regulations ISO/IEC DIR 2 specifies General Principles, e.g.,TRs should define clear and unambiguous provisionsTo achieve their objectives, TRs shall:be as complete as necessary within the limits specified by their scope,be consistent, clear and accurate,take full account of the state of the art,provide a framework for future technological development,be comprehensible to qualified persons who have not participated in its preparation, andtake into account the principles for the drafting of documents
35 How to improve WMO Technical Regulations ISO/IEC DIR 2 General Principles:Performance approach:Whenever possible, requirements shall be expressed in terms of performance rather than design or descriptive characteristics. This approach leaves maximum freedom to technical development.Primarily those characteristics shall be included that are suitable for worldwide (universal) acceptance. Where necessary, owing to differences in legislation, climate, environment, economies, social conditions, trade patterns, etc., several options may be indicated.Homogeneity:Uniformity of structure, of style and of terminology shall be maintained not only within each document, but also within a series of associated documents.Consistency:In order to achieve the aim of consistency within the complete corpus of documents, the text of every document shall be in accordance with the relevant provisions of existing basic documents (e.g., terminology, quantities, units and their symbols, abbreviated terms, bibliographic references, etc.)
36 How to improve WMO Technical Regulations ISO/IEC DIR 2 General Principles:Equivalence of official language versionsThe texts in the different official language versions shall be technically equivalent and structurally identical. The use of bilingualism from the initial stage of drafting is of great assistance in the preparation of clear and unambiguous texts.Fitness for implementation as a regional or national standardThe content of a document shall be drawn up in such a way as to facilitate its direct application and its adoption without change as a regional or national standard.
37 How to improve WMO Technical Regulations Develop an Organization-wide standard-making processDefine roles of participating bodiesEnsure engagement of all stakeholders through on organization-wide consultation processEmphasize the editorial role of Secretariat
38 Enforcement and Culture of Compliance The international regulatory framework is implemented by Members (or groups of Members)WMO TRs should penetrate into national (or regional) legislation and regulationMembers should endeavor to reproduce or include reference to relevant WMO TRs and international standardsOther organizations should recognize relevant WMO TRs and international standardsAt operational level, NMHSs should base their SOPs and other internal regulations on the WMO TRs
39 Enforcement and Culture of Compliance Enhanced Culture of ComplianceTo be promoted throughout the OrganizationImproved Regulatory DocumentsBetter engagement of Members in the development and pre-approval phaseProvide “compliance assistance” through better Guidance on implementation by MembersRegular updates of Regulatory Documents following an expected cycleReinstate the notification of non-complianceMonitor and identify deficiencies and deviationsAddress critical deficiencies – major priority for Capacity DevelopmentUse “compliance” as one of the main KPI in the strategic planning and M&EPromote compliance beyond the NMHSs
40 Enforcement and Culture of Compliance Some possible reasons for non-Compliance (different from lack of capacity)TRs are not formulated properly; lack of understanding of requirementsUser requirements are not properly studied and reflectedThere is no well defined “Regulator” at national level responsible for the enforcement of the international regulations; in the case of ICAO, each Member designates Meteorological Authority; in the case of WHO – Ministry of HealthExposure to liability – stronger in the case of ICAO or WHOBenefits are not well understood/demonstratedMonitoring of implementation is weak and no “penalties” for non-complianceNo systematic approach towards resolving identified deficiencies
41 Enforcement and Culture of Compliance Example of defining National AuthorityTRs, Volume II:[C.3.1.] Each Member shall designate the authority, hereinafter referred to as the meteorological authority, to provide or to arrange for the provision of meteorological service for international air navigation on its behalf.Example of defining provider-user relationship[C.3.1.] Close liaison shall be maintained between those concerned with the supply and those concerned with the use of meteorological information on matters which affect the provision of meteorological service for international air navigation.Example of defining service objective[C.3.1.] The objective of meteorological service for international air navigation shall be to contribute towards the safety, regularity and efficiency of international air navigation.
42 Final remarksStandards shall reflect realities, e.g., the normal process is to identify “best practice” and standardize themDefine objective and scope firstConceptual material should NOT go to regulationsQMS principle should be embedded in the process, in particular, customer focusAvoid “overregulation”Identify the implementer (e.g., national authority)Implementation should be affordable; always think of the cost involved (in particular, for less developed countries)Evolutionary approach, e.g., start with Guide and “upgrade” to Manual, or, start with Recommendation and “upgrade” to StandardCareful considerations regarding “national” and “international” requirementsMonitor, assist, improve
45 The Power of Standards A standard can kill a planet Is Pluto a planet?Like the other eight planets, Pluto goes around the Sun in an elliptical orbit, which complies with the definition of a planet – large heavenly bodies that revolve around a star.Recently (2006) the General Assembly of the International Astronomical Union (the organization that sets standards for planets) determined that Pluto was not a planet after all. It was demoted to the category of “dwarf planet”, a title it now shares with Ceres and an object called UB313 (consequently named Eris).Planet has been defined as celestial body that: (a) is in orbit around the Sun, (b) has sufficient mass for its self-gravity to overcome rigid body forces so that it assumes a hydrostatic equilibrium (nearly round) shape, and (c) has cleared the neighbourhood around its orbit.
46 The Power of Standards A standard can kill a planet Not all astronomers are happy with this decision and hundreds have signed a petition to return to the older definition.Moreover, in March 2007, the New Mexico House of Representatives voted anonymously in favor of a resolution that Pluto IS a planet.That in turn raised another question: Just which earthly body has the final authority over the classification of the heavenly bodies?(From: Standards; Recipes for Reality, Lawrence Bush, MIT Press)