Requirements Certification V13

Training systems

Requirements for Certification

V13

Publication date: 4th December 2023

Training systems

Requirements for Certification / V13 2023-12-04

CONTENTS

1. LIST OF ABBREVIATIONS .................................................................................................................................3

2. TERMS AND DEFINITIONS...............................................................................................................................3

3. CHANGE LOG – REVISION 13 .........................................................................................................................5

4. INTRODUCTION ...............................................................................................................................................5

5. REQUIREMENTS FOR CERTIFICATION BODIES .............................................................................................6

5.1 5.2 5.3

General Requirements for Certification Bodies

6 6 8

Qualifications of Audit Team Members for Certifying a Training Provider Withdrawal of Approval of Certification Bodies or Individual Auditors

6. THE CERTIFICATION PROCESS .......................................................................................................................8

6.1 6.2 6.3 6.4 6.5 6.6 6.7 6.8 6.9

Request for Certification

8 9 9

Multi-Setting Offers Initial Certification

Surveillance (and Surveillance Re-certification)

11 12 13 14 14 15

Extension of Scope

Estimate for Man-Day Allocation for Certification Process

Transfer Between Certification Bodies

Remote Auditing

Issue of Certificates, Audit Reports and Requirements to Inform GWO

7. MULTI-SITE CERTIFICATION ..........................................................................................................................16

7.1

Eligibility of a Multi-Site Training Provider for Certification

16 17

7.2 Methodology for Auditing a Multi-Site Training Provider Using Site Sampling: Initial Certification

7.3 Methodology for Auditing a Multi-Site Training Provider Using Site Sampling: Surveillance (and Surveillance Re-certification) 18 7.4 Methodology for Auditing a Multi-Site Training Provider Using Site Sampling: Extension of Sites 20 7.5 Methodology for Auditing a Multi-Site Training Provider Using Site Sampling: Extension of Scope 21 7.6 Qualification of Internal Auditors 21 7.7 The Internal Audit Process 22 7.8 Multi-Site Training Provider Certificates 23

ANNEX 1 - GWO QUALIFICATION FOR NEW AUDITORS ........................................................................................25

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1. LIST OF ABBREVIATIONS

GWO

Global Wind Organisation

HSE

Health and Safety Executive (UK)

ISO

International Standards Organisation

NCR

Non-Conformity Report

OSHA

Occupational Safety and Health Administration (USA)

PPE

Personal Protective Equipment

QMS

Quality Management System

RCA

Root Cause Analysis

WTG

Wind Turbine Generator

2. TERMS AND DEFINITIONS

Term

Definition

Can

Indicates a possibility or a capability.

Central Function

The function that is responsible for and centrally controls the management system. The central function is where operational control and authority from the top management of the organisation is exerted over every site, but there is no requirement for the central function to be located at a single site.

Central Site A single site in which the central function of a training provider is located (if this is the case).

External Auditor

An auditor who conducts audits on behalf of the certification body which owns the certificate for the multi-site training provider.

Internal Auditor

An auditor who conducts audits on behalf of a multisite training providers.

Major Non- conformity

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.

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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.

May

Indicates a permission.

Minor Non- conformity

Non-conformity that does not affect the capability of the management system to achieve the intended results.

Mock training

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.

Must

For clarity where the word ‘must’ is used in this standard it shall have the same meaning as ‘shall’.

Non- conformity

An organisation’s non-fulfilment of a requirement.

Shall

Verbal form used to indicate requirements strictly to be followed in order to conform to this standard and from which no deviation is permitted.

Should

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.

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.

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3. CHANGE LOG – REVISION 13

Amendment date

Version

Approved by & date

19 th December, 2023

GWO BoD 9 th Nov, 2023

Description of changes

Version changed to V13

•

• S7.7.10 is now “The GWO Audit Report” must be used as the internal audit report template. It can be downloaded from www.globalwindsafety.org/certificationbodies/certification-body-criteria 6.2.6 • S5.2.4 Note, added: Auditors can conduct stage 2 audits once steps ii. and iii. have been completed. Compliance with step i. is mandatory before an auditor can conduct a stage 1 audit • S5.2.5 added: Auditor Development Training may be attended up to 2 month prior to expiry and will maintain the original certification date • S6.5.1 is now “Extension of scope audits of training providers must always be physical visits, and remote auditing is only available for the QMS audit portion or when auditing the IQT and IQTX modules • S6.5.5 added: The Instructor Qualification Training Module and the Instructor Qualification Crossover Training Module must be audited together. The audit shall focus on validating the lesson plans for the modules and the qualification of the instructors. A guidance of the required time for this audit would be three hours 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 GWO standards and modules, 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 13 of the Requirements for Certification. Version 13 has been created with input from stakeholders, recent governance issues and WINDA database system. These were consolidated by a working group of selected stakeholders (auditors and training providers)

Version 13 replaces all previous versions and becomes a comes into force as of December 4th, 2023.

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Until 4 th May 2024, version 12 remains valid. However, version 13 may be used at the discretion of the certification body from the date of approval, if so agreed with the training provider

Approved by Global Wind Organisation’s (GWO) Board of Directors, 9 th November 2023

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 to ISO/IEC 17021: Conformity Assessment Requirements for bodies providing audit and certification of management systems, and/or accredited by a signatory of the IAF MLA to ISO/IEC 17065: Conformity Assessment - Requirements for Bodies Certifying Products, Processes, and Services. The certification must be carried out in accordance with the GWO Requirements for Training and the GWO standards

5.1.2 In the case that the certification body is accredited to ISO/IEC 17021, it must also be accredited to ISO 9001 and/or ISO 45001

5.1.3 All accreditations must be within relevant sector codes subject to review by GWO

5.1.4 Prior to performing an audit, the certification body must document conformity with the requirements in this document, of the certification body itself (S 5.1.1, 5.1.2, 5.1.3), and the audit team members specifically. Upon approval, the certification body will be listed on the GWO website as a GWO-approved certification body 5.1.5 Certification bodies shall create a Certification Body User Profile in GWO’s WINDA platform. This profile shall include contact details, ISO accreditations, GWO’s 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

5.1.6 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

5.1.7 The requirement for certification bodies to register with WINDA commenced on 6 September 2021. As a rolling process existing certificates remain valid during the two-year programme of change over

5.1.8 Certification bodies shall be responsible for the maintenance of their WINDA profile and timely record keeping

5.2 Qualifications of Audit Team Members for Certifying a Training Provider

5.2.1 The qualifications of team members shall follow the general rules for accreditation regarding auditor qualifications and relevant sector codes.

5.2.2 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

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5.2.3 A fully qualified and active ISO 45001 lead auditor or similar must cover the audit of a training session

5.2.4 Auditors who wish to perform GWO audits must:

a. successfully complete the GWO Auditor Qualification Training (AQT), which is designed as an entry qualification course for new auditors

b. complete a three-step qualification process, which requires that:

b.i the auditor has attended as an observer a Stage 1 audit conducted by a GWO qualified auditor. As an alternative, the auditor shall be supervised by a GWO qualified auditor during the first Stage 1 audit which is led by the auditor in training b.ii the auditor in training has either observed or participated (as a team member) in a Stage 2 audit led by a GWO qualified auditor. This can be either initial certification, surveillance, or extension of scope b.iii the auditor in training has led a Stage 2 audit under the supervision by a GWO qualified auditor. This can be either initial certification, surveillance or extension of scope, and must be a physical audit To document this, the certification body must use the GWO Qualification for New Auditor (template included as Annex 1) to register the auditor profile in WINDA. The auditor profile will not be accepted unless the GWO Qualification for New Auditor form is completed with details of the audits

Note

Compliance with step b.i is required before an auditor can conduct a Stage 1 audit

Auditors can conduct Stage 2 audits once steps b.ii and b.iii have been completed

The auditor must have an Auditor Profile on WINDA, created by the certification body, where qualifications and details are recorded. They will have unique WINDA ID

For new certification bodies (without GWO qualified auditors), a qualification process conducted via an audit (under the supervision of a GWO Auditor Qualification Training (AQT) instructor) is recommended. To pursue this option, please contact the GWO Secretariat via info@globalwindorganisation.org.

5.2.5 The following requirements must be observed in order to maintain the GWO auditor qualification:

a. complete the GWO Auditor Development Training (ADT) within a 12-month interval from completion of the GWO Auditor Qualification Training (AQT)

b. 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 an auditor in training)

Auditor Development Training can be attended up to 2 months prior to expiry and will maintain the original certification date

Note

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GWO will not accept certification body certificates based on audits from auditors who have not documented their conformance with auditor qualification

5.2.6 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

5.3 Withdrawal of Approval of Certification Bodies or Individual Auditors 5.3.1 GWO may withdraw the approval of an individual auditor or a certification body following an investigation. 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. The final decision may be appealed by further submission to the GWO Audit and Compliance Committee 5.3.2 In cases where the GWO quality assessment process identifies recurrent and significant errors in the audit reports, (indicating a lack of understanding of the GWO Requirements by the auditor) auditor approval may be withdrawn

5.3.3 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

5.3.4 During an investigation by GWO, auditors and certification bodies must support GWO by providing relevant documentation

5.3.5 Should GWO´s decision be to withdraw the approval for the certification body to conduct GWO audits, any required transfers of certificates shall be done according to “IAF MD 2:2017, 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 certification body to discuss the training provider certification process and the audit process

6.1.2 All certification bodies shall have implemented 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 and GWO’s standards and modules. They shall agree on which versions of these shall be used for certification. These shall be recorded in WINDA and accessible to both parties

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6.1.4 Prior to initial certification 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 6.1.5 If the training provider is certified for a specific GWO standard or module and a new version is released, additional certification is not required, and verification that the changes have been addressed in the lesson plan will be conducted in the next surveillance audit

6.2 Multi-Setting Offers

6.2.1 GWO training can be conducted in the following specified settings:

fixed training facilities

mobile training facilities

on-site (field) training

digital learning

6.2.2 Each type of training setting is detailed in the Requirements for Training, Section 7: Equipment and Physical Resources, Training Site Settings (S7.2)

6.2.3 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

6.2.4 When there is a change of location of a fixed training facility, training cannot be resumed until the new location is listed in the certificate. An extraordinary audit must be conducted to verify that the appropriate physical equipment is in place and that risks are adequately managed. If the GWO standards, modules and settings remain the same, no additional witnessing of training is required 6.3 Initial Certification 6.3.1 Initial certification 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

6.3.2 Initial certification audits of training providers must always be physical visits, at least for the witnessing of training in the Stage 2 audit

Stage 1 audit

6.3.3 Stage 1 is a readiness review of the four processes described (below) taken from the Requirements for Training (Sections 6, 7, 8, & 9). This is 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?) (Section 6)

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b. equipment and physical resources (e.g. does equipment and facilities at least match the described in the GWO standard or module and is it maintained to be safe?) (Section 7)

c. instructor qualifications (e.g. is the instructor qualifications programme sufficient to ensure all instructors are sufficiently qualified?) (Section 8)

d. training and assessment (e.g. do lesson plans and management instructions match the GWO standard or module to be certified against?) (Section 9)

6.3.4 Through dialogue with the training provider, Stage 1 must:

a. identify areas of concern, potentially leading to non-conformity

review the allocation of resources for Stage 2

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

Stage 2 audit

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

6.3.7 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

6.3.8 The audit team shall discuss any non-conformities, observations and opportunities for improvement if, and when, they are identified during the audit

6.3.9 Training providers who wish to offer training in a specific training setting must obtain certification for each of the GWO standards or modules the training provider wishes to deliver in that setting

6.3.10 If a specific GWO standard or module is to be taught in different settings, witnessing of training is required only in one of the settings if the lesson plan and the training materials are common in the different settings. However, the audit will verify that the physical equipment required by the GWO standard or module is in place, and that risks which are specific for each of the settings have been assessed

6.3.11 The maximum timeframe between completion of the audit against section 6, 7, 8 and 9 in the Requirements for Training is four weeks, except for multi-site certification

6.3.12 The auditor shall follow either an actual or a mock training session in each GWO standard and module included in the audit scope

6.3.13 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

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

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6.3.15 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 GWO standard or module, as per sub- sections 9.2.1 and 9.2.3 in the Requirements for Training

6.3.16 The number of course participants in any part of the observed training (actual or mock) must comply with the following requirements:

a. exercises and timings must be capable of being adjusted to minimum and maximum instructor/participant ratio while achieving the learning objectives in accordance with the GWO Taxonomy Framework. A plan for this must be documented and must be verified by the auditor. For example, when the participant number in any witnessed training is below the maximum instructor: participants ratio in the standard (for a single instructor), the instructor must conduct the training in a manner that demonstrates the ability to train at the maximum instructor: participants ratio b. any minimum number of participants for any of theory or practical elements. If it is not possible to have regular registered course participants matching this minimum number, mock participants can be asked to join the course 6.3.17 During the witnessing of training portion of the audit, the auditor must evaluate the instructor’s use of correct taxonomy as described in the relevant GWO standard or module, as well as the instructor’s focus on learning transfer and the performance assessment of course participants. The evaluation of the instructor must include both theory and training as described in the GWO standard or module

6.3.18 The duration of the training assessment is described in section 6.6 - Estimate for Man-day Allocation for Certification Process

6.3.19 Specific requirements for multi-site certification are detailed in sub-section 7.2

6.4 Surveillance (and Surveillance Re-certification)

6.4.1 Surveillance audits must be conducted on an annual basis and no more than 12 (+/- 2 months) apart

6.4.2 The end date of the first surveillance audit, following initial certification, shall not be more than 12 months after the ‘valid from’ date of the certificate

6.4.3 The purpose of the surveillance audits shall be to record whether the training provider’s certification is in compliance and may continue

6.4.4 Surveillance audits shall be identical to the Stage 2 audits; however, sampling per module is allowed for the witnessing of training, although no more than two years may pass between witnessing each GWO standard and module

6.4.5 After completion of a surveillance (initial) audit and a surveillance (re-certification) audit within a maximum of 24 months, a new certificate shall be issued

6.4.6 Training providers can be re-certified in advance (within two months) of the expiration of a 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

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6.4.7 The duration of the training assessment is described in section 6.6 - Estimate for Man-day Allocation for Certification Process

6.4.8 Specific requirements for multi-site certification are detailed in sub-section 7.3

6.5 Extension of Scope

6.5.1 Extension of scope audits of training providers must always be physical visits, and remote auditing is only available for the QMS audit portion or when auditing the IQT and IQTX modules.

6.5.2 If a training provider with an existing certification wishes to be approved for additional scope (new GWO standards, modules or training settings), this can be done in one of two ways::

on an extraordinary visit, or

b. during the ordinary surveillance visit, where extra time is allocated

6.5.3 If the training provider wishes to deliver parts of the training in an already certified GWO standard or module to a digital delivery (blended training), 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 training delivery

6.5.4 In the case of the BSTR-P standard (which can only be delivered digitally) the audit shall focus on validating the lesson plan for the standard and the ability to deliver digitally

6.5.5 The Instructor Qualification Training Module and the Instructor Qualification Crossover Training Module must be audited together. The audit shall focus on validating the lesson plans for the modules and the qualification of the instructors. A guidance of the required time for this audit would be three hours 6.5.6 If an already certified training provider wants to extend 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 site. If the QMS is already established at a certified site, the QMS portion can be covered in a surveillance audit of the existing site

6.5.7 Specific requirements for multi-site certification are detailed in sub-sections 7.4 and 7.5

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6.6 Estimate for Man-Day Allocation for Certification Process

6.6.1 The auditor can determine that the actual time needed to conduct a proper audit may differ depending on e.g., location, applicable legislation, and complexity of the combined audit

Stage 1

Time Allocation

1 man-day Supporting processes Equipment and facilities Instructor qualifications Training assessment

Quality Management System

Stage 2

Time Allocation: Initial Certification

Time Allocation: Surveillance

1 man-day Supporting processes Equipment and facilities Instructor qualifications Training and assessment

Quality Management System

Depends on number of modules and training settings in scope In the learning domain of knowledge: Variation in training delivery in all the GWO standards and 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 the GWO standards and modules, or at least 2 hours (whichever is the shortest duration). A GWO standard or module which is delivered in various settings can be witnessed in 1 of them only, except for digital learning. An additional 1 hour per module is estimated for settings which are not witnessed, in order to verify that that the required physical equipment is in place and that risks are adequately managed.

Depends on number of modules and training settings in scope In the learning domain of knowledge: Variation in training delivery in all the GWO standards and 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 GWO standards and modules, or at least 2 hours (whichever is the shortest duration). A module which is delivered in various settings can be witnessed in one of them only, except for digital learning.

Training Assessment (Observation by Auditor)

Table 6.6.1 – Man-day allocation estimation for stage 1 and stage 2

6.6.2 Table below gives a practical example of minimum auditor time estimated for the certification process according to Table 6.6.1

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Stage 1

Time Allocation

1 man-day

Quality Management System

Stage 2

Time Allocation: Initial Certification

Time Allocation: Surveillance

1 man-day

Quality Management System Training Assessment (Observation by Auditor)

At least 3h per module (5) = 15hr in the two-year cycle of certification Sampling is allowed per training setting in the two-year cycle of certification Total hours in the 2 years cycle of certification = 15hr Average hours per 1 year = 7.5

At least 3 hours per module (5) = 15hr At least 1 hour per module (5) for the additional training setting = 5hr Total hours = 20

Table 6.6.2 – Practical example for man-day allocation based on Table 6.6.1

Audit scope: Five modules offered in two different training settings (fixed training facility and mobile training facility)

Note

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 IAF MD 2- IAF Mandatory Document for the Transfer of Accredited Certification of Management Systems. In order to apply the changes to WINDA, the new certification body must email info@globalwindsafety.org with the new certificate issued and the audit report (if applicable). Once the documentation is received, and the review completed, GWO team will be responsible to make the new connection in WINDA between the certification body and training provider

6.7.2 Both transferer and transferee certification bodies are required to adhere to Section 6.9 Issue of Certificates, Audit Reports and Requirements to Inform GWO

6.8 Remote Auditing 6.8.1 Remote auditing must be conducted in accordance with; IAF Mandatory Document for the Use of Information and Communication Technology (ICT) for Auditing/Assessment Purposes (IAF MD 4:2018)

6.8.2 The scope of fully remote audits using digital tools covers:

Stage 1 audits

surveillance (initial) audits

surveillance (re-certification) audits

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extensions of scope for digital delivery

6.8.3 The first audit conducted after a transfer of certificate must not be a remote audit

6.8.4 Remote auditing is not allowed more than once in a two-year cycle of certification (two surveillance audits)

6.8.5 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

6.8.6 For the remote witnessing of practical training, at least two cameras must be used. One to show a general view (to observe the actions of the trainer and engagement with the group), and the second one close up to practical training (to show that the lessons/elements are delivered correctly and in a safe manner) 6.9 Issue of Certificates, Audit Reports and Requirements to Inform GWO 6.9.1 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 sub-section 6.9.3 below

6.9.2 Certificates of conformity shall be issued with a validity of two years for all training settings

6.9.3 As a minimum, the certificate of conformity shall contain the following:

training provider’s name (name of company)

site of training facility (name and address)

c. applicable GWO standard or module title(s) and version number

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-setting certificate)

certification body name

certification date and expiry date

certification body’s own unique certificate number

6.9.4 Certification bodies shall upload to GWO’s WINDA desktop any 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 shall include:

new certificates

extension of certificates

re-certification

withdrawals and termination of certificates

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6.9.5 The GWO Audit Report template must be used as the audit report. It can be downloaded from http://www.globalwindsafety.org/certificationbodies/certification-body-criteria and is available on GWO’s WINDA platform 6.9.6 When a new certificate is issued, the audit report must go through a technical review by the certification body prior to being uploaded to WINDA. This audit report must include name of the technical reviewer and the date the technical review was undertaken

6.9.7 The certificate shall be uploaded to the corresponding audit record on WINDA as well as a copy of the audit report in English (if not the language of the original)

6.9.8 Following upload to WINDA, GWO shall 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 or non-conformities made by the certification body, the certification body 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 6.9.9 If GWO 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. The final decision can be appealed by further submission to the GWO Audit and Compliance Committee

6.9.10 Specific requirements for multi-site certification are detailed in sub-section 7.8

7. MULTI-SITE CERTIFICATION This section details the additional requirements for multi-site certification, over and above those in Sections 5 and 6 (unless it has specifically been defined as not applicable for a multi-site certification). This section defines the scope and frequency of required audits (internal and external) for training providers which hold a multi-site certificate. The required competency of internal auditors is also detailed

As far as possible, this language replicates “IAF Mandatory Document for the Audit and Certification of a Management System Operated by a Multi-Site Organization Issue 2 (IAF MD 1:2018)”

For definitions used in this section including those specific for multi-site certification, please refer to Section 2 (Terms and Definitions)

7.1 Eligibility of a Multi-Site Training Provider for Certification

A training provider will be eligible for multi-site certification when all the following requirements are complied with:

7.1.1 The training provider shall operate three or more fixed training sites (facilities)

7.1.2 The multi-site training provider shall have a single management system. All training sites and training settings will be covered by this single management system comprising an identified central function (not necessarily the headquarters of the organisation) at which certain processes/activities are planned and controlled, and several training sites and training settings at which such processes/activities are carried out

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7.1.3 The multi-site training provider shall identify its central function. The central function is part of the training provider and shall not be sub-contracted to an external organisation

7.1.4 The central function shall have organisational authority to solely define, establish and maintain the single management system

7.1.5 The multi-site training provider´s single management system shall be subject to a centralised management review

7.1.6 All training sites shall be subject to the multi-site training provider’s internal audit programme

7.1.7 The central function shall be responsible for ensuring that data is collected and analysed from all training sites. It shall be able to demonstrate its authority and ability to initiate organisational change as required regarding (but not limited) to:

system documentation and system changes

management review

complaints

evaluation of corrective actions

e. internal audit planning and evaluation of the results; and

f. statutory and regulatory requirements pertaining to the applicable standard(s)

7.1.8 A multi-site training provider need not be a unique legal entity, but all training sites shall have a legal or contractual link with the central function of the organisation and be subject to a single management system, which is laid down, established and subject to continuous surveillance and internal audits by the central function. This means that the central function has rights to require training sites to implement corrective actions when needed. Where applicable, this should be set out in the formal agreement between the central function and the training sites 7.1.9 This document shall not be used for situations where independent training providers are collected together by another independent organisation (e.g. consulting company or an artificial organisation) under the umbrella of a single management system 7.1.10 A training provider currently having separate certificates for each individual site can transition into a multi-site scheme certificate, providing the requirements above are met, and all training sites, training settings and GWO modules are in the same certification cycle

7.2 Methodology for Auditing a Multi-Site Training Provider Using Site Sampling: Initial Certification

7.2.1 The general requirements for initial certification will apply:

a. no sampling is allowed (all modules must be audited at each individual site by the external auditor). If a specific module is to be taught in different settings, witnessing of training is

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required only in one of the settings if the lesson plan and the training materials are common in the different settings. However, the audit will verify that the required physical equipment in the GWO standard/module is in place, and that risks which are specific for each of the settings have been assessed

b. initial certification audits must always be physical visits, at least for the witnessing of training in the Stage 2 audit

c. if a GWO standard or module has already been certified for digital learning delivery at any other site, the audit will focus on the qualification of the instructors and that the required equipment is in place for the digital learning delivery 7.2.2 In the case where a multi-site training provider has one single instructor (qualified to deliver a specific GWO standard or module across different sites), witnessing the instructor delivering the GWO standard or module is required only once 7.3 Methodology for Auditing a Multi-Site Training Provider Using Site Sampling: Surveillance (and Surveillance Re-certification) 7.3.1 All sites must be audited every year. For sites where an audit will not be conducted by the certification body in a specific year (according to the sampling plan) an internal audit (done by a GWO qualified internal auditor) must be conducted

7.3.2 When there is a central site, the central site always must always be included in the annual sampling plan

7.3.3 Sampling of sites to be audited annually by the certification body (external auditor) in each certification cycle is allowed according to the following scheme. The size of the sample shall be the square root of the number of sites: ( 𝑦𝑦 =√ 𝑥𝑥 ), rounded up to the next whole number, where y = number of sites to be sampled and x = total number of sites. Table 7.3.1 clarifies the number of required audits per year based on the number of sites

Required External Audits in the Two-Year Certification Cycle

Required External Audits in Each Year

Required Certification Cycles to Audit All Sites

Number of Sites

3-4

5-9

1 (5-6) or 2 (7-9)

10-16

17-25

2 (17-20) or 3 (21-25)

Table 7.3.1 – Number of required audits vs. number of sites

7.3.4 The site selection shall consider, among others, the following aspects:

a. results of internal site audits and management reviews or previous certification audits

b. records of complaints and other relevant aspects of corrective and preventive action

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significant variations in the size of the sites

variations in shift patterns and work procedures

e. complexity of the management system and processes conducted at the sites

modifications since the last certification audit

g. maturity of the management system and knowledge of the organisation

h. differences in culture, language, regulatory requirements; and

geographical dispersion

7.3.5 The sample shall be partly selective based on the factors set out above and partly random. It shall result in a representative range of different sites being selected, ensuring all GWO modules and training settings covered by the scope of certification will be audited at least once during the two year certification cycle

7.3.6 The central function shall be informed of the sites to be included in the sample

7.3.7 At least 25% of the sample shall be selected by the certification body

7.3.8 The remaining 75% of the sample shall be selected so that the differences, among the sites selected over the period of validity of the certificate, are as large as possible

7.3.9 No audit repetition is allowed until all sites have been audited unless this is specifically requested by the certification body

7.3.10 The same site shall not be audited remotely in two consecutive audits

7.3.11 All GWO standards, modules and training settings in the multi-site certificate must be witnessed. The selection of which standards, modules and training settings shall be witnessed at each site shall be decided by the certification body

7.3.12 In each site, those GWO standards and modules which are not witnessed by the certification body in the two years certification cycle shall then be witnessed by a GWO qualified internal auditor

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Required External Audits in Each Year

Required External Audits in the Two- Year Certification Cycle

Required Internal Audits in the Two- Year Certification Cycle

Required Internal Audits in Each Year

Total Required Audits

Number of Sites

Table 7.3.2 – Required audits vs. number of sites

7.3.13 When non-conformities (as defined in ISO/IEC 17021-1) are found at any individual training site, either through the organisation’s internal auditing or from auditing by the certification body, an investigation shall take place to determine whether the other training sites may be affected. In this instance, the certification body shall require the multi-site training provider to review the non-conformities to determine whether they indicate an overall management system deficiency applicable to other training sites. If this is found to be the case, corrective action shall be performed and verified both at the central function and at the individual affected training sites. If this is not found to be the case, the multi-site training provider shall be able to demonstrate the justification for limiting its corrective action to the certification body 7.4 Methodology for Auditing a Multi-Site Training Provider Using Site Sampling: Extension of Sites 7.4.1 On the application of a new site to join an already certified multi-site training provider, the site shall be audited by the certification body before being included in the certificate (this must be a physical audit). If a module planned to be delivered is already included in the multi-site certificate, additional witnessing of training is not required, and the audit will focus on:

qualification of instructors

equipment and physical resources; and

c. risk assessments for the delivery of the GWO standard or module

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7.4.2 After the inclusion of the new site in the certificate, it shall be accounted for along with the previous ones when determining the total man-day allocation for future surveillance or re-certification audits purposes

7.5 Methodology for Auditing a Multi-Site Training Provider Using Site Sampling: Extension of Scope 7.5.1 If a multi-site provider wishes to offer additional GWO standards or modules, a specific extension of scope audit shall be conducted at least in one of the sites in which the new standards or modules are planned to be delivered. This must be a physical audit

7.5.2 If the GWO standards or modules are planned to be delivered in different training settings, an audit for each of the training settings shall be conducted

7.5.3 The audit will verify that the quality management system for the multi-site training provider supports the delivery of the new GWO standard, module or setting, specifically in regards:

qualification of instructors

equipment and physical resources; and

c. risk assessments for the delivery of the new module

7.5.4 Verification of 7.5.3 will be required for each of the sites in which the new standards or modules are planned to be delivered. This verification can be conducted remotely via review of records and visual assessment of equipment and physical resources, using Microsoft Teams or alternative options.

7.5.5 Applicable legal requirements will be reviewed for each site in which the GWO standards or modules are planned to be delivered

7.5.6 Lesson plans shall be common to all training sites and training settings in which the new standards or modules will be delivered

7.5.7 Once the extension of scope audit has successfully been completed and upon verification of requirements in 7.5.3 for each site, a certificate can be granted for the new standards or modules at every site listed in the multi-site certificate 7.5.8 Following the extension of scope audit, the new GWO standards or modules shall be brought up to the same certification cycle as for the rest of the GWO standards or modules and training settings in the multi-site certificate 7.6 Qualification of Internal Auditors 7.6.1 Auditors who wish to perform GWO internal audits for a multi-site training provider must successfully complete the GWO Auditor Qualification Training (AQT), which is designed as an entry qualification course for new auditors. Criteria for acceptance into AQT will be either ISO 9001 or ISO 45001 internal auditor qualification or alternative training that includes audit skills and knowledge on how management systems must be audited

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