GWO Requirements for Training Providers V9

REQUIREMENTS FOR TRAINING PROVIDERS

VERSION 9.1 MAY 2020

GWO REQUIREMENTS FOR TRAINING PROVIDERS Document number: G-TPR-09

Section 1 – Contents

Section 1 – Contents .......................................................................................2

Section 2 - List of Abbreviations ........................................................................3

Section 3 - Terms and definitions.......................................................................4

Section 4 – Change Log, Revision 9....................................................................5

Section 5 – Introduction...................................................................................7

Section 6 – The certification process ..................................................................8

Section 7 – Quality Management Systems and Supporting Processes .......................8

7.1 Organisation, roles and responsibilities ....................................................9

7.2 Documentation and Training records .......................................................9

7.3 Risk assessment, non-conformities and incident reporting......................... 10

Section 8 – Equipment and Physical resources ................................................... 11

8.1 General requirements for equipment and physical resources ..................... 11

8.2 Training Site Settings.......................................................................... 12

Fixed Training Facility............................................................................... 13

Mobile Training Facility ............................................................................. 13

Onsite Training (Field training)................................................................... 13

Digital learning........................................................................................ 14

Section 9 – Instructor Qualifications ................................................................. 16

Section 10 - Training and Assessment .............................................................. 18

10.1

General requirements of training........................................................ 18

10.2 Course participant prerequisites ......................................................... 19

10.3

Contact time and instructor delegate ratios.......................................... 20

10.4 Participant performance assessment ................................................... 20

ANNEX 1 – PERFORMANCE ASSESSMENT FORM ................................................. 21

ANNEX 2 – MEDICAL SELF-ASSESSMENT FORM ................................................. 22

ANNEX 3 - INCIDENT REPORTING AND ROOT CAUSE ANALYSIS ........................... 23

ANNEX 4 – INCIDENT REPORT TEMPLATES........................................................ 28

4.1 INITIAL INCIDENT REPORT TEMPLATE ................................................... 28

4.2 INCIDENT COMPLETE REPORT TEMPLE................................................... 29

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ANNEX 5 – VERSION HISTORY ........................................................................ 30

Section 2 - List of Abbreviations

GWO

Global Wind Organisation

ISO

International Standards Organisation

OSHA

Occupational Safety And Health Administration (USA)

UK HSE Health and Safety Executive (UK)

QMS

Quality Management System

PPE

Personal Protective Equipment

RCA

Root Cause Analysis

NCR

Non-Conformity Report

WTG

Wind Turbine Generator

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Section 3 - Terms and definitions

Terms

Definition

Shall 2

Indicates a requirement

Must

For clarity where the word must is used in requirements it shall have the same meaning as shall

Should

Indicates a recommendation

May

Indicates a permission

Can

Indicates a possibility or a capability.

Course Participant

A person attending a course. GWO has to date used the word delegate for course participants. This will be phased out in next versions of all standards. Course participant (or participant) shall have the same meaning as the word delegate when used. GWOs database of training records allowing unique and digital verification of training

WINDA

WINDA ID

A unique identification code attributed to a course participant

WINDA records

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

2 Ref : ISO 9001/2005

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Section 4 – Change Log, Revision 9

Amendment Date

12.05.2020

Approved by & date

ExCo, 01.05.2020

Version

9.1

Description of changes

Two new sections added Section 7.3: Risk assessment, non-conformities and incident reporting

- 7.3.4 Included a procedure for course participant appeals - 7.3.5 Included requirement for a course participant satisfaction program

Amendment Date

20.04.2020

Approved by & date

ExCo, 20.04.2020

Version

09

Description of changes

Version changed to 09 Format aligned with other GWO Documents. Including numbering of sections and paragraphs. Renamed document from “Criteria” to Requirements” Format aligned with other GWO Documents. Including numbering of sections and paragraphs. Requirements re-organised and several pages of content until now presented in training standard have been merged into TP requirements where relevant in sections 7, 8, 9 and 10. Corresponding and overlapping content in training standards will be removed in upcoming versions of the standards. Section 3 is new and includes Terms & Definitions Section 4 contains Change log – latest revision, historical revisions moved to Annex 1. Section 5 Introduction, includes merged content from previous section 4 and 5. Section 6: The certification process - References the Certification Body requirements and four processes for auditing - Content throughout requirement organized along the four processes. Section 7: QMS and supporting processes - Content organised in three sections instead of eight. - Org.roles and resp. = previous a)+b) + i) - Training records = previous c) + d) + e) - Risk, NCR and incidents reporting = f) + g)+ h) - Requirement for documented risk management - Requirements for training records management Section 8: Equipment and facilities - Various generic content previously referenced in training standards has been now included in this section. Standard specific requirements for equipment remains in standard. - Simplified description of training settings (fixed, mobile, onsite and digital) included in this section Section 9: Instructor Qualifications: - Various generic content previously referenced in training standards has been now included in this section. - Edited, merged redundant or unclear wording, replacing with sentences taken from training standards - Several section on instructor qualification requirements and programmes copied from training standards - Introduces alternative for instructors to regularly visit WTGs Section 10: Training and Assessment

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- Various generic content previously referenced in training standards has been now included in this section. Standard specific items such as specific instructor to course participant ratios remain in standards. - Sub-section created applying a logic of chronology (General requirements, participants pre- requisites, contact time and ratios during training, how to do performance assessment)

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Section 5 – Introduction

The Global Wind Organisation (GWO) is an association of wind turbine owners and manufacturers established in 2009 with 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, 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 training status of personnel. This document contains GWOs Requirements for Training Providers. The requirements must be met for obtaining approval as a GWO certified training provider with the right to offer training courses following a GWO Training Standard. The document at hand has been updated and approved by the GWO Audit & Compliance Committee and released on 22 nd April 2020 as version 9 of the requirements. Version 9 shall be considered the mandatory requirement as of 1 October, 2020 to be applied by certification bodies to all audits of GWO training providers, both new and existing. Version 9 may, at the request of the training provider, be used from the date of approval. For training providers with a current certificate, compliance must be demonstrated at the latest by the time of the first scheduled annual surveillance audit after 1 October 2020.

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Section 6 – The certification process

Training providers seeking certification to offer GWO training shall be audited to demonstrate compliance within the following four processes as detailed in:

Section 7 - Management systems and supporting processes

Section 8 – Equipment and physical resources

Section 9 – Instructor qualifications

Section 10 - Training and assessment

The certification process differs from a simple management systems audit in the attention to the delivery of training, taxonomy and learning transfer. To obtain and maintain approval as a GWO certified training provider, training provider organisations shall be subject to an audit process performed by an accredited certification body that fulfils the requirements of the “GWO – Requirements for the Certification Body” document and is listed as an approved certification body on the GWO website "www.globalwindsafety.org". The full process requires an initial audit followed by annual audits for surveillance and recertification as can be examined in the aforementioned document.

Section 7 – Quality Management Systems and Supporting Processes

The training provider must have a formally documented quality management system for assuring the quality, content and safety of training and assessment and compliance with the GWO requirements and standards. The training provider must have an explicit policy for implementing and keeping current with GWO Training Standard(s) and be signed by the legal duty holder. The policy must state which modules the training providers is certified to deliver. The quality management systems and policies shall as a minimum include the following: - Description of organisation and roles - Handling of training records - Risks assessment and mitigations, non-conformities and incident reporting

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7.1 Organisation, roles and responsibilities The training provider must:Have a clearly defined organisation with documented staff roles, responsibilities and authorities for the quality management, equipment and physical resources, instructor competencies and delivery (training and assessment) of the GWO Training Standard(s) courses or course modules. Ensure regular reviews by senior management of the training providers’ delivery of GWO Training Standard(s) courses and course modules and compliance with certification requirements and the policy and objectives. Ensure frequent internal audits are conducted by personnel with an auditing background and with no conflicting interest in the area(s) being audited, to ensure quality and objective evaluation of all system activities. Have documented procedures describing how to handle documents, records and procedures in relation to approval, review, identification of changes and revisions, access, etc.

7.2

Documentation and Training records Upon completion of training and within no more than 10 business days, the training provider must ensure the following records of training are uploaded into WINDA:

1) course participant WINDA ID

2) Applicable GWO Standard Training Module (course code)

3) Completion date of Training Module

4) Previous course valid until date (only applicable to refresher training modules)

In addition to the above, the training provider must keep matching records of:

1) course participant first name and last name as written in passport or other official documents

2) Name(s) of instructor(s) delivering course

3) Site of training conducted (location and country)

4) Course participant assessment form for the course delivered

5) If gap training has been delivered on base of merit, documentation of pre-existing qualification These records must be stored for at least two years and three months from completion date for training records that require a refresher training every 24

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months and minimum 5 years and 3 months for enduring training records that do not require a refresher training.

The maintenance, updating and backup of systems to keep these records must be carried out in accordance with international, national, regional and local legal regulation on data storage and IT systems security. Upon request from GWO or any of the members of GWO, the training provider shall be able to verify the training and competence records of any specific person attending a course and/or performing training of a course by name and nationality.

A course participant may attend a refresher course in the specific training module prior to the date of expiry on the current certificate or training records.

If a certificate or training record is expired, the course participant must attend the full initial training module(s) to obtain a new training record.

If a training record is refreshed within the last two months prior to expiry of the previous training, its new validity will begin from previous certificate’s valid until date in WINDA.

If a certificate or training record is refreshed more than two months before expiry, it will carry the training completion date as beginning of validity.

Training providers may upload a training record to WINDA based on training taking place during audit or pilot training provided a full module has been completed, and no major non-conformances raised during the audit. Records for such training may be uploaded until 10 days after certification has been approved by GWO Training providers may, in addition to the requirement of uploading a training record to WINDA, issue other additional proof of training, e.g. as paper certificate or plastic cards. If the training provider chooses to do so, this must include the course participant WINDA ID and name as written in the passport or other official documentation

7.3 Risk assessment, non-conformities and incident reporting

The training provider has the responsibility to safely deliver GWO training by ensuring that the facilities and equipment are safe, through the following;

An established procedure for risk assessment and risk management in particular with a view to ensure safe training delivery. This shall cover as a minimum training equipment and facilities, instructor qualification

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programmes, and instructor ’ s delivery of training for all sites (settings) and all modules certified to be delivered according to GWO.

A procedure describing how to handle non-conformities including customer complaints. Copies of recorded non-conformities including customer complaints received must be provided to GWO upon request.

A procedure for course participant appeals against assessment decisions. Copies of appeals must be provided to GWO upon request.

Ensuring a course participant satisfaction program with the delivered training is in place and that results are published on the training provider’s website . If training occurs in-house, the satisfaction program results must be published in a relevant and accessible place for course participants and internal procurers of training. Copies of the satisfaction program results must be provided to GWO upon request. A system for recording incidents (including near misses) during delivery of GWO training. The incident categories shall mirror Incident Report Guidelines and Templates found in Annex 3 & 4. The training provider must inform GWO of incidents within 24 hours if the incident is significant as defined in the Incident Report Guidelines, and 7 working days for all other incidents.

Section 8 – Equipment and Physical resources

The training provider must clearly demonstrate that there are adequate resources to ensure that the training and assessment can be consistently delivered in accordance with the GWO Training Standard(s) requirements.

8.1 General requirements for equipment and physical resources

Resource needs shall be identified and available for the delivery of training in accordance with the GWO training module being delivered.

The training provider has the responsibility to safely deliver GWO training by ensuring that the facilities and equipment are safe and functional, through the following;

1) The training area shall be clearly marked and free of distractions including mobile phone usage

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2) The full range of facilities and equipment relevant to the modules delivered shall be available during the training.

3) All equipment and facilities must adhere to the applicable local, regional, national and/or international legislation, standards and guidelines for facilities and equipment. 4) A documented maintenance schedule must be carried out based on frequency of equipment use, relevant risk assessments and other obligations as listed above. If the equipment and/or facilities belong to a third-party, the training provider must ensure a documented maintenance schedule as described above is followed for the equipment/facility.

5) The facilities shall be designed to enable each course participant to see, hear and fully participate in the taught subject matter.

6) The practical training facilities must incorporate as many identical or comparable elements to a real wind turbine working environment as possible.

7) Risk assessments shall be conducted and documented for all training facilities.

8) The training provider shall hold the required permits to operate the facilities.

8.2 Training Site Settings

GWO training can be conducted in the following specified settings:

a) Fixed training facilities

b) Mobile training facilities

c) Onsite training (field training)

d) Digital learning delivery

A training provider may operate several training settings at different locations. All of the above requirements apply to all training settings.

In the following, special provisions and requirements for each setting are explained.

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Fixed Training Facility

A training location is considered a Fixed Training Facility where a GWO certified training provider perform regularly planned training using known equipment and facilities located in a permanent location where the training provider ’ s risk management is supported by the permanent training environment. A separate WINDA profile is created for each Fixed Training Facility operated by a training provider. A training provider may have several Fixed Training Facilities provided these are all audited by a certification body. Special provisions apply for multi-sites as explained in the requirements for certification bodies.

Mobile Training Facility

A mobile unit designed to be transported and recreate a dedicated, controlled training environment at a new temporary location is considered a Mobile Training facility. A new risk assessment must be carried out and documented for each new temporary location prior to training delivery. This risk assessment must consider limitations of the mobile unit and describe mitigations.

The risk assessment and mitigations must be signed off by the at least one of the responsible instructors at each site before use.

The training provider shall register a dedicated profile for the Mobile Training Facility in WINDA citing the training provider ’ s permanent office address and shall use this WINDA profile for upload of training records from the Mobile Training Facility. A separate WINDA profile is created for each Mobile Training Facility. A training provider may have several Mobile Training Facilities provided these are all audited by a certification body. Special provisions apply for multi-site as explained in the requirements for certification bodies.

Onsite Training (Field training)

Onsite Training is when training takes place in the field or in a location that is not usually considered a dedicated, controlled training environment. This

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option may be a flexible solution for delivery of GWO training using locally available wind turbines, harbour sites or other appropriate facilities

Risk and quality management are key when training onsite (in the field), meaning GWO requirements will explicitly focus on these areas. To receive audit and approval to conduct GWO training in an onsite environment the training provider must: a) Already operate one or more GWO certified Fixed and/or Mobile Training Facilities, that can support ongoing instructor qualification in accordance with these requirements, and b) A risk assessment and control measures document must be created prior to each training delivery. This risk assessment must consider limitations of the location used for onsite (field) training and describe mitigations. The risk assessment must take into consideration local risk factors on the day of training including but not limited to weather and safe evacuation procedures. Further, it must testify that the equipment and facilities are the locations are safe and functional, as well as compliant with the requirements of the applicable training standard module. The document must carry the signature of at least two competent persons, usually one of the instructors and a person representing the legal owner of the onsite structure prior to training delivery. The Onsite Training set up must be audited once for every module the training provider wish to deliver in this setting. The Onsite Training set-up shall receive a full recertification every 12 months. In between audits, the training provider may deliver training at several sites. All records including the location specific risks assessments associated with each training delivery shall be kept and shall be reviewed by the auditor during recertification. If a training provider delivers training continuously at the same location for 12 months, the onsite certificate may be approved as a Fixed Training Facility as part of the recertification. If approved for onsite training (field training) the training provider shall use the WINDA profile associated with the Fixed Training Facility or Mobile Training Facility that is used as basis for supporting Onsite Training delivery

Digital learning

Digital learning technologies may be used by GWO already certified training providers.

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GWO defines digital learning as the use of computer and internet technologies to deliver learning. Digital learning technologies considered, include the following: a. Interactive e-lessons which include text, images, video, audio, animations and practice (i.e. questions and feedback). b. Online presentations made by an instructor which are broadcast in real time or recorded (i.e. podcasts). c. Webinars and virtual classrooms. d. Virtual and augmented reality. e. Blended learning with a mixture of digital and traditional learning. f. Other technologies that supports or enables delivery of training via digital means.

Learning objectives within the domain of knowledge may be taught and assessed using digital learning methods including those listed above.

Learning objectives within the domain of skill and attitude require that the course participants be able to demonstrate an ability in a scenario that is similar to a real work situation. In addition to safety aspects, demonstration by course participants involves body motor functions, spatial understanding and tactile elements. Special attention must be given to these aspects when applying digital learning to these domains. Training providers who employ digital learning technologies during GWO training must have specific procedures in place for the use of these technologies including describing how the applied technology limits and/or enhances opportunities for interaction with the learning material and the instructions. The procedures and descriptions must detail how these limitations are mitigated. Training providers who employ digital learning technologies must ensure adherence to the GWO training provider criteria and GWO training standard(s) being delivered using those technologies. Training providers who use digital learning technologies must have systems in place to enable the training provider to assess whether the course participant has reached the learning objective(s).

If the digital solution incorporates elements of recording the course participant, the course participant must be advised of this.

Any system employed for the delivery of digital learning solutions must,

a) incorporate a high level of realism and fidelity with a wind turbine environment to enable the course participant to use the knowledge and skills in real world work situations in accordance with the GWO training standard being delivered.

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b) incorporate a system whereby the training provider can verify the identity of delegates participating in the training and assess the individual course participant learning. Where course participants attend digital learning at a location other than the training center, the training provider must make reasonable efforts to ensure the safety of the course participants while participating in the training. Where course participants attend a practical training at a later date after completing elements of the training digitally, the training provider must verify that the persons who attends the training location is the same person who participated in the digital elements, and that the course participant completes all elements, including both digital and practical remaining elements within a total period of maximum 4 weeks.

Section 9 – Instructor Qualifications

9.1.1 Staffing and resources must follow national, regional and local legislation, applicable standards and regulation. 9.1.2 The instructor must have documented a minimum of 100 hours of vocational teaching experience prior to qualifying as GWO instructor 9.1.3 Instructors shall possess appropriate qualifications and experience to ensure that all training and supportive activities are carried out in accordance with current legislation e.g. First Aid Instructors need to be certified First Aid Instructors according to national legislation and/or recommended guidelines. 9.1.4 In order to qualify, the instructor shall receive appropriate instructor training and shall participate in a competence program for a specific training module. The instructor must within a period of 6 months engage in the following process in the applicable module before delivering the training independently:

“Participate ➔ Observe ➔ Co-deliver ➔ Deliver under observation”

Step 1 participate:

The trainee instructor must participate in the training as a course participant, must pass the training module and receive a training record in WINDA following successful completion of the training module.

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Step 2 Observe:

The trainee instructor must observe a full and relevant training module being delivered by the lead instructor and only as an observer. The task is to observe the delivery of training by lead instructor, observe interaction between lead instructor and course participants and observe how participants engage with the material.

Step 3 co-deliver:

The trainee instructor must deliver parts of the training under supervision of the lead instructor. Prior to the training, the trainee instructor and the lead instructor must plan together which parts of the training is delivered by who. The focus is on ensuring that the trainee instructor become confident in delivering all parts of the training.

Step 4 Deliver under observation:

The trainee instructor must now independently deliver the full training module under observation by a lead instructor. The lead instructor must assess the training delivery where the trainee instructor must demonstrate: a) the ability to train course participants according to different learning styles during theoretical, practical and group work sessions b) the ability to correctly assess course participant knowledge, skill and attitude by applying the taxonomy levels and terminology stated in the standard c) the ability to give constructive feedback and individual coaching d) knowledge of the wind energy industry and key safety aspects e) Familiarity of working conditions and layout of a wind turbine and the parts covered within the module taught f) the ability to plan and deliver training in accordance with GWO training standards by adhering to the following requirements in the standards such as:

-

training environment

- instructor to course participant ratio

- contact time for each course participant for all learning objectives and

elements.

All 4 steps can be repeated one by one until lead instructor has assessed that the trainee instructor has completed each step satisfactorily.

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9.1.5 Alternatively, the training provider may utilize a documented and proven train- the-trainer process that ensures the same trainer competences as long as this includes the same amount of contact hours with the material and teaching hours of the applicable module. 9.1.6 In addition to the above process, training staff must be included in a documented on-going familiarization program consisting of either: 1) Visits to onshore and/or offshore WTGs (tower, nacelle, hub) prior to instructing GWO training modules, to enable them to maintain and update skills related to the GWO modules they instruct. 2) Alternative ways of ensuring familiarization with the wind turbine working environment and updated skills related to the GWO modules they instruct. 9.1.7 To maintain qualification, the instructor must deliver the course regularly. If more than 12 months passes without delivering the applicable training, the instructor must re-qualify according to the process above. 9.1.8 Through a documented process, the instructor’s competencies must, at least once every 12 months, be assessed by another GWO instructor while delivering at least 1 hour theory and at least 2 hours practical training. 9.1.9 The instructors must comply with the requirements and learning structures of the specific training standard and the GWO code of conduct available on globalwindsafety.org

Section 10 - Training and Assessment

10.1

General requirements of training

10.1.1

The GWO training standards set out minimum requirements.

10.1.2

Where national or local legislation sets additional requirements for training content, the training provider shall incorporate these identified requirements in the training.

10.1.3

Where national or local legislation prohibits delivery of certain elements then the training provider shall not deliver those elements.

10.1.4

Provided the minimum requirements of the GWO module are met the training provider may incorporate delivery of other similar certified training.

10.1.5

All exercises shall be designed and delivered to meet the learning objectives of the GWO modules being taught.

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10.1.6

The modules, learning objectives, lessons and elements may be delivered in the order that fits best for the specific training situation, as long as the total duration is not reduced, and practical elements are not reduced in length. Theoretical elements should be delivered during the practical exercises when feasible. The training provider shall ensure detailed and updated lesson/exercise plans clearly referenced against the latest versions of the relevant module (including learning objectives, performance assessment, instructor/course participant ratios, resources to be used, time allocation, location of training, staff roles etc).

10.1.7

10.1.8

All training shall be conducted safely and at least one person with first aid qualifications shall be present during all practical training.

10.1.9

Practical exercises shall not place undue physical or mental demands on the course participant beyond that which is required to meet the learning objectives of the GWO modules being taught.

10.2

Course participant prerequisites

The training provider must ensure that:

10.2.1

Any course participant attending GWO training shall meet the GWO prerequisites of the specific module as well as national legal prerequisites of the GWO module(s) they are attending.

10.2.2

The course participant shall have created a personal profile in WINDA and have provided their WINDA ID prior to completing the GWO training.

10.2.3

The course participants shall be medically fit, appear well-rested and capable of fully participating showing no signs of fatigue, substance abuse or sickness. If there is any doubt regarding the medical fitness or ability to fully participate safely of any course participant, the training provider shall stop training the course participant and refer to th e course participant’s immediate manager or seek a physician’s advice in so far as this is permitted by local legislation. Training providers shall have a procedure that inform the course participants of the physical demands of the training and require course participants prior to attending to sign a statement testifying to their medical fitness. Annex 2 contains an example of a Medical Self-Assessment Form. This may be used if no other equivalent procedure is in place.

10.2.4

10.2.5

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10.2.6

When attending refresher training, the course participants must do so before the expiry of the previous training record validity period.

10.3 Contact time and instructor delegate ratios

10.3.1

The training provider must not exceed the instructor to course participant ratio shown in each GWO training module.

10.3.2

The training provider must ensure that sufficient time is allowed for course participants with prior experience to share their experiences related to the modules of the training standard in a way that is constructive for the entire class.

10.3.3

The total training day must not exceed 10 hours per day including meals and breaks and travel between training sites.

10.3.4

Total training direct contact time must not exceed 8 hours per day. Contact time includes delivery of course lesson contents, practical exercises and activities directly related to these.

10.4 Participant performance assessment The performance of course participants shall be assessed according to the learning outcomes by means of direct observation and oral and/or written questions, where appropriate.

10.4.2

The instructor shall document performance assessment of each course participant and shall throughout the course use this to give feedback in guiding the participant to successful learning as well as keeping track of non-conformities in regard to safety, competency, or attitude. The performance assessment shall be used as documentary evidence of successful training taking place, and support upload of records of training into WINDA.

10.4.3

10.4.4

In case the course participant does not meet the stated learning objectives, the training provider shall have a documented procedure enabling appeal.

10.4.5

An example of a course participant Performance Assessment Form is provided in annex 1. The training provider may adapt the Form to other media.

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ANNEX 1 – PERFORMANCE ASSESSMENT FORM

Course participants full name as in passport

WINDA ID

Course module

Date of completion

Scenario Organisation

Violation of Assessment Measures

0-2 passed

Instructor Remarks

3 failed

Aware of personal and group safety at all times Organises and utilises correct equipment for given scenario Organises individuals and groups as required Scenario Management Establishes and maintains control of the exercise scenario at all times Fully participates in the exercise scenario Follows instructions when required Demonstrates correct and safe Manual Handling in all exercises Knowledge and Understanding Applies subject knowledge correctly in given scenario Demonstrates understanding of subject

PASS:

FAIL:

Total Marks:

0-9 Pass 10-27 Fail

Instructor Name (in CAPITAL letters)

Instructor Signature

Training provider

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ANNEX 2 – MEDICAL SELF-ASSESSMENT FORM

YOUR PERSONAL HEALTH IS YOUR RESPONSIBILITY.

I hereby confirm that I have read and understood the listed risks and potentially life- threatening medical conditions and that I am physically and medically fit to participate in GWO Training. I hereby confirm that there is no factor that will inhibit or affect my participation in GWO Training. I agree to follow all instructions from the appointed Instructor for the duration of the GWO training. Should there be any doubt regarding my medical fitness, the training provider will stop the training and seek a physician’s advice.

Name as in passport

Delegate WINDA ID

Course module

Signature and date

The following conditions could pose a risk, when you participate in GWO training. Alert your training provider if you suffer from any of the following:

• Asthma or other respiratory disorders • Epilepsy, blackouts or other fits • Angina or other heart complaints • Vertigo or inner ear problems (difficulty with balance) • Claustrophobia/Acrophobia (fear of enclosed area/height) • Blood pressure disorder • Diabetes • Pacemaker or implanted defibrillator • Arthritis, osteoarthritis or other muscular/ skeletal disorders affecting mobility • Known allergies (E.g. bee, wasps or spider stings / bites) • Recent surgery • Any other medical condition or medication dependency that could affect climbing or physical impact of climbing

Note:

This form is an example of a medical self assessment form. The training provider must modify this form and the medical conditions listed therein to satisfy legislation and requirements applicable to the geographic location of the training centre.

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ANNEX 3 - INCIDENT REPORTING AND ROOT CAUSE ANALYSIS

1. Scope and objectives

Incidents during training as defined in this annex shall be reported to GWO within the timelines stated. No references to personal data shall be included in the incident description. Should GWO share the incident with other stakeholders, no references will be made in regards to the training provider sharing the incident

This instruction applies to all GWO certified training providers in terms of reporting, investigating and mitigating any event defined by GWO as “Incident or Significant incident”

2. Definitions

Incident:

An undesired, unplanned or unwanted event that has caused injury to any person participating in GWO certified training. This also includes first aid cases. Medical attention that is usually administered immediately after the injury occurs and at the location where it occurred. It often consists of a one- time, short-term treatment and requires little technology or training to administer. First aid can include cleaning minor cuts, scrapes, or scratches; treating a minor burn; applying bandages and dressings; the use of non-prescription medicine; ; and drinking fluids to relieve heat stress An undesired, unplanned or unwanted event that has caused serious injury to any person on a training site participating in GWO certified training As a minimum, the following will be considered as a significant incident:

First aid:

Significant Incident:

1) Fractures, other than to fingers, thumbs and toes:

Bone fractures diagnosed or confirmed by a doctor, include a break, crack or chip. In some cases, there may be no definitive evidence of a fracture (e.g. if an X-ray is not taken), but the

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injury will still be deemed as serious if a doctor considers it is likely that there is a fracture. Self- diagnosed ‘suspected fractures’ are not reportable.

2) Amputation of an arm, hand, finger, thumb, leg, foot or toe Amputation includes both a traumatic amputation injury at the time of an accident, and surgical

amputation following an accident, as a consequence of the injuries sustained.

3) Any injury likely to lead to permanent loss of sight or reduction in sight in one or both eyes Any blinding and injuries causing reduction in sight are considered as serious when a doctor diagnoses that the effects are likely to be permanent.

4) Any crush injury to the head or torso, causing damage to the brain or internal organs

Injuries to the brain or internal organs in the chest or abdomen when caused by crushing as result of an accident.

5) Any burn injury (including scalding) Which:

a) covers more than 10% of the whole body’s total surface area or b) causes significant damage to the eyes, respiratory system or other vital organs Burns which meet the above criteria are considered as serious, irrespective of the nature of the agent involved, and so include burns caused by direct heat, chemical burns and radiological burns. Where the eyes, respiratory system or other vital organs are significantly harmed as a consequence of a burn, this is a serious injury irrespective of the surface area covered by that burn. Damage caused by smoke inhalation is not included in this definition.

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6) Any degree of scalping requiring hospital treatment

Scalping is the traumatic separation or peeling of the skin from the head due to an accident, e.g. hair becoming entangled in machinery. Lacerations, where the skin is not separated from the head, are not included, nor are surgical procedures where skin removal is deliberate. 7) Any loss of consciousness caused by head injury or asphyxia Loss of consciousness means that the injured person enters a state where there is a lack of response, either vocal or physical, to people trying to communicate with them. The length of time a person remains unconscious is not significant in terms of whether an injury is considered as serious

8) Any other injury which: a) Includes heat-induced illness or b) requires resuscitation or admittance to hospital for more than 24 hours

Significant Near Miss Incident:

An undesired, unplanned or unwanted event that potentially could have caused serious injury to a person on a training site and participating in GWO certified training.

Incident Investigation:

Incident investigations must focus on identifying and correcting causes of a problem and not the symptom of the problem i.e. finding fault or blame on individuals and thus demonstrate commitment to a safe training facility.

An Incident Investigation must be a structured and standardized approach to identify root causes contained in an incident and to deliver Corrective Actions for removing or reducing likelihood and

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severity of future similar incidents. Incident Investigation starts when the Incident occurs and ends when Corrective Actions has been established and the implementation deadline has been set.

Causal Factor:

Human mistake or equipment failure that if corrected, could have prevented the Incident from occurring or would have significantly mitigated its consequences.

Root Cause Analysis:

Analytical review in a structured environment of conditions and events leading to an Incident. An Incident can and usually have multiple root causes.

Root Cause:

The absence of best practice or the failure to apply knowledge that would have prevented the problem or mitigated the consequence(s).

3. Instructions

The following requirements apply when reporting incidents:

4. Incident and significant near miss incident

Any incident or significant near miss incident must be reported to GWO at the email address incident@globalwindsafety.org with as a minimum the information stated in the initial report example within 7 days of occurrence. An example of the initial report with the minimum level of information needed is attached in annex 4.1.

5. Significant Incident

Any significant incident must be notified to GWO at the email address incident@globalwindsafety.org with an initial report within 24 hours of occurrence. Any significant incident shall lead to an immediate stop of training delivery for that module, including any training planned for the following days. Should the immediate cause of the incident affect not only the module in question but other modules as well, all GWO training shall be put on hold. Training cannot be resumed until written confirmation has been provided by GWO on this matter.

A complete report must be submitted to GWO within 7 days of the incident.

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An example of the complete report with the minimum level of information needed is attached in annex 4.2.

GWO has the right to review the complete report within 10 business days after receiving the report and request any further information which is found to be relevant. The review is a qualitative assessment of the investigation findings, root cause analysis and corrective actions.

6. References and recommended guidance

List of references

Reference

Link

OSHA, recordkeeping criteria

https://www.osha.gov/recordkeeping/

HSE, Riddor

https://www.hse.gov.uk/riddor/

List of recommended guidance on incident investigation and root cause analysis

Recommended guidance OSHA incident investigation CCOSH incident investigation HSE guidance on investigating accidents and incidents

Link

https://www.osha.gov/dcsp/products/topics/incidentinvestigation /

https://www.ccohs.ca/oshanswers/hsprograms/investig.html

https://www.hse.gov.uk/managing/delivering/check/investigating -accidents-incidents.htm

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