Best Practices in Photovoltaic

System Operations and

Maintenance
2nd Edition
NREL/Sandia/Sunspec Alliance SuNLaMP
PV O&M Working Group
This work was sponsored by US DOE SunShot Initiative, Solar
Energy Technologies Office (SETO), U.S. Department of
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Technical Report
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December 2016

Contract No. DE-AC36-08GO28308

 Best Practices in Photovoltaic
System Operation and
Maintenance
2nd Edition
NREL/Sandia/Sunspec Alliance SuNLaMP
PV O&M Working Group
This work was sponsored by US DOE SunShot Initiative,
Solar Energy Technologies Office (SETO), U.S. Department
of Energy (DOE) under SunShot National Laboratory
Multiyear Partnership Agreement 30346

Prepared under Task No. ST6B.0210

NREL is a national laboratory of the U.S. Department of Energy

Office of Energy Efficiency & Renewable Energy
Operated by the Alliance for Sustainable Energy, LLC
This report is available at no cost from the National Renewable Energy
Laboratory (NREL) at www.nrel.gov/publications.

National Renewable Energy Laboratory Technical Report

15013 Denver West Parkway NREL/TP-7A40-67553
Golden, CO 80401 December 2016
303-275-3000 www.nrel.gov
Contract No. DE-AC36-08GO28308
 NOTICE

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 Acknowledgments
The authors would like to thank the following contributors to this report.

Working Group Coordinator

Cass Whaley, NREL

SunShot Support Team

Christine Nichols, US DOE SunShot Initiative
Ammar Qusaibaty, US DOE SunShot Initiative (contractor)
Daniel Boff, US DOE SunShot Initiative (contractor)
Andy Walker, NREL
Travis Lowder, NREL
Geoff Klise, Sandia National Lab
Roger Hill, consultant
Tom Tansy, SunSpec Alliance
Tim Keating, SunSpec Alliance
Olga Lavrova, Sandia National Lab
Anil Pochiraju, SunSpec Alliance
Jessie Deot, SunSpec Alliance
Bob Fox, SunSpec Alliance
Chuck Kurnik, NREL

Interviewees
Greg Sellers, Clean Power Finance
Jean Paul La Marche, Main Street Power
Dirk Michaels, K & L Gates
Rue Philips, True South
David Kenny, Sunrun
Leigh Zanone, Meteocontrol
Paul Lanning, Lightbox Energy
Sarah Disch, Wells Fargo
Andrew Truitt, Diversified Financial
Marco Lopez, Alectris
Ross Biesemeyer, First Solar
Laks Sampath, Alectris USA, INC.
Mark Berger, NextGrid Technologies

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2016 Working Group Roster
Eric Alderman, Airphrame Richard Lawrence, NABCEP
Carlos Alves, Nextera Energy Services Mike Loeser, Strata Solar
Rob Andrews, Heliolytics Inc. Jaya Mallineni, Nexamp Inc.
John Balfour, High Performance PV Joseph McCabe, Renewable Energy Champion
Jimmy Bergeron, SolarCity Ryan McCauly, Tritium3
Michael Bolen, Electric Power Research Scott McWilliams, Sematech
Institute (EPRI) Dirk Michels, Ballard Spahr
Peter Bostock, VDE Americas Reegan Moen, Swinerton Renewable Energy
Alex Bradley, DuPont Jamie Mordarski, SMA America LLC
Bill Brooks, Brooks Engineering Sean Murphy, SolBright Renewable Energy, LLC
Paul Brucke, Brucke Engineering Matt Murphy, Borrego Solar
Jon Budreski, Air Shark Eric Nessl, Strata Solar
Ben Compton, NextPhase Solar Christina Nichols, DOE
Joe Cunningham, Centrosolar Don Nista, Cypress Creek Renewables
Skip Dise, Clean Power Research Rue Phillips, True South Renewables
Ron Drobeck, SOLV Angelo Purpura, Swinerton Renewable Energy
Nadav Enbar, EPRI Michael Rogerson, SolarEdge
Cary Fukada, OpTerra Energy Services AJ Rossman, Smart Resource
Jeff Gilbert, Vigilant Energy Management Mary Rottman, Rottman Associates
Danya Golan, SolarEdge Laks Sampath, Alectris USA, Inc.
Shannon Grein, Empyrean Electric Jadhav Sandeep, Mahindra Susten
Steve Hanawalt, Power Factors LLC Rudy Saporite, IBTS
Chris Henderson, Ameresco Ulrich Schwabe, SEGIS-AC awardees
Martin Herzfeld, Consultant Jeff Spies, NABCEP
Roger Hill, Consultant Kristy Straiton, ASTM
Bill Hoffer, Sunergy Engineering Services PLLC Abhay Tilwankar, Mahindra Susten
Rebekah Hren, Solar Energy International Ernest Tom, SRP
Joe Kastner, Radian Generation Will Troppe, Power Factors LLC
Jason Kechijian, SolBright Andrew Truitt, Truitt RE Consulting
George Kelly, Sunset Technology, Inc. Carter Wall, Franklin Beach Energy
Ken Kostok, Alectris David Walter, HSB
Pramod Krishnani, Terraform Power Gordon Woodcock, Taitem Engineering, PC
Bhushan Kunjeer, SunEdison Leigh Zanone, Meteocontrol
Sarah Kurtz, NREL Jesse Moses, Swinerton Renewable Energy
Olga Lavrova, Sandia National Laboratories Bill Shisler, NRG
Paul Lanning, Lightbox Energy

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 2015 Working Group Roster
Andrew Truitt, Truitt RE Consulting Tim (TJ) Keating, SunSpec Alliance
Bassil Youakim, Bank of America Tommy Cleveland, NC Solar Center
Brian Boler, Clean Power Research Will Arnold, GTRI
Dan Seif, RMI Jason Kechijian, SolBright
Geoff Klise, Sandia Natl Laboratories John Dise, Clean Power Finance
Henry Tsai, NC Solar Center Mark Liffman, Clean Power Finance
James Tong, Clean Power Finance Ben Compton, SolPatrol
Jason Uppal, SunShot Solar Outreach Richard Pizzella, HSB
Partnership Jaya Krishna Mallineni, Arizona State
Jrgen Sutterlti , PV Systems Group University
Michael Mendelsohn, NREL George Kelly, Sunset Technology Inc.
Mike Robinson. EDF-RE Mani Tamizh-Mani, TUV Rheinland
Rob Andrews, Heliolytics Inc. Sarah Disch, Wells Fargo
Robert Margolis, NREL Ben Searl, New Energy Structures
Roger Hill, Sandia Natl Laboratories Gary Buchanan, Borrego Solar
Sarah Truitt, NREL
Thomas Yurysta, Optony, Inc.

This report is available at no cost from the National Renewable Energy Laboratory at www.nrel.gov/publications.
 Table of Contents
Acknowledgments ..................................................................................................................................... iii
Working Group Coordinator ................................................................................................................. iii
SunShot Support Team .......................................................................................................................... iii
Interviewees........................................................................................................................................... iii
2016 Working Group Roster ................................................................................................................. iv
2015 Working Group Roster .................................................................................................................. v
1 Introduction ........................................................................................................................................... 1
1.1 BackgroundThe O&M Working Group .................................................................................... 1
1.2 Purpose .......................................................................................................................................... 1
1.3 Complementary SAPC Documents ............................................................................................... 2
2 O&M and the Financing of PV Assets ................................................................................................ 3
3 Scope and Prerequisites for a Successful O&M Program ............................................................... 5
3.1 Scope of PV O&M Best Practices Guide ...................................................................................... 5
3.2 Prerequisites for a Successful O&M Program .............................................................................. 5
4 Definitions ............................................................................................................................................. 7
5 Dependencies on PV System Type, Site, and Environmental Condition...................................... 10
5.1 Electrical System ......................................................................................................................... 10
5.2 Central, String, DC Optimized, or Micro-Inverter Configuration............................................... 11
Central Inverter ........................................................................................................................... 12
String Inverters, Micro-Inverters, and DC-Optimized Inverters ................................................. 13
5.3 Roof Maintenance Related to PV System ................................................................................... 14
5.4 Ballasted or Attached Rack ......................................................................................................... 18
5.5 Ground-Mount............................................................................................................................. 19
Design 19
Ground Cover .............................................................................................................................. 20
Vegetation Management ............................................................................................................. 21
Erosion Control ........................................................................................................................... 21
5.6 Tracking Mounts ......................................................................................................................... 22
5.7 Environmental Conditions........................................................................................................... 23
Cleaning ...................................................................................................................................... 24
Snow Removal ............................................................................................................................ 27
5.8 Site Access .................................................................................................................................. 28
5.9 System and Site Considerations Checklist .................................................................................. 29
6 System Performance and O&M Plans .............................................................................................. 30
6.1 Planning for PV System Performance ......................................................................................... 30
Performance Indicators ............................................................................................................... 30
6.2 The PV O&M Plan ...................................................................................................................... 33
O&M Plan Checklist ................................................................................................................... 34
6.3 Use of O&M Plan........................................................................................................................ 35
O&M Plan for Residential/Small Commercial PV Systems ....................................................... 36
O&M Plan for Larger Commercial and Industrial PV Systems .................................................. 36
O&M Plan Considerations for Commercial and Industrial ......................................................... 37
6.4 Document Management and Record Keeping............................................................................. 37
Document Management Checklist .............................................................................................. 38
6.5 PV Plant Operations .................................................................................................................... 38
Forecasting PV Plant Output ....................................................................................................... 39
Inventory of Spare Parts .............................................................................................................. 40
Compliance with Regulatory Requirements................................................................................ 40
Operations Checklist ................................................................................................................... 41

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 6.6 Preventive/Scheduled Maintenance ............................................................................................ 41
6.7 Corrective Maintenance .............................................................................................................. 41
Enforcement of Warranties ......................................................................................................... 42
6.8 PV Module Degradation Rate ..................................................................................................... 47
6.9 Example Work Statements .......................................................................................................... 48
6.10 End-of-Performance Period......................................................................................................... 48
7 O&M Provider Qualifications and Responsibilities......................................................................... 50
7.1 Qualifications of Plant Operators ................................................................................................ 50
7.2 Qualifications of Service Providers............................................................................................. 50
Service Provider Qualification Checklist .................................................................................... 50
7.3 Financial Solvency ...................................................................................................................... 51
7.4 Health and Safety ........................................................................................................................ 51
Health and Safety Checklist ........................................................................................................ 53
7.5 Insurance ..................................................................................................................................... 53
Insurance Checklist ..................................................................................................................... 54
7.6 Redundancy in Service Providers................................................................................................ 55
8 System Monitoring ............................................................................................................................. 56
8.1 DC Array Inspection ................................................................................................................... 56
Manual Electrical Testing ........................................................................................................... 56
Aerial Thermal Imaging .............................................................................................................. 58
8.2 Data Presentation......................................................................................................................... 60
8.3 Quality of Monitoring Equipment ............................................................................................... 61
8.4 Instrumentation............................................................................................................................ 62
8.5 Transparency of Measurement Protocols and Procedures........................................................... 65
9 O&M Supporting Systems and Implementation Strategies ........................................................... 66
9.1 Workflow and Decision Support Software ................................................................................. 66
9.2 O&M Implementation Strategies ................................................................................................ 67
9.3 O&M Contract and Performance Guarantee ............................................................................... 67
10 Estimating PV O&M Costs ................................................................................................................. 69
11 Current PV O&M Cost Survey Information ...................................................................................... 73
References ................................................................................................................................................. 74
Appendix A. System Performance Guarantee Example Calculation (without Shade Correction) ... 77
Appendix B. Service Descriptions for Preventive Maintenance Selections Available in the PV O&M
Cost Model Tool .................................................................................................................................. 81
Appendix C. Service Descriptions for Corrective Maintenance Selections Available in the PV O&M
Cost Model .......................................................................................................................................... 91
Appendix D. PV O&M Service Category, Scope of Work, Salary, and Qualifications ........................ 97
Appendix E. Examples of Scope of Work Documents .......................................................................... 99
Example Performance Work Statement ............................................................................................. 103
Example Description of Maintenance Services for Commercial Rooftop Installations ..................... 104
Example Description of Maintenance Services for Commercial Ground Mount Installations .......... 107
Example Description of Operations Services ..................................................................................... 110

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 List of Figures
Figure 1. Maintenance of wire management systems depend on plastic wire-ties and grommets which can
break or pinch wires (left), exposure to sunlight, wind and weight of ice (center), and access
by chewing rodents (right). (photos by Andy Walker) ............................................................ 11
Figure 2. Best practice is to run slip sheet continuously under rack members to avoid direct contact with
roof membrane. In this photo, direct contact of the rack is cutting into the roof surface (photo
by Norm Crouse, courtesy of Lightbox Energy) ....................................................................... 17
Figure 3. Sheep, but not goats or cattle, can be employed for vegetation control (photo by Eliza
Hotchkiss) ................................................................................................................................. 21
Figure 4. Drainage and storm-water run-off are difficult to improve after the PV array is installed,
requiring diligence in design and construction of storm-water management systems (photo by
Andy Walker)............................................................................................................................ 22
Figure 5. Although improving annual energy delivery, especially in summer, tracking mechanisms and
controls require regular maintenance to be effective (photo by Andy Walker). ....................... 23
Figure 6. Module soiling can often be traced to a source, such as construction-site dust shown here
resulting in about 5% loss. (photo by Andy Walker) ................................................................ 26
Figure 7. Bird populations are a source of soiling, as well as nests that need to be removed, and seeds that
can sprout on arrays. (photo by Andy Walker) ......................................................................... 27
Figure 8. Snow is an environmental condition that both reduces performance and complicates provision of
O&M services. (photo by Andy Walker) .................................................................................. 28
Figure 9. Failure in materials and workmanship, such as encapsulant of this module, are often covered by
product warranty. (photo by Andy Walker) .......................................................................... 43
Figure 10. Snail trails in encapsulant are attributed to cracks in cells caused by flexure of the panel at the
factory, shipping, or installation. The module would be covered by the performance
warranty only if the cracks isolate fragments of the cell and reduce the output over time.
(photo by Andy Walker) ........................................................................................................... 44
Figure 11. Failure to follow product box handling and storage requirements can cause damage when
moved and void a warranty. The umbrella symbol on this box indicates it should be kept dry
and the box might fail when picked up with a forklift. (photo by Andy Walker)..................... 46
Figure 12. Cracked or peeling backsheet leads to water infiltration and ribbon corrosion. (photo by Andy
Walker) ..................................................................................................................................... 57
Figure 13. Manual inspection and testing requires opening NEMA-rated enclosures. The integrity of any
enclosure seal must be restored after opening to avoid moisture damage as in this module
junction box. (photo by Andy Walker) ..................................................................................... 58
Figure 14. High-resolution infrared aerial imaging can identify failed strings, modules, and cells within
modules as shown on this image. (by Rob Andrews, courtesy of Heliolytics Inc.) .................. 60
Figure 15. Fraction of components to be covered by reserve account depends on the probability of failure
in a given year and desired confidence that the reserve account will be sufficient. For
example, if we had 10 inverters and the probability of each inverter failing in a given year was
Q = 0.1, and if we desired a probability of 99% that our reserve account would be sufficient,
then we would need to have enough in the reserve account to cover 3.25 times the cost of a
single inverter replacement. In reality, low values of Q and high values of R are of interest,
but this chart shows the behavior of the relationship over the whole range. (figure by Andy
Walker) ..................................................................................................................................... 70
Figure 16. Results of PV O&M cost model for 10-MW ground-mount PV system with tracking, central
inverters, and pollen as an environmental condition. (figure by Andy Walker) ....................... 72

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 List of Tables
Table 1. Cost of Micro, String, DC-Optimized, and Central Inverter Replacement [Q4 2015/Q1 2016
April 29, 2016. David Feldman NREL, Daniel Boff DOE; Robert Margolis NREL] .............. 12
Table 2. Service costs for different types of roof. Note that large variations can exist based on size, site
access, location, and labor markets. (http://welcome.homeadvisor.com/costguide_roofing and
http://www.homeadvisor.com/cost/roofing/repair-a-roof/)....................................................... 15
Table 3. Representative PV module degradation rates (Photovoltaic Degradation RatesAn Analytical
Review, D.C. Jordan and S.R. Kurtz, http://www.nrel.gov/docs/fy12osti/51664.pdf) ............. 47
Table 4. Qualifications and Loaded Labor Rates for PV O&M Service Providers. [unloaded rates from
National Bureau of Labor Statistics, 2014, loaded at 1.38 factor] ............................................ 97

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 Acronyms
AC alternating current
AMI advanced metering infrastructure
AMR automated meter reading
ANSI American National Standards Institute
ASNT American Society of Non-destructive Testing
ASTM American Society for Testing and Materials
CAD computer-aided design
CT current transformer
DAS data acquisition system
DC direct current
DOE U.S. Department of Energy
EAM enterprise asset management
EPC Engineering, Procurement, and Construction
EPDM ethylene propylene diene monomer
EPRI Electric Power Research Institute
ERP enterprise resource planning
EVA ethylene vinyl acetate
FEMP Federal Energy Management Program
FERC Federal Energy Regulatory Commission
GO generator owner
GOP generator operator
GSU generator step-up
IBTS Institute for Building Technology and Safety
IEC International Electrotechnical Commission
IECRE IEC Renewable Energy
IEEE Institute of Electrical and Electronics Engineers
IGBT insulated-gate bipolar transistor
IP Internet Protocol
IRR internal rate of return
IT information technology
IV current-voltage
KPI key performance indicator
LCOE levelized cost of energy
MFS Maximum Foreseeable Loss

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 MLPE Module Level Power Electronics
MPPT maximum power-point tracking
NABCEP North American Board of Certified Energy Practitioners
NERC North American Electric Reliability Corporation
NLE Normal Loss Expected
NREL National Renewable Energy Laboratory
O&M operations & maintenance
OMC outside management control
OSHA Occupational Health and Safety Administration
PML Probable Maximum Loss
POA plane of array
PPA power purchase agreement
PPE personal protective equipment
PR Performance Ratio
PV photovoltaics
PVC polyvinyl chloride
RCRA Resource Conservation and Recovery Act
REC Renewable Energy Certificate
RMS root mean square
ROI return on investment
SAM System Advisor Model
SAPC Solar Access to Public Capital
SBS styrene butadiene styrene
SDO standards developing organization
STC Standard Test Conditions
TCIR Total Case Incident Rate
TPO thermoplastic polyolefin
UAV unmanned aerial vehicle
UL Underwriters Laboratories

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 1 Introduction
This guide considers Operation and Maintenance (O&M) of photovoltaic (PV) systems with the
goal of reducing the cost of O&M and increasing its effectiveness. Reported O&M costs vary
widely, and a more standardized approach to planning and delivering O&M can make costs more
predictable. More efficient planning and delivery of O&M offers to reduce the cost from a range
of $0 to $40/kW/year to a more uniform $10/kW/year. But the bigger payoff for improved
O&M is increased performance. Actuarial data indicate that comprehensive O&M could
improve the average performance ratio of systems from 88% to 94%, which is a substantial
increase in revenue and environmental benefits of a PV system. Drivers to improve PV O&M
include the following: increase efficiency and energy delivery (kWh/kW), decrease downtime
(hours/year), extend system lifetime (say from 25 to 40 years), reduce cost of O&M ($/kW/year),
ensure safety and reduce risk, enhance appearance, and meet requirements of financing and
warranties.

1.1 BackgroundThe O&M Working Group

This Photovoltaics Operations and Maintenance Best Practices Guide (PV O&M Guide) was
initiated by the Solar Access to Public Capital (SAPC) Working Group, which issued an
interim version in 2015 (http://www.nrel.gov/docs/fy15osti/63235.pdf). The SAPC Working
Group was convened to open capital market investment in the solar asset class and consisted of
solar developers, financiers and capital managers, law firms, rating agencies, accounting and
engineering firms, and other stakeholders engaged in solar asset deployment. In 2016, a subset
of the SAPC Working Group was merged with Sandia National Laboratories Technical O&M
Working Group to unify efforts by the U.S. Department of Energy (DOE) to improve O&M
practices, data standards, and costs. This combined bodythe PV O&M Working Groupis
administrated by the National Renewable Energy Laboratory (NREL), Sandia National
Laboratories, SunSpec Alliance, and Roger Hill, and it is supported by the DOE SunShot
Initiative (SuNLaMP program). One objective of the working group is to update, revise, and
expand this guide, which was initially drafted as a compendium of O&M best practices to assist
financiers in conducting due diligence on potential investments, as well as standardization of
contracts, failure analysis, and support in developing standards.

1.2 Purpose
This PV O&M Guide encourages high-quality system deployment and operation that improves
lifetime project performance and energy production while reducing, or at least optimizing, costs
to deliver an O&M program. Other products of the PV O&M Working Group that support and
inform this guide include two actuarial databases (the oSPARC performance database and the
PV ROM failure and reliability database) and the PV O&M Cost Model (a spreadsheet model to
estimate annual O&M costs). This PV O&M Guide provides recommendations that: increase the
effectiveness of O&M services; reduce O&M costs, improve solar asset transparency for
investors and rating agencies, provide an industry framework for quality management, and
reduce transaction costs. It is intended to outline the industry-accepted requirements for third-
party ownership providers (Providers).

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 1.3 Complementary SAPC Documents
This PV O&M Guide is designed to be used together with several other documents developed in
the SAPC Working Group, including the following:

PV System Installation Best Practices Guide (http://www.nrel.gov/docs/fy15osti/63234.pdf)

SAPC standard contracts for commercial and residential offtake
(https://financere.nrel.gov/finance/content/solar-securitization-and-solar-access-public-
capital-sapc-working-group#standard_contracts).

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 2 O&M and the Financing of PV Assets
An effective O&M program enhances the likelihood that a system will perform at or above its
projected production rate and cost over time. Therefore, it reinforces confidence in the long-term
performance and revenue capacity of an asset. Historically, O&M practices and approaches have
not been standardized, and instead, they were implemented in various proprietary methods. This
approach can increase the cost to projects and portfolios, as well as raise the perception of risk
from investors. Specific recommendations from the PV O&M Working Group to reduce
variations in O&M practices include:

Define performance metrics uniformly. A system characterized by a guarantee to deliver

1,000 MWh/year would be difficult to compare and bundle with another that has a guarantee
to be operational 90% of the time. Investors need performance metrics and evaluation
methods to be the same across a bundle of assets.
Refer to specified standards. Practices and delivery of O&M services also differ, and
investors need to know that an existing system has been maintained according to standard
definitions and criteria.
Make cost estimates uniform and predictable. Differences in types of systems and also
geographic location and climate conditions can confound securitization. Investors want to
know how much it will cost to perform required O&M and secure the performance of the
investment. Cost estimates must be uniform and predictable so that they can be bundled, yet
they should reflect the factors that cause O&M costs to vary from site to site.
Many investors are more interested in reducing risk than maximizing internal rate of return
(IRR). Investors would prefer 5% IRR with 100% certainty over 10% IRR with 50% certainty,
even though the two are of statistically equivalent value. Investors will make an investment
decision based on mitigating performance risk with effective O&M, and then the financing rates
are determined mainly through competition from other banks. Standardization of O&M
practices will facilitate investor analyses of risk factors and can reduce due diligence time and
costs. Risk reduced by effective O&M will enable banks to qualify more projects, and that will
eventually increase competition and reduce borrowing costs.

Although PV systems may have different origins, they can be pooled together in portfoliosand
thus, be financed more efficientlyif they adhere to clear, industry-accepted business and
technical guidelines regarding O&M. Industry groups important to this effort include the
Institute for Building Technology and Safety (IBTS), the SunSpec Alliance, and the North
American Board of Certified Energy Practitioners (NABCEP). National and international
standards-developing organizations (SDOs) important to this effort include the American
National Standards Institute (ANSI), the Institute of Electrical and Electronics Engineers (IEEE),
the International Electrotechnical Commission (IEC), and ASTM International (formerly known
as the American Society for Testing and Materials [ASTM]).

Two SDOsthe ASTM and the IECare coordinating directly with NREL and Sandia National
Laboratories to develop O&M standards, with drafts being made available to working group
members. These standards are primarily technical in nature and focus on life-cycle management,
design for O&M guidelines, and detailed maintenance processes and procedures.
Representatives from ASTM and IEC were involved in developing these best practices. This

This report is available at no cost from the National Renewable Energy Laboratory at www.nrel.gov/publications.
 document is offered as what is referred to in the standards-making process as research, to be
considered as the IEC and ASTM committees develop the language of the standards. The
IECRE, which is the Renewable Energy IEC system for certification to standards, will receive
this PV O&M Guide for consideration of recommendations. It will serve as input to PV industry
certification and compliance approaches and practices.

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 3 Scope and Prerequisites for a Successful O&M
Program
3.1 Scope of PV O&M Guide
This document is targeted at fleets of third-party-owned, grid-connected PV systems of the
following size classes: residential rooftop (typically less than 10 kW); commercial and industrial
rooftops and shade structures (10 kW to 1,000 kW); and ground-mounted systems (often greater
than 1,000 kW).

Services covered in the guide include: asset management; monitoring; operations; preventive
maintenance; corrective or condition-based maintenance (repair); and end of performance period
(disposition).

The guide addresses dependencies due to system type such as: micro-, string-, or central inverter;
ground versus roof mounted; attached versus ballasted mount; and tracking versus fixed mount.
The guide also addresses dependencies based on site conditions including: sources of soiling;
bird populations; snow; pollen; and high temperatures.

The guide provides information on the delivery of O&M services including qualifications of
service providers, contractual relations, and performance guarantees related to O&M.

3.2 Prerequisites for a Successful O&M Program

Borrowing from classroom grades, where A is best, it is possible to bring a PV system earning
a D grade up to a C or B with effective O&M. But it is not possible to earn an A unless
O&M was a consideration in the design of a system. Also, O&M might not be able to save a
failing system if the problems are intrinsic to the design or products used. O&M issues should
be considered in design, engineering, and construction in order to:

Select low- or no-maintenance alternatives when available

Make use of network-connected inverters for remote testing, software configurations and/or
updates, and remote resets
Provide required access to and clearance around equipment for maintenance (EPRI 2010)
Enable third-party inspection and commissioning of original EPC installations to spot
operation problems before acceptance (EPRI 2010)
Conform to the evaluation and quality-assurance protocol detailed in the SAPC PV System
Installation Best Practices Guide (applicable to residential systems only)
Apply IEC 62446: Grid Connected Photovoltaic Systems-Minimum Requirements for
System Documentation, Commissioning Tests, and Inspections
(2009, http://webstore.iec.ch/Webstore/webstore.nsf/ArtNum_PK/42990!opendocument&pre
view=1), which requires documentation of the system, array testing, and whole-system
performance test 1 (applicable to commercial, industrial, and utility-scale systems).

1
Other commissioning guides are also available.

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 Commissioning is the link between the engineering, procurement, and construction (EPC)
contractor and the operator. In addition to the above-mentioned safeguards, commissioning
is now recommended to be a two-part process: the first part is done when the system starts
operation, and the second is performed after one year of operation. Full acceptance of the
system comes after the second step. Third-party verification of a plant can also help ensure
that best practices are applied throughout the life-cycle of a plant. Such verification could
include: concept; site selection; design; equipment selections; installation; commissioning;
final commissioning; PV system performance reporting; annual certification; certification for
transfer of ownership or for refinancing; O&M practices; and/or end-of-performance-period.

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 4 Definitions
For the purposes of this document, key terms are defined below.

Asset Owner holds title to the PV system or portfolio of systems and may be an individual, a
corporation, or most commonly a special-purpose corporation, such as a Limited Liability
Corporation (LLC), formed just to implement and operate the PV project.

Asset Management is a systematic process of planning, operating, maintaining, upgrading, and

replacing or disposing of assets effectively with minimum risk and at the expected levels of
service over the assets life-cycles. It therefore contains all of the services that would fall under
O&M, but also includes business services operations, such as billings and collections from
power purchase agreement (PPA)- and lease-based systems (DOT, 1999). Asset Management
involves: planning and budgeting for O&M; administration; billing; accounting; tax preparation
and filing; hiring subcontractors; enforcement of warranties; management of budget and
reserves; insurance policies; renewable energy certificate (REC) certification and trading;
performance reporting; plant supervision; quality control; as-built plant documentation; ongoing
environmental compliance; and compliance with any other regulatory or utility requirements..

PV Operations includes the following five areas:

1. Administration of Operations: Ensures effective implementation and control of O&M

services including curation of as-built drawings, equipment inventories, owners and
operating manuals, and warranties. Curation involves not only keeping an archive but
selecting what to keep, pursuing missing documents, preserving documents, keeping
them up to date, and finally, archiving documents. Administration includes keeping
records of performance and O&M measures, preparing scopes of work and selection
criteria for service providers, contracting with suppliers and service providers, paying
invoices, preparing budget, and securing funding and contingency plans for O&M
services. Administration includes compliance with regulations by the government or
authorities having jurisdiction, as well as mandatory guidelines issued by utilities.
2. Conducting Operations: Ensures efficient, safe, and reliable process operations
including making decisions about maintenance actions based on cost/benefit analysis.
This includes serving as a point of contact for personnel regarding operation of the PV
system; coordinating with others regarding system operation; power and energy forecasts;
scheduling maintenance operations; spare parts inventory (either in-stock on-site or in
suppliers consignment stock); and inspecting work and approving invoices. Meanwhile,
operations include any day-to-day operation of the system to maximize power delivery;
performance assessment and trends; operation of grid interface; manage curtailments; or
adjust settings such as power factor or other ancillary services.
3. Directions for the Performance of Work: Specifies the rules and provisions to ensure
that maintenance is performed safely and efficiently, including the formalization and
enforcement of: safety policy (including training for DC and AC safety, rooftop safety,
minimum staffing requirements, arc flash, and lock-out tag-out); work hours; site access,
laydown areas, and parking; and any other stipulations under which work is performed.
This includes confirming and enforcing qualifications of service providers, as well as

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 compliance with any environmental or facility-level policies regarding the handling of
controlled materials (e.g., solvents, weed killer, insecticide).
4. Monitoring: Maintains monitoring system and analysis of resulting data to remain
informed on system status; metering for revenue; alarms; diagnostics; and security
monitoring. Includes comparing results of system monitoring to benchmark expectation
and providing reports to facility stakeholders. This includes periodically preparing
reports as required by O&M contract or as required by the system owner including
reports of plant performance; key performance indicators; problems and alarms, and
maintenance services performed. Site security is performed both locally and with remote
monitoring (cameras, intruder alarms) to protect against theft and vandalism.
5. Operator Knowledge, Protocols, Documentation: Ensures that operator knowledge,
training, and performance will support safe and reliable plant operation. Information
such as electrical drawings, part specifications, manuals, performance information, and
records must be deliberately maintained and properly filed/catalogued.
PV Maintenance includes the following four types of maintenance procedures:

1. Administration of Maintenance: This overlaps with Administration of Operations

and ensures effective implementation, control, and documentation of maintenance
services and results. Administration includes: establishing budgets and securing funds
for preventive maintenance; establishing reserves or lines of credit for corrective
maintenance: planning services to avoid conflict with system operation or operations at
the customer site; correspondence with customers, selection and contracting with service
suppliers and equipment manufacturers; record keeping, enforcement of warranties;
providing feedback to designers of new systems; and reporting on system performance
and the efficacy of the O&M program.
2. Preventive Maintenance: Scheduling and frequency of preventive maintenance is set by
the operations function and is influenced by a number of factors, such as equipment type,
environmental conditions at the site (e.g., marine, snow, pollen, humidity, dust, wildlife),
and warranty terms. Scheduled maintenance is often carried out at intervals to conform
to the manufacturer's recommendations as required by the equipment warranties.
3. Corrective Maintenance: Required to repair damage or replace failed components. It is
possible to perform some corrective maintenance such as inverter resets or
communications resets remotely. Also, less urgent corrective maintenance tasks can be
combined with scheduled, preventive maintenance tasks.
4. Condition-Based Maintenance: Condition-based maintenance is the practice of using
real-time information from data loggers to schedule preventive measures such as
cleaning, or to head off corrective maintenance problems by anticipating failures or
catching them early. Because the measures triggered by condition are the same as
preventive and corrective measures, they are not listed separately. Rather, condition-
based maintenance affects when these measures occur, with the promise of lowering the
frequency of preventive measures and reducing the impacts and costs of corrective
measures.
End-of-Performance Period Disposition: Specifying the options for the parties in an offtake
contract (such as a PPA) at the end of the performance period, or at the end of the projected life

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 of a host-owned system, the alternatives are the following: to continue the performance contract
for an extended term, including continued O&M; purchase of the system by the site or others
(often at fair market value), involving a new O&M provider; or removal of the system and
restoration of the site.

Guarantees related to O&M include: response time guarantee; availability guarantee;

performance ratio guarantee; and energy production guarantee.

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 5 Dependencies on PV System Type, Site, and
Environmental Condition
It is useful to consider how O&M requirements and attendant costs depend on the type of system
and components, some details of the site, and climate and other environmental conditions such as
agricultural area versus urban setting.

5.1 Electrical System

If micro-inverters are not used, the PV system will have both alternating current (AC) and direct
current (DC) components. The DC system determines system power capacity and energy
production, whereas the inverter and the AC system has the greatest impact on system reliability.
There can be several single points of failure in the AC systemfor example, the central inverter,
or the generator step-up (GSU) transformer. Central-inverter considerations are discussed in the
next section.

O&M measures and cost depend on the wire management system employed. O&M will be
minimal for conductors in conduit or lay-in trays, which are designed as an integral part of the
rack and wiring system. Maintenance must be provided to ensure that the wire management
system continues to protect the wires from physical damage. O&M problems will be
exacerbated if:

Wires, plastic wire-ties, or grommets/bushings are exposed to sunlight. Even products listed
for direct UV exposure will show degradation over the long life of a PV system and require
eventual replacement.
Allowable movement or rubbing against modules, rack parts, or other wires due to wind or
thermal expansion/contraction will require more frequent inspection, testing, and
replacement. Movement of ballasted rack systems on a roof can cause damage to conduit or
wires, and even ground mounted parts can experience movement over a long period of time.
A design that accommodates such movement and thermal expansion/contraction will require
less corrective maintenance.
Wire ties that pinch wires too tightly will eventually deform the insulation. Faults may occur
anywhere that wires are held tightly between metal parts.
Wires that are pulled too tight or that do not have strain relief will require more frequent
maintenance. Wires exposed where the weight of accumulated ice, or where module leads do
not come in the right length for the installation, will required frequent testing and repair.
Exposure to animals, such as squirrels, will require measures to deny access of the animals to
the wiring and to repair any sections where the insulation has been chewed.
Large bundles of wires may not allow wires at the center of the bundle to cool as they would
in open air, leading to early degradation of the insulation and potential fault.
Direct bury of conductors versus placing in conduit: Direct bury of conductors is a lower first
cost than installing conduit and pulling conductors. Failure risk of direct-bury conductors is
usually low, and failures are typically caused by chewing rodents. Proper compaction of the
soil is best-practice for reducing this problem. However, if the direct-bury conductor does

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 fail, the conductor must be dug up to find and fix the problem. This can be very expensive:
not only does the conductor need to be dug up, but there is likely other buried infrastructure
in the vicinity, making the dig-up process very slow. Direct bury is chosen in many cases,
driven by capital-cost considerations.

Figure 1. Maintenance of wire management systems depend on plastic wire-ties and grommets
which can break or pinch wires (left), exposure to sunlight, wind and weight of ice (center), and
access by chewing rodents (right). (photos by Andy Walker)

GSU transformers are common in utility-scale PV plants, and the failure risk has been low
historically. In the past, transformers were overbuilt and have a reputation for being very
reliable. However, as design engineers now have access to computer-aided design (CAD) tools,
they are able to meet requirements without overdesigning. If the GSU does fail, it can idle the
plant for months. GSUs are very expensive and have a very long lead time. Also, they are large
and heavy, and the logistics associated with delivery are complicated. Delivery of GSUs may
include a crane and require special permits for transport on roads and interstates. 2

The risk of GSU transformer failure may be mitigated during the design phase by dividing the
plant into multiple arrays, each with its own GSU transformer. It is critical to follow the
manufacturers recommendations for a preventive maintenance program. It may also be possible
to work with local utilities to pool resources for better access to replacement units. At the
minimum, the responsible party should have a fully formed reaction plan in place.

5.2 Central, String, DC Optimized, or Micro-Inverter Configuration

Operation and maintenance depends on the topology of the inverter system: micro-inverters on
each module, string inverters on series strings of modules, DC-optimized inverters that combine
elements of both topologies, or larger central inverters. The cost per watt of capacity is much
higher for a micro-inverter and string inverter than it is for a central inverter. The different types
of inverters have different failure and replacement profiles and different effects on production.

2
Accessed August 2016 http://community.energycentral.com/community/t-d/managing-risk-transformer-failures

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 Table 1. Cost of Micro, String, DC-Optimized, and Central Inverter Replacement [Q4 2015/Q1 2016
April 29, 2016. David Feldman NREL, Daniel Boff DOE; Robert Margolis NREL]

Inverter Types 20-Year Replacement Cost ($/W)

String Inverter 0.30

DC Optimizer 0.020.06

Central Inverter 0.19

Micro-Inverter 0.51

Inverter reliability continues to increase, with 10-year warranties now commonly available and
20-year extended warranties/service plans also gaining prevalence. However, a sound O&M
plan should account for inverter failure because it is one of the most frequent causes of PV
system performance loss (EPRI 2010). The best preventive maintenance for the inverters would
be to perform the manufacturers required maintenanceto include, but not limited to, re-
torqueing current-carrying conductor fasteners (screw lugs on terminal blocks), and thermal
imaging of sand-cleaning air filters. Inverter air filters will take in grass and dust during
mowing, high winds, or dusty conditions, and the O&M plan should establish a timeframe when
the grass-cutting is done and schedule a preventive filters swap/cleaning to follow such dusty
conditions. A technician will be dispatched faster to service a central inverter (see Appendix C
for corrective maintenance choices for both string and central inverters), whereas failures of
micro-inverters, and to a lesser extent string inverters, can be delayed until a scheduled visit
because their impact on the performance of a large plant is marginal.

Additional steps include the following:

Decide whether the inverter is to be replaced or repaired based on inverter size, type,
manufacturers ability and availability for timely repairs, and associated costs. Replacement
is preferred over repair when spare-parts availability and lead time trigger an upgrade. But
upgrading may lead to other concerns such as not being able to get the correct replacement
size, footprint, and electrical conduit and wiring configuration. Include remote monitoring to
confirm the inverter status, reset the inverter, and remotely diagnose problems.
In remote locations, it is advisable to stock component replacements onsite, especially for
equipment commonly in need of repair, such as driver boards if the manufacturer support or
warranty is not available. Replacement micro-inverters and power optimizers should also be
stored onsite.
Central Inverter
Central inverters involve much more DC wiring to deliver the PV energy from a very large
distributed array to the location of the central inverters. Electricians working on energized DC
circuits (combiner box and array) must don personal protective equipment as required per NFPA
70E and OSHA Standards (including but not limited to arc-rated clothing, insulation gloves,
faceshield, and other personal protective equipment [PPE] as required for the level of voltage
and arc-flash potential being worked on). The gloves with liners and leather protectors are

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 sometimes unwieldy, so complex tasks are difficult and tasks take longer to perform. The cost of
a technician that has training and PPE to work on live DC circuits is in one case $128/hour
versus $70/hour for a journeyman electrician who could maintain ordinary AC circuits. Other
items such as disconnects are also more expensive in DC version than AC version. An arc fault
is more persistent in DC wiring than in AC wiring. The additional DC wiring of a central-
inverter configuration might require more repair than the corresponding AC wiring of a micro-
inverter or string-inverter configuration. Large central inverters become a single point of
failureif the inverter is down, either intentionally for maintenance or unintentionally, the entire
associated electrical production is lost, not just a portion. Monitoring using only a few central
inverters is less complicated than multiple micro- and string inverters, and it involves less energy
consumption by the monitoring system itself. Advanced features such as non-unity power factor
(sourcing kVAR), curtailment of output power, low-voltage ride-through, and low-frequency
ride-through are easier to implement in central inverters, and such controls will add more to the
per watt cost of micro- and string inverters. For central inverters, numerous subsystem repairs
to the inverter are supported (control cards, driver cards, components such as an insulated-gate
bipolar transistor (IGBT) matrix and capacitors), assuming that each is repaired independently, in
contrast to micro- and string inverters, which requires replacement of the entire unit.

String Inverters, Micro-Inverters, and DC-Optimized Inverters

Micro-inverters and string inverters shut down automatically as required by IEEE 1547 upon loss
of AC connection, and only the strings of modules connected to the string inverter remain
energized. The wiring from the string inverters to the central AC switchgear becomes de-
energized, which is the important advantage of string inverters with an impact on O&M costs,
since it is simpler and less expensive to work on de-energized, conventional, AC wiring than it is
to work on energized DC wiring. Micro- and string inverters avoid the need for an additional
control circuit and hardware required for rapid shut-down (NEC 690.12) and avoids the need for
arc-flash protection when working on the connecting AC wiring. Power optimizers work similar
to micro-inverters but shut down the DC power coming from the power optimizers to the
inverters. Each power optimizer will output only 1 V, meaning that the string connecting the
modules to the inverter is also de-energized. Regarding corrective maintenance, manufacturers
of string inverters vary, but can take up to about one month to send in new warranty inverters for
replacement. The customer should go to the site and take a photo of the dead string inverter and
then call the company to ship the replacement materials authorization (RMA), which is a long
process when compared to replacing failed components of a central inverter with spares on-hand.
However, replacement of string inverters is quick and easier than repair of central inverters and
can be accomplished by an electrician rather than an inverter specialist. Annual production can
be improved over that of a central inverter by keeping string inverters in stock for replacement,
and to rotate this stock as inverters failan approach that is not feasible for central inverters.
With string inverters, fewer arrays are impacted with one inverter failure. Even though it is
unlikely that all the string inverters will be down at the same time, there is a corresponding
probability that, at any given time, at least some string inverters will be down and in need of
service or replacement (called whack-a-mole by service providers). Micro-inverter
manufacturers have developed a sophisticated data platform that maps location and can monitor
performance, and also pushes out software upgrades on a module-by-module levelmuch more
detailed information than data from a central inverter. Power optimizers also offer the ability to
see module-level data through mapping of module locations and, in many cases, can remotely

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 offer the same troubleshooting capabilities of onsite current-voltage (I-V) sweeps. The selection
of string inverters assumes replacement or swap as the most common corrective action, rather
than replacing failed parts as in a central inverter.

5.3 Roof Maintenance Related to PV System

O&M measures related to the roof for rooftop systems include finding and fixing roof leaks and
any maintenance related to the rack attachments or effects of ballast on the roof. Rather than
only the roof membrane, a roof system includes membrane, cover-board, insulation, air and
vapor barriers, and the roof deck. O&M considerations provide preventative maintenance for the
roof and avoid damage to any of these roof-system components as the PV system is being
serviced. Roofs under warranty require annual preventive roof maintenance to maintain the roof
warranty. It is a best practice for the PV O&M provider to meet with the roof maintenance
provider to make sure both teams understand their roles and responsibilities and respect the
needs of the other. Failure to provide for maintenance of a roof system may result in roof-system
failure, thereby necessitating PV system removal for roof repair/replacement, which is bad for
the prospects of the PV system. By meeting, the roof maintenance provider can share particular
areas of concern with the PV O&M team, and vice versa. This kind of collaboration can
minimize contentious finger-pointing when problems arise. Scope and cost of maintenance for
rooftop systems are affected by several factors, discussed below.

Complexity: It costs more to perform repairs on a roof with a complex layout, such as multiple
sections or multiple ridges in different orientations.

Slope or Pitch: It is more difficult, requires more safety equipment and training, and costs more
to perform repairs on a steep roof than a low-slope roof. Slopes greater than 34:12 pitch (vertical
to horizontal, about 18 degrees, some companies use 14 degrees as the low-slope/steep slope
criterion) require a higher standard for fall protection (29 CFR 1926.500)warning lines alone
are not allowed, guardrails must have toeboards, etc.and contractors charge more for pitches
above 7:12 because of the difficulty, special equipment required, and because the company pays
higher insurance costs. See OSHA 1926.501(b)(10) for low-slope roof requirements and
1926.501(b)(11) for steep roofs. A ballasted, rather than attached, system may be used on flat
and low-slope roofs, but not sloped roofs.

Condition: If the roof and decking is damaged, any repairs or replacement costs will be
additional scope and cost. This could occur if a water leak has damaged the underlying roof
deck. Often, water damage is not noticed until after the roofer has removed shingles and looked
at the deck.

Scale: The size of the roofand more specifically, the areas under the PV system and requiring
maintenance associated with the solar energy systemaffects the per-unit cost. With a high cost
of mobilizing equipment and labor to the site, leaks in small roof areas (e.g., residential) will be
very expensive to fix on a per-square-foot basis. Roofers talk in units of squares and one
square equals 100 sf.

Type of Roof: The costs per-square-foot for different roof types below are based on a scale of
1,200 sf repair/replacement, typical of commercial-scale rooftop PV. Membrane flat-roof
applications include fully adhered thermoplastic polyolefin (TPO) membrane roof, ethylene

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 propylene diene monomer (EPDM), or polyvinyl chloride (PVC). For ballasted systems, there is
a sacrificial slip sheet between the bottom of the ballast pan and the roof membrane. Cost to
repair or replace a membrane roof is about $70/m2 ($7 per square foot: $2/sf roofing material,
supplies, equipment; $5/sf labor). Built-up asphalt roofs and other modified-bituminous roofs
may cost on the order of $100/m2 ($10/sf to repair). Asphalt shingles are perhaps the least
expensive roofing, and so, also less expensive to maintain. Maintenance costs are on the order of
$60/m2 ($6 per square foot;:of which $1.50/sf is for materials) of affected roofing area plus
mobilization costs. Composite shingles use better materials and may cost on the order of $70/m2
($7 per square foot to repair damaged areas;(materials $2.50/sf). Wood shingles may cost
$200/m2 ($19/sf) for repair or replacement. Slate roofing repair may cost on the order of
$130/m2 ($120/sf; materials $10/sf). A metal roof can accommodate solar very easily and it
would be difficult to attribute any O&M cost with the attachments to the metal seams, except for
inspections. However, if problems do occur with metal roofing, they may cost on the order of
$430/m2 ($40/sf to repair; materials $15/sf). Concrete tile is common on Spanish colonial-style
homes and may cost on the order of $650/m2 ($60/sf) of area requiring repair or replacement
(materials $5/sf) (http://welcome.homeadvisor.com/costguide_roofing
and http://www.homeadvisor.com/cost/roofing/repair-a-roof/).

Table 2. Service costs for different types of roof. Note that large variations can exist based on
size, site access, location, and labor markets.
(http://welcome.homeadvisor.com/costguide_roofing
and http://www.homeadvisor.com/cost/roofing/repair-a-roof/)

Roofing Type Repair Materials ($/m2) Repair Labor (h/m2)

Thermoplastic Polyolefin (TPO) 20.00 1.0

Ethylene Propylene Diene 20.00 1.0

Monomer (EPDM)

PolyVinyl Chloride (PVC) 20.00 1.0

Built-up, Bituminous 15.00 1.5

Styrene-Butadiene-Styrene (SBS) 20.00 1.0

Asphalt Shingle 15.00 1.0

Composite Shingle 25.00 1.0

Wood Shingle 40.00 2.0

Slate 50.00 1.0

Metal Roof 50.00 0.5

Tile 50.00 1.0

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 The use of manufacturer-specific materials are required for the flashing to PVC, TPO, and other
membrane-type roofs. The flashing must bond chemically with the field membrane, and all
materials and adhesives must be compatible. Bituminous and modified bitumen roofs use cone-
shaped metal flashings, and the skirt of the flashing is sealed with a torch-down bitumen
capsheet, with an EPDM collar sealing the flashing to the post. The cost of repairing flashing
can be on the order of $100 per flashing of a roof stanchion or conduit penetration, and as much
as $500 for larger objects such as the pedestal supporting a roof-mounted inverter, combiner box,
or switchgear.

Overburden Waiver: An overburden waiver, often required to maintain a roof warranty, agrees
to remove the PV system should the roofing company need access to do any roof work. If
required, the cost of removing and re-installing a PV array area is high and also entails lost
production.

Roof Warranty Issues: Roofing contractors often guarantee the work they do, which is often
between 5 and 10 years for their workmanship. This will typically cover leakage or total failure,
but not wear-and-tear or damage associated with the PV system. Some roofing manufacturers
offer 25-year warranties, but those typically apply to commercial projects and require certain
installation procedures. PV systems can be installed on many different types of roof. However,
installation of a PV system can increase a roofs potential for leaks and damage due to increased
rooftop foot traffic and additional attachments to and through the roof membrane. So measures
need to be taken to continue a warranty and ensure long-term performance of the roof under the
PV system. The following scope of work is recommended for the roofing company having the
warranty or service contract on the roof, or failing that, then another roofing company certified
by the roof manufacturer:

Provide forms to fill out or procedures to follow and information required to officially notify
roofing company and manufacturer of roof problems related to a PV system and plan for
repairs.
Review the repair plan to ensure that it is appropriate for the existing type of roof,
compatibility of materials, stresses, expansion/contraction, membrane puncture, insulation
compression, and recommended repair/replace practices. Identify the conditions required to
maintain the roof warranty or recommendations for the quality of the installation, such as
thickness and material properties of slip-sheets, and also including selection of cleaning
agents and any other future O&M impacts.
Inspect the condition of the roof prior to repair work. Provide details of any repairs or
reinforcement required.
Inspect the final condition of the roof upon completion and acceptance of the repairs. To
reduce the potential for leaks and to provide a more durable platform under all types of PV
systems, the roof manufacturer will specify requirements and recommendations. For
ballasted rack PV systems, this would include a sacrificial layer (membrane) of minimum
thickness under the feet of the ballasted rack system (Fig. 2); walkway system comprising a
walkway pad or pavers around the blocks of the PV arrays; requirements to remove PV
components to investigate a leak or make a repair; requirements that the system be rendered
safe (de-energized) for roof work, and other requirements considered necessary by the

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 roofing company or roof material manufacturer. New flashings or other alterations to the
roof must follow all technical standards and details provided by the manufacturer.

Figure 2. Best practice is to run slip sheet continuously under rack members to avoid direct
contact with roof membrane. In this photo, direct contact of the rack is cutting into the roof
surface (photo by Norm Crouse, courtesy of Lightbox Energy)

Snow and Ice Removal: Snow is rarely removed from PV systems because it is not cost
effective and damage may occur to the PV modules and wiring. Snow may slide off of arrays
tilted more than, say, 30 degrees, but will remain on lower tilts until it melts. If snow is not
removed, annual production is reduced by about 3% on average and up to 15% in very snowy
climates (e.g., Truckee, CA). However, it is sometimes necessary to remove snow to avoid
limits on roof weight loading. For light snow, a turbofan or brushes and squeegees may do less
damage than shovels and rakes, but extreme care is required to avoid damage. Snow is
sometimes removed from the roof or ground in front of the array to provide clearance for snow
to slide off of the PV array. Cost for snow removal is about $50 to $75 per hour for labor, or
about $0.50/sf of array area.

Removal of Ice Dams: Ice dams should be removed to allow the roof to drain properly. Snow
over the ice dam can be removed with a rake or shovel and the ice dam can be removed using
chemical ice melters or a de-icing cable. Cost is $70 labor per ice-dam location and materials
include a $50 rake and ice-melting supplies. Extreme care must be taken not to damage the roof
membrane, the PV modules, or connecting wiring.

Removal of Debris: Debris that has collected such as leaves should be removed to allow water
drainage and to prevent material for vegetation growth and nesting on the roof. Cost for removal
of debris is often included in the estimated cleaning cost, but is a cost in addition to cleaning the
surface of the PV modules themselves.

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 5.4 Ballasted or Attached Rack
PV arrays may be attached to the roof deck or structure or they may be ballasted, which means
held in place by added weight. Ballasted systems can only be used with flat or low-slope roofs
(as specified by supplier, but not more than 5 degrees; 1:12 pitch). To reduce wind loads,
ballasted systems can only be used if solar collectors are at a low tilt angleusually a 10-degree
tilt and limited to no more than 20 degrees (one dual-orientation ballasted system has a south-
facing panel tilt angle of 25 degrees, and north-facing of 15 degrees). Such a low tilt angle is a
minor penalty on annual energy delivery depending on latitude, but allows more kW per square
foot of roof area and delivers more in summer, when utility rates are higher.

Roofing Material: Maintenance of a ballasted PV system is affected by the type of roofing

material. Coal tar pitch, styrene-butadiene-styrene (SBS) modified bitumen, or other soft
materials may be damaged by the pressure of a ballasted system, although suppliers of those
roofs have introduced products and methods to accommodate ballasted PV. Fully adhered TPO
membrane roof, ethylene propylene diene monomer (EPDM) or PVC-type roofs are protected by
a slip sheet of material between the ballast foot and the roof membrane.

Compressible Insulation: Maintenance issues may arise on roofs that have compressible
insulation and some measure may be needed to avoid membrane damage and ponding of water.
Ponding of water in depressions under the added weight of a ballasted PV system can deform
and stretch the membrane, accumulate dirt, and increase abrasionin turn, requiring more
maintenance to avoid leaks in the membrane. To avoid this, in design, the insulation should be
polyisocyanurate (polyiso) board stock as base layer, with a more rigid backer-board to serve as
an underlayment for the membrane, such as 15.8-mm (5/8-in.) gypsum cover board; otherwise,
special protective layers may be required to avoid compression of insulation and membrane
damage.

Wear on Roof Membrane: The manufacturer will specify requirements including the thickness
of slip-sheets between the ballast feet and the roof membrane. Even with this sacrificial layer, or
where the layer is not present, movement causes wear of the membrane, and maintenance will be
required to maintain the integrity of the membrane. Two best practices are recommended: 1) a
continuous slip-sheet roll running underneath the entire racking rail (as compared to individual
slip-sheets placed individually under contact points; and 2) during O&M, make sure these slip-
sheets are still in place under racking contact points. The slip-sheets can sometimes work
themselves loose over time.

Roof Deflection: Typically, an attached system will add less than 3 pounds per square foot of
solar collector area, whereas a ballasted systems will add 3 to 8 pounds per square foot
depending on the tilt angle and wind loading. The weight of ballast materials varies from the
edges to the middle of the racking system, depending on the load to be resisted; so ballast weight
is not necessarily distributed uniformly across the array. Edges of structures have greater wind
loads than the center of the roof; thus, it has more ballast weight. The added weight of a
ballasted system can cause deck deflection, resulting in increased ponding of water. In that case,
there may be measures to improve drainage.

Wind Damage: To use a ballasted rack solution, advanced wind-loading evaluations have to be
performed above the general requirements of ASCE-07. Wind loading is usually the determining

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 consideration on whether a ballasted system is feasible (i.e., in areas susceptible to high wind,
the ballast weight required could be excessive and so an anchored system would be better).
Product-specific design can aid in the placement of a ballasted arrays to avoid strong wind areas.

Extreme Snow Loads and Ballasted Racks: Snow loads are a variable load consideration
common to both attached and ballasted systems. Extremely heavy snow loads may exceed the
rating (often 240 kg/m2 or 50 lbs/ft2) for low-slope ballasted rack hardware, and may cause
damage to the rack and modules.

Maintenance of Proper Roof Drainage: The position of PV rack and ballast materials must be
arranged so that they do not disrupt drainage or result in accumulation of small debris. Ballasted
racks have many obstructions (numerous ballast feet laid on the roof) unlike attached systems,
which sit up taller on stanchions. Thus, ballasted racks take more effort to keep the roof clear of
debris and ensure that these obstructions do not impede drainage.

Migration of Connections on Roof: Unattached, ballasted components can move over time.
The design should accommodate this movement in the conduit to the stationary interconnection.
But eventually, cumulative movement will require a revision to the conduit to avoid stresses.
For large commercial rooftop PV systems, this cost may be on the order of $1,000 ($400
materials) and occur every 5 years.

5.5 Ground-Mount
Ground mount avoids the roof maintenance issues listed above but introduces ground
maintenance issues, including:

Vegetation management (mowing, trimming, tree removal, herbicides), which are often
estimated as a cost per acre of site area.
Snow removal can involve removal from the array itself, clearing of access roads and alleys,
and removal where snow accumulates as it slides off an array. If snow is removed from the
array, care should be taken to ensure that the modules are not mechanically damaged by the
removal techniques. In the case of single-axis trackers, significant damage can occur if snow
is not cleared from between tracker rows, because the modules can come into contact with
snow banks when the tracking mechanism is at its extreme east or west positions.
Cleaning requirements increase for ground-mounted arrays because they are closer to the
source of airborne dirt and pollen.
Just as equipment O&M issues should be considered in the design phase, the long-term
maintenance of the ground cover and drainage should be considered in the design, civil
engineering, and construction phases of ground-mounted systems to reduce O&M risks and
costs. In climates with high rainfall, for example, grass-cutting and vegetation control costs can
equal or exceed equipment O&M costs (Brehaut 2015) (Huff 2013).

Design
Initial design considerations that can significantly impact O&M costs for ground-mounted
systems include ensuring that panels are mounted with sufficient and relatively uniform
clearance from the ground; racking is spaced widely enough to allow access for efficiently sized

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 mowing; and cleaning equipment and to protect panels from damage from such equipment (EPRI
2010) (Brehaut 2015). During site selection, it is important to consider vegetation growing on
adjacent properties. Consider how tall the trees will be in twenty years, and will this cause
shading of the system.

In an informal survey and series of interviews conducted by NREL with more than 30 members
of the PV industry, several respondents cited significant problems with panels mounted too close
to the ground to allow access under the panels by an arm of a mower, causing significant costs
for more labor-intensive vegetation management approaches.

Initial design considerations also include establishing proper drainage to avoid or accommodate
flooding and to control erosion which can undermine equipment pads and racking. Several
NREL survey respondents cited increasingly unpredictable and extreme weather conditions that
impacted operations and pointed to the need to design not for historical, but more extreme
climatic conditions.

Ground Cover
Upfront investment in developing ground-cover solutions tailored to each sites climate and soil
conditions and establishing such solutions in the initial year or two of operation can ensure
longer-term viability and lower the risks of shading, erosion, and excessive weed and vegetation
abatement costs during the operations phase (Hernandez 2014).

Applying gravel as a ground cover was widely identified by NREL survey respondents as
expensive and problematic because it creates uneven work surfaces, changes runoff coefficients,
and does not provide a long-term weed abatement solution. Gravel applications were described
as requiring either regular application of herbicides, which can be restricted by local regulations,
or mechanical weed control, which can kick up rocks and damage modules.

In general, NREL survey respondents saw low-growth, vegetative ground cover as ideal for
ongoing maintenance, although many cited challenges in re-establishing vegetation following
construction. Successful solutions included:

Replanting with low-growth species selected by a horticulturalist or other expert based on

site soil and climate conditions, including bent grass, white clover, and buffalo grass
combined with blue grama (ESCO Associates Inc., publication pending)
Replanting with pollinator-friendly or other habitat-supporting ground cover in coordination
with local agricultural extension services or other partners.
Preserving existing, sometimes native, vegetation through minimizing grading, which can
reduce weed infestations.
Some survey respondents, as well as an NREL study of revegetation applications at a utility-
scale PV site in Colorado, report greater success with broadcasting seeds and raking them into
the soil, or drill seeding, than with hydro-seeding to reestablish vegetative cover in more arid
areas. (ESCO Associates Inc. publication pending)

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 Vegetation Management
Chemical vegetation abatement may be more efficient and at times less costly, particularly in
arid areas. However, several NREL industry survey respondents cited problems with soil
stabilization after herbicides eliminated vegetation; the added risk to, and safety requirements of,
those handling the chemicals; and, most often, local or state regulations that restrict herbicide
use. In addition, chemical vegetation abatement can conflict with public expectations of
environmental stewardship from the solar industry.

In arid areas, mowing may be unnecessary with proper soil stabilization. For areas where
mowing is required, there is the added risk of projectiles damaging modules.

Some companies in Germany and a growing number of utility-scale PV systems in North

Carolina and Hawaii are working with local ranchers and farmers to use sheep grazing for
vegetation management (Fig. 3). Goads are not a good option because they jump up onto the
array, and cattle are large powerful animals that damage the array by scratching against it. Those
with experience in this area report greater success when forage needs are taken into consideration
in the design phase and determining the re-seeding mix. Grazing considerations can include
slightly higher ground clearance and conduit to protect wiring (Huff 2013).

Figure 3. Sheep, but not goats or cattle, can be employed for vegetation control (photo by Eliza
Hotchkiss)
Erosion Control
Grading prior to PV system construction exposes soil that is extremely susceptible to runoff and
erosion due to rainfall. Civil engineers may design for sheet flow of storm water. But, in fact,
once a small rill starts to form it collects more water and grows into a large gully. The rill and
gully erosion that occurs under such conditions can endanger the stability of the PV rack

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 foundations and fences, expose buried conductors, and damage access roads and inverter pads.
Thus, a best practice is to design specific pathways for storm-water runoff that include check-
dams throughout the site that feed into channels lined with rock (rip rap) and that have the
channels terminate in splash pads and integrated into the site storm-water management system,
such as a retaining basin. Runoff and erosion can be reduced by stabilizing the aggregates at the
soil surface with soil conditioners. Such soil conditioners are polymers that are sprayed on the
dry soil surface before the rainy season. There are several types of polymer soil conditioners, but
they all have a high molecular weight and complicated molecular shapes that bond with soil and
act as a cementing material that stabilizes the soil against the force of raindrops, as well as
preventing pores in the soil from clogging with clay. The type and amount of polymer applied
depends on the soil type and conditions at the site. Reapplication is required if treated soil is
disturbed or the appearance of rills shows the need for reapplication. Once the long-term ground
cover (described above) is established, reapplication of the polymer should not be necessary.

Figure 4. Drainage and storm-water run-off are difficult to improve after the PV array is installed,
requiring diligence in design and construction of storm-water management systems (photo by
Andy Walker)

5.6 Tracking Mounts

The complexity of tracking systems requires much more maintenance, not only on the load-
bearing moving parts of the array, but also, for the associated system for actuators and controls.
Additional considerations for tracking systems include:

Electrical: Check electrical connections and enclosure for tracking motor/controller; check
grounding braids for wear.

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 Controls: Inspect and calibrate anemometer, replace cup-wheel; inspect inclinometer;
inspect limit switch; replace tracking-controller power-supply fan filter; inspect/test tracking
controller.
Rack and Actuator: Check drive-shaft torque and visually inspect gearbox lubrication;
inspect module table; grease screw jack; inspect screw jack; lubricate slew-gear; check slew-
gear torque and inspect wear; grease universal-joint (zerk fitting); inspect universal joint;
lubricate tracker-mounting bearings/gimbals; repair/replace tracker drive shaft; replace
hydraulic cylinder; replace tracker drive bearing; replace tracker motor controller; replace
tracker mount bearing; replace/upgrade tracker control software.

Figure 5. Although improving annual energy delivery, especially in summer, tracking mechanisms
and controls require regular maintenance to be effective (photo by Andy Walker).

5.7 Environmental Conditions

Many environmental conditions can affect O&M, and many are outside human control. Soiling
can be addressed by the O&M contractor through cleaning, and possibly during the site-selection
process. That is to say, if two potential sites are being evaluated, and the only difference is that
one has a source of soiling and the other does not, choose the site with no soiling problem. Other
environmental conditions can affect O&M, but are outside human control. Examples include:

1. Humidity (this may be addressed by installing dehumidifiers in shelters that contain

sensitive equipment)
2. Hot climate
3. High wind
4. Hail

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 5. Salt air
6. High insolation.
Cleaning
Soiling reduces the energy output of the PV array, and can lead to localized hot-spot failures if
the soiling is uneven. Efforts should be taken to reduce uneven soiling, for example from bird
droppings. Care must be taken with array cleaning to avoid damaging the components. Follow
the PV module manufacturers recommendations with any array cleaning. Clean PV modules
with plain demineralized water with mild detergent recommended by the manufacturer. An
economical method is with a bucket of water, strip cleaner and squeegee (often on opposite sides
of the same tool), using overlapping vertical strokes in the same way window glass is cleaned on
commercial buildings. Do not use high-pressure water, brushes, or any types of solvents,
abrasives, or harsh detergents. Robotic Cleaning systems are available for large systems, and
many of these require that the design of the system accommodate the movement of the robotic
cleaning system.

Cleaning may be on a defined interval or condition based, and the impact of soiling can be
measured by instruments to trigger a cleaning (for example a sensor with and without a shutter of
soiled glass). In either case the benefits of cleaning may be hard to calculate. For example, an
instrument may indicate that the array is dirty, which would trigger a cleaning, but there may be
a heavy rain the next day which would clean the array for free. In the case of uniform soiling, a
local, site-specific cost-benefit analysis should be performed to determine whether routine
cleaning of the array is warranted. The frequency determined may be seasonal, depending on
local rainfall and dust characteristics. Optimal cleaning interval is affected by several
parameters:

Cost of cleaning: usually a fixed fee to mobilize a cleaning crew and then a per-unit-area
cost for labor and materials ($/m2)

The rate at which soil accumulates on the array, expressed as a power loss in %/day,
%/month, or %/year.

The capacity factor for the location: the better the solar resource is the higher the reward
for cleaning

The value of the delivered power ($/kWh): the higher the value of the power the higher
the reward for cleaning

PV module efficiency: the lower the efficiency the more area (m2) of array needs to be
cleaned for the same benefit.

It is tempting to combine these parameters to calculate a cleaning interval that justifies the
cleaning expense. However, due to the fact that dirt begins to accumulate again as soon as a
system is cleaned and due to the effects of rain, a simulation is required to account for time-
series effects. Using such a simulation, Naeem (2014) found that for a system in Mesa Arizona
with an annual soiling loss of 1.91%, a single annual cleaning would reduce the loss to
1.52%/year (-20%), two annual cleanings to 1.32%/year (-31%), and three annual cleanings to

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 1.20%/year (-37%). Including the effect of soil accumulation and rain in an hourly simulation
can also take into account that the effect of soiling changes throughout the day, with losses due
to soiling in the morning and evening about twice that in the middle of the day due to high
incident angle (the shadow cast by each dirt particle grows longer with increasing incident
angle).

Most rely on rain to keep the array clean; no cleaning regimen is employed. Heavy rains result
in a nearly complete cleaning effect, whereas light rains clean much less effectively and can even
increase soiling if dust then sticks to sparse water droplets. Mohammad Hussain Naeem (2014)
did a comprehensive study based on empirical data for both soiling rates and cleaning costs and
concluded that cleaning is not cost-effective for neither residential, commercial, nor utility-scale
plants. He found that cleaning costs varied from $0.25/m2 for large systems to $1/m2 for single
residential systems, and water consumptions was around 1 liter/m2 of system area.

However, where special conditions (listed below) occur, cleaning will be required on a schedule
that depends on the source and nature of the soiling. Annual soiling losses are reported in a range
from 4.3% to 7.5%, with many studies confirming losses around 6%/year. However, annual
values are confounded by the rain cycle and it is more helpful to look at how soil accumulates
daily, in-between heavy rains. Studies report about 0.05% reduction in output per day due to
soiling. Naeem (2014) provides a good analysis of cleaning and survey of the literature and
reports daily soiling rates of 0.061%/day and a range from 0.057% to -0.085%/day from his own
experiments. He recounts another study of 186 systems reporting 0.051%/day and another
reporting a range of 0.04% to 0.07%/day. In an area with heavy agricultural activity 0.36%/day
is reported, and contrasted to a rate of 0.01%/day in a desert area void of agricultural,
construction, or industrial activity. Large bird populations may result in losses accumulating as
high as 0.5%/day and dust storms in places like India have reported losses accumulating at
around 1.5%/day.

Soiling and resulting cleaning regimen depend on local sources of dirt. A sample swabbed from
the PV module surface can be taken to an analytical laboratory to ascertain its origin. Some
sources of soiling may be eliminated or reduced at the source (birds, factories, construction
sites), whereas others will be corrected only by cleaning. Sources of soiling that may indicate
the need for prevention or a cleaning regimen include:

Agricultural dust: cleaning can be scheduled following plowing. In parts of the world
without active soil conservation, persistent dust can require frequent cleaning.

Construction dust: cleaning can be scheduled after completion of nearby

construction. Encourage construction manager to implement dust suppression.

Pollen: schedule cleaning after end of pollen season.

Bird Populations: Reduce open cracks between panels where birds can build nests; use
plastic bird slides to change flat surfaces to steep-sloped surfaces; use bird netting to
seal areas under the panels down to the roof completely around the array; install bird
spikes along the top edge of the array to prevent roosting; use plastic owl or falcon with
swivel head to scare off birds; Schedule rooftop services and removal of nests according

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 to nesting season timing. Birds are creatures of habit and their behavior can be changed
over time to avoid your roof.

Diesel Soot: present in cities and concentrations such as bus depot and may require
frequent cleaning.

Industrial Sources: Processes such as cooking or manufacturing can be sources of array

soiling. This can be identified by testing samples of the dirt. As an example, a filter
added to a fryer can reduce oil in kitchen exhaust air.

Figure 6. Module soiling can often be traced to a source, such as construction-site dust shown
here resulting in about 5% loss. (photo by Andy Walker)

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 Figure 7. Bird populations are a source of soiling, as well as nests that need to be removed, and
seeds that can sprout on arrays. (photo by Andy Walker)
Snow Removal
Design of array can increase or decrease snow accumulation (Fig. 7). Clearance between the
bottom of the array and the ground or roof avoids wind-driven drifts and allows snow to slide
off. Snow generally slides off steep arrays (for example, 30 degree tilt), but does not slide off
low-sloped arrays (<20 degree tilt). Snow removal is generally not recommended because it
damages the modules, but it is sometimes required to reduce snow weight on a roof or to remove
ice dams. Snow removal is by powerful turbo-fan, not shovel or other mechanical means. Snow
removal to provide access (roads, walkways) is generally required.

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 Figure 8. Snow is an environmental condition that both reduces performance and complicates
provision of O&M services. (photo by Andy Walker)

5.8 Site Access

Utility-scale sites frequently have access roads through the array. These are installed during civil
construction to facilitate array construction services. Because these sites can be several acres,
driving access is needed. Roads must also accommodate emergency vehicles such as fire trucks.
The roads may also be built to accommodate cranes, and crane access may be needed during
O&M services. Roads are placed in natural breaks, such as the end of several strings, or the end
of an array tracking mechanism. To ensure an accessible site, these roads must be maintained
periodically. 3

Site security is another issue to consider. If the site is in a rural area, perhaps a fence and locks
on the enclosures and shelters is all that is needed. In a more populated area, cameras or
occasional visits by a security guard may be warranted.

3
EUCI Workshop 2016

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 5.9 System and Site Considerations Checklist
Was O&M a consideration in system design? Are the interests of EPC and O&M
provider aligned?

Are conductors buried or placed in conduit? If direct-bury, is ground compacted to

deter chewing rodents?

Preventative maintenance schedule for inverters followed?

Is repair or replacement criteria for inverter based on availability, size, type, and
cost? Do inverters have remote monitoring and control?

Is system compliant with roof warranty? Is there an overburden waiver defining

responsibilities for each party? Is a system in place for notifying the roofing
company if roof problems arise related to a PV system?

Does conduit design account for movement in rooftop ballasted systems?

Are climate, extreme weather events, ecological conditions, and environmental

regulations accounted for and budgeted into the O&M plan?

Does civil engineering design adequately provide for road access, drainage, and
security? Does panel spacing allow for vehicle access between rows?

Do panel cleaning methods follow manufacturer recommendations and cleaning

schedule account for local conditions? Has a cost-benefit analysis been run to
determine if regular cleaning is cost-justified?

Is the plant required to meet North American Electricity Reliability Corporation

(NERC) compliance for utility-scale plants?

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 6 System Performance and O&M Plans
The PV O&M plan should be considered within the context of the performance period required
for a residential or commercial PV system to generate a sufficient return on investment (ROI).

The PV O&M life-cycle begins with planning and system design. The life cycle ends with
provision for decommissioning or disposal of the system. The asset life (about 25 years) is
considered the performance period even though ownership may change multiple times during
that period.

The cost of the monitoring program can range from minimal (e.g., checking the total electricity
generated as reported by the inverter once per year) to exceeding $100K/yr in high-accuracy
monitoring equipment that is watched daily for signs of problems or needed cleaning. As
discussed below and in the appendices, the monitoring program is chosen to align with the
expected increased revenue because it would depend on the size of the system and the logistical
details.

A system owner is likely to seek a performance contract where a specified performance

indicator, such as MWh/year energy delivery, is guaranteed. Indicators that account for changes
in weather, force majeure, and anticipated degradation are recommended (such as the
performance ratio as described in Appendix A).

The scope of work for the performance contract is called a Performance Work Statement, with
performance being quantified by indicators such as energy delivery or availability. Appendix
E includes an example Performance Work Statement based on the key performance indicator of
80% of system nameplate rating and corrected for balance-of-system efficiency and conditions.

6.1 Planning for PV System Performance

Many performance indicators have been proposed: select a type of key performance indicator
that minimizes cost, but ensures optimal system performance under varying conditions.
Consideration of performance indicators includes how they should be used, when they are or are
not accurate, benefits of each, and pitfalls of using them for the wrong application. PV system
performance is based on how much time is lost when a system is not available and on the
performance of the system when it is available. A system may have an availability of 95%, but a
performance index of 100%. The stakeholders will have a much better assessment of the system
if they measure performance based on both metricsdown-time and energy delivery.
Performance indicators are also important in the monitoring and guarantee sections of this guide.

Performance Indicators
Examples of key performance indicators (KPIs) include the following:

1. Availability (or uptime) refers to the percentage of time that a condition is met
usually that a component or system is operating. In contrast, IEC 61724 states that
energy availability is a metric of energy throughput capability that quantifies the
expected energy when the system is operating relative to the total expected energy, rather
than the percent of time that a plant is available, which is the more traditional use of the
term availability. When defining availability as a contract term, it is important to

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 distinguish events that are outside management control (OMC). Operators should not
be penalized for events that are OMC. Availability standards under development strive to
remove from the calculation the lost energy production during the time of an OMC event.
However, there are many modified forms of defined availability, the details of which can
be segmented and which should be explicitly documented.
A. Is the availability affected by the grid interaction (grid down, power reduction, or
planned shutdowns to avoid grid instabilities) or by the plant itself (shutdowns for
planned O&M downtime due to malfunction)? IECREs implementation of IEC
61724-3 suggests also reporting the energy availability with external causes
identified and OMC events excluded.
B. The energy availability may be reported for the complete system or for blocks
within systems. For example, a 2-MW plant may consist of four 500-kW
blocks and one may be down while the other three continue to operate. The
energy availability may be reported either for the subsystems or for the entire
system. Block availability is more appropriate than whole-system availability
whenever the unaffected parts of a system can continue to operate unimpeded.
C. Availability can also be specific to the components or subsystems within a
system. For example, there may be a KPI for one service provider to maintain a
given availability for the tracking system and a separate KPI for another provider
regarding uptime of the inverter. See Klise and Balfour (2015) for more detail.
When availability is applied at the component level, it may make more sense to
use the time-based availability, reporting, for example, the fraction of days per
year that the component was available rather than attempting to identify the
energy availability associated with that specific component.
D. An availability spec is currently being drafted by IEC that further breaks down
unavailability into various categories. Some categories may be planned
categories such as maintenance; others may be unplanned such as equipment
failure, or unplanned, but force majeure, such as weather or grid outage.
2. Energy Availability: Because the availability of a PV system during times of darkness
is not of much relevance to functionality, it is useful to define energy availability,
which effectively provides an energy-weighted version of the time-derived availability
metric. For a PV system IEC 61724-3 states that Energy availability is a metric of energy
throughput capability that quantifies the expected energy when the system is operating
relative to the total expected energy. The energy availability may be expressed as a
percentage or a fraction. The system is viewed to be operating when the inverter(s) is
peak-power tracking and feeding energy into the grid. If a system has multiple inverters
and only a fraction of the inverters are functioning, then the calculation of the operating
expected energy is calculated only for the inverters that are operating. If a system has
string-level monitoring, then the operating expected energy may be calculated to reflect
only the operating strings. Measurement of the energy availability requires knowledge of
the weather data in addition to knowledge of when the inverters are operating; it is
described in more detail in IEC 61724.

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 3. Energy Performance Index: The performance index is defined by IEC 61724-3 and
may be used to complement the energy availability metric. The performance index
compares the energy that was produced by the plant with the energy that was expected
for the plant based on the measured weather and irradiance, and a performance model
agreed to by the stakeholder. The performance index may be defined to stand alone or to
complement the energy availability metric by using the options:
A. All-in energy performance index is the ratio of the total electricity produced
divided by the electricity that was expected including all hours and seasons of the
year.
B. In-service energy performance index is the same ratio, but excluding the
electrical energy that was expected when the system was not operating. The in-
service performance index is useful toward quantifying how well the plant
functions when it is functioning and is best used to complement the energy
availability metric.
4. Energy Delivery refers to the measured MWh/year energy delivery; Adjusted Energy
Guarantee is discussed in IEC 61724 and NREL report Analysis of Photovoltaic System
Energy Performance Evaluation Method.
5. Specific Performance refers to energy delivery divided by plant rated capacity, in units
of kWh/kW/year. This is also referred to as Array Output Energy in IEC 61724.
6. Performance Ratio as described in IEC 61724-1 or ASTM E2848 13 Standard Test
Method for Reporting Photovoltaic Non-Concentrator System Performance. The latest
version of IEC 61724-1 defines several ways to calculate various types of performance
ratio. Variable definitions of performance ratio can prevent direct comparisons in some
cases. The standard definition of performance ratio does not include a temperature
correction. Recommendations are provided in the NREL report Weather-Corrected
Performance Ratio on how to avoid the variability of performance ratio with weather
conditions. Appendix A presents an example of such a description of how performance
ratio is applied.
7. Power Performance Index: Measurement of the power performance index is described
in IEC 61724-2 and is similar to the energy performance index except that it reflects the
power output rather than the energy output. A performance ratio (PR) is not as relevant
as a performance index. A PR of 0.8 may be fine for some locations, but not for others.
PR will usually be higher in the winter and lower in the summer. In contrast, a more
consistent metric is the performance index, which compares the measured power or
energy to the expected power or energywhere expected power or energy is based on
measured weather and irradiance, and a performance model agreed to by the
stakeholders. Ideally, both the power performance index and the energy performance
index are close to unity. Thus, the performance indices are more likely to deliver
consistent metrics across times of the year, geographic locations, and times of weather
anomalies.
8. Capacity Test, or Short-term Performance Test: The power delivered by the inverter
(kW) is compared to the power of the PV system as calculated as a function of
environmental conditions by the following equation:

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( ) ( 20)
= 1 + 25
1000 800

2 2

where:

P solar = predicted average power output in kW of the solar system, averaged over the
duration of the test

P STC = rated size in kW, nameplate capacity; STC refers to Standard Test Conditions

BOS = balance-of-system efficiency; typically = 0.77 to 0.84 (NREL, 2011), but

stipulated based on published inverter efficiency and other system details

degr = an age degradation factor that is 1.0 initially but degrades at 0.5 % per year

I c = measured solar insolation in plane of array (W/m2), averaged over the duration of the
test

= temperature coefficient of power (1/C), which is usually on the order of 0.004 1/C
for silicon PV modules and may be less for other technologies

T ambient = ambient temperature (C), averaged over the duration of the test

NOCT = nominal operating cell temperature, which is a number found in the

manufacturers literature and is often around 47C

The ratio of measured average power to predicted average power is the performance index based
on the short-term performance test. Notice that this is a spot check on instantaneous power
performance and does not include availability (or down-time) in the metric.

O&M managers should consider how to allocate risk associated with inaccuracy of the
calculation of PR or error in the implementation of the evaluation method. For example, dirt on
a pyranometer will exaggerate PR. Thus, exclusions such as clipping (high AC/DC ratio), force
majeure, specific representations made by the O&M provider, and underlying solar resource
considerations should be specified in calculations and the evaluation method. Note that a dirty
irradiance sensor may be a maintenance issue, but clipping may be a model issue, and it is useful
to distinguish between the two issues. The maintenance of instrumentation is very important.
Current PV system performance standards development suggests that a model should be used in
the calculation, and such a model may include simulation of issues such as clipping. An example
of such a performance model is the System Advisor Model (SAM) program by NREL
(https://sam.nrel.gov/), although there are many acceptable models available.

6.2 The PV O&M Plan

The PV O&M plan prepared by the owner, EPC firm, and/or the developer and accepted by the
asset manager is the only long-term operations plan for a PV system. The motivations of the

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 EPC and the long-term operator may be different and they may clashthe EPC is more
concerned with getting through the installation warranty period, but the operator is more
interested in protecting the value of the system and his or her contractual agreements for many
years. The O&M manager retains in the plan archive all the initial planning, warranty, design,
and other system specification documents, and also revises the plan as the system is constructed,
maintained, and modified over time. The O&M plan provides the specific measures to achieve
the level of performance specified by the KPIs in the Performance Work Statement.

An O&M plan can accommodate different system configuration by including all the descriptions
and measures for systems and adding the terms if applicablefor example, lubricate tracking
ring gear, if applicable. However, the scope of work and cost estimate for suppliers should
itemize the measures to be performed based on system details affecting maintenance, such as the
number and types of different inverters, fixed rack vs. tracker, rooftop vs. ground mount,
transformer vs. transformer-less system, and others. A documented PV system O&M plan for a
system or fleet of systems should include the following (depending on system size, complexity,
and investment):

O&M Plan Checklist

List of responsible-party contact information including site owner and offtaker of
power, utility, local jurisdiction, local landowner, as well as emergency numbers.

System documentation including as-built drawings, specifications, site plans, photo

records, special safety considerations, electrical single-line diagrams, schematics,
drawings, installed components cut sheets and warranties (including warranties
from system installer), performance estimates, insolation/shade studies (including a
description of nominal conditions to make it easier to see malfunctions or
deviations), operation manuals associated with any of the equipment (including
emergency shut-down and normal operating procedures), and contracts for
preventive maintenance, service, and other operations documents, including contacts
for each, and specified response times and availability

Uphold manufacturers preventative-maintenance measures to preserve warranties

and to optimize system energy delivery, and the schedule for each. Includes details
such as cost and current supplier of each preventive-maintenance measure and
special instructions such as hours that work is to be performed, access to site, and
locations where vehicles may be parked and equipment staged.

Descriptions of operational indicators, meters, and error messages; description of

any physical monitoring setup and procedures by which performance data are to be
archived and reported; and procedures by which data are regularly examined for
system diagnostics and analytics.

Keep an inventory of spare parts onsite, or easily accessed by maintenance crew, and
implement a process for determining when other spare parts need to be ordered
based on component failure history.

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 Clearly define availability and performance metrics, and events outside of
management control.

Implement focused training program for all O&M staff on processes relevant to each
worker, and the equipment they may be working on.

Implement chronological O&M log: work order and task tracking to include initial
commission report, inspection reports, and ongoing O&M history.

Established procedure for responding to alerts from monitoring diagnostics, error

messages, or complaints from the building owner. Provider should also compile a
troubleshooting guide for common problems.
List of all equipment with make, model, and serial numbers and map of placement in
system (to spot trends in manufacturing defects); for each piece, a supplier of
replacement part (vendor) should be listed.
Criteria to decide whether to repair or replace a component. Criteria to decide
whether to cannibalize a string of modules to source replacement modules or to
order new parts.

Establish procedures for re-acceptance testing following a repair.

Budget for O&M program including costs for monitoring and diagnostics,
preventive maintenance, corrective maintenance, and minimum exposure (line of
credit) if replacement of inverter or more expensive corrective maintenance is
needed.

6.3 Use of O&M Plan

Following construction and commissioning, the O&M plan is the only surviving operational plan
that contains the complete history of the plant in its archive. Therefore, it is critical to ensure
that the O&M plan is well-documented and safely archived.

Ensure, by establishing a well-organized directory, that a well-documented and maintained

O&M plan is available for each system in the fleet, along with a preventive maintenance
schedule.
Maintain a tracking log for customer-driven alerts for corrective maintenance and any
measures taken on a system. Up-to-date document service histories for each installation
should also be included.
Maintain the O&M plan in an online mobile work-order management system (there are
dozens). Use such a ticketing system to record work.
Include decommissioning in the PV O&M plan and/or asset management.

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 O&M Plan for Residential/Small Commercial PV Systems
The residential and small commercial O&M focus is on fleet performance goals rather than
individual systems; meeting performance warranties of individual systems to meet customer
satisfaction goals should be balanced against cost and cash-flow optimization. These PV
systems are typically simple, small, and geographically spread out over different metropolitan
areas and states. The aim of the operations team is to minimize truck rolls and efficiently
schedule any needed work. Use the SAPC PV System Installation Best Practices Guide, which
includes requirements for design guidelines, system inspections, and system documentation.

O&M Plan Considerations for Residential and Small Commercial

System should be installed according to SAPC PV System Installation Best Practices
Guide [http://www.nrel.gov/docs/fy15osti/63234.pdf]

Small commercial and residential onsite inspections are the responsibility of the
contract off-taker (small commercial) or homeowner (residential). Often the small
size precludes the use of automated monitoring (although developments, such as
microinverter or power optimizer communications, are making automated and
remote monitoring more feasible).

Any inspection of fleets of small systems is usually on a representative sample rather

than every system.

Performance guarantees should consider typical amounts of malfunction (e.g., one

string fuse) and soiling to ensure insignificant corrections can be deferred, and
module cleaning and snow removal (by turbofan) is not provided. Treat extreme
soiling situations as corrective maintenance.

Provide a manual to the homeowner with contact information and description of

operational indicators and procedures he/she can do, including clear documentation
that states the customer is responsible for maintaining original insolation/shade
study results by completing routine bush and shrub trimming.

O&M Plan for Larger Commercial and Industrial PV Systems

O&M focus for commercial and industrial PV is more on the performance of individual systems
rather than fleets and meeting performance warranties. The investment and revenue of large
systems justifies more detailed monitoring for anomalies in performance and increased
communications and sensors to trigger condition-based or corrective maintenance services and
alerts. Module cleaning, snow removal (for access and in front of modules, only from modules
themselves in unusual circumstances where required, such as excessive weight of snow), tree
trimming, etc., should be included in the O&M plan and schedule of services and based on the
plant environment (e.g., dusty) and financial and performance goals. The PV O&M cost tool
supports modeling of different regimes (see Appendix B). One of two reference modules could
be cleaned to compare and evaluate the effect of cleaning; this information could be used to
trigger a cleaning based on cost.

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 Key considerations for an O&M plan for systems larger than 500 kW:

O&M Plan Considerations for Commercial and Industrial

Automated monitoring with diagnostics to push error alerts triggering corrective
maintenance?

Continually analyze performance information to optimize condition-based O&M,

such as cleaning, and long-term issues such as reliability trends?

Provide offtaker with manuals containing contact information and descriptions of

their participation and responsibilities, self-inspection of the system, and what
conditions necessitate the O&M provider to be notified of problems?

Provide offtaker with a shelter onsite for workers to meet and look at plans if size
warrants

6.4 Document Management and Record Keeping

Documentation is essential to O&M services, and important records include: the physical
condition of a PV plant, current contracts for services, insurance policies, tax records, proof of
ownership, and compliance with regulations; warranties and the terms to keep warranties in
effect; records of past changes to the system; and records of past corrective maintenance services
and the results of each. Before undertaking any maintenance service, the service provider must
know what equipment was installed initially and any changes that have been made since. If not
available, such records should be created (complete set of as-built drawings) at the cost of the
asset owner. Some problems are difficult to diagnose and solve, so records of what has been
attempted previously are often essential for eventually correcting the problem. Good record
keeping of work orders and trouble tickets is required to ensure that each issue is ultimately
resolved.

A document management system provides proper storage, access control, change control, and
back-up for essential data. A log should be kept of who has accessed the documents, who has
taken them out if possible, and what modifications were made, if any. Version control should be
implemented so that people can see what document is currently in effect and can look at the
history of the document. Documents to be managed in a structured document management
system include:

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 Document Management Checklist
Maintain list of responsible party contact information including site owner and
offtaker of power, utility, local jurisdiction, local landowner, as well as emergency
numbers.

Maintain list of all equipment with make, model, and serial numbers and map of
placement in system.

Maintain all documents produced by the EPC, including As-built drawings (plant
location, property boundaries, plant layout, electrical diagram), specifications,
product datasheets, and wiring diagrams

Maintain operating manuals for inverters and other equipment.

Maintain documentation of health and safety issues and rules.

Maintain reports from commissioning, re-commissioning, and inspections.

Maintain past and current contracts with all service providers and suppliers name,
start and end dates, scope of work, contract value and pricing, performance
indicators and guarantees, contract clauses).

Maintain preventative maintenance and inspection records (proof that preventive

maintenance required to keep warranties in effect has been completed), as well as
corrective maintenance event logs (alarms (with date); status (problem flagged,
cause identified; pending, action taken, confirmed that problem is solved); corrective
action taken and date; who did the work with contact information).

Maintain an inventory of spare parts: stock count and location; names and part
numbers; date purchased.

Maintain all warranty documentation: warranty documents; claims made (affected

equipment, claim description, occurrence date, correspondence with
manufacturer/supplier).

Document environmental (weather) conditions: meteorological data (insolation in

plane of array; temperature, other such as wind speed).

Document production data: AC active and reactive power at point of

interconnection; power consumption of auxiliary systems and house power; power
at other subsystems such as DC power into inverter, and other measurements as
available.

6.5 PV Plant Operations

PV systems are often thought of as passive systems without as much operations as a
conventional fossil-fuel engine. However, operations programs that consisted largely of

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 delivering solar power whenever it was available are becoming obsolete. PV system operations
is a growing field because increasing PV penetration into the larger utility system, and an
emerging market for ancillary services (e.g., dispatch of storage, sourcing reactive power,
curtailment of output) require more system interaction on an ongoing basis. Plant operations
include forecasting of output; scheduling maintenance operations; spare parts inventory (either in
stock on site or in suppliers consignment stock); and inspecting work and approving invoices.
Meanwhile, operations include any day-to-day operation of the system to maximize power
delivery; assess performance and trends; operate grid interface; manage curtailments, or adjust
settings such as power factor.

Forecasting PV Plant Output

Plant operations include forecasts of power and energy delivery hours and days in advance.
Suppliers of PV monitoring systems often also supply forecasts; or other forecasting services
based on proprietary or publicly available weather forecasts, satellite data, and statistical
methods are also available. In addition to these weather-based forecasts, the operator should
impose any scheduled outages or maintenance services that affect the forecasted plant energy
delivery. Forecasts are important for two applications:

Allow PV systems to participate in markets that require advance (e.g., day-ahead) contracts
to provide power. Such contracts come with an associated level of reliability and financial
penalty for non-performance, so an accurate forecast is essential to participate in such day-
ahead markets.
Allow for unit commitment and dispatch of conventional resources (e.g., diesel generator),
which is essential in a microgrid application or for a remote system (such as on an Island out
in the sea) and is desirable in mainland grid-integration efforts.
Metrics associated with forecasting systems include:

Forecast horizon: How far in advance the system predicts PV plant energy delivery. Some
provide a two-week forecast, but the second week appears to be the astronomical (sun
position) forecast, and only the first week appears to incorporates site-specific weather
forecast.
Time resolution: When using conventional weather forecasting techniques, hourly is
considered state of the art. To get higher time resolution may require on-site sky
observations. Image processing instruments to project cloud movement have been invented
and demonstrated, but are not yet in commercial use. Likewise, models to predict cloud
formation based on thermodynamics and transport phenomenon in the atmosphere are in their
infancy.
Update frequency: How often is the forecast updated? For example, one vendor updates its
forecast every four hours.
Accuracy: Accuracy of the forecast can be proven out over time by taking the root mean
square (RMS) error of the production forecast compared to actual plant output, and
considering other factors such as if parts of the plant are dirty or out of service for
maintenance.

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 Inventory of Spare Parts
The O&M service provider is usually responsible for stocking spare parts, but the asset owner
may also participate in spare-parts ownership and storage. Parties should agree on bailment,
which is liability if the parts are stolen or damaged in storage, and the party providing storage
should have insurance to mitigate such risk. Storage should provide for security (theft,
vandalism), storage conditions (temperature, humidity, moisture), and organization (e.g., first in-
first out, do not mix new and returned parts).

As part of the O&M manual and system documentation, the EPC contractor should have
provided a spare-parts list with makes and model numbers, as well as recommended sources of
such parts. Frequently used parts are called consumables and should always be stocked (e.g.,
fuses, filters, nuts and bolts). The number of other spare parts in inventory depends on several
factors: the reaction time required by the O&M contract; the allowable downtime; contractual
commitments; and potential for liquidated damages. The higher the desired (or contractually
required) availability for a plant, the more spare parts will have to be kept in inventory.

As discussed in more detail below regarding cost estimate for reserve account, the number of
replacement parts to keep in inventory, n, depends on the total number of parts (of that
component) in the system, N; the probability that a part will fail in a given year, P; and the
desired reliability R, according to the relationship n = N * R^P / (1 - P). The cost of maintaining
this amount of inventory must be weighed against the time delay in obtaining parts not in
inventory and the consequences of down time. Experience with this equation indicates that it is
prohibitively expensive to stock parts to maintain a desired reliability of greater than 0.95 or so.
Experience in operating the plant (which parts fail, which failures result in lost production) will
help fine-tune the inventory of spare parts.

Strategies to reduce the cost of maintaining an inventory of spare parts include:

Regional clusters of systems surrounding a warehouse to share stock and reduce travel time;
share spares for long-lead-time items such as inverters and transformers among multiple
projects in a portfolio.
Standardizing on certain makes and models to reduce diversity in stock.
Arrangements with suppliers to guarantee availability or consignment stock with
manufacturer.
Compliance with Regulatory Requirements
Large PV power plants (greater than 20 MW at the utility interconnection) that provide power
into the bulk power system must comply with standards related to reliability and adequacy
promulgated by authorities such as the North American Electric Reliability Corporation and
Federal Energy Regulatory Commission (FERC). This requires that an operator trains and
certifies personnel and demonstrates compliance with multiple requirements specified in
standards. NERC and FERC regulations require that the operator establish and maintain a listing
on the NERC compliance registry as a generator owner (GO) and generator operator (GOP) and
provide and document such things as: cybersecurity and critical infrastructure protection;
emergency preparedness plans; reactive power and voltage control; services during and after
disturbances; active power control; harmonics; facility interconnection studies; and

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 communications (voice and data link) between plants and grid operators. PV plant operations
increase quite a bit, and impose additional maintenance requirements, if the plant operator is
registered by NERC as a GOP. Most of the services and associated costs are associated with the
systems and security that comes regarding the documentation process. There is also a risk of
incurring costs associated with not meeting the FERC/NERC requirements.

Operations Checklist
Is system performance monitored and recorded? Are trends in performance
examined continuously or regularly?

Does the monitoring supplier provide forecasting? At what horizon, time resolution,
update frequency, and accuracy?

Are corrective maintenance response times specified in the contract?

Is module degradation rate specified?

Are all service contracts and insurance policies kept up to date?

Are all required operating permits, compliance documents, and licenses kept up to
date?

6.6 Preventive/Scheduled Maintenance

Preventive maintenance maximizes system output, prevents more expensive failures from
occurring, and maximizes the life of a PV system. Preventive maintenance must be balanced by
financial cost to the project. Therefore, the goal is to manage the optimum balance between cost
of scheduled maintenance, yield, and cash flow through the life of the system. Preventive
maintenance protocols depend on system size, design, complexity, and environment. A
comprehensive list of these protocols is supported by the PV O&M cost model included in
Appendix B.

6.7 Corrective Maintenance

Lost revenue accrues while a system is down or when output is reduced. Repairs should be
delayed only if there is an opportunity to do the repair more efficiently in the near future.
Response time for alerts or corrective action for the O&M function should be specified as part of
the contract, but typically will be 10 days or less for non-safety-related corrective maintenance
service. For small residential systems, a fleet operator may make repairs only when enough
work has accumulated to justify a truck roll to the area, or at the next regularly scheduled
preventive/inspection of a site. Appendix C contains service descriptions for corrective
maintenance selections available in the PV O&M cost model. This cost model (described in
Section 9) provides an estimated prediction of the corrective maintenance costs from year to
year, but it is impossible to accurately predict when and where failures will specifically occur.
The model has the ability to use fault and failure probabilities of specific components, if known.

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 Additional considerations include the following:

The O&M plan should include how to perform corrective maintenance quickly in response to
field failures, including how funds may be used from a reserve or line of credit.
Response time and urgency of repair specified in the O&M plan should balance the cost of a
truck roll with lost revenue. Consider system size, geographic location, spare-parts
inventory, other scheduled maintenance, fleet performance requirements, and cost of
response.
Faults or conditions that introduce a safety problem should be addressed as soon as possible,
even if the recovered revenue is small.
Enforcement of Warranties
There is a distinction between product warranties and performance warranties. Product
warranties cover materials and workmanship, and protect a purchaser against failures due to
manufacturing defects (Figs. 8 and 9). Most solar panel manufacturers provide product
warranties of 1012 years, although some are as short as 5 years and one extends for 25 years.
The performance warranty guarantees a certain power output that declines over time because the
manufacturer knows that there will be some natural degradation in the performance, usually
ending up at 80% of the initial rating after 25 years. PV modules are unique in that they carry
very long-term performance warranties of 20 or 25 years (very few types of electrical equipment
have such long warranties). The schedule of the decline in anticipated power output has an
impact on the value of the warranty, with manufacturers offering a linear decline in the
guaranteed output claiming that they provide a benefit over those that reduce the guaranteed
performance in a stair-step fashion. In the past, inverter warranties were only for a 1-year term;
but starting initially with European manufacturers, a 10-year warranty is now more the norm,
with some offering the longer term only along with a 10-year service contract. The EPC
contractor may offer a shorter-term warranty (e.g., 1-year, 2-year) on the entire plant including
civil works such as storm-water management.

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 Figure 9. Failure in materials and workmanship, such as encapsulant of this module, are often
covered by product warranty. (photo by Andy Walker)

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 Figure 10. Snail trails in encapsulant are attributed to cracks in cells caused by flexure of the
panel at the factory, shipping, or installation. The module would be covered by the performance
warranty only if the cracks isolate fragments of the cell and reduce the output over time. (photo
by Andy Walker)
Many financiers do not have faith in manufacturers warranties for the following reasons:

A warranty may be voided by mishandling or not observing instructions or conditions of the

warranty. For example, storing modules improperly on site, such that the packaging is
destroyed by rain, may void a warranty (Fig. 10). Failure to provide adequate ventilation
may void an inverter warranty.
Even reputable PV manufacturers with quality products have gone out of business.
It is difficult to prove that a module is underperforming, and it might require an expensive
standardized test of each module.
The manufacturers warranty might cover replacement, but not labor to remove, ship, and re-
install an underperforming module. In marketing literature and proposals, the dealer may
offer to cover these labor costs, but such language rarely makes it into the final contract
because small local dealers are not in the position to incur such costs.

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 The warranty often gives the manufacturer the option to repair, replace, or supplement,
with supplement meaning to provide modules to make up the difference in lost power. For
example, if a system has 100 modules that are underperforming by 5%, the guarantor could
satisfy that by providing five additional modules to make up for the lost power, rather than
replacing the 100 modules. But increasing the plant size by five modules to restore
guaranteed power might not be possible due to lack of rack space or electrical infrastructure.
Also, expanding the system nameplate capacity would generally trigger a new interconnect
agreement and permitting, even though it would generate no more than the initial amount of
power.
Manufacturers often have the option of paying a cash-value equivalent to the lost capacity of
underperforming modules; but as the price of modules declines, this might be less than
originally paid for the modules. Given the complications described above, this option is
often preferred by system owners unless there is a required level of performance that must be
maintained.

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 Figure 11. Failure to follow product box handling and storage requirements can cause damage
when moved and void a warranty. The umbrella symbol on this box indicates it should be kept
dry and the box might fail when picked up with a forklift. (photo by Andy Walker)
Financiers take warranties into account in their financial prospectus only when offered by larger,
more reputable, or more diversified companies with a sound credit rating. To hedge risk,
warranty insurance is available from insurance companies, but adding the cost of such insurance
to a project reduces the ROI or may make a competitive bid too high to get the contract. The
cost of such insurance is lower for portfolios than for individual projects because risk is
mitigated by a diverse collection of manufacturersif one manufacturer goes out of business, it
would affect only part of the portfolio (Cook, Borger, Bishop, 2016).

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 6.8 PV Module Degradation Rate
When comparing measured performance to predicted performance, it is important to consider the
expected degradation in PV module output over time in the prediction. Prior to 2000,
degradation rates exhibited considerable variability; but now, these rates are more uniform
among types and manufactures and are often on the order of 0.5% per year (Jordan and Kurtz
2012). However, module degradation rates are only part of the story. As modules degrade, they
do so at varying rates. This causes an induced circuit-level mismatch loss that should also be
modeled. Some module-level power electronics (MLPE) solutions have the advantage of
minimizing this added mismatch loss.

This is not to be confused with the failure rate of modules. PV module failures are rare, with a
reported failure rate of 0.025%/year to 0.1%/year (Dhere 2005), depending on the source.

Measured and predicted performance can be compared using a module degradation value given
by the manufacturer. If no value is available, one can assume a default value of 0.5% per year
for new crystalline silicon products.

Degradation is calculated based on the age of the system at the time of evaluation. But for life-
cycle cost analysis, a degradation factor of 0.94 provides an estimate of the degradation levelized
over a 25-year lifetime with a 5% discount rate.

Module type does not have a large effect on raw O&M cost ($/year), but it has a tremendous
effect on cost of O&M per kWh deliveredespecially late in the performance period when
production is markedly decreased, failure rates are higher in the aged equipment, and inflation
has increased the per-unit O&M costs. The impact of O&M costs on levelized cost of energy
(LCOE) is much less with PV modules that have lower degradation rates.

Table 3. Representative PV module degradation rates (Photovoltaic Degradation RatesAn

Analytical Review, D.C. Jordan and S.R. Kurtz, http://www.nrel.gov/docs/fy12osti/51664.pdf)

Degradation Rate per Year

PV Module Type
(%/year)

Amorphous silicon (a-Si) 0.87

Monocrystalline silicon (sc-Si) 0.36

Multicrystalline silicon (mc-Si) 0.64

Cadmium telluride (CdTe) 0.40

Copper indium gallium diselenide (CIGS) 0.96

Concentrator 1.00

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 6.9 Example Work Statements
A contract to implement an O&M plan or part of an O&M plan should include a complete list of
obligations under the contract. Examples of commercial-system work statements are detailed in
Appendix E; the statements contain a maintenance Schedule of Services typically found as an
addendum to an O&M contract comprising a fixed contract fee, with provision for an added
time-and-materials cost adder for non-warranty corrective maintenance. Schedules are included
for commercial rooftop and ground-mount systems.

6.10 End-of-Performance Period

The economic prospectus for a PV project contemplates an initial investment followed by a long
performance period. Life-cycle cost standards specify a maximum of 25 years for electrical
equipment (10CFR436), but there is evidence that PV systems could last longer and some
industry guidance suggests a 40-year analysis period (EISA 2007). Asset owners and managers
will have several options at the end of the performance period depending on the contractual
commitments to the landowner and regulatory requirements of the authority having jurisdiction.
These options include:

Refurbishing the system and extending its life (say from 25 years to 40 years)
Extending the term of the performance contract or power purchase agreement
Selling the system at fair market value
Removing the system and restoring the site to an earlier condition or other use.
The rate at which PV systems are being installed today will be equal to the rate of system
disposition in 25 years or so. Relevant U.S. law here is codified under the U.S. Resource
Conservation and Recovery Act (RCRA) governing non-hazardous waste (Subtitle D) and
hazardous waste (Subtitle C). These laws assign responsibility to the generator of waste,
although some PV manufacturers also practice extended producer responsibility
(e.g., http://www.firstsolar.com/en/Technologies-and-Capabilities/Recycling-Services). Todays
manufacturer may in 25 years become a recycler, or rather, a re-processor of PV modules and
other components. Components should be designed for recyclability and to control toxic
materials. Current best practices are to minimize hazardous materials and/or design for
recyclability and control of such materials (IRENA 2016).

Such foresight in recyclability and management of substances may affect the eventual cost and
benefits of end-of-life PV waste management. During project permitting, decommissioning
plans may include site-restoration requirements and financial mechanisms to deal with recycling
or proper disposal of waste. Such planning would likely consider the value of recovered copper,
aluminum, and steel, which can be substantial.

Demonstration projects at SolarWorld and commercial-scale recycling operations at First Solar

have shown that 84% to 90% by weight of a PV module can be recycled (Larsen 2009).

If a system will transfer ownership, it is important to consider how warranties will be handled. It
is often the case that manufacturers or EPCs will not honor the warranty if the original purchaser
no longer owns the equipment. However, many manufacturers have a process for transferring

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 the warranty to the new owner. Such a process typically consists of paperwork, a small fee, and
a finalization period (usually 30 days) after the equipment sale. This service must be planned
along with the rest of the ownership transfer process.

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 7 O&M Provider Qualifications and Responsibilities
PV O&M personnel, service category, scope of work, salary, and qualifications for the following
roles are detailed in Appendix D: administrator/management; designer; cleaner; tree trimmer;
pest control; roofing; structural engineer; mechanic; master electrician; journeyman electrician;
network/information technology (IT); inspection; inverter specialist; PV module/array specialist;
and utilities locator. These roles are defined in the PV O&M cost model for work calculations,
but can be customized by the user for different pay rates, roles, and local work conditions and
context.

7.1 Qualifications of Plant Operators

Solar plant operators require monitored data to analyze and identify the root cause of
performance issues observed by the operator. It is critical to identify root cause of failure to
reduce maintenance costs when dispatching service providers.

There are two ways to identity root causes of failures and performance problems:

Qualified personnel who understand the specific plant design, with the necessary experience
to identify anomalies (i.e., NERC certified operators, experienced in power plant
operations/generation, remote monitoring, remote data analysis) and/or,
A software and/or asset management system infrastructure that is able to define the specific
plant hierarchy that can then automatically identify anomalies, conduct root-cause analysis,
and suggest remedies long before the need to dispatch a service provider.
7.2 Qualifications of Service Providers
Every service providerfrom the person that mows the grass to the master electricianrequires
some sort of qualifications. Examples are listed in Appendix D for most types of service
providers. Most electricians work on AC building systems, and most electricians are unfamiliar
and untrained to deal with DC-based PV systems. PV-specific qualifications may include:

These electrical qualifications are essential, but each O&M service category has required
qualifications. For example, certifications to apply herbicides and insecticides may be required
for those removing weeds and infestations, as listed in Appendix D for each job category.

Service Provider Qualification Checklist

Licensed electrical contractor

NABCEP PV Installer certified and/or UL PV System Installation certified

Experience with and on power generation systems

Experience with medium-voltage, DC electrical systems

Experience and working knowledge of NFPA 70E

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 Familiarity with sections of the National Electric Code specific to PV (section
690/691)

ASNT certified for planning and conducting thermal imaging (American Society for
Non-destructive Testing)

Internal equipment calibration and tracking program

Meet NERC compliance for utility-scale systems

Audited financial statements available

Bank and/or supplier references, and access to letters of credit, surety bonds, etc.,
and credit rating

Track record of performance?

7.3 Financial Solvency

Contractors should provide documentation that communicates the financial solvency of the
O&M service provider. The purpose of references is to determine if the contractor is in financial
distress. Financial distress of the installation contractor or O&M service provider could have a
negative impact on the level of system quality and the timeliness and quality of delivered O&M
services.

These references should be made available to financing sources upon request. Sample
documentation includes:

Audited financial statements

Bank references (DUNS, Data Universal Number System)
Supplier references
Bond ability/bank letter of credit
Credit rating matrix
Track record.

7.4 Health and Safety

The asset owner is ultimately responsible for safety related to a PV system, and must meet that
responsibility through the specific requirements of O&M service contracts and mitigate risk
through accident and liability insurance. In the U.S., the Occupational Health and Safety
Administration (OSHA, www.osha.gov) promulgates regulations related to workplace safety.
Health and safety issues include all of those involved in construction or electrical maintenance
work, vegetation control, plus some that are specific to PV systems. Roof fall protection,

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 electrocution, arc-flash protection, lock-out-tag-out, and dehydration and heat stress are of
special importance to workers providing maintenance of PV systems. It is important to
recognize that health and safety issues are relevant to all personnel and work locations, even
office workers (ergonomics, safe work environment). All workers must have at least basic
training in safety and at least an orientation to hazards specific to each system.

O&M services are usually done by small teams of workers, and it is cost-prohibitive to have a
dedicated health and safety professional with each team for each site visit. As a result, the O&M
contractor depends on a strong safety culture, along with well-trained workers. Health and safety
is usually considered an indirect cost, and it falls into the overhead cost category. It consists
mainly of training, inspection, and auditing functions, with typical services that may include:

Periodic inspection of personal protective equipment

Ride-alongs to watch workers perform their jobs, capitalizing on teachable moments
Site inspections to ensure that measures such as dead fronts on electrical panels and other
guards are in place.
Because PV systems only produce power from sunrise to sunset, O&M teams have a plant
shutdown every night. Many O&M contractors do their work at night, only working on de-
energized systems. Although nighttime work introduces its own risks, these are lower than risks
present when equipment is energized. Working at night assumes that problems have been
identified with certainty and that the work being done is likely to solve the problem. 4

Personal protective equipment is required for all jobs depending on the hazards. It is important
to understand that providing the equipment is not enoughthe user of the equipment has to be
trained and in most cases certified in its use, and the condition of the equipment has to be
continuously assessed and the equipment replaced if need be. PPE often encountered in PV
system maintenance includes the following (which is not all-inclusive and depends on particular
circumstances):

General: Most sites will require at all times a helmet, safety glasses, safety vest, and work
boots (steel-toed preferred).
Lock-outtag-out: Locks and tags specifically suited to the types of switches and breakers in
the system, and the procedure of locking out circuits so that someone unaware does not
energize a circuit that someone else is working on.
Fall protection: Working at elevated heights requires fall protection, which may include
personal fall arrest systems and guardrails around openings and edges of roofs.
Arc-flash protection: Face shield, helmet, gloves, and apron suited for the amount of arc-
flash energy that is calculated based on details of the circuit being worked on.

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 Health and Safety Checklist
Meet with first responders such as fire marshal, local fire department, first-aid
providers, and police to familiarize them with access and shutoffs, and make them
aware of the plant purpose and location.

Control access to site and brief visitors and workers on safety procedures.

Identify hazards unique to the site and system, and plan work to reduce risks
associated with these and all hazards.

Use a company health and safety manual, which establishes appropriate rules and
procedures concerning reporting of health and safety problems, injuries, unsafe
conditions, risk assessment, and first aid and emergency response. Verify that this
satisfies all laws and regulations regarding workplace safety. The manual should
provide a complete list of personnel training requirements and certifications.

Designate a health and safety coordinator or point of contact for questions or

complaints.

Have an entity with the authority to periodically inspect and stop work to verify that
safety measures are in place and observed.

Ensure that all site personnel are equipped with complete personal protective
equipment for the task, including fall protection from roofs and arc-flash protection
for working on live circuits. Ensure that all personnel have met the training and
certification requirements of NFPA 70E for being a qualified worker.

Verify that areas with hazards have clear and evident signage identifying the hazard
to authorized or unauthorized visitors, and that visitors are kept away from hazards
by enclosures and barriers.

Site supervisor (if applicable) should have a minimum of an OSHA 30 certification;

all site personnel should have an OSHA 10 certification.

Maintain an OSHA TCIR of 5.00 or less or similar rate based on a substantially

equivalent, accepted measure used to report workplace injuries.

7.5 Insurance
O&M program best practices can have a positive impact on reducing insurance losses, thus
reducing premiums paid for insurance. An insurance engineer and underwriter should be
engaged to evaluate a facility (or the design for a yet-built system), including the O&M program,
to quantify loss potential and estimate insurance coverage and costs. This review also provides a
better understanding of risks that might impact the performance of a PV plant. Insurance
products that may be of interest to the owner (which are different than coverages that an O&M
provider should have at a minimum) are outlined by EPRI (2015).

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 Liability and risks should be mitigated through contracts that clearly articulate the insurance
requirements to O&M service providers. Concepts related to insurance include:

Normal Loss Expected (NLE), which determines the dollar amount of the deductible for an
item that can be expected to occur, such as inverter replacement, without an insurance claim.
Probable Maximum Loss (PML), which determines the premium paid on a portfolio over
time. As far as insurance premiums are concerned, a rate of $0.001 * total insurable value
(reported value of physical assets + annual business income) is offered as a cost benchmark
(David Walter, Senior Engineer, Renewable Energy, The Hartford Steam Boiler Inspection
and Insurance Company, 6/7/2016).
Maximum Foreseeable Loss (MFS), which sets dollar limits on coverage and represents the
worst-case loss scenario.
Confirm that the contracting company maintains current and appropriate business insurances.

Insurance Checklist
Property insurance: coverage commensurate with value of buildings, equipment, or
improvements to a property

General liability: $1,000,000 per occurrence, $2,000,000 aggregate; covers negligence

claims, settlements, and legal costs

Inland marine insurance: insures against loss of equipment not on the property premises

Workmen's compensation: $1,000,000 each accident, each employee, policy limit

Professional liability insurance: insures against errors and omissions often required by
board of directors

Commercial vehicle insurance: insurance for owned and rented vehicles; or personal
vehicles used on company business

Warranty insurance: equipment warranty issued by manufacturer but backed up by an

insurance company in the event that the manufacturer company goes out of business

Commercial general liability insurance: in a form or forms covering all installations

undertaken by installer and all subcontractors, written on an occurrence basis, including
coverage for products and completed operations, independent contractors, premises and
operations, personal injury, broad form property damage, and blanket contractual
liability, in an amount at least equal to $1,000,000 per occurrence, $2,000,000 in the
aggregate for completed operations, and $2,000,000 general aggregate

Business interruption insurance covers lost revenue due to downtime caused by covered
event.

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 Insurance Claims: Insurance claims are made by the asset owner or a representative of
the owner such as asset manager or O&M service provider. The procedure for making
claims described in the insurance policy should be followed to the letter, keeping copies
of all submittals and correspondence with the insurance company. The insurance
company (claims adjuster) will need to be provided access to the site to assess damage
and to collect information needed to process the claim.

7.6 Redundancy in Service Providers

Investor confidence is increased if a hot back-up service provider is available. This second
service provider would be paid a fee to be available and to have the capability (products and
training) to perform O&M on the system if a current O&M service provider fails to perform.
This second company could be hired to perform capacity and energy tests and provide a check on
the decisions of the current O&M service provider.

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 8 System Monitoring
The three main areas of best practices for system monitoring are the following: data presentation,
quality of monitoring equipment, and transparency of measurement protocols and procedures.
The approach to monitoring and associated cost depends on the revenue associated with the
performance of the asset. IEC 61724 classifies monitoring systems (A, B, C); the O&M related
to monitoring depends on the system class.

Data are valuable, and it should be established who owns the monitoring data and who will have
access to the data for what purpose. Data analysis is a powerful tool for understanding PV
system performance, but it is fundamentally limited by the quality of sensors and models being
used, in addition to the condition of the array.

The objective of monitoring is to provide enough information to accomplish an energy balance

accounting for the amount of solar resource available, and the losses in each energy conversion
process up to delivery at the point of interconnection. Advanced operation of a PV plant such as
modulating output or power factor can confound the drawing of conclusions from monitored
data. A monitoring system should account for clipping of output due to high DC-to-AC ratio,
interconnect limits, and called-for curtailment or any other reason.

8.1 DC Array Inspection

Because of the inherent inaccuracies of data monitoring alone, it is common to implement a
secondary check of the DC array to detect string- and module-level faults through periodic
inspection and testing (Fig. 11). The two main methodologies used for these inspections are
manual electrical testing and aerial thermal-imaging inspections.

Manual Electrical Testing

Manual electrical testing such as open-circuit voltage, operating current, or field I-V curve
tracing is used as a method to detect faults in the DC system that the monitoring system is not
able to detect. The accuracy of testing equipment is limited by the combined accuracy of
irradiance, temperature, and electrical sensors, and in the case of I-V tracing, it is limited to
around 5% for standard field units. This testing reveals only defects that are currently causing
significant module failure, and it will not detect hot-spot defects that are not currently causing
significant electrical degradation of the module. However, these signatures can be important for
understanding underlying module-quality issues, in addition to allowing early detection of
possible fire risks.

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 Figure 12. Cracked or peeling backsheet leads to water infiltration and ribbon corrosion. (photo by
Andy Walker)
Manual testing is performed over several days or weeks to test a large array, and the
meteorological conditions will vary over this time, making it difficult to spot relative differences
in the array and requiring significant documentation to ensure that measurements are
comparable. Because this testing must be performed inside the isolated combiner while the
system is operational, arc-flash PPE is required for all testingwhich can limit the speed of
effective inspections, and can pose a potential safety risk to operators. It should be noted that for
some combiner topologies, the arc-flash hazard may be too high according to NFPA 70E, and
electrical testing on live circuits in the combiner box may not be possible or may require portions
of the array to be de-energized prior to measurement. Manual inspection and testing requires
that inverter wiring enclosures, re-combiner boxes, combiner boxes, and eventually module
junction boxes be opened to access the circuits; it is important to note that these must be properly
re-sealed (gasket, screw-torque) to maintain the original NEMA rating for the type of enclosure
(Fig. 13).

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 Figure 13. Manual inspection and testing requires opening NEMA-rated enclosures. The integrity
of any enclosure seal must be restored after opening to avoid moisture damage as in this module
junction box. (photo by Andy Walker)
Aerial Thermal Imaging
Aerial thermal imaging inspections refer to the collection and processing of image data collected
by aerial sensors with the goal of detecting string, module, and sub-module faults in the array.
By detecting thermal variations between modules, any critical defect that is causing a reduction
in module efficiency can be detected, in addition to the proactive detection of hot spots and
potential fire risks (Fig. 14). These inspections can be performed instead of manual electrical
testing as part of an annual preventative maintenance, and can also be used for system
commissioning and end-of-warranty inspections, and infrared inspection of AC substation.

Aerial thermal imaging can be performed using manned survey aircraft or unmanned aerial
vehicles (UAVs). The quality of the assessment depends largely on the imaging and post-
processing systems that are used. These systems should have the following characteristics:

Thermal detector sensitivity of <0.02C and frame integration time of <2 ms

Thermal wavelength imager ground resolution of 19 cm/pixel or better; visible wavelength
imager ground resolution of 3 cm/pixel or better
Irradiance at a minimum of 600 W/m2 with an irradiance deviation of <100 W/m2 and a
temperature deviation of <5 C during inspections

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 The resulting imagery should be processed by a validated processing routine to correctly
identify module defects and their specific location in the field. These defects should be
identified to the module level, and labelling should be provided to allow field technicians to
quickly identify and remediate module-level issues. When properly applied, remote imaging
inspections can proactively detect the following classes of array faults:
o Module faults: Hot spots, diode failures, full module failures, junction-box
heating, cracked modules, ethylene vinyl acetate (EVA) fogging, yellowing,
antireflective coating degradation, acute soiling (bird droppings, debris,
vegetation), and other module-level defects
o String and system faults: Fuse failures, inverter failures, module-connector
failures, reverse-polarity wiring, major maximum power-point tracking (MPPT)
faults
o Racking and balance of system: Major racking shifts, systemic shading, major
erosion.
The use of proper post-processing tools is critical to accurately detect and classify module
faults. Post-processing tools should be validated against ground data, allowing a properly
validated tool to identify the exact location and probable cause of all thermal faults in an
array.
For inspections without validated post-processing routines, it is important to note that many
of the problems described above cannot be diagnosed with aerial inspections. The inspection
simply points out symptoms and the rough location of the problem. Further troubleshooting
on the ground is required. 5
Alternatively, if the system is metered at the string level, and robust data analytics or data
review is in place, then module faults that are affecting string output can be identified with a
robust remote monitoring system. However, cell-level hot spots generally will not
significantly affect module performance and cannot be detected by data analytics alone.

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 Figure 14. High-resolution infrared aerial imaging can identify failed strings, modules, and cells
within modules as shown on this image. (by Rob Andrews, courtesy of Heliolytics Inc.)

8.2 Data Presentation

Good reporting is essential to obtain value from monitoring data. In the field of PV plant
operations, operations quality is determined by 1) the ratio of the amount of energy harvested to
the potential amount of energy available for a particular plant and 2) plant equipment availability
over time. Given this definition, keeping the plant up and running at its peak operating point
requires accurate performance measurements, the ability to easily pinpoint issues, and prompt
cost-effective repair of defects. Active plant monitoring is essential, and the quality of the
monitoring system itself is fundamental to the overall quality of the plant.

Reports should include the following information:

Site name, location, size of PV plant, other reference information

Insolation (on-site or satellite data, plane of array, kWh/m2); temperature (ambient, module)
Real power and energy delivery (kW, kWh)
Peak power delivery (kW)
Other advanced meter data such as reactive power (kVAR)
Estimate of power that should have been produced and performance ratio
Time-based availability; energy-based availability
Inverter efficiency, balance-of-system efficiency
Measurement of soiling, if any.
Additional considerations:

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 An Internet-accessible portal should be available at any time with:
o Downloadable raw data, and
o Charts and tables to interpret data (dashboard or user interface configured to
specific user).
Daily feeds of previous day, month-to-date, and year-to-date production values should be
developed and stored.
Data should include insolation in the plane of the array; energy delivery (kWh); performance
ratio (kWh delivered/kWh expected); and specific yield (kWh/kW), as well as any alarms or
other performance indicators. Alarms should convey all the information in the alarm format
of the manufacturer, so that operators can act on the error message.
Data format should be compatible with standards (open platform, IEC 61724 and SunSpec
Alliance) for aggregation into larger data platforms. Data format should be clearly
documented.
O&M plans should be built to notify actionable personnel on critical production or safety
issues as soon as possible, and within 5 days for issues that affect production but not safety,
depending on what the anomaly is and considering lost revenue and safety issues. Fire
alarms and intrusion detection alarms should be pushed out immediately to on-call personnel.
Complete loss of production and non-communication should be reported on a daily basis
(immediate reporting of such issues is reportedly a source of false alarms).
Systems producing lower-than-forecasted energy correlated to local weather/insolation
conditions should be reported on a weekly or monthly basis. Using intervals smaller than a
week increases the possibility of false positives and usually does not provide business value.
Reliable data back-up and storage should be provided. Best practice is for dataloggers to
store 6 months of data and to back up data to cloud storage. A reliable method to back-
haul the data is required. Most connect to the internet via DSL, but be aware that many site
owners will not allow the solar monitoring system to use the site network. This may require
a separate Internet connection and often requires cellular or satellite back-haul of the data to
an operations center or user website.

8.3 Quality of Monitoring Equipment

Use open standards for information and data communication throughout the plant, fleet, and
enterprise. Ensure that the monitoring system addresses the following:

Transparency of measurement protocols and procedures (see Section 7.3)

Ability to audit measurement protocols and procedures
Ability to maintain hardware and software by a variety of service providers, including
calibration and servicing requirements
Ability of systems to share information with stakeholders
Ability to ensure operational continuity (backup and restore)

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 Support of third-party access for custom application development
Security of software and applications
The entire monitoring system should be on an uninterruptible power supply.
In this document, we do not pick a standard to be used to calculate and report system
performance. But there should be an effort to at least collect and maintain data that can be used
to report PV system performance as specified in the most common standards for the industry,
regardless of how it is reported by any operator or for any plant. This procedure will allow
system performance to be reported according to any of these standards if the need arises.

8.4 Instrumentation
Requirements vary depending on the performance measurement model used, the required
accuracy, and other considerationsand not just whether the system size is above or below a
certain system size. For instance, a fleet of 5,000 residential systems may rely on satellite and
local weather data. A fleet of 50- to 100-kW commercial systems may have requirements to
accurately measure irradiance, module temperature, and weather at each site. We describe
recommended guidelines, but the requirements should actually be based on an accuracy level
required by the subject system or fleet of systems.

It is important to understand that for any system there exists an underlying uncertainty in the
calculation of system performance from measured data. Some studies have shown that the
combined effects of system measurement and modelling errors can range from 5%10%
(Thevnard et al. 2010; Cameron et.al. 2008; Freeman 2014).

Some examples of the sources of these errors are as follows:

Meteorological data measurement

Onsite environmental sensors that measure irradiance and temperature for systems >100
kW. For large plants, adding an extra irradiance sensor for each 2 MW or so would help
discern irregularities caused by cloud movement over the array. Radio communication-
based weather sensor (such as a Deno Watts weather station) would help to avoid the
wiring for the weather stations.
Irradianceplane of array (POA)
IEC 61724 Class A pyranometer uncertainty: 3 %

POA model uncertainty if using GHI: 2%5%

If there is more than one orientation of the PV array (e.g., part fixed and part tracking),
then a separate pyranometer would be required for each orientation (in the POA), and
each pyranometer must be properly assigned to that portion of the system for calculation
of performance ratio.

The pyranometer must be kept clean to provide an actual measurement of the solar
resource. Condition of the on-site pyranometer and data acquisition system must be
checked frequently (daily) to ensure proper operation and to avoid loss of data.

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 Irradiance measurements should be recorded at a minimum interval of one hour, and 15-
minute or 1-minute data are often specified.

Satellite-based irradiance measurement

Services are available that take data from satellites and process them with models to
create an estimate of ground-level irradiance at a site. Although less accurate than a well-
maintained and calibrated on-site pyranometer, satellite measurements can be more
accurate than an on-site pyranometer that is dirty, out of calibration, or installed
incorrectly.

Temperature-module back sheet

A back-of-module temperature sensor with an uncertainty of 1 C and an ambient
temperature sensor with an uncertainty of 1 C (IEC 61724)

Intra-array temperature variation: 2 C5 C

Firmly affix the temperature sensor with thermal conduction adhesive in the middle of a
cell, in the middle of the module, and in the middle of the array. Arrays with sections of
different orientation or mounting conditions would require multiple temperature
measurement.

Measurement of system electrical performance

Combiner-level data generally come from current transformers (CTs) measuring current
from combiner-box home runs measured at the inverter. Monitoring at the string level is
also available (instrumented combiner box).

IEC 61869 Class 1 CT uncertainty is 1%

Inverter-direct monitoring (no external AC meter) with an uncertainty of 5% for

systems <100 kW. For modular plants, adding an external AC meter for each inverter
500 kW and greater would help to give visibility to the production of each inverter
(necessary if the inverter does not include direct monitoring, and providing an
independent check and redundancy if it does)

Measurements at the inverter also include: instantaneous power (AC); cumulative energy
delivery (kWh); inverter alarms; inverter control settings; input (DC) current and voltage;
plus any other information available from inverter data interface such as inverter
temperature. If the inverter does not report temperature, then it is recommended to add a
temperature sensor to the inverter enclosure to identify overheating.

Energy meter: There is often a separate high-accuracy revenue-grade AC meter for

energy-revenue invoicing or independent measurement of performance for a performance
guarantee or other purpose. Specified accuracy is sometimes required for plants where
third-party financing is involved or where solar renewable energy credits (SRECs)
generate revenue. This should be a high-accuracy, high-reliability meter with accuracy
within 0.5% and with communications that is compatible with both the on-line

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 monitoring system and also a separate automatic meter reading (AMR) service or
advanced metering infrastructure (AMI) at the site. The meter should report at a
minimum cumulative energy delivery, but may also include advanced smart meter
functions such as power-outage notification and power-quality monitoring.

Model errors
Measured performance is meaningful only when compared to a model of expected
performance. The accuracy of the model is affected by:

o Wire length affecting losses between combiner and measurement CTs

o Actual power rating of modules
o Actual module mismatch
o Shading
o Soiling
o Degradation.

The following can act to increase the uncertainty in system measurement and modelling:

o Failure to re-calibrate instruments per manufacturer instructions. Most

pyranometers must be re-calibrated every two years.
o Failure to clean pyranometers on a regular basis. Pyranometers should be
mounted in such a way as to allow regular access by service personnel.
o Detachment or poor adhesion of module temperature sensors to modules. The
adhesive should allow good thermal conductivity between the module backsheet
and temperature sensor.
o Poor temperature sensor placement. The module temperature sensor should be
placed away from inverter exhaust, disconnected modules (those used for soiling
measurement only), and the edges of roads that will be more acutely affected by
wind. Temperature variation from a module at the edge of a road to a module in
the center of an array can be as high as 5 C due to wind effects.
o Poor documentation of system as-builts. It is important to understand the power
capacity connected to any monitored section of the array.
A dedicated or shared network connection such as a cellular, satellite, or dedicated broadband
backhaul is required to retrieve the data from a monitoring system. In remote areas where
utility-scale projects may be located, a satellite data connection may be necessary. It is often not
reliable to use the offtakers network to back-haul monitored data, and in many cases, that is not
possible due to security reasons. It is important to perform automated or manual quality checks
frequently on the data to detect failed or dirty sensors. All raw data should be archived and
backed up automatically and regularly. Onsite data storage helps to prevent loss of data when
the communication link is down.

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 8.5 Transparency of Measurement Protocols and Procedures
The benefits of adopting open standards for information and communication are well-
established. As it relates to the quality of the solar monitoring system, open standards are
applied at four levels:

1. Device communication and plant sensor readings

2. Data collection and storage at the plant
3. Information transmission from the plant to the information data store
4. Information access to the data store from applications.
High-quality monitoring systems can be built with proprietary methods that encourage lock-in to
a single vendor. But a standard information model used across all four levels ensures high
fidelity and eliminates poor or inconsistent mappings from one model to another. A standard
information model allows systems to be compared to one another, independent of the monitoring
vendor. The SunSpec Alliance standard information modelscombined with standard transport
protocols such as Modbus, Ethernet, and WiFiare recommended, with support information
models as defined in IEC 61850 and/or Smart Energy Profile 2.0. SunSpec standards are
harmonized with both of these technologies. Sandia National Laboratories has developed an
open-source data-filtering and analysis platform, Pecos (https://github.com/sandialabs/pecos),
that can be used to provide insight into PV system data quality and roll up raw data into energy
tests, such as those outlined by IEC 61724.

Data quality is an issue that should be addressed. Recent work in standards recognizes that data
collection anomalies do occur, such as missing data or highly inaccurate instrument readings for
a period of time. Quality checks should be established to quickly screen data so that they do not
skew reported results and so that repairs can be made in a short time. Sandia National
Laboratories, perhaps among others, is working on a set of data-handling techniques that will be
open to the industry once released. It is also worth noting that some requirements may include
third-party certification of data collection, calculation, and reporting. Proper application and
maintenance of instrumentation should also be mentioned because it can be vital to accurate
readings.

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 9 O&M Supporting Systems and Implementation
Strategies
9.1 Workflow and Decision Support Software
For plants where onsite environmental sensing equipment is not practical (i.e., most residential
plants), measurements of irradiance and ambient temperature should be supplied by a nearby
weather station or estimated from satellite data. These proxies for actual irradiance
measurements may only be accurate to < 7% for global horizontal radiation and 12% for
direct normal radiation (http://solargis.com/support/knowledge-base/accuracy/overview/) and
temperature measurements to 5 Cwhich increases uncertainty, but is currently acceptable in
the residential setting as opposed to onsite measurements for such small systems. In fact, this
accuracy of satellite data can be more accurate than a poorly maintained or dirty sensor on site.

A dedicated network connection such as a cellular, satellite, or dedicated broadband backhaul is

required for plants that are greater than 100 kW. For smaller plants, where it is not practical to
implement a dedicated network connection, a shared network connection may be used; but this
raises the service risk profile considerably. In fact, shared Internet Protocol (IP) network outages
have been reported by industry-leading vendors as the number-one source of service calls.
Where possible, a dedicated network connection is highly recommended.

Onsite data storage is required to prevent data loss during communication network outages. The
amount of storage needed depends on the expected mean-time-to-repair should an outage occur.
An amount of storage that is equal to two times the highest-recorded communications outage is
recommended. Six months of data storage is recommended.

Standard data-encryption techniques should be employed to protect the confidentiality and

integrity of the data in transit over wide-area networks. For example, the SunSpec Alliance
Logger Upload protocol specifies the use of Transport Layer Security standards (e.g., https, SSL)
for data transmission over the IP-based networks.

Trouble-report codes definitions, corrective action taken, and results should be standardized at
the fleet or large-system level. This allows more definitive tracking of cause-and-effect,
repetitive problems, corrective action deficiencies, and more. This also leads to better operating
efficiencies, better preventive techniques, identification of large-scale equipment problems, and
more. The lists below are at a level that helps describe the work done, but do not include
standard descriptions of the cause of repair or the actual work performed. All asset management
and O&M management strategies and systems must achieve the following:

Document archive for complete plant documentation upkeep and reference

Customer/plant interaction tracking logs
System/portfolio analysis
Budget tracking
Trouble ticket or incident tracking
Mobile work-order flow management and documentation systems.

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 Fleet management and aggregation requires developing or adopting software systems termed
enterprise asset management (EAM); these are specialized workflow platforms similar to
enterprise resource planning (ERP) software.

EAM/O&M software platforms and services are available from several companies including
Meteocontrol, Alectris, Draker Labs, TruSouth, and others, whereas several large-fleet operators
such as SolarCity and First Solar have developed their own custom platform. Deployment of
these software platforms, which are now a requirement for large-fleet operators, enables tight
resource control to optimize O&M cost, especially administration and document cost.

9.2 O&M Implementation Strategies

The asset owner or asset manager should allocate sufficient internal resources and secure any
required external resources to implement the O&M plan.

Operating and maintaining a fleet of PV systems requires active resource management and data
acquisition and analysis by the asset and operation manager(s).

The choices for resourcing O&M are:

Use the EPC company, or the installer who built and warrants the system (who have a
dedicated plant O&M department to provide the necessary care)
Bring the O&M service in-house
Outsource the service to a specialized third-party O&M provider.
Often, a mix of these three strategies is chosen, depending on the age of the PV system, the
providers business model, system composition (either commercial or residential), fleet
geographic density/distribution, and strengths of the available resources in house.

For commercial systems, the EPC/installer O&M model is common because most early failures
will be warranted and the provider can perform routine maintenance at the same time. One
disadvantage of this model is that the EPC/installer may lack dedicated O&M resources; thus,
O&M services will compete with higher-margin installation and construction business. As
warranties expire, the dedicated third-party O&M model gets more attractive because fleets can
be combined or allocated to specialists who may have many systems in geographic
concentrations to gain cost advantages.

For residential systems, vertically integrated developers/installers are using more in-house
services because they can gain an advantage in providing uniform quality across the whole PV
system life-cycle. Meanwhile, developers using the partner residential modelin which the
finance and development company partner with an installerrely on the installer for O&M
services and/or a dedicated third-party O&M provider as needed.

9.3 O&M Contract and Performance Guarantee

Detailed contract terms are beyond the scope of this document. However, it is important to
define the parameters for the O&M of a PV project during its life. As stated earlier, these

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 conditions must, as a minimum, cover the maintenance requirements to ensure compliance with
the individual component warranties and EPCs or the installers contract guarantee.

Most contracts will specify a fixed cost for plant operations, standard preventive maintenance,
and agreed-upon response time, with additional fees for corrective maintenance and non-covered
services.

So-called performance contracts cite KPIs, which are agreed-to measures of whether the
contracted-for level of performance is achieved or not. It is sometimes required for third-party-
owned systems to provide a guarantee for the energy yield output and/or the availability of the
PV system when plant operations is included in the contract or an O&M provider is not well
known or does not have significant financial backing. It is also possible for the system warranty
to include targets for the energy yield, performance ratio, or availability (Klise and Balfour
2015). In fact, these warranties are also available from third parties, O&M contractors, and
insurance companies. How each indicator is calculated must be specified in detail, and standards
are under development (IEC TC82) to provide standard definitions that distinguish, for example,
availability as a fraction of time or as a fraction of energy. The agreed limits are often based on
the independently verified energy yield report, produced at the time of commissioning. For an
example of the calculation method, see Appendix A. As time goes on, comparison to the initial
yield report, from before a system starts operation, becomes less accurate. A multi-year yield
report uses average historical weather and irradiance to predict output. Actual output will vary
year to year based on actual weather and irradiance. It is more important for the stakeholders to
have a yield report based on an acceptable model, and then use that same model to measure
performance each year based on measured weather and irradiance, as well as operations that may
affect the yield such as curtailment of output.

To summarize, important items to observe regarding warranty coverage and performance

guarantees include:

Define what is involved in plant operations. Who is watching the system, identifying the
issue, and dispatching the required personnel to fix the issue in a timely manner.
Examine the parameters for the PV project preventive maintenance requirements documented
during its life, which are required to keep the warranty in effect and identify issues that may
void the warranty.
Examine the warranty in terms of KPIs (plant availability, specific energy delivery, and
performance ratio) to ensure that each is defined in enough detail such that all parties
calculate the same value.
Ensure at the conclusion of an installer warranty, which may be only 110 years, that any
equipment warranties (which may be as long as 25 years for PV modules) transfer or are
designated to the responsible O&M provider.
Current status of KPIs should be available to all parties to the performance contract, both
present values and trends over time.

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 10 Estimating PV O&M Costs
Research of the PV O&M Working Group has concentrated on three estimates related to the cost
of delivering a PV O&M program: annual cash flow, net present value, and reserve account.

1. Annual Cash Flows: Costs for administrative or preventive maintenance that are
scheduled on regular intervals are escalated according to an inflation rate to the year in
which they occur. Costs for corrective maintenance are the replacement cost of the
component multiplied by the probability that a failure will occur in that year. The
probability that a component will fail in any given year is calculated by a Weibull, log-
normal, or other distribution that is informed (ideally) by actuarial data. Warranties
affect whether a failure will result in hardware costs, labor costs, or both if the year is
within the warranty period. This provides a cash flow ($/year) for each year of an
analysis period.
2. Net Present Value: Each of the future years cash flows thus calculated are then
discounted to their present value according to a discount rate. The discount rate is the
owners corporate bond rate or minimum attractive rate of return. Net present value is
useful for evaluating an overall financial prospectus and for calculating the impact of
O&M on LCOE.
3. Reserve Account: The Weibull distribution of failure gives us a good estimate of life-
cycle cost, but the method spreads the costs over the years and shows a rather uniform
average cost per yearwhen, in fact, expensive repairs can occur all at once (Fig. 14).
Financiers and operators want to know maximum exposure; in other words, what
dollar amount of a reserve account or line of credit would a bank offer to sell to a
project? Reserve account is calculated for each year of the analysis period.
Consider a simple example regarding reserve account: Consider a PV system with two inverters,
each with a replacement cost of $10,000 in year 1; and each with a Weibull Failure Distribution
of Mean Interval 20 years and Shape Factor 5.0. In Year 20, this failure distribution would
predict a probability of failure of Q = 0.092, and thus, a probability of non-failure of P = 0.908.
If we have enough in reserve or in stock to replace NEITHER of the two inverters, then P1P2 =
P^N = (0.908)^2 = 0.824 (you get this level of probability that the reserve account would be
sufficient even with no funds in the reserve account). If we have enough in reserve to replace
EITHER ONE of the two inverters, the reserve account would be = $10,000 (inflated to year 20),
and the resulting probability that the reserve amount would be sufficient is P1P2 + P1Q2 +
P2Q1 = 0.824+(0.908*0.092)* 2 = 0.991. If we have enough in reserve to replace BOTH of the
inverters, the reserve account = $20,000, and the probability that the reserve account is sufficient
is P1P2 + P1Q2 + P2Q1 + Q1Q2 = 0.666+0.300+ (0.092)^2 = 1.00. So, in this simple example,
if the desired availability is 0.824, then we would require $0 in reserve; if the desired availability
is 0.991, then we would need $10,000; and if the desired reliability is 1.0, we would then need to
keep $20,000 in reserve.

We generalize this approach to a very large number of components, N, where n/N is the fraction
of the total number of components funded in the reserve account; R is the desired probability that
the reserve account will be sufficient; and Q is the probability of failure in each year of the
analysis period according to the failure distribution. This is done for each measure (PV module

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 replacement, inverter replacement, each other type of component) and added up to calculate the
total amount in the reserve account for each year of the analysis period.

1
Q=Probability
0.9 that a type of
sufficient to cover replacements of a component

component will
R=probability that reserve account will be

0.8 fail in a given

year; from
0.7 failure
distribution
0.6 0.5

0.5 0.2
0.1
0.4
0.08
0.3 0.06

0.2 0.04
0.02
0.1
0.01
0 0.001
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
n/N=fraction of total number of a component covered by
reserve account
Figure 15. Fraction of components to be covered by reserve account depends on the probability
of failure in a given year and desired confidence that the reserve account will be sufficient. For
example, if we had 10 inverters and the probability of each inverter failing in a given year was Q =
0.1, and if we desired a probability of 99% that our reserve account would be sufficient, then we
would need to have enough in the reserve account to cover 3.25 times the cost of a single inverter
replacement. In reality, low values of Q and high values of R are of interest, but this chart shows
the behavior of the relationship over the whole range. (figure by Andy Walker)
The PV O&M Working Group has developed a PV O&M cost model (version 1.0) with a long
list of O&M measures (Fig. 16). Each measure has an estimated materials, equipment, and labor
cost, many of which are on a per-unit basis (per kW or per square meter). Each measure is
applicable based on system type (commercial rooftop, residential, and ground-mount); micro-,
string, DC optimized, or central,inverter plant; fixed tilt or tracking, attached or ballasted rack,
and a list of environmental conditions (snow, pollen, bird populations, sand/dust, humid, hot,
high wind, hail, salt air, diesel soot, industrial emissions, construction site nearby, high

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 insolation). Cost also depends on warranty/service plan modeling switches. The PV O&M cost
model is available from NREL and SunSpec.org as a standalone Excel spreadsheet tool for O&M
cost modeling and planning, and an on-line version is currently being developed at SunSpec
Alliance.

The model contains selections of scheduled and corrective maintenance tasks that are also
detailed in Appendices B and C. A list of job roles, requirements, and sample costs are included
in Appendix D. As noted above, the model allows customization of all these variables to suit
system configuration, job time estimates, failure rates, and local costs.

Administrative and preventive-maintenance measures are on defined schedule intervals (for

example, once per year), whereas corrective-maintenance measures are scheduled according to a
failure distribution curve (Weibull distribution) for each measure. Selection by the user of the
environmental conditions (e.g., bird populations, pollen, snow) trigger measures such as
additional cleanings or snow-removal costs.

This cost model based on failure distribution (Weibull distribution) is an accepted way to
estimate net present value of the O&M program, which is useful in a life-cycle cost analysis (for
a feasibility study) or to estimate metrics such as cents/kWh delivered or average $/kW/year.
However, financiers and system operators also need to know the maximum exposure. This is the
amount that should be secured in a line-of-credit or reserve fund to cover worst-case scenario of
O&M costs. The need for this is exemplified by a 924-kW carport system that was down for two
years because the Navy did not have funds immediately available to replace a failed inverter.
Accurately estimating this maximum exposure based on statistics has proven to be prohibitively
complex if the number of components exceeds 10 or so, which is the case even for a small PV
system. Thus, the PV O&M cost model takes a simpler approach of identifying (with a 1 or a
0) which of the long list of measures costs should be included in the reserve account, and this
would include major items such as complete inverter replacement.

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 Figure 16. Results of PV O&M cost model for 10-MW ground-mount PV system with tracking,
central inverters, and pollen as an environmental condition. (figure by Andy Walker)

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 11 Current PV O&M Cost Survey Information
The Federal Energy Management Program (FEMP) has tabulated O&M costs for grid-tied
distributed generation-scale systems varying from $21 $20 /kW/year for systems < 10 kW to
$19 $10 /kW/year for large systems > 1 MW (see NREL 2013). In 2010, EPRI reported costs
of $6/kW/year to $27/kW/year ( <1% to 5% of installed cost per year) for systems less than 1
MW and costs of $47 to $60/kW/year for larger utility-scale systems depending on PV type and
fixed or tracking mounts (EPRI 2010). An early study reports O&M costs of $12/kW/year or at
0.17% of capital cost without tracking and 0.35% of initial cost with tracking (Mortensen 2001).

Another estimate approximates O&M of PV systems at $40/kW/year (about 0.5% of initial cost
per year for these early systems), about half of which amortized inverter replacements (Wiser et
al. 2009).

Data collected by Tucson Electric Power from 2002 to 2006 (Tucson Electric Power 2007)
reports annual preventive maintenance at 0.04% to 0.08% of initial cost per year and
corrective/reactive unplanned maintenance at 0.01 to 0.22% of initial cost per year. The average
combined cost for these utility-scale ground-mounted systems was 0.16%/year. Costs are not
evenly distributed, with several years of low cost punctuated by a year of high cost when the
inverter is replaced.

Arizona Public Service reports 0.35% of initial cost for O&M exclusive of inverter replacements
(Moore et al. 2008) for large grid-connected systems. For small off-grid systems with batteries,
Arizona Public Service reports that the average annual O&M cost is 5% to 6% of the initial
capital cost (Canada et al. 2005) and that travel time and mileage account for 42% of the
unscheduled maintenance cost of these remote systems.

Members of the Working Group have discussed these results and are currently recommending
0.5% for large systems and 1% of system initial cost per year for small systems as a reasonable
expectation of PV system O&M costs.

These heuristics inform an expectation of PV system O&M cost. The PV O&M cost model
allows a customized, if not more accurate, estimate of system cost based on system type and
components and also on environmental conditions. Survey data on cost and backup services
providers is being correlated with model test data to calibrate the cost model. The cost model
can also lay out year-by-year fluctuations in O&M cost based on scheduled intervals for
preventive measures, failure distributions that increase with age, and inflation in the cost of
O&M services.

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 Appendix A. System Performance Guarantee Example
Calculation (without Shade Correction)

EXHIBIT

COMMERCIAL SYSTEM: SYSTEM PERFORMANCE GUARANTEE

IEC 61724 describes a performance ratio (PR), a temperature-corrected PR, and PRs based on
either standard test condition (STC) data or performance test condition data. Performance ratio
is actual energy delivery divided by the energy delivery estimated based on environmental
conditions and exclusions such as clipping (when DC output exceeds AC output). In other
words, performance ratio is the measured electrical yield divided by plane-of-array (POA)
irradiance, divided by nameplate rating, and multiplied by the reference irradiation value (e.g.,
1000 W/m2) corresponding to the nameplate rating, where the electrical yield and POA
irradiance are integrated over the same time period. If conducted over a short time period, this
example of PR will be inaccurate because this PR will vary substantially based on the time of
year it is calculated and weather, which could be improved using energy performance index and
availability. PR can vary, up or down, year to year, and this operator gets penalized for a year
when it is down, but they do not get rewarded for a year when it is up. In addition to using
different metrics for a guarantee, multi-year averaging, or a penalty/reward type of system for
calculating the guarantee can address this inequity.

The PR of the system is defined as follows:

where:

Yf = number of production equivalent hours recorded at the standard condition

(STC);
Yr = number of irradiation equivalent hours at the standard condition (STC);
E = actual energy output (kWh) plus that number of kWh based on operators good-faith
calculation lost during the contract year due to force majeure event(s) and/or by any
action or inaction of owner, utility, or host.
P n = nominal peak power of the PV plant (kW p ) equal to XXXX.00 kWp
H m = actual irradiance during the performance period recorded through a pyranometer
(kWh/m2). The performance ratio is usually defined relative to the POA irradiance.
Global horizontal (historical reported weather) data are fed into a model to correct for PV
module orientation.
I STC = Standard condition of the irradiation equal to 1 kWh/m.

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 1. Within twenty (20) business days of the end of each contract year, operator shall provide
to owner a written report setting forth the following information:
A. The actual energy output produced by the system in kWh as recorded by the data
acquisition system (DAS) for the 12-month period of the contract year, plus that
number of kWh based on operators good-faith calculation lost during the contract
year due to force majeure event(s) and/or by any action or inaction of owner,
utility, or host, and as reviewed by the owners technical representative at the
owner sole discretion.
B. The actual annual insolation for the contract year calculated as the sum of the
monthly insolation levels measured in the plane of array or measured in the global
horizontal plane and corrected for orientation of the PV modules in units of
kWh/m2 for the system as recorded by the DAS for the 12-month period of the
contract year.
2. With respect to the data set forth in each annual report provided by operator in
accordance with Section 2 above, operator guarantees for each combined period i of one
contract year (PR Performance Period) during the twenty (20) contract years
following the effective date that the actual relevant performance ratio during the
performance period, exceeds or equals the expected PR of the system for the contract
year I (PRi Expected ) during the same i performance period:
PRi PRi Expected

where:

PRi is the PR directly measured onsite, as described above, for the performance
period i;
PR iExpected is the expected PR to be achieved by the operator under its obligations
pursuant this agreement (Expected Performance Ratio).

The operator shall achieve a performance ratio contracted after availability for as listed below:

PR iExpected = 82. 8 x K x ( 1 - Y iDegradation ) x (Y Availability )

where:

Y iDegradation is 0.5% from the previous year

Y Availability is 98% (for the first year) and 99% (for the second and subsequent
years)
K is the corrective factor equal to 1.3 for mono-axial tracker-based systems and 1
for fixed systems.

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 Cumulative
Degradation %
Degradation PRi Expected
from Previous Availability
Year of the
Year (for each
Modules Y Availability
year i)
Y Degradation
Y Degradation

0 0.50% 0.00%
1 0.50% 0.50% 98% 108.20%
2 0.50% 1.00% 99% 107.66%
3 0.50% 1.50% 99% 107.12%
4 0.50% 2.00% 99% 106.59%
5 0.50% 2.50% 99% 106.06%
6 0.50% 3.00% 99% 105.52%
7 0.50% 3.50% 99% 105.00%
8 0.50% 4.00% 99% 104.47%
9 0.50% 4.50% 99% 103.95%
10 0.50% 5.00% 99% 103.43%
11 0.50% 5.50% 99% 102.91%
12 0.50% 6.00% 99% 102.40%
13 0.50% 6.50% 99% 101.89%
14 0.50% 7.00% 99% 101.38%
15 0.50% 7.50% 99% 100.87%
16 0.50% 8.00% 99% 100.37%
17 0.0% 8.50% 99% 99.86%
18 0.50% 9.00% 99% 99.36%
19 0.50% 9.50% 99% 98.87%
20 0.50% 10.00% 99% 98.37%

Non-availability due to willful act or willful negligence of the owner, force majeure, or
interruptions requested by or agreed with owner will imply an equivalent reduction in H m . These
outages may vary and should be defined and agreed to by the stakeholders when crafting the
guarantee language.

79

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 3. Should the PRi of the system for a performance period as calculated in accordance with
Section 2 above fall short of the PRi Expected of the system during the i performance period
as described in the table above, operator shall pay owner an amount in U.S. dollars equal
to:
LDs = H m * P p * (PR i Expected PR i )* R

where:

LDs = amount of performance liquidated damages

H m = Reference horizontal plane irradiation during the PR performance period
P p = Installed nameplate capacity of the plant (kW p )
PR = PR measured on the plant during the reference period
PR i Expected = is the PR expected as defined in Section 1
R = Average post-time of day (TOD) PPA contracted revenue per unit of
electricity generated, equal to _____$/kWh.

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Appendix B. Service Descriptions for Preventive Maintenance Selections
Available in the PV O&M Cost Model Tool
Consult equipment manuals for maintenance activities and intervals as required by manufacturer.

Service O&M Service Warranty Applicable

Service Name Service Description Interval
Category Category Provider Type Unit
Condition or
General General cleaning/veg Mower/
Cleaning PV Array study N/A Site
cleaning mobilization Trimmer
dependent
Condition or
Array cleaning Array cleaning Cleaning PV Array study Cleaner N/A Acre
dependent
Condition or
Snow cleaning Snow removal Cleaning PV Module study Cleaner N/A Acre
dependent
Condition or
Dust removal: agricultural
Dust cleaning Cleaning PV Module study Cleaner N/A Acre
/industrial
dependent
Condition or
Pollen cleaning Pollen cleaning Cleaning PV Module study Cleaner N/A Acre
dependent
Determine if any new
objects, such as vegetation
growth, are causing
Vegetation shading of the array and Mower/
Cleaning PV Array As needed N/A Acres
management move them if possible. Trimmer
Remove any debris from
behind collectors and from
gutters.

Bird cleaning Bird Cleaning Cleaning PV Array Bi-annual Cleaner N/A Acres

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 Service O&M Service Warranty Applicable
Service Name Service Description Interval
Category Category Provider Type Unit
Contractor Contractor available by Emergency
PV Array Ongoing Administrator N/A System
response email and phone 24x7x365 Response
Inspect electrical boxes for
Corrosion corrosion or intrusion of Combiner
Inspection AC Wiring Annual Inspector N/A
inspection water or insects. Seal Box
boxes if required.
AC disconnect Check position of
Disconnect
switch disconnect switches and Inspection AC Wiring Annual Inspector N/A
Box
inspection breakers.
Protection
Exercise operation of all Journeyman
device Inspection AC Wiring Annual N/A
protection devices. Electrician
inspection
AC disconnect AC disconnect box Disconnect
Inspection Electrical Annual Electrician N/A
box inspection inspection Box
Grounding Test system grounding with Master
Inspection DC Wiring Annual N/A Strings
inspection "megger" Electrician
Inspect cabling for signs of
cracks, defects, pulling out
Cable of connections;
Inspection DC Wiring Annual Inspector N/A Strings
inspection overheating, arcing, short
or open circuits, and
ground faults.
DC disconnect
Check proper position of
switch Inspection DC Wiring Annual Inspector N/A
DC disconnect switches.
inspection
Open each combiner box
and check that no fuses
have blown and that all
Combiner box Journeyman Combiner
electrical connections are Inspection DC Wiring Annual N/A
inspection Electrician Box
tight. Check for water
incursion and corrosion
damage. Use an infrared

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 Service O&M Service Warranty Applicable
Service Name Service Description Interval
Category Category Provider Type Unit
camera for identifying
loose connections because
they are warmer than good
connections when passing
current.
Look for any signs of
intrusion by pests such as
insects and rodents.
Remove any nests from
electrical boxes (junction
Electrical box
boxes, pull boxes, Inspection DC Wiring Annual Pest Control N/A
inspection
combiner boxes) or around
the array. Use safe
sanitation practices
because pests may carry
disease.
Observe instantaneous
operational indicators on
the faceplate of the
inverter to ensure that the
amount of power being
generated is typical of the
Inverter Inverter
conditions. Compare Inspection Annual Inspector N/A Inverter
inspection (Electrical)
current readings with
diagnostic benchmark.
Inspect inverter housing or
shelter for physical
maintenance required if
present.
Spot-check monitoring
Instrument
instruments (e.g., Inspection Monitoring Annual Inspector N/A
inspection
pyranometer) with hand-

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 Service O&M Service Warranty Applicable
Service Name Service Description Interval
Category Category Provider Type Unit
held instruments to ensure
that they are operational
and within specifications.
String Test open-circuit voltage of PV Module/
Inspection PV Array Annual N/A Strings
inspection series strings of modules Array Specialist
Check all hardware for
Corrosion signs of corrosion, and PV Array
Inspection Annual Inspector N/A Connection
inspection remove rust and re-paint if (Mechanical)
necessary.
Walk through each row of
the PV array and check the
PV modules for any
damage. Report any
Array damage to rack and
Inspection PV Array Annual Inspector N/A Acres
inspection damaged modules for
warranty replacement.
Note location and serial
number of questionable
modules.
Inspect ballasted, non-
Mounting
penetrating mounting
system Inspection PV Array Annual Inspector N/A Rows
system for abnormal
inspection
movement
Use infrared camera to
Hot-spot
inspect for hot spots; Inspection PV Module Annual Inspector N/A Strings
inspection
bypass diode failure
Inspect transformer, oil
and temperature gauges,
Transformer Master
include housing container, Inspection Transformer Annual N/A
inspection Electrician
or concrete housing if
present

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 Service O&M Service Warranty Applicable
Service Name Service Description Interval
Category Category Provider Type Unit
Check electrical connection
Tracker
and enclosure for tracking Inspection Tracker Annual Inspector N/A Controller
inspection
motor/controller
Electrical
Check electrical
connection Inspection Tracker Annual Inspector N/A Motor
connections
inspection
Grounding
Check grounding braids for
braids Inspection Tracker Annual Inspector N/A Structure
wear
inspection
Switchgear Transforme
Switchgear inspection Inspection Electrical Annual Inspector N/A
inspection r
Anemometer
Anemometer Inspection Inspection Tracker Annual Inspector N/A
inspection
Driveshaft Driveshaft torque check
Inspection Tracker Annual Inspector N/A Driveshaft
inspection and visual inspection
Inclinometer
Inclinometer inspection Inspection Tracker Annual Inspector N/A
inspection
Limit switch
Limit switch inspection Inspection Tracker Annual Inspector N/A Block
inspection
Module table
Module table inspection Inspection Tracker Annual Inspector N/A Connection
inspection
Screw jack
Screw jack inspection Inspection Tracker Bi-annual Inspector N/A Block
inspection
Slew gear Slew gear torque check and
Inspection Tracker Annual Inspector N/A Slew Gear
inspection wear inspection
Torque
Torque inspection Inspection Mechanical Annual Inspector N/A Block
inspection
Tracking
Tracking controller
controller Inspection Tracker Annual Inspector N/A
inspection
inspection
Universal joint inspection,
Gear inspection Inspection Tracker Annual Inspector N/A Driveshaft
gears, gear boxes, bearings

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 Service O&M Service Warranty Applicable
Service Name Service Description Interval
Category Category Provider Type Unit
as required or documented
by manufacturer
PV
Module torque PV module torque check Rail/
Inspection Mechanical 5 years Module/Array N/A
inspection and visual inspection Fastener
Specialist
Racking torque Racking torque check and
Inspection Mechanical 5 years Inspector N/A Structure
inspection inspection
Galvanization
Galvanization inspection Inspection Mechanical Annual Inspector N/A Connection
inspection
Manage daily operations and Asset
Management Ongoing Administrator N/A
operations performance monitoring Management
Monitor alarms and site- Asset
Manage alarms Management As needed Administrator N/A
specific alert parameters Management
Manage Manage inventory of spare Asset
Management As needed Administrator Monitoring
inventory parts Management
Manage service Monitoring annual service Asset
Management Ongoing Administrator Monitoring System
package package Management
Document all O&M
Manage O&M services in a workbook
Management Documents Ongoing Administrator N/A
services available to all service
personnel
Confirm availability and
take any measures to
secure operating
Manage
instructions, warranties Management Documents Annual Administrator N/A
documentation
and performance
guarantees, and other
project documentation.
Review O&M agreements
Manage O&M
and ensure that services Management Documents As needed Administrator N/A
agreements
are actually provided

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 Service O&M Service Warranty Applicable
Service Name Service Description Interval
Category Category Provider Type Unit
Update record with
preventive maintenance
Manage
services and track any
preventive Management Documents Ongoing Administrator N/A
problems or warranty
services
issues and secure the
record on site.
Meet with key site staff to
Meet with site continue awareness,
Management Documents Annual Administrator N/A
staff question any issues, and
report on findings.
Maintain a log of
cumulative power delivery
(kWh to date) and chart
this value against date.
Maintain log Management Meter Monthly Administrator N/A
Chart the value even for
uneven or infrequent
intervals. Explain variation
by season or weather.
Mobilize Master
Electrical labor mobilization Management Electrical Annual EPC Site
electrical labor Electrician
Mobilize
Mechanical labor
mechanical Management Mechanical Annual Mechanic EPC Site
mobilization
labor
Check central
SCADA/network manager,
Check central
include software IT and IT Management Electrical Annual Network/ IT N/A NCU
SCADA
hardware updates as
required
Re-torque all electrical
Re-torque AC Journeyman
connections on AC side of Service AC Wiring Annual N/A
connection Electrician
system.

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 Service O&M Service Warranty Applicable
Service Name Service Description Interval
Category Category Provider Type Unit
Re-torque Re-torque all electrical
Combiner
combiner box connections in combiner Service DC Wiring Annual Electrician N/A
Box
connections box
Replace Calibrate or replace
Weather
weather weather sensors and Service Electrical As per manuf. Network/ IT N/A
Station
sensors meters
Replace
transient
Replace transient voltage Master
voltage surge Service Inverter As per manuf. Inverter
surge suppression devices Electrician
suppression
device
Install any recent software
As upgrades
upgrades to inverter
Install software become Inverter
programming or data Service Electrical EPC NCU
upgrades available, max Specialist
acquisition and monitoring
5 years
systems
Dust cleaning
Clean (vacuum) dust from
from heat Service Inverter Annual Cleaner N/A Inverter
heat rejection fins
rejection fins
Replace any air filters on
Replace air Inverter
air-cooled equipment such Service Inverter As needed N/A Inverter
filters Specialist
as inverter.
Remove bird Remove bird nests from
Service PV Array Annual Pest Control N/A Acres
nest array and rack area.
Lubricate tracker mounting
Tracker
bearings/ gimbals as Service Tracker Annual Mechanic N/A
lubrication
required by manufacturer
Gearbox Lubricate gearbox as
Service Tracker Bi-annual Mechanic N/A Block
lubrication required by manufacturer
Screw jack Screw jack greasing as
Service Tracker Bi-annual Mechanic N/A Block
greasing required by manufacturer

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 Service O&M Service Warranty Applicable
Service Name Service Description Interval
Category Category Provider Type Unit
Slew gear Slew gear lubrication as
Service Tracker 3 years Mechanic N/A Slew Gear
lubrication required by manufacturer
Universal joint greasing
Universal joint
(zerk fitting) as required by Service Tracker Bi-annual Mechanic N/A Driveshaft
greasing
manufacturer
Perform performance test:
measure incident sunlight
and simultaneously
observe temperature and
energy output. Calculate
PV module efficiency as a
Performance
function of temperature Testing Inverter Annual Inspector N/A
testing
and calculate the balance-
of-system efficiency.
Compare readings with
diagnostic benchmark
(original efficiency of
system).
Overvoltage
surge Test overvoltage surge Inverter
Testing Inverter 5 Years Inverter Inverter
suppressor suppressors in inverter Specialist
testing
Test output of modules
that exhibit cracked glass,
Module output bubble formation oxidation Journeyman
Testing PV Module 5 years N/A Modules
testing of busbars, discoloration of Electrician
busbars, or PV module hot
spots (bypass diode failure)
Test modules showing
Journeyman
Module testing corrosion of ribbons to Testing PV Module 5 years N/A Modules
Electrician
junction box

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 Service O&M Service Warranty Applicable
Service Name Service Description Interval
Category Category Provider Type Unit
Combiner box DC circuit test and PV Module/ Combiner
Testing Electrical Annual N/A
inspection combiner-box inspection Array Specialist Box
Module
electrical PV module electrical PV Module/
Testing Electrical 5 years N/A PV Module
connection connection check Array Specialist
testing
Grounding
Master
hardware Check grounding hardware Testing Electrical Annual N/A Structure
Electrician
testing

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Appendix C. Service Descriptions for Corrective Maintenance Selections
Available in the PV O&M Cost Model
The following is a list of corrective/reactive maintenance measures that would be performed to fix problems encountered in operation
of a PV system over time.

Service O&M Service Warranty Applicable

Service Name Service Description Interval
Category Category Provider Type Unit
Dispatch contractor
Dispatch in response to Emergency
PV Array As needed Administrator Monitoring
contractor alarms, alerts, or Response
contact by others
Replace inverter Replace inverter AC Journeyman
Repair AC Wiring As needed EPC
AC fuse fuse(s) Electrician
Replace protective
Replace protective Master
devices (breakers) in Repair AC Wiring As needed N/A
devices Electrician
building panel
Replace
Replace AC wiring broken/crushed AC Journeyman
Repair AC Wiring As needed N/A Strings
conduit wiring conduit and Electrician
fittings
Repair line-to-line Repair line-to-line Master
Repair AC Wiring As needed N/A
fault fault Electrician
Locate line-to-line Locate line-to-line Master
Repair AC Wiring As needed EPC
fault fault Electrician
Replace combiner Replace failed fuses Journeyman
Repair DC Wiring As needed N/A Strings
box fuses in combiner box Electrician
Replace Replace MC
PV Module/ Module
connectors Connectors between Repair DC Wiring As needed Modules
Array Specialist (Product)
between module modules
Replace MC Replace MC
PV Module/ Module
connector lead to connector lead to Repair DC Wiring As needed Modules
Array Specialist (Product)
combiner box combiner box

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 Service O&M Service Warranty Applicable
Service Name Service Description Interval
Category Category Provider Type Unit
Journeyman
Re-route conduit Re-route conduit Repair DC Wiring As needed N/A
Electrician
Replace
Replace DC wiring broken/crushed DC Journeyman
Repair DC Wiring As needed N/A
conduit wiring conduit and Electrician
fittings
Repair ground Master
Repair ground fault Repair DC Wiring As needed EPC
fault Electrician
Locate ground Master
Locate ground fault Repair DC Wiring As needed EPC
fault Electrician
Locate Locate underground
Utilities
underground DC DC wiring as part of Repair DC Wiring As needed N/A
Locator
wiring repairs to faults
Carefully dig to
Repair DC direct- Journeyman
expose fault and Repair DC Wiring As needed EPC
bury wire Electrician
repair wire
Replace fuse on Replace fuse(s) on DC
Master
DC source circuits source circuits to Repair DC Wiring As needed EPC
electrician
to inverter inverter
Repair junction Seal leaking junction Journeyman Module
Repair DC Wiring As needed Modules
box box Electrician (Product)
Start/stop inverter
Reboot inverter (reboot to clear Repair Inverter As needed Inspector EPC Inverter
unknown error)
Replace inverter Replace inverter fan Inverter
Repair Inverter As needed Inverter Inverter
fan motor motor Specialist
Replace inverter data
Replace inverter acquisition Inverter
Repair Inverter As needed Inverter Inverter
DAQ card/board; diagnose Specialist
with fault code

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 Service O&M Service Warranty Applicable
Service Name Service Description Interval
Category Category Provider Type Unit
Replace inverter
control card (PWM
Replace inverter signal, voltage, Inverter
Repair Inverter As needed Inverter Inverter
control card phase, frequency, Specialist
shut-down); diagnose
with fault code
Replace
Replace IGBT driver
(Insulated-Gate Inverter
card/board; diagnose Repair Inverter As needed Inverter Inverter
Bipolar Transistor Specialist
with fault code
(IGBT) driver
Replace maximum
Replace maximum
power-point tracker Inverter
power-point Repair Inverter As needed Inverter Inverter
card/board; diagnose Specialist
tracker
with fault code
Replace AC
Replace AC contactor Inverter
contactor in Repair Inverter As needed Inverter Inverter
in inverter Specialist
inverter
Replace IGBT Replace IGBT matrix Inverter
Repair Inverter As needed Inverter Inverter
matrix in inverter in inverter Specialist
Replace power Replace 24VDC
Inverter
supply for inverter power supply for Repair Inverter As needed EPC Inverter
Specialist
controls inverter controls
Replace DC
Replace DC contactor Inverter
contactor in Repair Inverter As needed Inverter Inverter
in inverter Specialist
inverter
Replace Ground Replace GFI
Inverter
Fault Interuption components in Repair Inverter As needed Inverter Inverter
Specialist
components inverter
Replace capacitors in Inverter
Replace capacitors Repair Inverter As needed Inverter Inverter
inverter Specialist
Replace inductors Inverter
Replace induction Repair Inverter As needed Inverter Inverter
(coils) in inverter Specialist

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 Service O&M Service Warranty Applicable
Service Name Service Description Interval
Category Category Provider Type Unit
Replace fuses
Replace fuses Inverter
internal to Repair Inverter As needed Inverter Inverter
internal to inverter Specialist
inverter
Replace inverter Replace inverter Inverter
Repair Inverter As needed Inverter Inverter
relay/switch relay/switch Specialist
Replace Replace overvoltage
Inverter
overvoltage surge surge suppressors for Repair Inverter As needed Inverter Inverter
Specialist
suppressors inverter
RE-install inverter Inverter
Re-install software Repair Inverter As needed EPC Inverter
control software Specialist
Manual reset of arc-
Inverter
Reset arc-fault trip fault trip (NEC Repair Inverter As needed EPC Inverter
Specialist
690.11)
Restore lost Internet
Restore Internet Repair Monitoring As needed Network/ IT N/A Site
connection
Replace Excavate and replace
Structural
foundation failed foundation Repair PV Array As needed N/A
Engineer
element element
Repair or replace
rack parts damaged
Replace rack parts Repair PV Array As needed Mechanic EPC
by corrosion or
physical damage
Replace modules
failing performance
test and infrared
scan after showing
Journeyman Module
Replace modules cracks in glazing, Repair PV module As needed Modules
Electrician (Product)
discoloration of
metallic contacts,
delamination, or
signs of water

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 Service O&M Service Warranty Applicable
Service Name Service Description Interval
Category Category Provider Type Unit
Repair module Repair cracking of PV Journeyman Module
Repair PV module As needed Modules
backsheet module backsheet Electrician (Product)
Repair or replace
Repair module Module
damage to module Repair PV module As needed Mechanic Modules
frame (Product)
frame
Repair roof leaks as
related to PV
Repair roof leaks structure Repair Roof As needed Roofer N/A Acres
penetrations
problems
Re-roof (new roof) as
related to PV
Re-roof structure Repair Roof As needed Roofer N/A Acres
penetrations
problems
Repair tracker Repair/replace
Repair Tracker As needed Mechanic N/A Row
drive shaft tracker drive shaft
Replace tracker Replace tracker drive
Repair Tracker As needed Mechanic N/A Row
drive bearing bearing
Replace tracker Replace tracker
Repair Tracker As needed Mechanic N/A
mount bearing mount bearing
Replace tracker Replace tracker Journeyman
Repair Tracker As needed N/A
motor controller motor controller Electrician
Replace/upgrade
Upgrade tracker
tracker control Repair Tracker As needed Network/ IT N/A
software
software
Replace tracking-
Replace tracker
controller power Repair Tracker 2 years Mechanic EPC Controller
power supply
supply fan filter
Replace hydraulic Replace hydraulic
Repair Tracker As needed Mechanic N/A
cylinder cylinder

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 Service O&M Service Warranty Applicable
Service Name Service Description Interval
Category Category Provider Type Unit
Replace
Transforme Master
transformer (e.g., Replace transformer Repair As needed N/A Transformer
r Electrician
GSU)
Re-tap Transforme Master
Re-tap transformer Repair As needed N/A Transformer
transformer r Electrician
Replace terminal Replace terminal Journeyman Combiner
Repair Inverter As needed Inverter
block block Electrician Box
Inverter
Replace inverter Replace inverter Repair Inverter As needed Inverter Inverter
Specialist
Locate
Locate underground Utilities
underground AC Repair AC wiring As needed N/A
AC wiring Locator
wiring

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 Appendix D. PV O&M Service Category, Scope of
Work, Salary, and Qualifications
These rates are defined in the PV O&M Cost Model and can be customized by the user. They
are from the U.S. Bureau of Labor Statistics, 2015, for each service provider; but most reviewers
comment that these rates are too low. A loading factor is used to convert these values, which
are more representative of employee take-home pay, with the cost to the employer, which
includes the cost of benefits and fringe benefits. A typical loading factor is on the order of 1.7.

Table 4. Qualifications and Loaded Labor Rates for PV O&M Service Providers. [unloaded rates
from National Bureau of Labor Statistics, 2014, loaded at 1.38 factor]

Service Loaded Rate

Scope of Work Qualifications
Category ($/hour)
Administrator 23.00 Record-keeping, Excellent interpersonal and communication
service confirmation, skills (written and verbal). Diligent record
correspondence keeping. 2 to 5 years of experience.
Excellent MS Office and computer skills.
Management of contractors and quality.
Cleaner 14.74 Cleaning PV arrays 10-hour OSHA Card; required level of
bonding and insurance; drivers license and
reliable transportation; minimum 18 years
old.
Designer 58.33 Specifications, B.S. in EE (4-year engineering degree);
drawings, modeling registered PE licensed to practice
and analysis, codes engineering in the jurisdiction; NABCEP PV
and standards Installer Certification; CAD (AutoCAD) and
graphics skills; knowledge of IEEE, NEC,
NESC, and other codes and standards for PV
systems; required level of errors and
omissions insurance.
Inspector 33.12 Diagnostic analysis; Diagnostic analysis; NABCEP PV Installer
visual inspection, Certification; 2 to 5 years of experience.
specific testing
Inverter 33.17 Inverter repair, (estimated) Skills to perform maintenance,
Specialist upgrades diagnostics and repair for inverter: factory
trained and certified; 5+ years of experience.
Journeyman 19.90 Module replacement, (estimated) 50 OSHA Card; training in arc-
Electrician inverter replacement, flash, lock-out/tag-out, and other special
fuse/breaker protective equipment and procedures;
replacement, conduit NABCEP PV Installer certification; experience
routing, wiring, in the design of medium-voltage electrical
ground-fault repair systems. 5+ years of experience with PV
systems; color vision.
Master 32.01 Module replacement, Electrical Contractors license for the
Electrician inverter replacement, jurisdictions; 50-hour OSHA Card; NABCEP
fuse/breaker PV Installer certification; experience in the

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 Service Loaded Rate
Scope of Work Qualifications
Category ($/hour)

replacement, conduit design of medium-voltage electrical systems.

routing, wiring, 5+ years of experience with PV systems;
ground-fault repair color vision. Certification by the North
American Energy Reliability Corporation
(NERC) is necessary for positions that affect
the power grid.
Mechanic 29.30 Maintenance and 50-hour OSHA Card; 2 to 5 years of
repair/replace of experience; required level of bonding and
tracking mount insurance.
components
Network/IT 45.89 Internet/network Knowledge of specific monitoring devices
repair, monitoring (training by system supplier) and how
equipment repair monitoring system is connected through
network connections or wireless or cellular
modem; knowledge of Modbus, DNP3 and
other protocols, HMI operator interfaces; 2
to 5 years of experience. Locus, Enphase,
Itron, etc. monitoring device knowledge.
Pest Control 20.13 Nesting vermin 10 OSHA Card; safety training in handling
removal, nesting animals and detritus; required level of
vermin prevention bonding and insurance; drivers license and
reliable transportation; minimum 18 years
old; most states require license for pesticide
PV 33.17 Module repair (estimated) Skills to operate, troubleshoot,
Module/Array maintain, and repair photovoltaic
Specialist equipment: NABCEP PV Installer
certification. 2 to 5 years of experience.
Roofing 22.70 Roof leak repair, roof Roofing contractors license for the
tile repair, re-roof jurisdiction; 10 OSHA Card; safety training in
fall-protection equipment and use (or 50
OSHA Card); required level of bonding and
insurance.
Structural 55.82 Foundations and rack B.S. CE (4-year engineering degree);
Engineer inspection/design registered PE licensed to practice
engineering in the jurisdiction.
Mower/Trimmer 15.75 Removal of vegetation 50 OSHA Card; drivers license and reliable
transportation; required level of insurance;
minimum 18 years old; any required training
or license for herbicide application.
Utilities Locator 25.55 Locate underground 2 to5 years of experience.
utilities

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 Appendix E. Examples of Scope of Work Documents
Below is an example supplied by SolarCity.

EXHIBIT: SCOPE OF SERVICES

1. Operation and Maintenance:

Provider will (i) keep all Covered Systems in good repair, good operating condition,
appearance and working order in compliance with the manufacturers recommendations,
the Customer Agreements, all manufacturers warranties and the Companys standard
practices (but in no event less than Prudent Industry Practices), (ii) properly service all
components of all Covered Systems following the manufacturers written operating and
servicing procedures and in accordance with the Customer Agreements, and (iii) replace
any Part of a Covered Systems that becomes unfit or unavailable for use under the
Customer Agreements from any cause (whether or not such replacement is covered by a
maintenance agreement) with a replacement Part of a Covered System pursuant to
paragraph 2 of this Exhibit A.
Provider shall promptly furnish or cause to be furnished to the Company such
information as may be required to enable the Company to file any reports required to be
filed by the Company with any Governmental Authority because of the Companys
ownership of any Covered System.
2. Replacement of Parts:

In accordance with the Customer Agreements, Provider will promptly replace or cause to
be replaced all Parts that may from time to time be incorporated or installed in or attached
to a PV System and that may from time to time become worn out, lost, stolen, destroyed,
seized, confiscated, damaged beyond repair or permanently rendered unfit for use under
the Customer Agreements for any reason whatsoever, except as otherwise provided
in paragraph 3 of this Exhibit A.

Provider may, in accordance with the Customer Agreements, remove in the ordinary
course of maintenance, service, repair, overhaul or testing, any Parts, whether or not worn
out, lost, stolen, destroyed, seized, confiscated, damaged beyond repair or permanently
rendered unfit for use; provided that Provider, except as otherwise provided in paragraph
3 of this Exhibit A, will replace such Parts as promptly as practicable. All replacement
Parts will be free and clear of all Liens (except for Permitted Liens and except in the case
of replacement property temporarily installed on an emergency basis) and will be in as
good operating condition as, and will have a value and utility at least equal to, the Parts
replaced assuming such replaced Parts were in the condition and repair required to be
maintained by the terms hereof.

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 3. Alterations, Modifications and Additions:

Provider will make such alterations and modifications in and additions to PV Systems as
may be required from time to time to comply with Applicable Law and the terms of the
applicable Customer Agreements; provided, however, that Provider may, in good faith,
contest the validity or application of any such Applicable Law in any reasonable manner,
but diligently and in good faith, and only if there is no material risk of the loss or
forfeiture of a PV System or any interest therein or breach of the related Customer
Agreement; and provided further, that Providers failure to make (or cause to be made)
any such alterations, modifications of additions will not constitute noncompliance with
the requirements of this paragraph 3 or a breach of Providers undertaking hereunder for
so long a period as may be necessary to remedy such failure, if such failure can be
remedied, so long as during such period Provider is using due diligence and best efforts
to remedy such failure.

4. Customary Information: Provider will furnish or cause to be furnished to the

Company:

Promptly upon an officer of the Provider becoming aware of the existence thereof, a
notice stating that a breach of, or a default under, any material contractual obligation
of the Company in respect of any Covered System has occurred and specifying the
nature and period of existence thereof and what action the Provider has taken or is
taking or proposes to take with respect thereto; and

From time to time such other information regarding the PV Systems or the Projects as
the Company may reasonably request.

5. Reports of Liability:

Provider shall give prompt written notice to the Company of each accident likely to
result in material damages or claims for material damages against any Covered
System or any such Person or likely to result in a material adverse change to the
financial or business condition of the Company occurring in whole or in part
(whenever asserted) during the Term, and on request shall furnish to the Company
information as to the time, place and nature thereof, the names and addresses of the
parties involved, any Persons injured, witnesses and owners of any property damaged,
and such other information as may be known to it, and shall promptly upon request
furnish the Company with copies of all material correspondence, papers, notices and
documents whatsoever received by the Provider or the Company, as applicable, from
third parties in connection therewith.

6. Billing, Collecting and Enforcement of Customer Agreements:

Provider will, at its sole cost and expense, administer or cause to be administered all
Customer Agreements. Providers obligations under this paragraph 6 shall include,
without limitation, delivering periodic bills to all Host Customers, collecting from all

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 Host Customers all monies due under the Customer Agreements, and managing all
communications with or among Host Customers.

Provider will assist the Company in the enforcement of all Customer Agreements.
Provider will, at the Companys direction and expense, diligently exercise any
remedies that may become available under the Customer Agreements in respect of
any defaults by Host Customers thereunder; provided that, in the event that the
Company elects, in the exercise of any such remedies, to remove a PV System from
the Host Customers real property, (a) the cost of such removal shall be borne by
Provider, and (b) Provider will use commercially reasonable efforts to redeploy such
PV System following any such removal (it being agreed that, in connection with any
such redeployment, Provider shall not discriminate against such PV System as
compared to similar equipment that is not subject to this Agreement and will not
unreasonably favor new equipment over the redeployment of the PV Systems
hereunder).

In the event that a Host Customer sells its real property, changes locations or
otherwise vacates the real property upon which the PV System is installed and
proposes to transfer its Customer Agreement, to the extent the new owner or occupant
does not meet the minimum credit standard applicable to the original Host Customer,
Provider will (i) forward the transfer request to the Company for review and approval
or (ii) require the Host Customer to relocate or purchase the PV System, or prepay its
future obligations under the Customer Agreement as provided in the Customer
Agreement, and Provider will be responsible for all administrative duties associated
with the foregoing.

7. Event of Loss with Respect to a PV System:

If any PV System is damaged or destroyed by fire, theft or other casualty, Provider

will, at the Companys expense, repair, restore, replace or rebuild such PV System to
substantially the same condition as existed immediately prior to the damage or
destruction and substantially in accordance with the Customer Agreement related to
such PV System.

If a PV System is required to be replaced as described above, then Provider will cause

the supplier of the replacement equipment to deliver to the Company a bill of sale for
such equipment free and clear of all Liens (except for Permitted Liens) and such
replacement equipment will become a PV System subject to this Agreement.

8. Administration of Government Incentives:

Provider shall timely: (a) complete and submit, on behalf of the Company, all
applications and other filings required to be submitted in connection with the
procurement of all Government Incentives that are available in respect of each
Covered System hereunder; (b) deliver to the Company for the Companys signature
such certifications, agreements and other documents required to be delivered or
submitted under Applicable Laws in connection with such Government Incentives;

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 and (c) take such other action as may be reasonably necessary to effectuate the
procurement and receipt by the Company of such Government Incentives in
accordance with Applicable Laws.

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 Example Performance Work Statement
This Performance Work Statement covers all labor, supplies and materials, replacement parts,
equipment used to provide the services, transportation to the site, and any other goods and
services required to provide preventive and corrective maintenance on this photovoltaic system.
Performance is defined as maintaining the ability of the solar systems to provide power
according to specifications and considering solar and temperature conditions as well as de-rated
for expected inefficiencies such as dirt on the collector. The intent is to perform preventive
maintenance and to replace failed components, and some small degradation of performance is
expected over time. Solar system output shall be no less than 80% of the rated output of the PV
system, corrected for solar and temperature conditions at the time of the test. System shall be
tested annually. Key to the performance definition is that all components be capable of
accomplishing their intended purpose within specifications. The definition of the PV system to
be maintained shall include PV modules, the support structure, disconnects, inverter(s),
monitoring equipment, and all other appurtenances to make the PV system complete, grid-
connected, and operational.

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 Example Description of Maintenance Services for Commercial
Rooftop Installations
A Performance Work Statement is a list of all the services that a service provider is expected to
provide. The text below is offered as an example of such a description of work for a commercial
rooftop installation.

As of the Commencement Date, Owner and Contractor shall provide the Services marked below
at the frequency indicated in accordance with the terms and conditions of this Agreement.

Service Schedule

Services
Frequency /
included
Item Service Description Response
(only if
Time
checked)

Preventive Maintenance

Visual inspection of Solar Facilitys general site

conditions, PV arrays, electrical equipment, mounting
1 1x per year
structure, fence, shading, trackers, vegetation, animal
damage, erosion, corrosion, and discolored panels.

Visual inspection and correction of Solar Facility for

2 1x per year
loose electrical connections and ground connections.

String-level open-circuit voltage, DC operating

3 current tests, and I-V curve traces on [ ]% of [ ] 1x per year
strings.

[ ] switches and disconnects test to ensure they are

4 1x per year
not jammed.

Infrared scans on all [ ] combiner and re-combiner

5 boxes; tighten connections to manufacturer's torque 1x per year
specification; report broken terminal blocks.

[ ] check calibration expiration on sensors and

meters, including pyranometers, and anemometers
6 1x per year
and perform other service such as cleaning and
replacement of any desiccant.

Turn off and on logging and communications to

7 ensure they are communicating and ensure battery 1x per year
backups are working.

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 Service Schedule

Services
Frequency /
included
Item Service Description Response
(only if
Time
checked)

Inverter preventive maintenance for [ ] inverters

8 See below
per manufacturers operating guidelines

9 Clean inverter cabinet air vents. 1x per year

Clean and change inverter air filters, if present, per

10 1x per year
manufacturers warranty requirements.

Clean/remove dust from inverter heat sinks per

11 1x per year
manufacturers warranty requirements.

Check torque marks and re-tightening appropriate

12 wiring connections to design specification torque 1x per year
force per manufacturers guidelines.

Inspect roof penetrations to ensure sealant is applied

13 1x per year
properly and not degrading.

14 PV array module maintenance for [ ] modules See below

Wash all panels with water with no chemicals in a 1x per year

15
method approved by the Owner. or per study

Perform infrared scan of [ ] % of modules for two

16 types of circuitry connections: cells on the front and 1x per year
junction boxes on the back.

Remove any sprouting seeds or vegetation, bird nests,

17 1x per year
leaves or debris, etc.

Document details of preventive maintenance work,

such as condition observations, work performed, As
18
meter readings, thermal images, and system testing performed
results.

Include non-conformance reports to identify potential

19 1x per year
short-term and long-term power production issues.

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 Service Schedule

Services
Frequency /
included
Item Service Description Response
(only if
Time
checked)

Service Support

Contractor will make available a 24x7x365 Technical

20 Ongoing
Support.

Dispatch commitment: dispatch resources in response

21 to alarms and alerts/service requests received by See below
Contractor from Owner.

Alarm: means loss of one inverters production. The

Dispatch in
dispatch time incurs a fee of $XXX per alarm, in
23 <[ ]
addition to the fees in non-covered services schedule,
specify time
including alarms that require warranty service.

Alert/service request: means noticeable anomaly or

loss of power, but inverter in question is still
Dispatch in
operating. This dispatch time incurs a fee of $XXX
24 <[ ]
per alert/service request, in addition to the fees in
specify time
non-covered services schedule, including
alerts/service requests that require warranty service.

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 Example Description of Maintenance Services for Commercial Ground
Mount Installations
As of the Commencement Date, Contractor shall provide the Services marked below at the
frequency indicated in accordance with the terms and conditions of Maintenance Agreement.

Service Schedule

Services
Frequency /
included
Item Service Description Response
(only if
Time
checked)

Preventive Maintenance

Visual inspection of Solar Facilitys general site

conditions, PV arrays, electrical equipment, mounting
1 1x per year
structure, fence, shading, trackers, vegetation, animal
damage, erosion, corrosion, and discolored panels.

Visual inspection and correction of Solar Facility for

2 1x per year
loose electrical connections and ground connections.

String-level open-circuit voltage, DC operating

3 current tests, and I-V curve traces on [ ]% of [ ] 1x per year
strings.

[ ] switches and disconnects test to ensure they are

4 1x per year
not jammed.

Infrared scans on all [ ] combiner and re-combiner

5 boxes; tighten connections; report broken terminal 1x per year
blocks.

[ ] sensors and meters, including pyranometers,

6 1x per year
anemometers, and tilt sensors

Turn off and on to ensure they are communicating

7 1x per year
and ensure battery backups are working.

Exchange units with Owners spares for calibration

per manufacturers instructions. Report serial
8 [ ]
numbers of exchanged units. Calibration costs are
non-covered services.

Inverter preventive maintenance for [ ] inverters

9 See below
per manufacturers operating guidelines

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 Service Schedule

Services
Frequency /
included
Item Service Description Response
(only if
Time
checked)

10 Clean inverter cabinet air vents. 1x per year

Clean and change inverter air filters, if present, per

11 1x per year
manufacturers warranty.

Clean and remove dust from inverter heat sinks per

12 1x per year
manufacturers warranty requirements.

Check torque marks and re-tightening appropriate

13 wiring connections to design specification torque 1x per year
force per manufacturers guidelines.

If tracked, perform tracker verification and preventive

14 1x per year
maintenance per manufacturers owner manual.

15 PV array module maintenance for [ ] modules See below

Wash all panels with water with no chemicals in a 1x per year

16
method approved by the Owner. or per study

Perform infrared scan of [ ] % of modules for two

17 types of circuitry connections: cells on the front and 1x per year
junction boxes on the back.

18 Vegetation mitigation within the fenced area 1x per year

Document details of preventive maintenance work,

As
19 such as meter readings, thermal images, and system
performed
testing results.

Include non-conformance reports to identify potential

20 1x per year
short-term and long-term power production issues.

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 Service Schedule

Services
Frequency /
included
Item Service Description Response
(only if
Time
checked)

Service Support

Contractor will make available a 24x7x365 Technical

21 Ongoing
Support.

Dispatch commitment: dispatch resources in response

22 to alarms and alerts/service requests received by See below
Contractor from Owner/Offtaker.

Alarm: means loss of one inverters production. The

Dispatch in
dispatch time incurs a fee of $XXX per alarm, in
23 <[ ]
addition to the fees in non-covered services schedule,
specify time
including alarms that require warranty service.

Alert/service request: means noticeable anomaly or

loss of power, but inverter in question is still
Dispatch in
operating. This dispatch time incurs a fee of $XXX
24 <[ ]
per alert/service request, in addition to the fees in
specify time
non-covered services schedule, including
alerts/service requests that require warranty service.

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 Example Description of Operations Services
As of the Commencement Date, Contractor shall provide the Services marked below at the
frequency indicated in accordance with the terms and conditions of Operations Agreement:

Service Schedule

Item Services included Service Description Frequency / Response

(only if Time
checked)

Operations Administration

1 Input and or checking of monthly Monthly

production data

2 Preparation and submission of any When needed

declarations or notification requested
by GSE, LAGIE, or other regulatory
bodies

3 Check and approval of in-bound and Continuous and on

out-bound invoices, as well as demand
verification with contracts, proper and
correct invoicing, settlement

4 Management of any SPV contract Continuous and on

obligation and relationship with SPV demand
counterparties

5 Continuous check and reporting on Continuous and on

relevant regulations demand

6 Advise on necessary actions Continuous and on

/adaptations of the plant to change in demand
law

7 Periodic renewal of the insurance Upon deadline or

contracts and revision of the terms yearly
and conditions

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 Service Schedule

Item Services included Service Description Frequency / Response

(only if Time
checked)

8 Incident intervention, based on data When needed

gathered through operational
performance monitoring

9 Insurance claim handling and When needed, up to 2

settlement that comes with it, using events per year
data gathered through operational
performance monitoring

10 Support to legal consultant in relation On demand

to ongoing litigation

11 General administrative support for When needed

project compliance

12 Liaising with authorities on behalf of When needed

SPV

13 Formal correspondence (authorities or When needed

contractual third parties)

14 Managing general compliance events When needed

15 Managing insurance policies When needed

16 Managing land leases When needed

17 Managing telecommunications When needed

contracts

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 Service Schedule

Item Services included Service Description Frequency / Response

(only if Time
checked)

18 Managing security contracts (ARC, When needed

O&M, key holding)

19 Managing electricity supply When needed

agreements

20 Managing PPAs (non-technical) When needed

21 Managing data storage and backup When needed

contracts

22 Managing document storage (hard When needed

and soft)

23 Production register books When needed

24 Justification and calculation of When needed

liquidated damages (O&M)

25 Assessment on the calculation of PR Yearly

and availability according to O&M
contracts

26 Control, follow-up, and settlement of Yearly

the guarantees and penalties using
data gathered through the operational
performance monitoring

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 Service Schedule

Item Services included Service Description Frequency / Response

(only if Time
checked)

Monitoring

1 Historical data import Upon handover

2 Data acquisition from the current Daily

SCADA installed & storage

3 Check on data communication, Daily

security signal and production and
escalation to Service Provider

4 Plant data management, storage, Daily

backup

Reporting

1 Actual Irradiance vs Expected @ P50, Monthly / Quarterly /

P75, P90 Bi-Annual / Yearly

2 Actual Production vs Expected @ Monthly / Quarterly /

P50, P75, P90 Bi-Annual / Yearly

3 Actual Revenues vs Expected @ P50, Monthly / Quarterly /

P75, P90 Bi-Annual / Yearly

4 Actual Availability vs guaranteed Monthly / Quarterly /

Bi-Annual / Yearly

5 Actual Performance Ratio vs Monthly / Quarterly /

guaranteed Bi-Annual / Yearly

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 Service Schedule

Item Services included Service Description Frequency / Response

(only if Time
checked)

6 Delta Production and Revenues vs Monthly / Quarterly /

Expected @ P50, P75, P90 Bi-Annual / Yearly

7 Analysis on performance and Bi-Annual / Yearly

benchmarking against similar plants

8 O&M preventive and corrective Monthly / Quarterly /

maintenance services during the Bi-Annual / Yearly
current month and expected for the
following month

9 Main incidents recorded, incidents Monthly / Quarterly /

handling and resolution times Bi-Annual / Yearly

10 Corporate, administrative and Monthly / Quarterly /

contractual tasks executed during the Bi-Annual / Yearly
current month and expected for the
following month

11 Analysis of all performance data of Bi-Annual / Yearly

the plants to ensure optimal
performance and detect any areas for
improvement.

12 Pro-active intervention, proposal of Bi-Annual / Yearly

improvements and coordination of
action items

13 Operations committees, presentations Quarterly / Bi-Annual

and assistance / Yearly

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 Service Schedule

Item Services included Service Description Frequency / Response

(only if Time
checked)

Daily Plant Operations

1 Real-time data analysis Daily

2 Root-cause analysis Daily

3 Event notification management Daily

4 Alert notification management Daily

5 Proactive intervention Daily

6 Incident management Daily

7 Trouble ticket creation When needed

8 Trouble ticket management When needed

Field Service Management

1 Issue work order for preventive Quarterly or when

maintenance services needed in major
events

2 Issue work order for corrective Quarterly or when

maintenance services needed in major
events

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 Service Schedule

Item Services included Service Description Frequency / Response

(only if Time
checked)

3 Check incident handling & resolution Quarterly or when

times needed in major
events

4 Spare parts management Quarterly or when

needed in major
events

5 Site visits with specific site visit Bi-Annual / Yearly

reports

6 Verification of the services relating to When needed

health & safety, security, quality and
environment management plans

7 Supervision and management of the When needed

contract with the surveillance service
provider

8 In case of under-performance, check, When needed

monitoring and evaluation of the
services to be performed by the
Service Provider to identify the
causes of the issue and to correct the
issue

9 Trouble ticket management When needed

10 Major maintenance works assessment When needed

and solutions implemented

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