General Procedure for Certification of Products and Services Certification of Wind Turbines, Wind Turbine Components and Wind Turbine Projects

Transcription

1 General Procedure for Certification of Products and Services Certification of Wind Turbines, Wind Turbine Components and Wind Turbine Projects GP01-WT / Version

2 DOCUMENT CONTROL Revision number Date Author Reviewer Approver 3 24/01/2017 N. DIETENBECK F. ESTEZET E. ROUAIX DOCUMENT CHANGES Revision number Date Changes 0 17/10/2014 First issue Adaptation of existing documents to ISO requirements 1 25/02/2015 Update following remarks from the Certification Committee 2 07/10/ /01/2017 General update of the document to reflect the flexible scope of the accreditation Precision of contractual requirements in section 3.3 Deliverables section 4.3 expanded to include letters Addition of section 4.4 relative to integration of third party certificates BVC abbreviation deleted Minor corrections within the document Addition of reference standard Executive Order n 73 Addition of IECRE certification scheme Manufacturing Conformity Statement validity changed to 2.5 years to align with periodic surveillance Minor corrections within the document Changes compared to the previous revision are highlighted in red colour. Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 2/30

3 TABLE OF CONTENT 1. INTRODUCTION Objective of the document Scope of application Definitions Abbreviations and acronyms CERTIFICATION SCOPE Reference standards for the certification Type Certification Component Certification Prototype certification Project certification APPLICATION AND CONTRACTING PROCESS Application Offer Contract ORGANIZATION Certification Manager Evaluators CERTIFICATION PROCESS Overview Evaluation process Kick-off meeting Evaluation plan Evaluation Final evaluation Deliverables Conformity statements Certificates Letters Integration of third parties certificates CERTIFICATION AWARD Evaluation review and certification decision Certification documentation Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 3/30

4 7. CERTIFICATION MARKS AND COMMUNICATION CERTIFICATION MAINTENANCE AND RENEWAL Validity Maintenance Renewal Changes affecting certification Changes initiated by the Client Changes in accreditation rules or in the applicable regulations Extension of certification TERMINATION, REDUCTION, SUSPENSION OR WITHDRAWAL OF CERTIFICATION COMPLAINTS AND APPEALS CONFIDENTIALITY PARTICIPATION OF OBSERVERS APPENDIX A TYPE CERTIFICATION A.1. Design basis A.2. Design evaluation A.2.1 Description A.2.2 Evaluation of control and protection system A.2.3 Evaluation of loads and load cases A.2.4 Evaluation of the rotor blades A.2.5 Evaluation of machine and structural components, electrical components and housings A.2.6 Evaluation of foundation design requirements A.2.7 Evaluation of design control process A.2.8 Evaluation of manufacturing, transportation, installation and maintenance processes A.2.9 Evaluation of personnel safety A.2.10 Evaluation of components tests (only generator test included in this proposal) A.3 Manufacturing evaluation A.4 Prototype test (Type Testing) A.4.1 Mandatory tests A.4.2 Acoustic noise measurements A.5 Final assessment APPENDIX B PROJECT CERTIFICATION Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 4/30

5 1. INTRODUCTION 1.1. Objective of the document This document purpose is to describe the certification process and the procedural requirements, for the certification of wind turbines, wind turbine components and wind turbine projects. It specifies the obligations and the actions to undertake by the Client to obtain and maintain the certificate. It also describes the obligations and the actions to undertake by Bureau Veritas Certification as part of the certification process. This document will be part of the certification contract between the Client and Bureau Veritas Certification Scope of application This document is applicable for type certification of wind turbines and wind turbine components and for project certification of wind turbine projects Definitions Unless otherwise specified, the definitions listed in ISO/IEC apply. Client: organization or person responsible for ensuring that certification requirements, including product requirements, are fulfilled. It can refer both to the applicant for certification and to the holder of a certificate. Product: The object to be certified; can be a wind turbine component, a wind turbine, or a wind turbine project Abbreviations and acronyms The following abbreviations and acronyms are used throughout this document: Abbreviation / Acronym COFRAC GL IEC IECRE ISO Executive Order n 73 Description Comité Français d Accréditation (French Accreditation Committee) Germanischer Lloyd International Electrotechnical Commission IEC System for Certification to Standards Relating to Equipment for Use in Renewable Energy Applications International Organization for Standardization Denmark - Executive Order no. 73 of 25 January Executive Order on a technical certification scheme for wind turbines. Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 5/30

6 2. CERTIFICATION SCOPE 2.1. Reference standards for the certification Bureau Veritas Certification is accredited by COFRAC according to ISO/IEC for type certification of wind turbines, component certification, prototype certification and project certification. The corresponding certificate is available on the COFRAC site at the following address: The accreditation is delivered on a flexible scope basis. The flexible scope accreditation principles and requirements are defined in EA 2-15 document which is available at the following address: The list of standards for which Bureau Veritas Certification can deliver accredited certificates is available on the Bureau Veritas Certification website at the following address: Certification de produits et services / Accréditation n norme NF EN ISO/CEI The present document includes dedicated appendices to describe the certification program specificities depending on the standard requested for the certification. The certification scheme to be applied shall be specified in the Client request and will be mentioned in the certification contract. The detailed set of standards used for certification will be agreed between the Client and Bureau Veritas Certification at the start of the certification process. For certification according to IEC and IECRE certification schemes, the operational documents and clarification sheets issued by IECRE are applicable. In the absence of official validated revisions, draft versions of the documents may be used as guidance. The documents can be found at the following addresses: IECRE Rules and Operational Documents IECRE Clarification Sheets For other certification schemes, these documents are considered as guidance. For each of the certification schemes described below, the evaluation scope can be limited to one or several individual modules, if requested by the Client. In such a case, individual Conformity statements or Statements of Compliance will be delivered for the evaluated modules upon successful evaluation, but no certificate can be issued. The evaluation might require that a Conformity statement or Statement of Compliance is available for the previous module(s). Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 6/30

7 2.2. Type Certification Modules of type certification according to IEC and IECRE Modules of type certification according to GL guideline A type certificate covers a wind turbine, including tower and the proposed type of connection between tower and foundation. It also covers the requirements governing the foundation, insofar as they arise from the wind turbine design, and may include one or more foundations. The purpose of type certification is to confirm that the wind turbine type is designed, documented and manufactured in conformity with design assumptions, specific standards and other technical requirements. Demonstration that it is possible to install, operate and maintain the turbines in accordance with the design documentation is required. Type certification applies to a series of wind turbines of common design and manufacture. It consists of the mandatory modules described in the figure above Component Certification A component certificate covers a major wind turbine component such as (but not limited to): Rotor-Nacelle Assembly (typically for offshore turbines) Rotor blades Towers Foundations Machinery components: Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 7/30

8 o Bearings o Mechanical brakes and locking devices o Couplings o Gearboxes o Pitch systems Structural components: o rotor hub o housings o main and generator frame o nacelle cover and spinner o bolted connections Electrical components: o generator o transformer o converter o switchgear o cables o lightning protection system The evaluation is performed analogously to the modules of type certification, its extent being adapted to the specific component to be certified Prototype certification A prototype certificate covers a wind turbine not ready for series manufacture at a specific site. The modules of this assessment are illustrated in the next figures: Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 8/30

9 * the design evaluation can be limited to control and protection system, loads and load cases, rotor blades, main structural and electrical components and personnel safety issues Modules of prototype certification according to IEC Modules of C-Design assessment according to GL guideline 2.5. Project certification A project certificate covers one or more wind turbines, including the foundation(s) and optionally other installations at the site, evaluated for specific external conditions at an installation site. A project certificate presumes a type certificate and includes site conditions assessment and foundation design evaluation as mandatory modules. The purpose of project certification is to evaluate whether type-certified wind turbines and particular support structure/foundation(s) designs are in conformity with the external conditions, applicable construction and electrical codes and other requirements relevant to a specific site. It consists of the mandatory modules described in the following figure: Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 9/30

10 Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 10/30

11 3. APPLICATION AND CONTRACTING PROCESS 3.1. Application The Client shall provide the following information: a description of the product(s) to be certified; the certification scheme, in particular the standards and/or other normative documents for which the Client is seeking certification (see section 2.1) with applicable parts and revisions; the general features of the Client, including its name and the address(es) of its physical location(s), significant aspects of its process and operations, and any relevant legal obligations; general information concerning the Client, relevant to the field of certification for which the application is made, such as the Client s activities, its human and technical resources, including laboratories and/or inspection facilities, and its functions and relationship in a larger corporation, if any; information concerning all outsourced processes used by the Client that will affect conformity to requirements; if the Client has identified a legal entity/entities for producing the certified product(s) that is different from the Client, then the certification body can establish appropriate contractual controls over the legal entity/entities concerned, if necessary for effective surveillance; if such contractual controls are needed, they can be established prior to providing formal certification documentation; all other information needed in accordance with the relevant certification requirements, such as information for initial evaluation and surveillance activities, e.g. the locations where the certified product(s) are produced and contact personnel at these locations. This application will be reviewed by Bureau Veritas Certification to ensure that the given information is sufficient for the conduct of the certification process and that the scope of the certification, including the reference standards, is well defined Offer On the basis of the data provided by the Client, a technical and commercial proposal is established by Bureau Veritas Certification in accordance with the requirements of the corresponding accreditation. The following documents are appended to the technical and commercial proposal: a) this General Procedure GP01-WT; b) the General Conditions of Service. The commercial proposal does not include the possible complementary evaluations which could be necessary if the product to be certified does not comply with the certification requirements Contract To confirm acceptance of the offer, the Client shall send a copy of the offer duly dated and signed. This document, together with this General Procedure GP01-WT and the General Conditions of Service, constitutes the certification contract. By agreeing with the certification contract, the Client commits to always fulfil the certification requirements and to implement appropriate changes as communicated by Bureau Veritas Certification. The Client shall make all necessary arrangements for the conduct of the evaluation and surveillance (if required), including provision for examining documentation and records, and access to the relevant equipment, location(s), area(s), personnel, and Client s subcontractors. The requirements for certification include: Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 11/30

12 the requirements prescribed in the certification scheme the fulfilment of the certification contract the payment of invoices the provision of information related to changes made to the certified product the provision of documentation, data and information required for Bureau Veritas Certification evaluation activities the provision of answers to Bureau Veritas Certification questions and comments the safe access to the certified product and relevant equipment, location(s), area(s), personnel and Client s subcontractors for surveillance activities when required for Bureau Veritas Certification evaluation activities. 4. ORGANIZATION 4.1. Certification Manager The Certification Manager of Bureau Veritas Certification is in charge of the enforcement of the certification process. The Certification Manager is responsible for the appointment of the evaluators to a specific project Evaluators For each project, an evaluation team is constituted, including at least one qualified evaluator for each speciality needed. Evaluators and Inspectors are designated for each certification based on the following four criteria: competence in the field of activity of the Client; geographical proximity to local business; absence of conflict of interest; availability for the dates requested by the Client. One of the evaluators is the Evaluation Leader. He coordinates all the technical relations with the Client and is responsible for the final evaluation report to be established. The Client is informed of the names of the evaluators and has the right to reject the proposed evaluators. Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 12/30

13 5. CERTIFICATION PROCESS 5.1. Overview The roles and responsibilities of the different actors are defined in the following chart: CLIENT EVALUATORS BUREAU VERITAS CERTIFICATION Client s need Recording and preparation of the offer Request for the offer preparation Verification and validation of the offer Archiving Order issue Review of contract Recording of the order Archiving C Client s project team Realization of steps 1 to 4 Designation f of the evaluators Establishement of the evaluation report Decision of certification Archiving Preparation of the certificate Signature, transmission to the client and storing Copy Copy Archiving of the evaluation file Archiving 5.2. Evaluation process Kick-off meeting The first step consists in a kick-off meeting with the Client. In advance of this meeting, the Client shall submit relevant documentation to Bureau Veritas Certification. Bureau Veritas Certification will then draft an evaluation plan describing the evaluation process and the organization established for the certification. The aim of the kick-off meeting is to confirm the scope of the certification and to present the certification process, in particular: clarify any open issue identified in the drafting of the evaluation plan, present the project organization and foreseen practical implementation of the certification process, Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 13/30

14 present work packages and deliverables, ensure completeness of the submitted documentation, agree on communication mode, agree on planning, appoint contact person and specialists, define Key Performance Indicators for the certification process, agree on reporting format. If necessary, open issues relative to the product to be evaluated, the reference standards and guidelines or the approach adopted to conduct the conformity assessment and the certification can be clarified during this initial meeting Evaluation plan Following the kick-off meeting, Bureau Veritas Certification will issue a revised evaluation plan taking into account the clarifications discussed during the meeting. This plan defines the evaluation activities (documentation review, independent analyses, audits or inspections) to be performed as part of the conformity assessment, the documents to be provided by the Client and the certification schedule Evaluation For each module of the certification, the different documents and/or activities listed in the evaluation plan will be evaluated for conformity with the reference set of standards either by documentation review, independent analysis, audits or inspections, as specified in the evaluation plan. For some activities, the evaluation may be done by random sampling (in particular for surveillance activities as part of project certification). In such cases, the sampling rate will be defined based on a criticality analysis and in such a way that the samples are representative of the general situation. During the evaluation process, specific checklists and a follow-up matrix will be used to check the conformity of the items evaluated against the reference set of standards. These are for Bureau Veritas Certification internal use only. To allow a significant, constructive and transparent progress of the evaluations, Bureau Veritas Certification uses a documentation management software which allows for a smart management of all submitted documents. Each document submitted by the Client will be recorded in this tool, which will also centralize all the comments made by the reviewer and the responses of the Client. A status is attributed to each document provided by the Client and a findings report is issued for each evaluated document, listing all comments, questions and non-conformities Final evaluation Final evaluation is only performed for a complete certification including all mandatory modules. Once all modules of the applied certification scheme have been evaluated, the findings and results are consolidated as part of a final evaluation and documented into a final evaluation report. The purpose of this final evaluation is to provide documentation of the findings of all operating bodies involved in the evaluation of the elements of the certificate Deliverables Conformity statements The evaluation of each certification module (as detailed in section 2) is concluded with an Evaluation report describing the documentation evaluated, the tasks performed as part of the evaluation and the results of the evaluation. Upon satisfactory evaluation, a Conformity statement or Statement of compliance will be Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 14/30

15 issued for the specific module, depending on the certification scheme. In this document, the term conformity statement is used and should be understood as either conformity statement or statement of compliance depending on the certification scheme. Consolidated conformity statements covering several modules of the certification (e.g. RNA Design Evaluation and Support structure Design Evaluation for the Project certification scheme) may be issued if requested by the Client. They shall be supported by an associated evaluation report Certificates For a complete certification, once all mandatory modules have been successfully evaluated and the corresponding conformity statements or statements of compliance issued, a final evaluation is performed and a Final evaluation report issued, summarizing the conclusions from all evaluation reports. The certification decision is made on the basis of this final evaluation report and, if satisfactory, leads to the issuance of the Certificate. The certificate refers to the conformity statements issued. It documents conformity for all the mandatory modules of the corresponding certification (type, component, prototype or project certification) and may additionally document conformity for optional modules Letters If required by the Client and included in the certification contract, the following letters might also be issued as part of the certification process. The letters do not include the accreditation body mark. A Status letter may be issued at any time during the certification process to describe the progress of the conformity evaluation process. It will list the evaluation activities performed and yet to be performed. The status letter is signed jointly by the Certification Manager and the Evaluation leader or the corresponding Evaluator. A Conformity letter may be issued to attest the conformity of small changes brought to the design and which do not require the issuance of a new conformity statement or certificate. The conformity letter shall include a description of the activities performed as part of the evaluation and the conclusion of the evaluation. The issuance of a conformity letter shall be conditioned to an evaluation review and certification decision. As part of the evaluation, Bureau Veritas Certification will assess whether the changes are compatible with the issuance of a conformity letter or if an update of the corresponding conformity statement is required. If required by the Applicant, a Conformity letter may also be issued instead of a Conformity statement for design evaluation of wind turbine components, following the same rules as described above. In this case, the Conformity letter shall be linked to an Evaluation report and treated similarly to a conformity statement. The conformity letter is signed jointly by the Certification Manager and the Evaluation leader. A Verification letter may be issued to attest that the design of a site specific component (such as a tower) which deviates from the assessed type is still compliant with the relevant requirements of the applicable standard. The verification letter is signed jointly by the Certification Manager and the Evaluation leader or the corresponding Evaluator Integration of third parties certificates The certification process being modular, it allows for different certification bodies to be involved in the certification. As part of the certification process, the Client may therefore submit to Bureau Veritas Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 15/30

16 Certification conformity statements or certificates (e.g. wind turbine type certificate) from other certification bodies. The application shall be accompanied by a copy of the certificate together with the relevant certification documents (reports, Conformity Statements, Certificates from other certification schemes, etc.) and, if relevant, with attached reports covering national differences. For the integration of other certification bodies Conformity statements and / or certificates, Bureau Veritas Certification will follow the procedure prescribed by the IECRE Conformity Assessment System and described in the following IECRE clarification sheets: - For Type certification: clarification sheet n CBC 8A Integration of certified components within type certification. - For Project certification: clarification sheet n CBC 6A Project Certification Recognition Arrangement. These clarification sheets are available on the IECRE webpage ( If the result of this examination is favourable, Bureau Veritas Certification will recognize the certificate without additional evaluation and testing. However, if the certificate does not cover the required scope, arrangements shall be made with the Client to carry out the additional evaluation and testing. Bureau Veritas Certification retains the right to further evaluate the equipment to ascertain whether or not the equipment complies with the relevant reference standard(s). If an IECRE Product Certificate is submitted for recognition, but is not listed on the IECRE website, Bureau Veritas Certification will contact the IECRE Executive Secretary to verify the authenticity of the certificate. Bureau Veritas Certification will not take responsibility for other certification bodies work and this will be stated as such in the certificate. Bureau Veritas Certification shall have the right to keep for reference photographs, technical documentation and equipment samples or, for large equipment, parts of such equipment, when required. Such reference material will be treated as confidential. Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 16/30

17 6. CERTIFICATION AWARD 6.1. Evaluation review and certification decision The certification file and the final evaluation report (resp. evaluation report) are reviewed and validated by the Certification Manager who makes the decision whether to deliver the certificate (resp. conformity statement). The review consists in the verification of the correct application of the certification procedures and the requirements relative to impartiality. The decision is based on the findings and results of the evaluation process and on any other relevant information. In case certification is denied, Bureau Veritas Certification will inform the Client of the decision, identify the reasons for not granting certification and provide information on the potential additional evaluation tasks needed to complete the certification Certification documentation In case certification is granted, a certificate or a conformity statement, depending on the evaluation scope, is delivered to the Client. It details: the name and address of the certification body; the date certification is granted; the name and address of the Client; the certification scheme; the scope of certification; the product certified: description and identification of the product, including its generic denomination, its function, its model, its type and its commercial denomination; the term or expiry date of certification, if certification expires after an established period; the conditions of validity; any other information required by the certification scheme. If a certificate according to IECRE certification scheme is to be issued, Bureau Veritas Certification will enter the certificate and the necessary data into the IECRE database. The certificate is considered issued once this certificate and necessary data have been entered and submitted. If a certificate including the Executive Order n 73 as reference standard is issued, Bureau Veritas Certification will submit a copy of the certificate issued with associated certification reports and notifications on withdrawals of certificates to the Energy Agency's Secretariat for the Danish Wind Turbine Certification Scheme. Bureau Veritas Certification maintains a list of the certified products, which contains at least the following: identification of the product the standard(s) and other normative document(s) to which conformity has been certified identification of the client This list is communicated by Bureau Veritas Certification on request. Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 17/30

18 7. CERTIFICATION MARKS AND COMMUNICATION The certification does not allow the affixing of a certification mark on the certified products or their packing. When making reference to its product certification in communication media such as documents, brochures or advertising, the Client shall comply with the requirements of Bureau Veritas Certification and as specified by the certification scheme. The Client shall not make claims regarding certification which are not consistent with the scope of certification. The Client shall not use its product certification in such a manner as to bring Bureau Veritas Certification into disrepute and shall not make any statement regarding its product certification that Bureau Veritas Certification may consider misleading or unauthorized. If the Client provides copies of the certification documents to others, the documents shall be reproduced in their entirety or as specified in the certification scheme. Bureau Veritas Certification has issued a Communication Guide explaining how the certification mark can be used. This document can be provided to the Client upon request. 8. CERTIFICATION MAINTENANCE AND RENEWAL 8.1. Validity The certificates delivered by Bureau Veritas Certification have the following periods of validity, starting from the first issuance of the certificate, under the conditions of validity described in 6.3: Certification according to IEC series Certification according to GL guidelines Description Period of validity Description Period of validity Type / Component certificate Provisional Type / Component certificate Prototype certificate Project certificate Provisional Project certificate Manufacturing Conformity Statement All other Conformity Statements 5 years A-Type certificate 5 years 1 year B-Type certificate 1 year 3 years Project lifetime (renewed every year based on O&M surveillance) Statement of compliance for C-Design Assessment A-Project certificate 2 years or a maximum production equivalent to 4000 equivalent hours at full load operation Project lifetime (renewed every four years based on Periodic Monitoring) 1 year B-Project certificate 1 year 2.5 years Indefinitely Statement of Compliance for IPE All other Statements of Compliance 2.5 years Indefinitely Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 18/30

19 8.2. Maintenance During the certificate validity, Bureau Veritas Certification requires from the Client to: keep a record of all complaints made known to the Client relating to the product compliance with the certification requirements and to make these records available to Bureau Veritas Certification when requested; take appropriate action with respect to such complaints and any deficiencies found in products or services that affect compliance with the requirements for certification, and document the actions taken; inform Bureau Veritas Certification, without undue delay, of major modifications to the product or other changes that may affect the Client s ability to conform with the certification requirements; sufficient notice shall be given to allow Bureau Veritas Certification to evaluate the impact of these changes and the case being update the certificate before the implementation of these changes; comply with IEC requirements on maintenance of certificate or with GL Guidelines requirements on periodic monitoring. In particular, the Client shall send an annual report for the certified product, including information on installed turbines and abnormal operating experience or failures known to the certificate holder and any minor modifications. Bureau Veritas Certification will perform periodic surveillance with the purpose to check that the products produced correspond to the certified product and meet the required surveillance according to IEC This periodic surveillance shall take place at least every 2.5 years. For Type and Component certificates, this surveillance will usually be performed as part of the renewal of the Manufacturing Conformity Statement, but can also include the inspection of an installed wind turbine. For Project certificates, it will usually be performed as part of the module Operation & Maintenance surveillance. The Client shall provide access to the product chosen for inspection Renewal Before the end of the validity period, Bureau Veritas Certification will inform the Client and propose renewal terms Changes affecting certification Changes initiated by the Client During the validity of the certification, any change to the certified product (specifications, standards, change of ownership or structure...) shall be reported to Bureau Veritas Certification without undue delay. These changes will be evaluated in order to ensure their compatibility with the certification scheme and associated standards and that the product still meets the certification requirements. In the case where complementary evaluations are necessary, an addendum to the certification contract shall be established. A new evaluation report is issued and handled as indicated above for an initial certification. Depending on the nature of the modifications, a complementary, a modified or a new certificate is established Changes in accreditation rules or in the applicable regulations In case of changes in accreditation rules or in the applicable regulations, and if those changes impact existing contracts and/or certificates, Bureau Veritas Certification will communicate these changes to the Client. Bureau Veritas Certification will take into account the views of the different stakeholders on these changes and decide on the related transition arrangements and their implementation date. Bureau Veritas Certification will then verify the implementation by the Client of the agreed transition arrangements. The maintenance of any current certificate will be contingent upon compliance with the transition arrangements, which may lead to an amendment to the existing contract. Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 19/30

20 8.5. Extension of certification At any time, the Client may choose to extend its scope of certification e.g. to include additional certification modules. In such a case, a written request shall be made to Bureau Veritas Certification which will indicate the procedure to be followed for such an extension. Foreseen extensions can be included in the initial certification contract. Otherwise, an amendment to the contract will be executed. 9. TERMINATION, REDUCTION, SUSPENSION OR WITHDRAWAL OF CERTIFICATION Bureau Veritas Certification reserves the right to reduce, suspend and/or withdraw the certificates delivered, at any time during their validity period. A certificate can be reduced, suspended and/or withdrawn in the following cases: If the Client does not respect the technical requirements relative to certification; If any safety-related deficiency of the certified products has been detected; If the Client does not implement appropriate actions agreed between Bureau Veritas Certification and the Client within allotted time; If the Client misuses the certification marks; If the Client does not respect the commercial agreements made with Bureau Veritas Certification; If the certificate has been issued in error; If requested by the Client. Bureau Veritas Certification will communicate to the Client the actions needed to end suspension and restore certification for the product(s) in accordance with the certification scheme and any other action required by the certification scheme. If the deficiencies resulting in the suspension of the certificate cannot be corrected after a reasonable period of time, the certificate will finally be withdrawn. The maximum suspension time is one year. When an IECRE certificate has been suspended or withdrawn, the IECRE Executive Secretary will be notified as soon as possible, including the reason for suspension or withdrawal. Upon suspension or withdrawal of certification, or upon termination of the certification by the Client, Bureau Veritas Certification requires that the Client discontinue its use of all advertising matter that contains any reference thereto and returns any certification document as required by Bureau Veritas Certification. Bureau Veritas Certification reserves the right to publish, by the means it will judge the most appropriate, the list of certificates withdrawn, suspended or reduced. 10. COMPLAINTS AND APPEALS The Client can make an appeal of the Bureau Veritas Certification decision in the following cases: Refusal of application for certification; Refusal to grant a certificate; Reduction, suspension or withdrawal of a certificate. Claims and appeals by the Client or third parties are handled under the responsibility of the Technical Direction of Bureau Veritas Certification, which formally acknowledges receipt of the complaint and confirms Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 20/30

21 whether it is admissible. Appeals can be handed over to the General Direction with information to the Certification Committee, and on last recourse to the Certification Committee. The investigation is carried out by a person not involved in the certification activities related to the complaint or appeal. A root cause analysis performed to determine whether corrective or preventive actions should be implemented. The complainant will be informed of the outcome and the end of the process. A summary of the complaints and appeals is brought to the attention of the Certification Committee. 11. CONFIDENTIALITY The personnel having access to the certification file, the evaluators and the certification board undertake to treat as strictly confidential any information or document they will have acquaintance with during the certification process. This confidentiality obligation may be waived in the following cases: Legal recourse; Recourse of a supervision or accreditation organization; Written agreement given by the Client. 12. PARTICIPATION OF OBSERVERS Bureau Veritas Certification may need to associate observers to its certification audits, inspections or monitoring. Such observers can be: Internal auditors/inspectors from Bureau Veritas Certification or from other entities of the Bureau Veritas group, as part of an internal audit Internal auditors/inspectors from Bureau Veritas Certification or from other entities of the Bureau Veritas group, as part of training activities External auditors/inspectors from an accreditation body, supervising Bureau Veritas Certification as part of the requirements relative to the maintenance of its accreditations The Client is obliged to accept the presence of a representative of an accreditation body during Bureau Veritas Certification audits. In all other cases, the presence of the observer is subject to the information/approval of the Client. Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 21/30

22 APPENDIX A TYPE CERTIFICATION This Appendix provides details of the evaluation activities that will be performed for each module of the type certification scheme. This section presents the general approach for the certification based on IEC and IECRE certification schemes. For other certification schemes, specific requirements will apply according to the corresponding reference standards. A.1. Design basis The purpose of design basis evaluation is to examine that the design basis is properly documented and sufficient for safe design of the wind turbine type. The design basis shall identify all requirements, assumptions and methodologies, which are essential for the design and the design documentation, including: codes and standards; design parameters, assumptions, methodologies and principles, and other requirements, e.g. for manufacture, transportation, installation and commissioning as well as for operation and maintenance. In particular, choices, supplementary information and deviations relating to the design issues shall be clearly stated in the design basis, e.g. for: external design parameters; design load cases; load factors and load reduction factors; partial safety factors applied on loads and materials; duration of simulation as well as number of simulations; methods for extreme and fatigue design loads/response analysis; environmental conditions relevant for installation; inspection scope and frequency; target lifetime of components, systems and structures, and requirements for condition monitoring systems. Bureau Veritas Certification will evaluate by document review the conformity of the design basis with the reference set of standards. A.2. Design evaluation A.2.1 Description The purpose of design evaluation is to examine whether the wind turbine type is designed and documented in conformity with the design assumptions, specific standards and other technical requirements. The design evaluation comprises all of the elements shown in the following figure: Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 22/30

23 Most evaluations consist of documentation review while some require in addition independent analyses. A list of design documentation to be provided by the Client is provided in Appendix A of IEC This list is non-exhaustive. It may be extended or reduced according to the specific features of the wind turbine to be certified. A.2.2 Evaluation of control and protection system Bureau Veritas Certification will evaluate the documentation of the control and protection system including: description of the wind turbine modes of operation, design and functionality of all elements, fail-safe design of the protection system, system logic and hardware implementation, authentication of reliability of all safety critical sensors, braking system analysis, test plan for the verification of the control and protection system functions. A.2.3 Evaluation of loads and load cases Bureau Veritas Certification will assess the compliance of the loads and load cases of the wind turbine with the reference set of standards. The documentation submitted by the Client shall include a description of the load cases and of the calculation models and inputs such as: parameter values relating to aerodynamics; structural characteristics; Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 23/30

24 parameter values relating to the control system. Bureau Veritas Certification will also perform an independent analysis of the loads for the most critical load cases at a minimum. The loads will be simulated with an aero-elastic code intended for calculating wind turbine response in time domain. A.2.4 Evaluation of the rotor blades Bureau Veritas Certification will evaluate the design of the rotor blades on the basis of the reference set of standards. The design documentation relating to rotor blades will normally consist of specifications, descriptions, drawings and design calculations, which may be combined with measurement/test reports, schematics and part lists. The documentation shall clearly refer to the design basis and identifies the basis for the design. Additionally, the documentation shall contain sufficient information for evaluation of the design, such as: codes, standards and references; design loads and relevant external conditions; static systems and boundary conditions; influence of adjacent structures and components; materials and permissible stresses; material and sub-component test program; full-scale blade test program; manufacturing processes; tolerances influencing the design; and quality control procedures and level. As part of the evaluation, Bureau Veritas Certification will perform independent analyses to verify the designer calculation. These analyses can include, depending on the blade specificities: modal analysis; ultimate static strength; fatigue strength; inter-fibre failure; buckling; bonding strength. A.2.5 Evaluation of machine and structural components, electrical components and housings Bureau Veritas Certification will evaluate the design of all load-bearing machinery structures and components of the wind turbine such as: casted, forged or welded structures, nacelle frame, tower, pitch and yaw systems, bearings and elastomer bushings, Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 24/30

25 gearboxes, brakes, couplings and locking devices, bolts for connecting these structures and components, hydraulic systems, cooling and heating systems, spinners, and nacelle covers. The components will be evaluated for compliance with the requirements of the reference set of standards, and additional codes and standards as defined in the design basis. The evaluation consists of documentation review and independent analyses. Bureau Veritas Certification will require that the design documentation clearly describes the basis and assumptions for the design. Additionally, the documentation shall contain sufficient information, for example on: codes, standards and references, design loads and relevant external conditions, static systems and boundary conditions, influence of adjacent structures and components, influence of drive train dynamics, materials and permissible stresses, type/data sheets (for mass-produced parts), and work instructions (for bolted connections). A.2.6 Evaluation of foundation design requirements Bureau Veritas Certification will evaluate the foundation design requirements detailed in the design documentation with respect to compliance of one or more foundation design(s) with the reference set of standards and relevant agreed structural codes. The design loads at the interfaces of tower shall include both horizontal and vertical forces as well as any moments about horizontal and vertical axes at the interface. The extreme dynamic loads as well as fatigue loads resulting from the combination of all relevant load cases will be considered in the design evaluation. Because overall turbine and support structure system natural vibration frequencies and modes can be affected by foundation flexibility, a permissible range for horizontal, vertical and rotational foundation flexibility at the interface between foundation and sub-structure or tower shall be stated. The resistance and flexibility of the foundation will be evaluated in terms of representative soil conditions at sites suitable for installation of the foundation. A.2.7 Evaluation of design control process The purpose of this module is to evaluate the quality procedures used to control the design. Design control procedures shall be required to: comply with ISO 9001 Subclause 7.3, Design and development; include control of documents so that the revision status of every document is clear to all parties. Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 25/30

26 The requirement for evaluation is satisfied if the quality system has been certified according to ISO 9001 with design included in the scope. A.2.8 Evaluation of manufacturing, transportation, installation and maintenance processes Bureau Veritas Certification will assess the transportation and construction process procedures. The description of the transportation process shall include: technical specifications applicable for the transportation; limiting environmental conditions; transportation arrangement including required fixtures, tooling and equipment; and transportation loads and load conditions. Bureau Veritas Certification will assess that the installation process is sufficiently described and will assess the adequacy of the turbine design, taking into account specified installation processes, and commissioning, including identification of human resource requirements and skills, identification of interface points and any required technical specifications for civil and electrical construction works including earthing system, identification of specialised tooling and required lifting fixtures or equipment, quality control check points, measurements and inspections, required by the design, description of personnel safety and planned environmental protection measures, outline of planned installation manual, commissioning procedures and check-list, and quality recording and record keeping processes. Bureau Veritas Certification will assess the maintenance process as to its completeness to ensure the adequacy of the turbine design, taking into account specified maintenance processes including: scheduled maintenance actions including inspection intervals and routine actions, identification of all safety-related operational procedures or maintenance activities, description of planned environmental protection measures, identification of required specialised tooling and maintenance equipment, identification of human resource requirements and skills, outline of planned operating instructions and maintenance manual, and description of quality recording and record keeping processes. These processes may be documented in preliminary versions of the manuals. The final manuals will be reviewed as part of the final evaluation. A.2.9 Evaluation of personnel safety Bureau Veritas Certification will evaluate personnel safety aspects in the design documentation (drawings, specifications and instructions) for compliance with the reference set of standards. Personnel safety aspects to be considered include: safety instructions, climbing facilities, Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 26/30

27 access ways and passages, standing places, platforms and floors, hand rails and fixing points, lighting, electrical and earthing system, fire resistance, emergency switching off buttons, provision of alternative escape routes. A.2.10 Evaluation of components tests (only generator test included in this proposal) The strength and other functional requirements of some structural, mechanical or electrical components may be documented by measurements or test results only. Bureau Veritas Certification will evaluate the design of such a component on the basis of the measurements and test reports and establish whether the test results are properly implemented in the design. Bureau Veritas Certification may witness critical components tests. A.3 Manufacturing evaluation The purpose of manufacturing evaluation is to assess if the wind turbine type is manufactured in conformity with the documentation design verified during the design evaluation. This evaluation shall include the following elements: quality system evaluation; manufacturing inspection. The manufacturing evaluation presupposes that the Client and the manufacturers of the main components operate a quality system. It requires manufacturing of at least one representative specimen of the type under certification. A.4 Prototype test (Type Testing) A.4.1 Mandatory tests The purpose of type testing is to provide data needed to verify power performance, aspects that are vital to safety and need additional experimental verification, and any other aspects that cannot be reliably evaluated by analysis. Type testing comprises the elements shown in the figure below. Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 27/30

28 Bureau Veritas Certification will evaluate that testing of these aspects, as applicable, has been carried out on a turbine or component of a turbine representative of the type to be certified. Inspection records shall be completed, preferably prior to the tests, to demonstrate satisfactory conformity of the turbine or component with the design documentation. The detailed test program shall be defined by the Client and be subject to approval by Bureau Veritas Certification on a case by case basis. The type testing elements given in the figure below shall be carried out by an accredited testing laboratory or Bureau Veritas Certification will verify that the party conducting the testing complies with at least the criteria of ISO/IEC or ISO/IEC 17020, as applicable. Bureau Veritas Certification will require that the testing and the test results be documented in a test report. This test report will be evaluated by Bureau Veritas Certification to ensure that the tests have been carried out in accordance with the approved detailed test program and that the test report properly documents the aspects required for certification. Bureau Veritas Certification will verify by inspection that critical personnel safety features have been satisfactorily implemented in the installed wind turbine to be tested. A satisfactory evaluation is concluded with a conformity statement. A.4.2 Acoustic noise measurements For IEC and GL certification schemes, these measurements are optional. However, for certification according to the Executive Order n 73, Bureau Veritas Certification shall verify that the acoustic emission measurements are carried out in conformity with IEC and with the Statutory Order no of 15 December 2011 on Noise from Wind Turbines (Denmark). The purpose of these measurements is to document the acoustic emission characteristics of the wind turbine type. The acoustic emission measurements shall, at least, include: apparent sound power level at a wind speed of 8 m/s, sound directivity index at the three required positions, and tonality of any tones above the minimum threshold, as defined in IEC Bureau Veritas Certification shall also verify that the measurement conditions, instrumentation, calibrations and analyses are described in a test report in accordance with IEC Copyright 2017 Bureau Veritas Certification France SAS, All rights reserved GP01-WT page 28/30