WMO Standards and Technical RegulationsDimitar Ivanov – C/ROE WMO; DRA/ROE
Content • What is a standard • Role of WMO as a global regulator and standard-making organization • Current international regulatory framework established by the WMO Technical Regulations: • History • Composition • Amendment procedures • Implementation • Rules and procedures of making regulations • Enhanced organizational “Culture of Compliance”
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.
Introduction - What is a standard? • International standard - ISO/IEC Guide 2:2004, definition 3.1.2 • standard that is adopted by an international standardizing/standards organization and made available to the public • WMO is an international standardizing organization
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 Commissions • General terms of reference • … each technical commission shall: • (2) Develop, for consideration by the Executive Council and Congress, proposed international standardsfor methods, procedures, techniques and practices in meteorology and operational hydrology including, in particular, the relevant parts of the Technical Regulations, guides and manuals;
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 43/2007 • WMO is listed on the web as a standard-making organization, e.g.: http://en.wikipedia.org/wiki/List_of_technical_standard_organisations
Introduction - other standards or regulatory organization • UN: • ICAO regulatory framework for international air navigation • WHO international health regulations • ITU international standards and regulations in telecommunications • WTO international agreements and regulations relatedto trade • Etc. • Non-UN: • ISO International Standards Organization • CEN European Committee for Standardization • Etc.
WMO Technical Regulations • History • Composition • Amendment procedures • Implementation 2012 1956
WMO Technical Regulations - History • Pre-WMO: • IMO created some Technical Resolutions that established the basis for future regulation and standardization • WMO: • 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 regulations • Cg-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 1956 • Res 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)
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 EC • Adopted Volume III – Operational Hydrology • Cg-VII (1975): • Alignment of the TRs with the World Weather Watch • After Cg-X (1987): • Edition 1988 was published and remained valid with some Supplements until Cg-XVI in 2011 • EC-60 (2008): • Approved the Working Arrangements between ISO and WMO • Cg-XVI (2011): • Res 45: called forrevision 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
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 Manuals Standard practices and procedures (standard): • Shall be the practices and procedures which it is necessary that Members follow or implement; and therefore • Shall have the status of requirements in a technical resolution in respect of which Article 9 (b) of the Convention is applicable; and • Shall 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.
WMO Technical Regulations - definitions Recommended practices and procedures (recommendation): (a) Shall be the practices and procedures which it is desirable that Members follow or implement; 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
WMO Technical Regulations - Implementation Required actions by Members: • Convention -Article 9, Execution of Congress decisions • All 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.
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;
WMO Technical Regulations – the two types • Types of regulations - SPPs and RPPs
WMO Technical Regulations - Composition • WMO Guides – CG-II (1955)
WMO Technical Regulations - Composition • WMO Manuals – Cg-VI (1971)
WMO Technical Regulations - Composition Prescriptive Regulations • Basic SARPs (definitive) • Mostly requirement-driven • Approval by Congress (in principle) • Relatively Conservative “Shall” and “Should” have specific meaning • More detailed SARPs (procedures and specifications) • Could be technology-driven • Approval delegated to EC • Relatively Dynamic Descriptive Non-Regulations • Procedures and practices • Implementation guidance • Explanations • Examples, good practice • Flexible updates “Shall” and “Should” have ordinary meaning
WMO Technical Regulations - Composition • WMO Technical Regulations – Basic Documents No. 2, WMO-No.49: • Volume I General Meteorological Standards and Recommended Practices • Volume II Meteorological Service for International Air Navigation • Volume III Hydrology • Volume IV Quality Management
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 IIManual 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 IIIManual on the Global Telecommunication System (WMO-No. 386), Volume I • Annex IVManual on the Global Data-processing and Forecasting System (WMO-No.485), Volume I • Annex VManual on the Global Observing System (WMO-No. 544), Volume I • Annex VIManual on Marine Meteorological Services (WMO-No. 558), Volume I • Annex 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
WMO Technical Regulations - Composition • WMO Technical Regulations – webpage: http://www.wmo.int/pages/governance/policy/tech_regu_en.html • Other elements of the Technical Regulations: • Definitions • Appendices • Annexes • Notes Their status and format is defined in the TR’s General Provisions
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
WMO Technical Regulations - Amendments • Approval process • Approval 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.
WMO Technical Regulations - Amendments • Timeline for regular updates
WMO Technical Regulations – how to make them • How to formulate a regulation: • Each standard defines a requirement • Each 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 requirements • Establishment of global, regional, and national networks and facilities with their scope, objectives and composition • Establishment of authority, responsibility, mandatory management practices • Human resources requirements (e.g., ETR, competences, qualifications) • Technical – operational, functional, procedural
WMO Technical Regulations – how to make them • How to formulate a regulation: • Examples – System requirements • Definition of a system, including its scope, objectives and composition: • [A.2.1.] 1.1: • The Global Data-processing System shallinclude World Meteorological Centres, Regional Meteorological Centres and National Meteorological Centres. • Designation of national facilities/networks: • Manual on GOS: • 2.8.3: Each Member shallestablish and maintain at least one reference climatological station. • Designation of regional facilities/networks: • Manual on GOS: • 126.96.36.199: Regional networks shallbe established in relation to the regional requirements.
WMO Technical Regulations – how to make them • How to formulate a regulation: • Examples – Technical requirements • Definition of standard observing procedure: • Manual on GOS: • 188.8.131.52: The intermediate standard times for surface synoptic observations shall be 0300, 0900, 1500 and 2100 UTC. • Definition of standard product/service: • Manual on MMSs: • 184.108.40.206: 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.
WMO Technical Regulations – how to make them • Some difficulties: • 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 nationally • User requirements should be very well identified and clear • There should be an enforcement mechanism • Regulations should be fit to service delivery models • Etc. • 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 operations • There are explicit liabilities • There is a culture of compliance in the community • Service provision is getting more and more deregulated
WMO Technical Regulations – how to make them • Summary: • Making regulations – from concepts to reality • Best practices should become regulations through consensus • Regulations should be globally implementable • Regulations should be enforceable • Regulations should bring benefits
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 activities • TRs require all Members to align their national practices with specified set of standard and recommended practices and procedures • The 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
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 instructionsto 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)
How to improve WMO Technical Regulations • Guidelines for preparation and promulgation of WMO Technical Regulations https://docs.google.com/a/wmo.int/file/d/0B8DhC1GSWSmxZGJIT1o0UzNrUE0/edit • A 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
How to improve WMO Technical Regulations • ISO/IEC DIR 2 specifies General Principles, e.g., • TRs should define clear and unambiguous provisions • To 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, and • take into account the principles for the drafting of documents
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.)
How to improve WMO Technical Regulations • ISO/IEC DIR 2 General Principles: • Equivalence of official language versions The 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 standard The 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.
How to improve WMO Technical Regulations • Develop an Organization-wide standard-making process • Define roles of participating bodies • Ensure engagement of all stakeholders through on organization-wide consultation process • Emphasize the editorial role of Secretariat
Enforcement and Culture of Compliance • Enforcement • The international regulatory framework is implemented by Members (or groups of Members) • WMO TRs should penetrate into national (or regional) legislation and regulation • Members should endeavor to reproduce or include reference to relevant WMO TRs and international standards • Other organizations should recognize relevant WMO TRs and international standards • At operational level, NMHSs should base their SOPs and other internal regulations on the WMO TRs
Enforcement and Culture of Compliance • Enhanced Culture of Compliance • To be promoted throughout the Organization • Improved Regulatory Documents • Better engagement of Members in the development and pre-approval phase • Provide “compliance assistance” through better Guidance on implementation by Members • Regular updates of Regulatory Documents following an expected cycle • Reinstate the notification of non-compliance • Monitor and identify deficiencies and deviations • Address critical deficiencies – major priority for Capacity Development • Use “compliance” as one of the main KPI in the strategic planning and M&E • Promote compliance beyond the NMHSs
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 requirements • User requirements are not properly studied and reflected • There 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 Health • Exposure to liability – stronger in the case of ICAO or WHO • Benefits are not well understood/demonstrated • Monitoring of implementation is weak and no “penalties” for non-compliance • No systematic approach towards resolving identified deficiencies
Enforcement and Culture of Compliance • Example of defining National Authority TRs, Volume II: [C.3.1.] 2.1.4 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.] 2.2.1 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.] 2.1.1 The objective of meteorological service for international air navigation shall be to contribute towards the safety, regularity and efficiency of international air navigation.
Final remarks • Standards shall reflect realities, e.g., the normal process is to identify “best practice” and standardize them • Define objective and scope first • Conceptual material should NOT go to regulations • QMS principle should be embedded in the process, in particular, customer focus • Avoid “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 Standard • Careful considerations regarding “national” and “international” requirements • Monitor, assist, improve
The Power of StandardsA 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.
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 PlutoIS 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) The Power of StandardsA standard can kill a planet