GWO Requirements for Certification Bodies v10

Requirements for Certification Bodies

V10

Publication date: 1 April 2022

GWO Requirements for Certification Bodies

Contents

CONTENTS ....................................................................................................................................................................... 1 1. LIST OF ABBREVIATIONS................................................................................................................................... 2 2. TERMS AND DEFINITIONS................................................................................................................................. 3 3. CHANGE LOG, REVISION 10.............................................................................................................................. 4 4. INTRODUCTION ................................................................................................................................................ 6 5. REQUIREMENTS FOR CERTIFICATION BODIES .................................................................................................. 7 5.1 General requirements for certification bodies .......................................................................................................... 7 5.2 Qualifications of audit team members for certifying a training provider .................................................................. 7 5.3 Withdrawal of approval for certification bodies or individual auditors..................................................................... 8 6. THE CERTIFICATION PROCESS .......................................................................................................................... 9 6.1 Request for certification ............................................................................................................................................ 9 6.2 Multi-setting offers .................................................................................................................................................... 9 6.3 Estimate for man-day allocation for certification process ....................................................................................... 10 6.4 Certification audit .................................................................................................................................................... 10 6.5 Surveillance audit in the two-year certificate cycle ................................................................................................. 14 6.6 Extension of certificate ............................................................................................................................................ 14 6.7 Transfer between certification bodies..................................................................................................................... 15 6.8 Remote auditing ...................................................................................................................................................... 15 6.9 Issue of certificates, audit reports and requirements to inform GWO .................................................................... 16 GWO QUALIFICATION FOR NEW AUDITORS ................................................................................................ 17

GLOBAL WIND ORGANISATION www.globalwindsafety.org

1 / 18

GWO Requirements for Certification Bodies

1. List of Abbreviations

Global Wind Organisation

GWO

International Standards Organisation

ISO

Occupational Safety and Health Administration (USA)

OSHA

Health and Safety Executive (UK)

HSE

Quality Management System

QMS

Personal Protective Equipment

PPE

Root Cause Analysis

RCA

Non-Conformity Report

NCR

Wind Turbine Generator

WTG

GLOBAL WIND ORGANISATION www.globalwindsafety.org

2 / 18

GWO Requirements for Certification Bodies

2. Terms and Definitions

Shall

Verbal form used to indicate requirements strictly to be followed in order to conform to this training standard and from which no deviation is permitted. For clarity where the word ‘must’ is used in this requirement it shall have the same meaning as shall. Verbal form used to indicate that among several possibilities one is recommended as particularly suitable, without mentioning or excluding others, or that a certain course of action is preferred but not necessarily required.

Must

Should

May

Indicates a permission.

Can

Indicates a possibility or a capability.

WINDA

GWO’s database of training records, allowing unique and digital verification of training.

WINDA ID

A unique identification code attributed to a course participant.

WINDA record

A record of training uploaded to a course participant’s WINDA ID. May in colloquial English be referred to as a person’s GWO training certificate or training validity Any non-conformity that affects the capability of the management system to achieve the intended results. If there is a significant doubt that effective process control is in place, or the staff, equipment or facilities will meet the specified requirements, this includes legal requirements. A number of minor non-conformities associated with the same requirement or issue could demonstrate a systemic failure and thus constitute a major non-conformity. Non-conformity that does not affect the capability of the management system to achieve the intended results. Option for training provider and auditor to carry out assessment of training delivery during a training session organised for this sole purpose. During the audit for mock training, the auditor shall be able to ask the training provider to demonstrate any of the theoretical and practical learning elements from the module as part of the audit, in line with the requirements for the man-day estimation table for practical training. This may be performed in the form of sampling. Elements should not be agreed in advance.

Major non-conformity

Minor non-conformity

Mock training

GLOBAL WIND ORGANISATION www.globalwindsafety.org

3 / 18

GWO Requirements for Certification Bodies

3. Change Log, Revision 10

GWO ExCo 28.03.22

21.03.22

Amendment Date

Approved by & date

10

Version

Description of changes

Version changed to 10 5.2.2, 5.2.3: Removed OSHAS 18001 7.2.2 becomes new 6.2.2: New requirements to achieve qualification as auditor no material change in content Auditors who wish to perform GWO audits must: 1) Successfully complete the GWO Auditor Qualification Training (AQT), which is designed as an entry qualification course for new auditors. 2) Complete a 3 steps qualification process, which requires that: a. The auditor has attended as observer a Stage 2 audit conducted by a GWO qualified auditor. b. The auditor has participated as team member in a full audit (Stage 1, Stage 2) led by a qualified GWO auditor. c. The auditor has led a full audit (Stage 1, Stage 2) under the supervision by a GWO qualified auditor. To document this, the Certification Body must use the template included in Annex 1 and send to the GWO Secretariat via info@globalwindorganisation.org. As an alternative, for new certification bodies (without GWO qualified auditors), the three-step qualification process can be achieved via joining an audit with a GWO Auditor Qualification Training (AQT) instructor. To pursue this option, please contact the GWO Secretariat via info@globalwindorganisation.org 6.2.5 New requirements to maintain the GWO auditor qualification: 1) Complete the GWO Auditor Development Training (ADT) within a 12-month interval since completion of the GWO Auditor Qualification Training (AQT). This requirement becomes effective April 1st. 2) Participate in at least 2 GWO audits within a 12-month interval (either leading the audit, being an audit team member or supervising an audit led by a new auditor). 6.2 multi-site offers have been replaced by Multi-settings offers. In addition to, changes in: 6.2.3: The training provider who wishes to offer training in a specific training setting must have obtained certification to do so for each of the modules the training provider wishes to deliver training in that setting. 6.2.4: In the case of multi-sites, the requirements 7.2.3 must be observed for each of the sites.

6.3 Estimate for man-day allocation for certification process, changes in: 6.3.2 For all initial certification audits, sampling is not allowed, and all modules and training setting must be assessed for each site.

GLOBAL WIND ORGANISATION www.globalwindsafety.org

4 / 18

GWO Requirements for Certification Bodies

6.3.3 For the surveillance audits, sampling per module is allowed, according to Table 1 (Sample allowance per module), but all modules must be witnessed in the 24 months cycle of certification. Sampling per training setting is also allowed, as per Table 2 (Sampling allowance per training setting). 6.3.4 For the surveillance audits in a multi-site certificate, 7.3.3 must be observed for each of the sites. If the sites share the same QMS system, the QMS must be audited at the main site location and be able to be verified by sampling at additional sites. 6.3.5 Table 3 gives a guidance of minimum auditor time estimated for the certification process 6.3.6 Table 4 gives a practical example of minimum auditor time estimated for the certification process according to Table 3 Table 2 (new) Table 3 (modified) Table 4 (new) Table 3 is now Table 5 6.4.14 New criteria for minimum number of course participants in any observed training: The minimum number of course participants in any part of the observed training (actual or mock) must comply with the following requirements: a) When the number of participants in any witnessed training is lower than the maximum ratio instructor: course participants in the standard, the instructor must conduct the training in a manner that demonstrates scalability depending on the number of participants. This means that the exercises and timings must be capable of being adjusted to minimum and maximum instructor/participant ratio with reaching the learning objectives in accordance with the taxonomy. A plan for this must be documented and must be verified by the auditor. b) If the standard requires a minimum number of participants for any of theory or practical elements this must be followed. In this case, if it is not possible to have regular registered course participants matching this minimum number, mock participants can be asked to join the course. 6.9.6 (new): Prior to being uploaded to WINDA, the audit report must go through a technical review by the certification body. This audit report must include name of the technical reviewer and the date the technical review was undertaken. Annex 1 (new): Template to document qualification of auditor Former Annex 1 (previous but one change log removed in line with GWO standards this is no longer included)

GLOBAL WIND ORGANISATION www.globalwindsafety.org

5 / 18

GWO Requirements for Certification Bodies

4. Introduction The Global Wind Organisation (GWO) is an association of wind turbine owners and manufacturers that was established in 2009. It has the mission statement of supporting an injury-free work environment in the wind industry through cooperation among its members in setting common industry best practice standards for health and safety-related training. GWO is a non-profit organisation, and all income is re-invested in support of the mission statement. Activities include scheme governance, development and maintenance of training standards, communication and various outreach initiatives, as well as general operations. Central to our governance is the global training records database, WINDA, which enables training partners, operators and individuals to verify training, and provides industry-wide transparency regarding the training status of personnel. This document constitutes version 10 of the Requirements for Certification Bodies. Version 10 has been created with input from hearing process of all stakeholders, recent governance issues, updates to GWO training guidance and WINDA database system. These were consolidated by a working group of selected stakeholders (auditors and training providers). Version 10 replaces all previous versions and becomes a mandatory requirement as of April 1st, 2022 to be applied by certification bodies to all audits, including surveillance audits, of GWO training providers, both new and existing. Until September 30th, 2022, version 9 remains valid. However, version 10 may be used at the discretion of the certification body, if so agreed with the training provider. Approved by Global Wind Organisation’s (GWO) Audit & Compliance Committee and Executive Committee, March 28th, 2022

GLOBAL WIND ORGANISATION www.globalwindsafety.org

6 / 18

GWO Requirements for Certification Bodies

5. Requirements for certification bodies 5.1 General requirements for certification bodies 5.1.1

The certification body must be accredited by a signatory of the IAF MLA

5.1.2

The certification body must be accredited to ISO/IEC 17021: Conformity Assessment - Requirements for bodies providing audit and certification of management systems, and/or accredited to ISO/IEC 17065: Conformity Assessment - Requirements for bodies certifying products, processes, and services. The certification may be considered either a Management System Certification or a Service Certification and must be carried out in accordance with the GWO Requirements for Training Providers and the GWO training standards Prior to performing an audit, the certification body must document conformity with the requirements in this document for the certification body itself, and the audit team members specifically. Upon approval, the certification body will be listed on the GWO website as a GWO-approved certification body Certifications bodies shall create a Certification Body User Profile in GWO’s WINDA platform. This profile shall include contact details, ISO accreditations, GWOs Auditor Qualification Training and Auditor Development Training certificates and connected training providers among other things specified in WINDA. Each Certification Body Profile will have unique WINDA ID. A Certification Body Profile must additionally include at least one Auditor User Profile GWO’s WINDA registration can be accessed through this link https://winda.globalwindsafety.org/register/ More information on audit reports is contained in our FAQ and associated guidance The requirement for certification bodies to register with WINDA commences from 6 September 2021. As a rolling process existing certificates remain valid during the two-year programme of change over Certification bodies shall be responsible for the maintenance of their WINDA profile and timely record keeping The qualifications of team members shall follow the general rules for accreditation regarding auditor qualifications and relevant sector codes A fully qualified and active ISO 9001/45001 lead auditor under ISO/IEC 17021 and/or ISO/IEC 17065 must conduct the audit of the quality management system of a training provider A fully qualified and active ISO 45001 lead auditor or similar must cover the audit of a training session Auditors who wish to perform GWO audits must: 1) successfully complete the GWO Auditor Qualification Training (AQT), which is designed as an entry qualification course for new auditors 2) complete a three-step qualification process, which requires that: a. the auditor has attended as observer a Stage 2 audit conducted by a GWO qualified auditor

5.1.3

5.1.4

5.1.5

5.1.6

5.1.7

5.2 Qualifications of audit team members for certifying a training provider 5.2.1

5.2.2

5.2.3

GLOBAL WIND ORGANISATION www.globalwindsafety.org

7 / 18

GWO Requirements for Certification Bodies

b. the auditor has participated as team member in a full audit (Stage 1, Stage 2) led by a qualified GWO auditor c. the auditor has led a full audit (Stage 1, Stage 2) under the supervision by a GWO qualified auditor Notes This requirement becomes effective 1 st April 2022. To document this, the certification body must use the template included in Annex 1 and send it to the GWO Secretariat via info@globalwindorganisation.org. The auditor must have an Auditor Profile on WINDA, created by the certification body, where their qualifications and details are recorded. They will have unique WINDA ID. As an alternative, for new certification bodies (without GWO qualified auditors), the three-step qualification process can be achieved via joining an audit with a GWO Auditor Qualification Training (AQT) instructor. To pursue this option, please contact the GWO Secretariat via info@globalwindorganisation.org

5.2.4

The following requirements must be observed in order to maintain the GWO auditor qualification: 1) Complete the GWO Auditor Development Training (ADT) within a 12-month interval since completion of the GWO Auditor Qualification Training (AQT). This requirement becomes effective 1 st April 2022 2) Participate in at least two GWO audits within a 12-month interval (either leading the audit, being an audit team member or supervising an audit led by a new auditor) Certificates provided to GWO from auditors that have not documented conformance will not be accepted In addition to its WINDA record the certification body shall keep records of the audit team, and of the audits they have participated in for, at least, the validity period of the certification plus three months GWO may withdraw the approval of an individual auditor or a certification body following an investigation and subsequent decision by the GWO Audit and Compliance Committee. This process will be instigated when GWO receives or uncovers evidence that the auditor or certification body does not follow the GWO Requirements for Certification Bodies. The final decision can be appealed by further submission to the GWO Audit and Compliance Committee GWO may commission a third-party audit when there are reasonable concerns as to the integrity of certificate or audit previously conducted by a certification body or auditor During an investigation by GWO, auditors and certification bodies must support GWO by providing relevant documentation to support the investigation Should the decision of the GWO Audit & Compliance Committee be to withdraw the approval for the certification body to conduct GWO audits, any required transfers of certificates will be done

5.2.5

5.3 Withdrawal of approval for certification bodies or individual auditors 5.3.1

5.3.2

5.3.3

5.3.4

GLOBAL WIND ORGANISATION www.globalwindsafety.org

8 / 18

GWO Requirements for Certification Bodies

according to IAF MD 2:2017 IAF, Mandatory Document for the Transfer of Accredited Certification of Management Systems

6. The certification process This section describes the whole two-year certification process, from request for proposal to obtaining a certificate and continuing with annual surveillance audits: 6.1 Request for certification 6.1.1 New training providers should contact a GWO approved auditor or certification body to discuss the training provider certification process and the audit process 6.1.2 Starting 6th September 2021 with a two-year transition period, the certification body should discuss and implement a programme for re-certification or extension of certification with their associated existing WINDA registered training providers to coincide with established audit cycles and other requirements

6.1.3

As part of the initial discussions, both parties must agree to the scope of certification against the GWO Requirements for Training Providers and the GWO training standards (training modules) and shall agree on which versions of these are used for certification. These will be recorded in WINDA and accessible to both parties Prior to initial audits of new training providers and re-certification audits of existing training providers, the certification body must inform GWO of the name and location of the training provider by sending an email to info@globalwindsafety.org

6.1.4

6.1.5 6.1.6

Initial audits of training providers must always be physical visits

The auditor must, at all times during the practical exercises be able to hear, see and fully participate in the training, either physically or via remote options

6.2 Multi-setting offers 6.2.1

GWO training can be conducted in the following specified settings: 1) fixed training facilities 2) mobile training facilities 3) on-site (field) training 4) digital learning

6.2.2

Each type of training setting and its specific requirements for audit and certification are detailed in the Requirements for Training Providers, Section 8: Equipment and Physical Resources, Training Site Settings (S8.2) The training provider who wishes to offer training in a specific training setting must have obtained certification to do so for each of the modules the training provider wishes to deliver training in that setting In the case of multi-sites, the requirements S6.2.3 must be observed for each of the sites

6.2.3

6.2.4

GLOBAL WIND ORGANISATION www.globalwindsafety.org

9 / 18

GWO Requirements for Certification Bodies

6.2.5

If different training providers use the same facility, each training provider must individually be certified to perform training in accordance with the Requirements for Training Providers

6.3

Estimate for man-day allocation for certification process

6.3.1

The auditor can determine that the actual time needed to conduct a proper audit as described by the requirement may differ depending on e.g. location, jurisdiction and complexity of the combined audit For all initial certification audits, sampling is not allowed, and all modules and training settings must be assessed for each site For the surveillance audits, sampling per module is allowed, according to Table 1 (Sample allowance per module), but all modules must be witnessed in the 24 months cycle of certification. Sampling per training setting is also allowed, as per Table 2 (Sampling allowance per training setting) For the surveillance audits in a multi-site certificate, section 6,2,3 must be observed for each of the sites. If the sites share the same QMS system, the QMS must be audited at the main site location and be able to be verified by sampling at additional sites Audits of GWO training providers are divided into a stage 1 and stage 2 audit as described below. GWO recommends the planning of sufficient time between stage 1 and stage 2 audits in order to properly implement corrective actions for identified areas of concern in stage 1 that may lead to non- conformities in stage 2 Stage 1 is a readiness review of the four processes described in the Requirements for Training Providers performed by the auditor to determine the preparedness of the training provider for Stage 2, and must cover as part of the quality management system: a) supporting processes (e.g. does QMS support described quality of documentation?) b) equipment and physical resources (e.g. does equipment and facilities at least match the described quality in the standard, and is it maintained to be safe?) c) instructor qualifications (e.g. is the instructor qualifications programme sufficient to ensure all instructors are sufficiently qualified?) d) training and assessment (e.g. do lesson plans and management instructions match the standard certified against?)

6.3.2

6.3.3

6.3.4

6.4 Certification audit 6.4.1

Stage 1 audit 6.4.2

6.4.3

Through dialogue with the training provider, stage 1 must: a) identify areas of concern, potentially leading to non-conformity b) review the allocation of resources for stage 2

6.4.4

Stage 1 can be repeated until it produces satisfactory results to proceed with stage 2

Stage 2 audit

GLOBAL WIND ORGANISATION www.globalwindsafety.org

10 / 18

GWO Requirements for Certification Bodies

6.4.5

The audit team shall provide an audit programme to the training provider based on the GWO Requirements for Training Providers prior to the audit

6.4.6 6.4.7

All sites and modules shall be covered in the initial audit

During the audit, the audit team shall meet with the training provider’s management and staff to discuss the details of the process and consider possible issues relating to the performance of the audit If the instructor team remains the same across multiple sites, the auditor can request that the instructors perform multiple practical exercises in order to witness more variety The audit team shall discuss any non-conformities, observations and opportunities for improvement if and when they are identified during the audit The auditor shall follow either an actual or a mock training session in each training module included in the scope Theoretical training can be conducted either by means of physical presence in a classroom or by online digital learning As part of the audit, the auditor must observe and assess an instructor under regular employment with the training provider delivering a training session to course participants Course participants attending the observed training must be sufficiently fit and capable to participate in the training and must hold any necessary pre-requisites required by the module The minimum number of course participants in any part of the observed training (actual or mock) must comply with the following requirements:

6.4.8

6.4.9

6.4.10

6.4.11

6.4.12

6.4.13

6.4.14

1) exercises and timings must be capable of being adjusted to minimum and maximum instructor/participant ratio with reaching the learning objectives in accordance with the taxonomy. A plan for this must be documented and must be verified by the auditor. For example, when the number of participants (for a single instructor) in any witnessed training is lower than the maximum ratio instructor: course participants in the standard, the instructor must conduct the training in a manner that demonstrates the ability to train at maximum capacity (depending on the number of participants) 2) if the standard requires a minimum number of participants for any of theory or practical elements this must be followed. In this case, if it is not possible to have regular registered course participants matching this minimum number, mock participants can be asked to join the course 6.4.15 During the training portion of the audit, the auditor must evaluate the instructor’s use of correct taxonomy as described in the relevant training standard module, as well as the instructor’s focus on learning transfer and the assessment of course participants. The evaluation of the instructor must include both theory and training as described in the standard 6.4.16 The duration of the training assessment is described in section 6.3 - Estimate for man-day allocation for certification process 6.4.17 The maximum timeframe between completion of the quality management systems section and the remaining audit sections is four weeks 6.4.18 Table 3 gives a guidance of minimum auditor time estimated for the certification process 6.4.19 Table 4 gives a practical example of minimum auditor time estimated for the certification process according to Table 3

GLOBAL WIND ORGANISATION www.globalwindsafety.org

11 / 18

GWO Requirements for Certification Bodies

AUDIT TYPE

Initial Certification

Surveillance (Initial)

Surveillance (Re- certification)

Extension of Scope

QMS

Sampling not allowed

Sampling allowed

Sampling allowed

Sampling allowed

Witnessing of Training

Sampling not allowed

Sampling allowed

Sampling allowed

Sampling not allowed

Table 1- Sampling allowance per module Note: All modules must be witnessed during a 24-month cycle of certification

TRAINING SETTING

Fixed Training Facility

Mobile Training Facility

Onsite Training

Digital Training

Sampling allowed

Sampling not allowed

Witnessing of Training

Table 2- Sampling allowance per training setting in the surveillance audits

GLOBAL WIND ORGANISATION www.globalwindsafety.org

12 / 18

GWO Requirements for Certification Bodies

Time allocation: 1 man-day per site Supporting processes

Stage 1

Quality Management System

Equipment and facilities Instructor qualifications Training and assessment Note: in the case of multi-sites, if the QMS is the same, sampling is allowed among sites

Time allocation: Initial certification

Time allocation: Surveillance

Stage 2

1 man-day Supporting processes

1 man-day Supporting processes

Quality Management System

Equipment and facilities Instructor qualifications Training and assessment Note: in the case of multi-site, if the QMS is the same, sampling is allowed among sites. Depends on number of modules and training settings in scope In the learning domain of knowledge: Variation in training delivery in all of the modules, or at least 1 hour (whichever is the shortest duration). In the learning domains of attitude and skills: Variation in training delivery in all of the modules, or at least 2 hours (whichever is the shortest duration). Note: in the case of multi-site, this applies separately to each site

Equipment and facilities Instructor qualifications Training and assessment Note: in the case of multi-site, if the QMS is the same, sampling is allowed among sites. Depends on number of modules and training settings in scope In the learning domain of knowledge: Variation in training delivery in all of the modules, or at least 1 hour (whichever is the shortest duration) A module which is delivered in any combination of the settings FTF, OT, MFT can be witnessed in 1 of them only. In the learning domains of attitude and skills: Variation in training delivery in all of the modules, or at least 2 hours per site (whichever is the shortest duration). A module which is delivered in any combination of the settings FTF, OT, MFT can be witnessed in 1 of them only.

Training Assessment (Observation by auditor)

Note: in the case of multi-site, this applies separately to each site

Table 3- Man-day allocation estimation table for Stage 1 and Stage 2

GLOBAL WIND ORGANISATION www.globalwindsafety.org

13 / 18

GWO Requirements for Certification Bodies

Time allocation:

Stage 1

1 man-day Note: in the case of multi-sites, if the QMS is the same, sampling is allowed among sites

Quality Management System

Time allocation: Initial certification 1 man-day Note: in the case of multi-sites, if the QMS is the same, sampling is allowed among sites

Time allocation: Surveillance

Stage 2

1 man-day Note: in the case of multi-sites, if the QMS is the same, sampling is allowed among sites At least 3h per module (5) = 15hr in the 2 years cycle of certification Sampling is allowed per training setting in the 2 years cycle of certification Total hours in the 2 years cycle of certification = 15hr Average hours per 1 year = 7.5hr Note: in the case of multi-site, this applies separately to each site

Quality Management System

At least 3 hours per module (5) = 15hr

Training Assessment (Observation by auditor)

This applies separately to each of the training settings (2)

Total hours = 30

Note: in the case of multi-site, this applies separately to each site

Table 4- Practical example for Man-day allocation according to table 3 Note. Audit scope: 5 modules offered in 2 different training settings (fixed training facility and onsite training)

6.5 Surveillance audit in the two-year certificate cycle 6.5.1

Surveillance audits must be conducted on an annual basis and no more than 12 (+/-2) months apart The date of the surveillance (initial) audit following initial certification shall not be more than 12 months from the last day of the stage 2 audit The purpose of the surveillance audits shall be to record whether the training provider’s certification is found to be renewed Surveillance audits shall be identical to the stage 2 audit; however, sampling is allowed for the witnessing of training, although no more than two years may pass between witnessing each module at each site After completion of a surveillance (initial) audit and a surveillance (re-certification) audit within a maximum of 24 months, a new certificate will be issued A training provider can be re-certified within two months before the expiration of the current valid certificate and maintain the original certification date. If a certificate has expired, the training provider must undergo an initial certification audit, with the option to proceed directly to stage 2

6.5.2

6.5.3

6.5.4

6.5.5

6.5.6

6.6 Extension of certificate 6.6.1

If an already certified training provider wants to be approved for additional training modules, this can be done in one of two ways: a) a witnessed audit of each of the new training modules on an extraordinary visit, or

GLOBAL WIND ORGANISATION www.globalwindsafety.org

14 / 18

GWO Requirements for Certification Bodies

b) a witnessed audit during the ordinary surveillance visit, where extra time is allocated If the training provider switches parts of the training in an already certified module to a digital delivery, the audit shall only focus on the ability to deliver digitally and on the measures in the QMS to support the connection between the digital and practical parts If an already certified training provider wants to expand the scope by adding a new training site, the site’s equipment and facilities must be audited and training according to the man-day estimate must be witnessed while using the equipment at the additional facility. If the QMS is already established in a certified site, the QMS portion can be covered in a surveillance audit of the existing site

6.6.2

6.6.3

6.7 Transfer between certification bodies 6.7.1

A certificate can be transferred from one certification body to another in the certificate life cycle in accordance with the current revision of IAF MD 2- “IAF Mandatory Document for the Transfer of Accredited Certification of Management Systems”. This may be done through GWO’s WINDA platform Both transferer and transferee certification bodies are required to adhere to point 6.9 “Requirements to inform GWO”

6.7.2

6.8 Remote auditing 6.8.1

Remote auditing must be conducted in accordance with IAF MD 4:2018- “IAF Mandatory Document for the Use of Information and Communication Technology (ICT) for Auditing/Assessment Purposes”

6.8.2

The scope for remote audits within GWO using digital tools covers: 1) stage 1 audits 2) surveillance (initial) audits

3) surveillance (re-certification) audits 4) extensions of scope for digital delivery

6.8.3

The option of remote auditing is only available in the case of on-site training or extension of scope (except digital delivery) for the QMS audit portion. The first audit conducted after a transfer of certificates must not be a remote audit Remote auditing is not allowed more than once in a two-year cycle of certification (two surveillance audits) For the remote witnessing of theoretical training, the auditor must witness the actions of instructors as well as of course participants. This requirement applies to both in person training and digitally delivered training. For the remote witnessing of practical training, at least two cameras must be used: one showing a general view to observe the actions of the trainer and engagement with the group, and the second one showing practical training at close distance to ensure that the lessons/elements are delivered correctly and in a safe manner. Issue of certificates, audit reports, and requirements to inform GWO when all agreed corrective actions have been completed and the training provider is found to be in compliance, the certification body shall issue a certificate of conformity including all of the information listed in 6.9.2

6.8.4 6.8.5

6.8.6

6.8.7

GLOBAL WIND ORGANISATION www.globalwindsafety.org

15 / 18

GWO Requirements for Certification Bodies

6.9 Issue of certificates, audit reports and requirements to inform GWO 6.9.1

Certificates of conformity shall be issued with a validity of two years for all training setting As a minimum, the certificate of conformity shall contain the following: a) training provider’s name (name of company) b) site of training facility (name and address) c) applicable GWO Standard training module title(s) and version numbering d) audited for fixed, mobile, digital or on-site training (if included in the scope, and from where the mobile or on-site training belongs in the case of a multi-site certificate) e) certification body name f) certification date and expiry date g) certification body’s own unique certificate number Certification bodies shall upload to GWOs WINDA desktop new certificates of conformity issued (for any of the concerned sites and of any changes to the certification status of an audited training provider) as soon as possible and no later than 10 working days. In particular, this includes: 1) new certificates 2) extension of certificates 3) re-certification 4) withdrawals and termination of certificates The “GWO Audit Report” must be used as audit report template. It can be downloaded from www.globalwindsafety.org. and is available on GWO’s WINDA platform Prior to being uploaded to WINDA, the audit report must go through a technical review by the certification body. This audit report must include name of the technical reviewer and the date the technical review was undertaken The certificate is uploaded to the corresponding audit record on WINDA as well as a copy of the audit report in English Following upload to WINDA, GWO will conduct a quality check in order to ensure the audit report includes all applicable requirements in terms of scope, content, correct man-day allocation or any other item of reference. At this point the audit report will be marked as ‘pending’. If the quality check reveals errors, deviation certification bodies will be alerted via WINDA and asked to address the query. In specific cases, GWO may require the certification body to re-conduct an audit if significant deviation from the applicable requirements is observed In case the GWO Audit and Compliance Committee decides to revoke the approval for a training provider following the results of an investigation, it is the certification body’s responsibility to remove the certificate

6.9.2

6.9.3

6.9.4

6.9.5

6.9.6

6.9.7

6.9.8

GLOBAL WIND ORGANISATION www.globalwindsafety.org

16 / 18

GWO Requirements for Certification Bodies

GWO QUALIFICATION FOR NEW AUDITORS

1. General Information

Name of Certification Body Name of Auditor

2. GWO Pre-qualification Requirements

AQT Completion Date WINDA ID

ISO 9001 Lead Auditor (Y/N) ISO 45001 Lead Auditor (Y/N)

3. GWO Qualification Requirements Audit 1 (Observer) Audit 2

Audit 3 (Lead Auditor, Under Supervision)

(Team Member)

Audit Date

Name of Lead Auditor (GWO Qualified) Name of Training Provider Participated in Stage 1 (Y/N) Participated in Stage 2 (Y/N) Attended Audit in Person (Y/N)

Note: For qualification purposes, a GWO Lead auditor is considered an auditor who has already received GWO qualification

GLOBAL WIND ORGANISATION www.globalwindsafety.org

17 / 18

Page 1 Page 2 Page 3 Page 4 Page 5 Page 6 Page 7 Page 8 Page 9 Page 10 Page 11 Page 12 Page 13 Page 14 Page 15 Page 16 Page 17 Page 18

Made with FlippingBook - professional solution for displaying marketing and sales documents online