August 1996 • NREL/TP-412-21291

Photovoltaic Module 

Certification/Laboratory 

Accreditation Criteria Development: 

Implementation Handbook 

C.R. Osterwald 

National Renewable Energy Laboratory 

R.L. Hammond, B.D. Wood, C.E. Backus, 

and R.L. Sears 

Arizona State University, Tempe, Arizona 

G.A. Zerlaut, Consultant 

SC-International, Inc., Tempe, Arizona 

R.V. D’Aiello, Consultant 

RD Associates, Tempe, Arizona 

National Renewable Energy Laboratory 

1617 Cole Boulevard 

Golden, Colorado 80401-3393 

A national laboratory of the U.S. Department of Energy 

Managed by Midwest Research Institute 

for the U.S. Department of Energy 

under contract No. DE-AC36-83CH10093 
NREL/TP-412-21291 • UC Category:1270 •DE96007895

Photovoltaic Module 

Certification/Laboratory 

Accreditation Criteria Development: 

Implementation Handbook 

C.R. Osterwald 

National Renewable Energy Laboratory 

R.L. Hammond, B.D. Wood, C.E. Backus, 

and R.L. Sears 

Arizona State University, Tempe, Arizona 

G.A. Zerlaut, Consultant 

SC-International, Inc., Tempe, Arizona 

R.V. D’Aiello, Consultant 

RD Associates, Tempe, Arizona

National Renewable Energy Laboratory 

1617 Cole Boulevard 

Golden, Colorado 80401-3393 

A national laboratory of the U.S. Department of Energy 

Managed by Midwest Research Institute 

for the U.S. Department of Energy 

under contract No. DE-AC36-83CH10093 

August 1996
NOTICE 

This report was prepared as an account of work sponsored by an agency of the United States 

government. Neither the United States government nor any agency thereof, nor any of their employees, 

makes any warranty, express or implied, or assumes any legal liability or responsibility for the accuracy, 

completeness, or usefulness of any information, apparatus, product, or process disclosed, or represents 

that its use would not infringe privately owned rights. Reference herein to any specific commercial 

product, process, or service by trade name, trademark, manufacturer, or otherwise does not necessarily 

constitute or imply its endorsement, recommendation, or favoring by the United States government or any 

agency thereof. The views and opinions of authors expressed herein do not necessarily state or reflect 

those of the United States government or any agency thereof. 

 
Photovoltaic Module Certification1 

Laboratory Accreditation Criteria Development: 

Implementation Handbook 

C .R. Osterwald 

National Renewable Energy Laboratory 

Golden, Colorado 8040 1-3393 

R.L. Hammond, B.D. Wood, C.E. Backus, R.L. Sears 

Arizona State University 

Tempe, Arizona 85287-5806 

G.A. Zerlaut, Consultant 

SC-International, Inc. 

Phoenix, Arizona 85023 

R.V. I)' Aiello, Consultant 

RD Associates 

Tempe, Arizona 85284 

ABSTRACT 

This document covers the second phase of a two-part program. Phase I provided an overview of the structure and function of typical product certification/laboratory accreditation programs. 

This report (Phase 11) provides most of the draft documents that will be necessary for the implementation of 

a photovoltaic (PV) module certificatiodlaboratory accreditation program. These include organizational 

documents such as articles of incorporation, bylaws, and rules of procedure, as well as marketing and educational program documents. 

In Phase I, a 30-member criteria development committee was established to guide, review and reach a 

majority consensus regarding criteria for a PV certification/laboratory accreditation program. Committee 

members represented PV manufacturers, end users, standards and codes organizations, and testing laboratories. A similar committee was established for Phase 11; the criteria implementation committee consisted of 

29 members. Twenty-one of the Phase I committee members also served on the Phase I1 committee, which 

helped to provide program continuity during Phase 11. 
Acknowledgments 

The authors are grateful for the guidance provided by Richard DeBlasio, project manager for the 

National Renewable Energy Laboratory. In addition, the authors wish to thank the 29 criteria 

implementation committee members for their guidance, support, review of the numerous draft 

documents, and constructive comments. The names and affiliations of the committee members 

are listed below. 

The valuable contributions of the Arizona State University staff deserve recognition. Jane Turpin 

assisted with the communications network and project administration. Deborah Shaver, with the 

Office of Sponsored Projects, provided invaluable support in administering the contract. 

Criteria Implementation Committee Members: 

Pete Eckert 

Lisa Frantzis 

Moneer Azzam 

Cheryl Keith 

John Hoffner 

Steve Chalmers 

Gobind Atmaram 

Scot Albright 

Carl Osterwald 

Gary1 Smith 

Robert Spotts 

Jane Weissman 

Steve Bean 

Bill Kaszeta 

Robert D'Aiello 

Arizona Public Service Company Jack Cannon 

Arthur D. Little, Inc. Gene Zerlaut 

ASE Americas Don Aldrich 

AstroPower Dan Sandwisch 

City of Austin Electric Utility David Meakin 

Consultant John Wohlgemuth 

Florida Solar Energy Center Lawrence Bond 

Golden Photon Steve Hogan 

National Renewable Energy Laboratory Jerry Anderson 

Naval Weapons Air Station Shawn MacGregor 

Photocomm Inc. Tom Lundtveit 

Photovoltaics for Utilities Troy Glatfelter 

Public Service Company of Colorado Warren Heerlein 

Sandia National Laboratories 

SC-International 

Siemens Solar Industries 

Solar Cells, Inc. 

Solar Energy Industries Association 

Solarex Corporation 

South Florida Test Service 

Spire Corporation 

Sunset Technology 

TerraLab Engineers 

Underwriters Laboratories Inc. 

United Solar Systems Corporation 

U.S. Coast Guard 

PV Resources International Wallace Youngblood Wyle Laboratories 

RD Associates 
Table of Contents 

Title Page 

Abstract 

Acknowledgments 

Criteria Implementation Committee Members 

1. Introduction 

1.1 Overview 

1.2 Background 

1.3 Phase 1 

1.4 Phase I1 

1.5 Development 

Terminology 

2.1 Introduction 

2.2 Acronyms, abbreviations, symbols 

2.3 Definitions 

The Implementation Process 

3.1 Introduction 

3.1.1 Introduction and overview of the certification process 

3.2 Criteria and requirements 

3.2.1 Document PV- 1 

3.2.2 Document PV-2 

3.2.3 Document PV-3 

3.2.4 Document PV-4 

3.2.5 Document PV-5 

3.3 Legal structure 

3.3.1 Laboratory accreditation body 

3.4 Business plan 

3.4.1 Benefits of a certification program 

3.4.2 Marketing documents: brochure and contact list 

3.4.3 Budget 

Conclusions 

4.1 Conclusions 
Annex A: PV-1. Criteria for a Model Quality System for Laboratories Engaged in Testing 

Photovoltaic Modules 

Foreword 

1. Introduction 

2. Scope 

3. References 

4. Definitions 

5. Accommodation and environment 

6. Organization and management 

7. Personnel 

8. The quality system 

9. Audit and review, and verification practices 

10. Equipment and reference materials, instruments, or standards 

1 1. Test and calibration methods 

12. Measurement traceability and calibration 

13. Handling of test items 

14. Records 

15. Reports 

16. Subcontracting of testing 

17. Outside support services and supplies 

18. Complaints 

PV-1.1. Calibration, Ttaceability, and Statistical Requirements of Accredited Laboratories 

Supporting the Photovoltaic Module Certif~cation Program (Addendum to PV- 1) A-24 

Foreword A-25 

1. Introduction A-25 

2. Scope A-25 

3. References A-26 

4. Calibration A-27 

5. Statistical requirements A-31 

Appendix 1: 

Vendor evaluation checklist 
Annex 13: PV-2. Model for a Third-Party Certification and Labeling Program for 

PhotovoItaic Modules 

Foreword 

1. Introduction 

2. Scope 

3. References 

4. Definitions 

5. Certification body 

6. Manufacturer's or producer's quality system 

7. Initial testing and periodic retesting 

8. Licensing 

9. Surveillance 

10. Use of the certificate of conformity, or mark of conformity, and marking 

1 I. Misuse of a certificate or mark of conformity 

12. Publicity by licensees 

13. Suspension of a license for a product 

14. Withdrawal or cancellation of a license 

15. Corrective action 

16. Implementation of modifications to Document PV-3 

17. Liability 

18. Disputes 

19. Fees 

Appendix 1 : 

An approach to the review by a certification body of its own internal quality system 

(reproduction of ISOAEC Guide 56) 

Appendix 2: 

Form PV25O: Checklist for assessing the capabilities and quality system of 

manufacturers and producers 

Appendix 3: 

Form PV200: Specimen for initial questionnaire for factory assessment 

(reproduced from ISO/IEC Guide 28) 

Appendix 4: 

Form PV100: Application for conformity certification by use of certificates or 

mark of conformity 

(reproduced from ISO/IEC Guide 28) 

Appendix 5: 

Form PV300: Specimen of a licensing agreement for the use of a certificate or 

mark of conformity 

(reproduced from ISOlEC Guide 28) 

Appendix 6: 

Specimen of form for a license for the use of the certificates or mark of conformity 

(reproduced kom ISO/IEC Guide 28) 
Annex C: PV-3. Testing Requirements for a Certification and Labeling Program for 

Photovoltaic Modules 

Foreword 

1. Introduction 

2. Definitions 

3. References 

4. General test plan and sequence of testing 

5. Module qualification and performance tests 

6. Reporting 

Appendix 1: 

Equipment and Apparatus Required for PV Module Testing and Certification 

Appendix 2: 

Laboratory Organization and Personnel 

Annex D: PV-4. Operational Procedures Manual for the Certif~cation Body 

of the Photovoltaic Module Certification Program 

Foreword 

1. Introduction 

2. Scope 

3. Definitions 

4. Initial responsibilities of the executive director 

5. Approval of module certification test laboratories 

6. Establishment of the factory quality assessment team 

7. Procedual flow diagram 

8. Application for participation 

9. Requirements for a manufacturer's factory quality system 

10. Review by PMCC of application for module certification 

1 1. The factory assessment 

12. Random selection of test modules 

13. Review and determination of applicant's suitability 

14. Selection of the PV module test laboratory 

15. Module testing 

16. Appeals 

17. Approval and certification processes 

18. Annual, biennial, and periodic requirements 

19. Challenge testing and factory audits 

Bibliography 
Annex E: PV-5. Application and Certification Procedures for the 

Photovoltaic Module Certification Program 

Foreword 

1. Introduction 

2. Scope 

3. Definitions 

7. Procedual flow diagram 

8. Application for participation 

9. Requirements for a manufacturer's factory quality system 

10. Review by PMCC of application. for module certification 

1 1. The factory assessment . 12. Random selection of test modules 

13. Review and determination of applicant's suitability 

14. Selection of the PV module test laboratory 

15. Module testing 

16. Appeals 

17. Approval and certification processes 

1 8. Annual, biennial, and periodic requirements 

19. Challenge testing and factory audits 

Bibliography 

Appendix 1: 

Form PV35O: Licensing fee based on product sold 

Annex F: Legal Structure of the PMCC 

Articles of incorporation 

Bylaws 

General rules of procedure for standing committees 

Specific rules of procedure for standing committees: 

Appeals committee 

Audit and finance committee 

Laboratory accreditation committee 

Licensing compliance committee 

Manufacturer's quality system compliance committee 

Product certification committee 

Technical committee 

Annex G: Partial Business Plan for the PMCC 

Benefits of a certification program 

Marketing brochure 

vii 
List of Figures 

Figure A- 1 Hierarchy of Traceability to NIST 

Figure A-2 Hierarchy of Traceability to the WMO World Radiometric Reference for PV 

Terrestrial Reference Cells 

Figure C- 1 Laboratory Organization 

Figure D- 1 Procedural Flow Diagram, Initial Certification 

Figure E-1 Procedural Flow Diagram, Initial Certification 

List of Tables 

Table A- 1 Traceability and Frequency Requirements for Instrumentation and Measurements A-29 

Required for Laboratory Accreditation in Support of a Phovoltaic Module 

Certification Program 

Table C-1 Equipment and Apparatus Required for PV Module Testing and Certification C-12,13 

Table G- 1 Marketing contact list G-12,13 

Table G-2 Draft initial operating budget G-14 
Section 1 

INTRODUCTION 

1 .I Overview 

This handbook represents the culmination of over 2 years of effort directed toward 

development of a possible third-party product certification and module accreditation program for 

photovoltaic (PV) products. The work was originally designed as a single 1-year task to define 

the criteria for a PV certification/accreditation program. Toward the end of the criteria 

development effort, it became evident that additional work needed prior to the initiation of a 

certification program could be accomplished using the same development methods. These two 

separate but interrelated tasks were designated Phase I and Phase 11. The final reports for both 

phases were written as stand-alone documents; thus, there is material from the first report 

duplicated in this handbook. 

All the draft documents needed to implement a PV module certificatiodlaboratory 

accreditation program have been developed and are available within this handbook. A draft 5- 

year operating budget and a preliminary educational marketing program have also been prepared. 

The next step in the implementation program is for one or more individuals to establish 

the legal framework by filing the Articles of Incorporation of the certification body. Following 

that, the incorporators should recruit participants who are willing to provide the first year of 

funding for the certification body and serve on the board of directors, a step that is the only 

remaining barrier to implementing a formal PV module certificatiodlaboratory accreditation 

program. 

1.2 Background 

Third-party product certification involves a formal process of licensing a manufacturer to 

use a certificate of conformity. Such a certificate can take the form of a tag, label, nameplate, or 

document of specified form and content, affixed or otherwise directly associated with a product 

1-1 
or service, attesting that the product or service is in conformity with the referenced standards or 

specifications. The Underwriters Laboratories label commonly found on nearly all household 

electrical appliances is an example of such a label. Such labels are often required through 

government legislation or contractual agreements. 

In this report, the term third party is used to indicate an organization which issues a 

certification license to a manufacturer. The certification organization (or certijication body) is a 

third party in the sense that it is neither a manufacturer nor an end user. 

The accreditation of a laboratory represents an official recognition that the laboratory has 

the necessary personnel, physical resources, and quality assurance needed to perform a specific 

testing activity. The process of accreditation involves the assessment of a laboratory's capability 

by an authority using criteria that are generally accepted as the essential requirements for a 

laboratory's performance. This accreditation process helps instill confidence in suppliers, 

manufacturers, and users that the laboratory's test results are accurate and valid. 

For PV products, there are two qualities that can benefit from a certification1 accreditation 

program-module electrical performance and module reliability. At the present time, no certification/ 

accreditation programs exist in the PV industry. Buyers and end users of PV modules must either 

accept what manufacturers spec@ for the performance and reliability of their products, find an 

independent laboratory capable of performing the necessary testing, or attempt to perform the testing 

themselves. Consensus standards that specify how PV modules should be tested for such a 

certification program do not exist. This situation is a natural consequence of the young age of the PV 

industry, in which products are continually being introduced and changed. 

At present, PV module manufacturers provide product warranties and, in nearly all cases, 

in-house qualification testing. No formal certification program is currently in existence for PV 

modules. Therefore, buyers must either have their own specifications for qualifying a product 

prior to purchase or use the specifications of past purchasers. This situation requires buyers to 

have an intimate knowledge of PV module testing, which for most buyers is not practicable. 

The majority of module qualification testing has been performed by the manufacturers (as 

1-2 
I 

opposed to independent testing laboratories), primarily because of: (a) economic reasons, (b) a lack 

of standardization, and (c) a lack of qualified laboratories to perfom the tests. Also, some 

manufacturers have developed in-house qualification testing capabilities as part of product 

development and warranty offerings. Accredited, independent testing laboratories would allow these 

manufacturers to reduce their need for facilities to perform routine testing of proven products and 

manufacturing processes, thereby reducing costs. Manufacturers' liability costs would also be reduced 

as liability is transferred from manufacturers to the product certification body. 

It is expected that a certification/accreditation program would enable manufacturers to 

certify products through a single process, avoiding the current situation of the multiple ad hoc 

standards required for different markets, different customers, or both. This would reduce the cost 

to the manufacturers and ultimately to the buyers of PV modules. 

1.3 Phase I 

The initial step toward the establishment of a certification/accreditation program in the 

PV industry was the development of criteria that specify what testing should be done in order to 

certify that a particular PV module product is likely to perform reliably. This step was 

accomplished through a National Renewable Energy Laboratory (NREL) subcontract to Arizona 

State University (ASU), which developed the criteria in conjunction with a cormnittee of 

representatives from PV manufacturers, utilities, testing laboratories, and standards and codes 

organizations. 

The criteria documents created during Phase I of this project were published as part of a 

technical report titled "Photovoltaic Module CertificationLaboratory Accreditation Criteria 

Development" (NRELSrP-4 12-7680, April 1995). This report completed the initial step by 

defining: (a) the applicable test standards necessary for a module design to be certified, and (b) 

the criteria for laboratory accreditation for both performance and reliability testing of 

nonconcentrating PV modules. The three criteria documents developed during Phase I, called 

PV-1, PV-2, and PV-3, are included in this handbook as Annexes A, B, and C. 

1-3 
1.4 Phase I1 

As noted above, the original ASU subcontract was expanded in scope in October 1994 to 

include an implementation phase. The objectives of Phase 11 were to perform as much of the 

development and groundwork as possible that would be needed prior to the actual initiation of a 

certificationlaccreditation program, using the continuity and momentum of the first phase. 

Specific tasks that were to be accomplished included: 

Developing the pro forma corporation bylaws and draft articles of incorporation 

needed to form a certification body, using the criteria in documents PV-1, PV-2, and 

PV-3 (developed in Phase I) 

Developing a pro forma budget for a certification body 

Developing recommendations for obtaining seed money to implement a certification 

program-how much, potential sources, and potential commitments (i.e., industry) 

Recommending either the American Association for Laboratory Accreditation or the 

National Voluntary Laboratory Accreditation Program as the laboratory accreditation 

body for the program 

Identifying possible refinements to the performance testing procedures contained in 

PV-3 

Motivating senior-level managers of PV manufacturers to endorse and participate in 

the potential certification program 

Developing a measurement traceability hierarchy to either the National Institute for 

Standards and Technology or the World Radiometric Reference for all measurements 

needed for certification. 
1.5 Development 

The approach used to develop the required documents in Phase II was similar to 

that used in Phase I. ASU wrote the initial drafts of the documents, which were then distributed 

to the criteria development committee. Comments and objections received from committee 

members via fax and telephone were then incorporated into the draft documents. This approach 

minimized the need for committee meetings; in fact, only a single meeting at the outset of Phase 

II was held. 

Most of the documents developed under Phase II were not controversial. This was 

probably due to the fact that most were administrative or legal in nature. As such, only the initial 

drafts of the documents were sent to the committee for comments. The first draft of all 

documents received a majority consensus. The second and final draft of each document therefore 

represented a total consensus of the committee. One exception was the addendum to Document 

PV- 1 (see Annex A), called PV- 1.1, for which two drafts for comments were needed. 

Section 2 

TERMINOLOGY 

2.1 Introduction 

The terms defined in this section include a consolidation of terms used and defined in 

documents PV-1, PV-2, PV-3, PV-4, and PV-5 (Annexes A through E, respectively) and terms 

that apply to accreditation, certification, and standardization programs in general. 

2.2 Acronyms, abbreviations, and symbols 

A2LA 

AAMVLA 

AM 

ANSI 

ARI 

ASQC 

ASTM 

BCS 

CASCO 

CEC 

CERTICO 

CRM 

dc 

DOE 

EC 

EOTC 

ERDA 

EST1 

GATT 

ICBO 

IEC 

IEEE 

ILAC 

IMP 

ISCC 

kc 

IS0 

I-v 

LAP 

NATA 

NBS 

NIST 

NREL 

NVLAP 

PMP 

RAB 

American Association for Laboratory Accreditation 

American Association of Motor Vehicle Laboratory Accreditation 

Air mass 

American National Standards Institute 

Air-conditioning and Refrigeration Institute 

American Society of Quality Control 

American Society for Testing and Materials 

British Calibration Service 

Council Committee on Conformity Assessment 

Commission of the European Communities 

Certification Council (ISO/IEC) 

Certified Reference Material 

Direct current 

Department of Energy 

European Community or European Commission 

European Organization for Testing and Certification 

Energy Research and Development Administration 

European Solar Test Installation 

General Agreements on Tariffs and Trade 

International Congress of Building Officials 

International Electrotechnical Commission 

Institute of Electrical and Electronics Engineers 

International Laboratory Accreditation Conference 

Current at maximum power point 

Interstate Coordinating Council 

Short-circuit current 

International Standards Organization 

Current-voltage 

Laboratory accreditation program 

National Association of Testing Authorities (Australia) 

National Bureau of Standards 

National Institute for Standards and Technology 

National Renewable Energy Laboratory 

National Voluntary Laboratory Accreditation Program (NIST program) 

Power at maximum power point 

Registration Accreditation Board (ASQC) 
RCL 

SEIA 

SEREF 

SNL 

SRC 

SRCC 

STC 

TAG 

TQM 

UL 

VMP 

voc 

WRR 

Rating, Certification and Labeling (solar hot water collector program) 

Solar Energy Industries Association 

Solar Energy Research and Education Foundation (SEW program) 

Sandia National Laboratories 

Standard Reporting Conditions 

Solar Rating and Certification Corporation 

Standard Test Conditions 

Technical Advisory Group 

Total Quality Management 

Underwriters Laboratories 

Voltage at maximum power point 

Open-circuit voltage 

World Radiometric Reference 

2.3 Definitions 

Air Mass: The ratio of the mass of atmosphere in the actual observer-sun path to the mass that would exist if the 

observer was at sea level, at standard barometric pressure, and the sun was directly overhead. Note-(sometimes 

called air mass ratio.) Air mass varies with the zenith angle of the sun and the local barometric pressure, which 

changes with altitude. For sun zenith angle, Z, of 62" or less and local atmospheric pressure, P, where Po is 

standard atmospheric pressure, AM = secZ(P/Po). [ASTM E 7721 

Air Mass 1.5 standard reference spectrum: The solar spectral irradiance distribution (diffuse and direct) 

incident at sea level on a sun-facing, 37" tilted surface, as defined by ASTM E 892. The atmospheric conditions 

for AM 1.5 are: precipitable water vapor, 14.2 mm; total ozone, 3.4 rnm; turbidity (base e, h = 0.5 mm), 0.27. 

Baseline performance value: Initial values of Is,-, Voc, PMp, VMP, IMP measured by the accredited laboratory and 

corrected to Standard Test Conditions, used to validate the manufacturers' performance measurements provided 

with the qualification modules per IEEE 1262 [PV-31. 

Blocking Diode: A diode used to restrict or block reverse current from flowing backward through a module. 

[UL 17031 

Bypass Diode: A diode connected across one or more solar cells such that the diode will conduct if the cell(s) 

become reverse biased. [UL 17031 

Calibration: The set of operations which establish, under specified conditions, the relationship between values 

indicated by a measuring instrument or measuring system, or values represented by a material measure, and the 

corresponding known values of a measured quantity. The results of a calibration permit the estimation of errors of 

indication of the measuring instrument, measuring system, or material measure, or the assignment of values to 

marks on arbitrary scales. A calibration may determine other metrological properties. The result of a calibration 

shall, for the purposes of this model, be recorded in a document, which may be either an internal or external 

calibration certificate, or a calibration report. The results of calibration operations recorded as values may be 

referred to as "calibration factors," or, if a series of calibration values, as a "calibration curve." [PV-11 

Certificate of conformity: A tag, label, nameplate, or document of specified form and content, affixed or 

otherwise directly associated with a product or service on delivery to the buyer, attesting that the product or service 

is in conformity with the requirements of the certification program (e.g., with the referenced standards and 

specifications). [PV-21 
Certification: The procedure by which written assurance is given that a product or service conforms to a 

specification. A third-party certification is one that is rendered by a technically and otherwise competent body 

other than one controlled by the producer or the buyer. [PV-2f 

Certification body: An impartial body or organization possessing the necessary competence to develop 

promulgate, finance, and operate a certification program and to conduct certifications of conformity. Note: A 

certification body may operate its own testing and inspection activities or it may oversee these activities carried out 

on its behalf by other bodies, e-g., an independent testing labortory. [PV-21 

Certification mark: A generic term intended to include the Listing Mark, Classification Mark, Recognized 

Component Mark and Recognized Marking of [the Laboratory]. Authorized use of a Certification Mark by a 

manufacturer is the manufacturer's declaration that the product was produced according to [the Laboratory's] 

requirements. "Label" is synonymous with "Listing Mark," "Classification Marking," or "Certification ark.'" 

Certfication mark: The sign or symbol owned and controlled by the certification body that is used exclusively by 

the third-party certification program to identify products of services as being certified and is registered as a 

certification mark with the U.S. Patent Office under the Trade Mark Act of 1946. [PV-21 

Certified reference material: A reference material, one or more of whose property values are certified by a 

technically valid procedure, accompanied by or traceable to a certificate or other documentation that is issued 

by a certifying body, e.g., a standard reference cell. [PV-11 

Current at maximum power: The current at which maximum power is available from a module (for the purpose 

of this document, the "rated" current at maximum power will be defined as IMP at STC). [UL 17031 

I-V data: The relationship between current and voltage of a cell [or module] in the power-producing quadrant, as 

a set of ordered pairs of current and voltage readings in a table, or as a curve plotted in a suitable coordinate system 

such as a Cartesian one. [ASTM E 10361 

Interconnect: A conductor within a module or other means of connection which provides an electrical 

interconnection between the solar cells. [UL 17031 

Interlaboratory testing: Organization, performance, and evaluation of tests on the same or similar items or 

materials by two or more laboratories in accordance with predetermined conditions. [PV-11 

Laboratory or testing laboratory: A body or organization that performs tests and provides a formal, written 

report of the results. In cases in which the laboratory forms part of an organization that carries out activities in 

addition to testing and calibration, the term laboratory refers only to that part of the organization that actually 

performs the testing of photovoltaic modules. [PV-11 

Mark of conformity: See Certijication mark. 

Maximum Power: The point on the current-voltage (I-V) curve of a module under illumination, where the 

product of current and voltage is maximum. For the purpose of this doument, "rated" power is defined as PMp at 

STC. [UL 17031 

Metrology: The science of weights and measures or of measurement. 

Producer: The manufacturer, distributor, supplier, or other party providing the product or service to be purchased 

and employed by a user. The producer is responsible for assuring conformity with all requirements of the 

certification program. [PV-21 

From Glossary of UL Terms and Acronyms. Copyright 1990, Underwriters Laboratories Inc. 

2-3 
Proficiency testing: Regular, periodic determination of the laboratory testing or calibration performance of 

unknowns, usually by means of interlaboratory comparisons. [PV-11 

PV module (flat-plate): The smallest environmentally protected, essentially planar assembly of solar cells and 

ancillary parts, such as interconnects, terminals, [and protective devices such as bypass diodes] intended to 

generate dc power under unconcentrated sunlight. The structural (load carrying ) member of a module can either 

be the top layer (superstrate), or the back layer (substrate). [UL 17031 

Qualification test (PV): A procedure applied to a selected set of PV modules involving the application of defined 

electrical, mechanical, or thermal stress in a prescribed manner and amount. Test results are subject to a list of 

defined requirements. [PV-31 

Quality manual: A document stating the quality policy or policies and the quality system and quality practices of 

an organization. [PV- I] 

Quality system: The organizational structure, responsibilities, procedures, processes, and resources for 

implementing quality management. [PV-I] 

Reference material: A physical material, or substance, one or more properties of which are sufficiently well 

established to be used for the calibration of an apparatus, the assessment of a measurement method, or for 

assigning values to materials. [PV-I] 

Reference standard: A physical standard, generally of the highest metrological quality available to the test laboratory, 

from which measurements made at that location are derived. [PV-I] 

Standard reporting conditions: A fixed set of conditions to which the electrical performance data of a 

photovoltaic module are translated from the set of actual test conditions. [ASTM E 10361 

Standard test conditions: Conditions under which a module is tested, consisting of: (1) irradiance intensity of 

1000 w/m2, (2) AM1.5 solar reference spectrum [see Section 2.1.21, and (3) a cell [module] temperature of 

25O+2OC [IEC 12151 

Test and calibration procedures manual(s): A written document, or documents, which contain the specific 

instructions, preferably in active voice, imperative mood, for carrying out the tests or calibrations. [PV-I] 

Test method: A documented technical procedure for performing a test. The test method may be called out in 

either internal documentation, or, whenever possible, in a published consensus standard. [PV-11 

Test sequence: A set of one or more qualification tests applied in a specified order to a selected group of PV 

modules. [PV-31 

Third-party certification: A form of certification in which the producer's claim of conformity is validated, as 

part of a third-party certification program, by a technically and otherwise competent body other than one controlled 

by the producer or the buyer. 

Third-party certification program: An organized system (1) under which similar products or services of any 

number of producers may be certified as conforming to the reference standards or specifications on a uniform and 

equitable basis, (2) which uses or is operated by a third-party inspectionltesting body, and (3) which authorizes the 

use of controlled certification marks or certificates of conformity as evidence of conformity. 
Traceability: The property of a result of measurements whereby it can be related to appropriate physical standards 

maintained by the U.S. National Institute of Standards and Technology (NIST), or the appropriate international 

standards body, through an unbroken chain of comparisons. [PV-I] 

Verification: Confirmation by examination and recording of physical evidence that specified requirements have 

been met. In connection with the management of measuring equipment, verification provides a means for checking 

that the deviation between values indicated by a measuring instrument and corresponding known values of a 

measured quantity are consistently smaller than the maximum allowable error defined in a standard, regulation, or 

specification peculiar to the management of the measuring equipment. The result of verification of equipment and 

measuring instruments leads to a decision either to maintain the item(s) in service, restore to service, or to perform 

adjustments, or to repair, or to downgrade, or to declare obsolete. In all cases it is required that a written trace of 

the verification performed be kept on the measuring instrument's individual record. [PV-I] 

Voltage at maximum power: The voltage at which maximum power is available from a module. (for the purpose 

of this document, the "rated" voltage at maximum power will be defined as VMP at STC). [UL 17031 

Section 3 

THE IMPLEMENTATION PROCESS 

3.1 Introduction 

In order to implement a certification program, three basic ingredients are needed. These 

are: (a) the criteria and requirements of a PV module testing, certification, and labeling program, 

(b) the legal structure, and (c) a business plan. The criteria and organizational structure are 

provided in this handbook and appropriate sections of a business plan have been developed. The 

supporting documentation for these three areas has been developed with the direction and 

support of a committee of industry experts, and is included in the annexes attached to this 

handbook. 

The name "Photovoltaic Module Certification Corporation" (PMCC) was selected as a 

convenient means to refer to the certification body in some of the above-mentioned documents. 

The name has no legal significance and may, or may not, be used as the name of any eventual 

certification body. 

Also, it is important to recognize that these annexes are simply draft documents that can 

be easily modified to meet the specific needs of the certification body at the time that it is 

formed. Minimal changes are anticipated, however, since the documents were developed by 

industry consensus. 

3.2 Criteria and requirements 

Documents PV- 1, PV-2, PV-3, PV-4, and PV-5 collectively define the criteria, 

requirements, and procedures for a PV module testing, certification, and labeling program. These 

five documents are included in Annexes A through E. A brief description of each document 

follows. 
3.2.1 Document PV-1 

PV-1, titled Criteria for a Model Quality System for Laboratories Engaged in Testing 

Photovoltaic Modules, like International Standards Organization and International 

Electrotechnical Commision (ISO/IEC) Guide 25 from which it was developed, serves as the 

basis for designing and implementing quality systems in laboratories and for recognizing the 

competence of laboratories by accreditation. PV-1, however, provides amplification and 

clarification of Guide 25 and is specific to PV module testing laboratories. Requirements of 

American Society for Testing and Materials (ASTM) Standard E 548 on evaluating testing 

laboratories and ISO/IEC Guide 38 on conformity assessment have also been incorporated. 

PV- 1 could be employed by: 

Laboratories engaged in testing PV devices to design, develop, and implement a 

quality system that meets the criteria for accreditation 

Assessment bodies, and their assessors, as the criteria against which laboratories are 

examined for the purpose of accreditation. 

PV-1 covers: 

The criteria for organization and management of the laboratory 

The design of its quality system 

The minimum content of its quality assurance manual 

The implementation of internal auditing of its quality system 

Internal quality checking of the laboratory's data and instrumentation 

The general qualifications of its management and testing personnel 

The external and on-the-job training requirements of its test personnel 

The laboratory's general accommodation and environment criteria 

The general requirements for scientific and test instrumentation. 

The document specifies the minimum requirements an accredited laboratory must have for: 

Calibration instrumentation and traceability of instrumentation and data 

Generic requirements for use of calibration and test methods 

3-2 
Handling of items for test 

Documentation and record requirements (including retention requirements) 

Minimum requirements for issuance of test reports 

Vendor qualification for subcontracting of services and purchasing of supplies 

Handling of complaints. 

Document PV- 1.1, titled Calibration, Traceability, and Statistical Requirements of Testing 

by Accredited Laboratories in Support of the Photovoltaic Module Certification Program, is an 

addendum to PV-1 that was developed as part of Phase 11. This document sets forth the minimum 

requirements for calibration, calibration traceability, and statistical representation of calibration 

and test data with which a laboratory should comply and operate to demonstrate its competence 

to test PV modules. 

In addition to its use as a model for the development of a laboratory's quality system, and 

for maintaining the quality of a laboratory's services, PV- 1.1 is also intended as an aide to the 

assessment of a laboratory's quality program and services. 

3.2.2 Document PV-2 

Document PV-2, titled Model for a Third-Party Certijication and Labeling Program for 

Photovoltaic Modules, was developed for use by: 

Organizations wholly independent of all PV product-esting activities that are selected, 

formed or otherwise approved to administer a PV module certification and labeling 

program 

Laboratories engaged in the dual role of testing PV modules and product certification 

and labeling. 

This model encompasses the structure of a third-party product certification system for 

determining the conformity of PV modules with a series of performance and durabilitylreliability 

standards contained in PV-3. Significant portions of American National Standards Institute 

(ANSI) 234.1 and ISOlIEC Guide 28 have been adopted in PV-2. 

3-3 
The purpose of the PV-2 model is to define a third-party certification system for 

determining conformity using product standards through initial testing and assessment of a 

factory quality management system that is required for acceptance of a manufacturer. This is 

followed by surveillance that takes into account the factory quality management system and the 

testing of sample from the factory and the open market. 

It is not the purpose of this document to address the requirements of either the operation 

of a laboratory that is accredited or otherwise approved to perform the testing, or to define the 

technical testing requirements that will result in creation of the information and data that will be 

used by such a product certification and labeling program. 

3.2.3 Document PV-3 

Document PV-3, titled Testing Requirements for a Certification and Labeling Program 

for Photovoltaic Modules, defines the testing and reporting requirements for reliability 

qualification and baseline electrical performance value measurements of PV modules that would 

be used in support of a PV module certification and labeling program. It includes minimum 

testing requirements for PV products, laboratory equipment (Appendix A of PV-3), and 

requirements for staffing and personnel qualifications (Appendix B of PV-3). It covers: 

A program of evaluation and testing 

Performance methods 

Equipment guidance 

Personnel, organization, and training. 

PV-3 specifies that module designs be tested to Institute of Electrical and Electronics 

Engineers (IEEE) Standard 1262, titled Recommended Practice for Qualification of Photovoltaic 

(PV) Modules. This qualification test program represents the latest methods of subjecting 

modules to simulated and accelerated environmental stresses that have been developed as of the 

time of this writing. 
3.2.4 Document PV-4 

Document PV-4, titled Operational Procedures Manual for the Certification Body of the 

Photovoltaic Module Certijication Program, describes the procedures and processes required for 

the day-to-day operation of the certification program, as well as the procedures required of 

module manufacturers who choose to obtain PMCC certification of their PV products. 

Document PV-4 is the principal guide for managing and administering the PMCC PV 

module certification program, and has been constructed to conform to PV-2 (which itself 

conforms to ANSI 234.1 and IS0 Guide 28), and to ISO/IEC Guides 40 and 56. 

3.2.5 Document PV-5 

Document PV-5, titled Application and Certij?cation Procedures for the Photovoltaic 

Module Certification Program, describes the procedures and processes required of PV module 

manufacturers who choose to obtain PMCC certification of one, several, or all of their models. 

Documents PV-2 and PV-5 represent the major portions of the application package 

provided at cost to interested manufacturers who are potential applicants. 

3.3 Legal structure 

Documents to establish a legal structure for a certification body were developed and are 

included in Annex F. These documents are the: 

Articles of Incorporation 

Bylaws 

General Rules of Procedure 

Specific Rules of Procedure: Appeals Committee, Audit and Finance Committee, 

Laboratory Accreditation Committee, Manufacturer's Quality System Compliance 

Committee, Product Certification Committee, and Technical Committee. 
3.3.1 Laboratory accreditation body 

In order to make the legal documents as complete as possible, a laboratory accreditation 

body was selected by a ballot of the implementation criteria committee. The committee, by 

unanimous vote, selected the American Association for Laboratory Accreditation. 

3.4 Business plan 

It was beyond the scope of this program to develop a complete business plan for a 

certification body. However, three key elements of a business plan were developed to aid the 

start-up of a certification program. These elements, contained in Annex G, are: 

Benefits of a certification program 

Marketing documents: brochure and contact list 

Budget. 

3.4.1 Benefits of a certification program 

Defining the benefits of a certification program is crucial to its implementation. Making 

these benefits known to potential program participants is essential if the program is to be 

supported and funded, and making these benefits known is part of the education program. The 

benefits were developed with input and consensus from the committee. Benefits and committee 

member comments are included in Annex G. 

3.4.2 Marketing documents: brochure and contact list 

The benefits were summarized in the brochure included in Annex G. The brochure was 

designed for senior-level managers (for example, chief executive officer, director of marketing, 

director of quality assurance, and director of research and development). One of the first tasks of 

the certification body may be to distribute such a brochure to these managers, who are listed in 

Annex G (see Table G-1). 
3.4.3 Budget 

A draft budget for the first Syears of operation of the certification body is presented in 

Annex G. This budget covers an executive director half time for the first 2 years, 75% for the 

third year, and full-time by the fourth year. The office manager will be full time starting the first 

year. 

Domestic travel is included so that the executive director can sell senior managers in 

person on the potential benefits of participating in the program. Although no budget was 

allocated for international travel, it may be necessary to travel to Europe and Japan at some time 

during the first 5 years of operation to establish mutual recognition agreements with certification 

bodies in those countries. If this becomes necessary, funds will have to be allocated. 

It is unlikely that funds will be available from the US. Department of Energy to subsidize 

the operating budget. The most likely source of funds will come from program participants (i.e., 

PV manufacturers). A self-sustaining program funded by the participant will certainly be a 

healthier and more stable program than one subsidized by the government. 

Section 4 

CONCLUSIONS 

4.1 Conclusions 

All the draft documents needed to implement a PV module certificatiodlaboratory 

accreditation program have been developed and are included in this handbook. A draft 5-year 

operating budget and a preliminary educational marketing program have also been prepared. 

The next step in the implementation program is for one or more individuals to file the 

Artlcles of Incorporation to establish the legal framework for the certification body. Following 

that, the incorporators should recruit participants who are willing to provide the first year of 

funding for the certification body and serve on the board of directors, a step that is the only 

remaining barrier to implementing a formal PV module certificatiodlaboratory accreditation 

program. 

Annex A 

PV-1. Criteria for a Model Quality System 

for Laboratories Engaged in Testing Photovoltaic Modules 

and 

PV-1.1. Calibration, llaceability, and Statistical Requirements of 

Accredited Laboratories Supporting the 

Photovoltaic Module Certification Program 

(Addendum to PV- 1) 
Document PV-1 

Criteria for a Model Quality System for Laboratories 

Engaged in Testing Photovoltaic Modules 

Table of Contents 

Foreword 

Introduction 

Scope 

References 

Definitions 

Accommodation and environment 

Organization and management 

Personnel 

The quality system 

Audit and review, and verification practices 

Equipment and reference materials, instruments, or standards 

Test and calibration methods 

Measurement traceability and calibration 

Handling of test items 

Records 

Reports 

Subcontracting of testing 

Outside support services and supplies 

Complaints 

Glossary 

ANSI 

ASQC 

ASTM 

IS0 

IEC 

IEEE 

NIST 

UL 

American National Standards Institute 

American Society of Quality Control 

American Society for Testing and Materials 

International Standards Organization 

International Electrotechnical Commission 

Institute of Electrical and Electronics Engineers 

National Institute of Standards and Technology 

Underwriters Laboratories 
FOREWORD 

It is intended that the requirements of a laboratory quality system presented in this document be 

employed (1) by laboratories engaged in testing photovoltaic devices as a guide to designing, developing 

and implementing a quality system that meets the criteria for accreditation, and (2) by assessment bodies, 

and their assessors, as the criteria against which laboratories are examined for the purposes of 

accreditation. The criteria established in this document represent minimum acceptable guidance, and an 

expanded quality system beyond that required by this document is encouraged. 

This model is one of a series of documents that together purport to address the totality of the 

criteria and requirements of a photovoltaic device testing, certification, and labeling program. The other 

documents in this series are: 

PV-2 Model for a Third-Party Certification and Labeling Program for Photovoltaic Modules 

PV-3 Testing Requirements for a Certification and Labeling Program for Photovoltaic 

Modules 

PV-4 Operational Procedures Manual for the Certification Body of the Photovoltaic Module 

Certification Program 

PV-5 Application and Certification Procedures for the Photovoltaic Module Certification 

Program 

In crafting the requirements set forth in this model, the relevant requirements of ASTM Standard 

E 548 on evaluating testing laboratories, ISOIIEC Guides 25 and 38 on conformity assessment have been 

largely adopted. 

Introduction 

All laboratories accredited, or otherwise approved, for the purpose of performing testing of 

photovoltaic modules shall be required to comply with these criteria. 

A laboratory is said to conform to these criteria if it fulfills all of the requirements defined herein. 

To aid the assessment of laboratories to these requirements, only those requirements that can be 

objectively and independently verified are contained in this document 

When conformance to this model is claimed, all provisions of the criteria and requirements set 

forth in this document shall be met. 

Laboratories meeting the requirements of these criteria comply, within the context of their testing 

activities, with the requirements of ASTM Standard E 548 and IS0 Guide 25, and with the 

relevant requirements of the IS0 9000 series of quality standards. 
2. Scope 

This document sets forth the minimum requirements with which a laboratory shall comply and 

operate to demonstrate its competence to test photovoltaic modules. 

In addition to its use as a model for the development of a laboratory's quality system, and for 

maintaining the quality of a laboratory's services, these criteria are for use in aiding the 

assessment of a laboratory's quality program and services. 

This document covers the organization and management criteria of the laboratory, the design of 

its quality system, the minimum content of the laboratory's Quality Assurance Manual, the 

implementation of internal auditing of its quality system, and internal quality checking of its data 

and instrumentation. 

This document also covers the general qualifications of its management and testing personnel, the 

external and on-the-job training requirements of its test personnel, the laboratory's general 

accommodation and environment criteria, and general requirements for scientific and test 

instrumentation. 

This document also sets forth the minimum requirements for calibration instrumentation and 

traceability of instrumentation and data, generic requirements for use of calibration and test 

methods, handling of items for test, documentation and record requirements (including retention 

requirements), minimum requirements for issuance of test reports, vendor qualification for 

subcontracting of services and purchasing of supplies, and handling of complaints. 

References 

ASTM E 548: 

"General Criteria for Evaluating Testing Laboratories" 

ASTM E 882: 

"Guide for Accountability and Quality Control in the Chemical Analysis Laboratory" 

ASTM E 11 87: 

"Terminology Relating to Laboratory Accreditation" 

ASTM E 1322: 

"Standard Guide for Selection, Training and Evaluation of Assessors for Laboratory 

Accreditation Systems" 

ASTM E 1579: 

"Standard Guide for Ensuring Data Integrity in Highly Computerized Laboratory Operations" 

IS0 Guide 25: 

"General requirements for the Accreditation of Calibration and Testing Laboratories" 

IS0 Guide 38: 

"General requirements for the acceptance of testing laboratories" (in revision) 
3.7 IS0 9000 and ANSIIASQC 90: 

"Quality management and quality assurance standards~uidelines for selection and use" 

3.8 IS0 9001 and ANSIIASQC 91 : 

"Quality systems-Model for quality assurance in designldevelopment, production, instalIation 

and servicing" 

3.9 IS0 9002 and ANSIIASQC 92: 

"Quality systems-Model for quality assurance in production and installation" 

3.10 IS0 9004 and ANSUASQC 94: 

"Quality management and quality system elements-Guidelines7' 

3.1 1 IS0 8402: 

"Quality-Vocabulary" 

3.12 ISOTAG4: 

"Guide to the Expression of Uncertainty in Measurement" (draft) 

3.13 ANSUASME PTC 19.1-1985, Part 1 

"Measurement Uncertainty-Instruments and Apparatus" 

4. Definitions 

4.1 The relevant definitions from the referenced documents, including IS0 8402 on vocabulary, are 

repeated for use and clarification of the requirements of this document. Additional clarifications 

have been added to several definitions to aid in meeting the specific requirements of this model. 

4.2 Laboratory, or testing laboratory: A body, or organization, that performs tests and provides a 

formal, written report of the results. In cases in which the laboratory forms part of an 

organization that carries out activities in addition to testing and calibration, the term laboratory 

refers only to that part of the organization that actually performs the testing of photovoltaic 

modules. 

4.3 Calibration: The set of operations that establish, under specified conditions, the relationship 

between values indicated by a measuring instrument or measuring system, or values represented 

by a material measure, and the corresponding known values of a measured quantity. 

The results of a calibration permit the estimation of errors of indication of the measuring 

instrument, measuring system, or material measure, or the assignment of values to marks on 

arbitrary scales. 

A calibration may determine other metrological properties. The result of a calibration shall, for 

the purposes of this model, be recorded in a document, which may be either an internal or 

external calibration certificate, or a calibration report. 

The results of calibration operations recorded as values may be referred to as "calibration 

factors," or, if a series of calibration values, as a "calibration curve." 
Test method: A documented technical procedure for performing a test. The test method may be 

called out in either internal documentation, or, whenever possible, in a published consensus 

standard. 

Verification: Confirmation by examination and recording of physical evidence that specified 

requirements have been met. 

In connection with the management of measuring equipment, verification provides a means for 

checking that the deviation between values indicated by a measuring instrument and 

corresponding known values of a measured quantity are consistently smaller than the maximum 

allowable error defined in a standard, regulation, or specification peculiar to the management of 

the measuring equipment. 

The result of verification of equipment and measuring instruments leads to a decision either to 

maintain the item(s) in service, restore to service, or to perform adjustments, or to repair, or to 

downgrade, or to declare obsolete. 

In all cases it is required that a written trace of the verification performed be kept on the 

measuring instrument's individual record. 

Quality system: The organizational structure, responsibilities, procedures, processes, and 

resources for implementing quality management. 

Quality manual: A document stating the quality policy or policies and the quality system and 

quality practices of an organization. 

Reference standard: A physical standard, generally of the highest metrological quality available 

to the test laboratory, from which measurements made at that location are derived. 

Reference material: A physical material, or substance, one or more properties of which are 

sufficiently well established to be used for the calibration of an apparatus, the assessment of a 

measurement method, or for assigning values to materials. 

Certified Reference Material (CRM): A reference material, one or more of whose property 

values are certified by a technically valid procedure, accompanied by or traceable to a certificate 

or other documentation that is issued by a certifying body, e.g., a standard reference cell. 

Traceability: The property of a result of measurements whereby it can be related to appropriate 

physical standards maintained by the U.S. National Institute of Standards and Technology 

(NIST), or the appropriate international standards body, through an unbroken chain of 

comparisons. 

Proficiency testing: Regular, periodic determination of the laboratory testing or calibration 

performance of unknowns, usually by means of interlaboratory comparisons. 

Interlaboratory testing: Organization, performance, and evaluation of tests on the same or 

similar items or materials by two or more laboratories in accordance with predetermined 

conditions. 
4.14 Test and calibration procedures manual(s): A written document, or documents, which contain 

the specific instructions, preferably in active voice, imperative mood, for carrying out the tests or 

calibrations. 

Accommodation and environment 

Laboratory accommodation shall include the provision of regular, essentially permanent, ample 

work space for testing photovoltaic modules and for performing any necessary calibrations. 

Energy sources, lighting, heating, air-conditioning and ventilation shall be such as to facilitate the 

correct performance of tests and the internal calibrations required. 

The environment in which these activities are undertaken shall not invalidate the results or 

adversely affect the required uncertainty level of any measurement. Particular care shall be taken 

when such activities are undertaken at sites other than a permanent laboratory facility. 

The laboratory shall provide equipment for the effective monitoring, control, and recording of 

environmental conditions as appropriate. Due attention shall be paid, for example, to dust, 

electromagnetic interference, humidity, mains voltage, temperature, and sound and vibration 

levels, as appropriate to the tests and calibrations performed. 

There shall be effective separation between neighboring areas in which there are incompatible 

activities. 

Access to and use of all areas affecting the quality of measurement or testing activities shall be 

defined and controlled through documented procedures. 

Adequate measures shall be taken to ensure good housekeeping and safety in the laboratory. 

Organization and management 

The laboratory shall be legally identifiable. It shall be organized and operated in such a way that 

its permanent facilities, and any relevant temporary mobile facilities, meet the requirements of 

this model. 

The laboratory shall: 

6.2.1 Have managerial staff with the authority and resources needed to discharge their duties. 

6.2.2 Have arrangements to ensure that its personnel are free from commercial or financial 

conflicts of interest and other pressures that may adversely affect the results of testing 

activities. The laboratory shall have a written policy relating to potential conflicts of 

interest, including the disclosure by staff of gifts from clients. 

It is the laboratory's responsibility to comply with the relevant environmental, health, and safety 

requirements. These aspects are outside the scope of this model. 
Be organized in such a way that confidence in its independence of judgment and 

integrity is maintained at all times. 

Specify and document the responsibility, authority, and interrelation of all personnel 

who manage, perform, or verify work affecting the quality of testing or calibrations. 

Provide supervision by persons familiar with the calibration and test methods and 

procedures, the objective of each such calibration or test, and the assessment of test or 

calibration results. The ratio of supervisory to nonsupervisory personnel shall be such 

as to ensure adequate supervision. 

Have a technical manager (however named) who has overall responsibility for the 

technical operations of the laboratory. The technical manager must have sound 

knowledge of the principles of photovoltaic testing and must-have the ability to make 

critical evaluations of test results. 

Have a quality manager (however named) who has responsibility for the laboratory's 

quality system, its implementation and its maintenance. The quality manager's job may 

be a full-time or a part-time job, depending on the size of the staff and the technical 

scope of the laboratory in disciplines other than photovoltaic testing. The quality 

manager shall have direct access to the technical manager and to the highest level of 

management at which decisions are taken for the laboratory on policy or resources or 

both. 

Nominate and document the staff members who shall have full authority in the absence 

of the technical or quality manager or both. 

Where interlaboratory comparison or proficiency testing programs are either not 

available, or otherwise not appropriate, have an internal program to assess proficiency 

using one or more of the following: correlation charting, statistical techniques, 

independent measurements or periodic checks of measured conditions using calibrated 

instruments. 

7. Personnel 

7.1 The laboratory shall have sufficient personnel having the necessary education, training, technical 

knowledge, and experience for their assigned functions. 

7.2 Job descriptions of all personnel involved in photovoltaic testing shall be prepared and shall 

include position title, minimum requirements for the position, responsibilities and reporting 

relationships, and any supervisory responsibilities. 

7.3 The laboratory shall ensure that the training of its personnel is maintained up-to-date. Procedures 

shall be developed to identify training needs, for training new personnel, and for developing and 

maintaining the expertise of existing personnel in all test techniques. Particular attention should 

be given to new or only occasionally used test methods, procedures, and techniques. Procedures 

for cross-training shall be developed and shall be implemented as needed. 
Records on the relevant qualifications, training, skills and experience of the technical personnel 

shall be maintained by the laboratory. A list of all tests and calibrations that each staff member 

has been assessed for and found competent to perform shall be maintained. Cross-training 

records shall be maintained up-to-date. 

The quality system 

The laboratory shall establish and maintain a quality system appropriate to the type and scope of 

photovoltaic testing required by Document PV-3. All elements of this system as listed in 8.5 of 

this document shall be documented. The quality documentation, including up-to-date referenced 

test procedures and operating documents, shall be available for use by the laboratory personnel. 

The laboratory shall define and document its policies and objectives for, and its commitment to, 

good laboratory practice and the quality of testing services. The laboratory management shall 

ensure that these policies and objectives are documented in a quality manual and communicated 

to, understood by, and implemented by all laboratory personnel engaged in photovoltaic testing. 

The quality manual shall be maintained current under the authority and responsibility of the 

quality manager. 

The laboratory's quality manual shall be specific to the laboratory physically involved in testing 

photovoltaic devices and shall therefore be unique to the laboratory; it shall not be a generic 

quality manual pertaining to a parent organization. The content, structure, and format of the 

manual shall reflect this uniqueness. 

A11 copies of the manual shall be numbered, and a log shall be maintained with respect to the 

recipient of each control copy. The manual shall be a living document, i.e., each section shall be 

separately numbered, and each page shall contain the appropriate page number of that section and 

the following document control information: date of issue, authority, and amendment number. 

The quality manual, and related quality documentation, shall state the laboratory's policies and 

operational procedures established to meet the requirements of this model. 

8.4.1 Complete and detailed test and calibration procedures shall not be contained in the 

quality manual. The laboratory's specific requirements and wording of the procedures 

presented in Document PV-3 shall be maintained in a separate test and calibration 

procedures manual or in separate manuals unique to the photovoltaic test laboratory. 

8.4.2 Rules shall be developed and employed for the unique identification of all quality 

documentation, for changes to the documents, for their distribution, and for the 

registration of copies issued. The control information required on all documentation in 

the quality system shall include a unique identification of the document, the revision 

number, the date of issue, and the person authorizing the issuance of the revision so that 

the identity of the controlling document at any time is clear. 
8.5 The minimum contents of the quality manual shall include the following: 

A quality policy statement, including objectives and commitments, that is prepared, 

issued, and endorsed by top management. 

The organization and management structure of the laboratory, its place in any parent 

organization, and relevant organizational charts. The organizational charts shall include 

all positions and names. These should be consistent with job descriptions and training 

records. 

The responsibility, authority, and interrelation of dl personnel who manage, perform, or 

verify work affecting the quality of tests and calibrations. These relationships should be 

identified further by use of a separate organizational chart. 

Procedures for control and maintenance of the quality system and related operating 

procedures documentation. These shall include, in addition to the requirements 

specified in Section 8.4.2: 

(a) The procedures, responsibilities, and authorities for drafting, changing, 

approving, and issuing documents in the quality system, and documents for 

performing testing and calibration (test methods, calibration procedures, job 

orders and travelers). 

(b) Procedures for preventing obsolete or superseded documents from being used 

shall be documented. 

(c) Complete historical files of all quality documents issued shall be maintained 

and the location of these files shall be documented in the quality manual. 

(d) The quality manual shall contain a master list of all quality documents with 

current issue dates and identities of copy holders (where relevant). 

The job descriptions of the management and key operating staff shall be listed in the 

appendix of the quality manual. Job descriptions of all other operating and support staff 

and training records shall be prepared and their location identified in the quality manual. 

The laboratory's approved signatories for test reports and certifications shall be 

identified. The criteria for selecting the approved signatories shall be as specified in 

Document PV-2. 

The laboratory's policy and reference to procedures, for achieving traceability of all 

measurements. 

Arrangements for ensuring that the laboratory reviews all new work to ensure that it has 

the appropriate facilities and resources before commencing such work. The manual 

shall describe policies or procedures to screen incoming test requests to determine 

whether it is within the laboratory's capacity to accept the job. Evidence of this review 

shall be documented. 
The laboratory's scope of tests, listed in tables (whether in the body or an appendix of 

the manual) covering the test procedures in one, and the calibration procedures in 

another. The documents pertaining to test and calibration procedures, respectively, shall 

be identified and their distribution noted. 

The procedures for handling test items. This policy shall describe the system of work 

flow through the laboratory and shall be supported by a flow chart indicating the key 

elements of the overall test program. 

Reference to major test and calibration equipment used in the laboratory. This reference 

shall be supported by an appended listing, in tabular form, of all such instrumentation. 

Information provided in the listing shall include the items required in Sections 10.5.1 

through 10.5.10. 

Reference to procedures for the calibration, verification and maintenance of 

instrumentation and equipment. 

Reference to current verification practices including interlaboratory comparison and 

proficiency test programs (if made available for photovoltaic testing), use of reference 

materials and reference physical standards, and internal quality control, or procedures. 

Procedures to be followed for feedback and corrective action whenever testing 

discrepancies are detected, or departures from documented policies and procedures 

occur. 

The laboratory management's policy and arrangements for exceptionally permitting 

departures from documented policies and procedures, or from standard specifications. 

Policy and procedures for resolution of complaints received from clients or other parties 

about the laboratory's technical testing activities. 

Procedures for protecting the confidentiality and proprietary rights of clients. 

Procedures for audit and review of the quality system, as described in Section 9 of this 

document. 

Procedures for training of the staff in the implementation and application of, and 

compliance with, the quality system and related operating procedures. 

Copies of or reference to procedures for the management of personnel (staff) and 

personnel records, and their location. 

If work is subcontracted, procedures to ensure that subcontractors are competent and 

compIy with the requirements of this guide, as described in Section 16 of this document. 

Copies of or reference to procedures to ensure that outside support services and supplies 

are of adequate quality, according to Section 17 of this document. 
Copies of or reference to procedures for avoiding deterioration or damage to test and 

calibration items during storage, handling, preparation, and test. 

Copies of or reference to procedures for the receipt and retention or safe disposal of test 

and calibration items, including all provisions necessary to protect the integrity of the 

laboratory. 

Copies of or reference to procedures to ensure that purchased equipment, materials, and 

services comply with specified requirements when no independent assurance of the 

quality of outside support services or supplies is available. 

9. Audit and review, and verification practices 

9.1 The laboratory shall periodically, or as required under Section 18 of this document, conduct 

objective internal or contracted audits of its activities to verify that its operations continue to 

comply with the requirements of the quality system. Such audits shall be carried out by trained 

and qualified staff members who are, wherever resources pennit, independent of the activity to be 

audited. 

Audits shall be carried out not less than annually. 

These audits shall include both general criteria (documents, records, and policies) and 

technical compliance (test methods and practices). 

Where the audit findings cast doubt on the correctness or validity of the laboratory's test 

results, the laboratory shall take immediate corrective action and shall immediately 

notify, in writing, any client whose work may have been affected, and shall provide a 

copy of all such information and correspondence to any product certification program 

body for which the testing is performed. 

The objectives of these audits are to discover: 

(a) Whether management objectives (as defined by the quality system) are being 

achieved 

(b) Whether designated duties are being carried out satisfactorily 

(c) Whether appropriate calibrations of equipment, or materials, or both, are being 

properly carried out and whether the results are within the acceptable error 

limits for the quantities and properties being measured 

(d) Whether procedures described in the quality system are being followed 

(e) Opportunities for quality improvement. 
9.1.5 The quality manager shall be responsible for ensuring that all components of the 

laboratory's activities are audited at least annually on behalf of management. The task 

of carrying out audits may be delegated to other staff with appropriate technical training 

and familiarity with the quality system. Additionally, 

(a) The laboratory shall have a planned schedule for the audits that includes all 

activities 

(b) The audit procedures shall be documented 

(c) The audits shall be carried out in accordance with the planned schedule and in 

accordance with the documented procedures 

(d) The results of the audits shall be documented 

(e) Effective corrective action shall be undertaken within a reasonable time frame 

with respect to all nonconforming items 

(f) A record of all completed corrective actions shall be maintained. 

The quality system adopted to satisfy the requirements of this model shall be reviewed at least 

once a year by senior management to ensure its continuing suitability and effectiveness and to 

introduce any necessary changes or improvements. The management review shall include the 

following: 

9.2.1 Matters arising from the previous review 

9.2.2 Reports of any formal second- or third-party (e-g., external) assessments 

9.2.3 Reports of internal audits done since the last management review, including any 

corrective actions required and taken 

9.2.4 Results of participation in any interlaboratory comparisons or proficiency test programs 

(if available) 

9.2.5 Results of internal quality, data and instrumentation checks or verification procedures 

9.2.6 Details of any complaints from clients 

9.2.7 Staff training and cross-training (for both new and existing staff) 

9.2.8 Adequacy of resources (personnel, equipment) 

9.2.9 Future plans, new work requirements, new staff, new equipment. 
All audit and review findings and any corrective actions that arise from them shall be 

documented. The Quality Manager shall ensure that these actions are discharged within the 

agreed timetable. 

9.3.1 Corrective action shall be taken whenever evidence arises that the quality system is not 

functioning properly. Corrective action shall be taken under the following 

circumstances: 

(a) When there is a need to correct an immediate failure. This may require, as 

appropriate, retesting and withdrawing an invalid test report, and issuing a new 

test report. 

(b) When there is a need to investigate the underlying cause of a failure. This may 

involve test personnel not being properly trained in the use of a new instrument 

or may involve the use of defective equipment or equipment found to be out of 

calibration. 

In addition to periodic audits, the laboratory shall ensure the quality of results provided to clients 

by implementing independent checks. These checks shall be reviewed and shall include, as 

appropriate, but not be limited, to the following: 

Internal quality control schemes using, whenever possible, statistical techniques (such as 

Spearman's rank correlation to discover reversals; x-y correlation coefficients between two 

measurements of an independent variable, or between measurements of two independent 

variables; Statistical Process Control (SPC) charting, uncertainty analyses, etc.) 

Participation in proficiency testing or other interlaboratory comparisons (if made 

available for photovoltaic testing) 

Regular use of certified reference materials or reference instruments, or both, in-house 

quality control using secondary reference materials, or reference test specimens, or both, 

including accepted calibrated standards for measurement of optical, electrical, thermal, 

and physical properties of items employed in the testing as detailed in Sections 10 

and 11 of this document 

Replicate testing 

Retesting of retained test items 

Correlation of results for different characteristics of an item. 

10. Equipment and reference materials, instruments, or standards 

10.1 The laboratory shall be furnished with all items of measurement and test equipment required for 

the correct performance of calibrations and tests. In those cases in which the laboratory needs to 

use equipment outside its permanent control, it shall ensure that the relevant requirements as 

described in Section 16 of this document are met. 
10.2 A11 significant items of test equipment (including data processing) and reference materials (and 

instruments) required to perform the tests (or caIibrations), or control critical test conditions, 

shall be permanently and uniquely identified. This identification shall include, in addition to the 

requirements of the equipment list specified in Section 8.5.1 1, the use of a numerical or 

alphanumeric asset number, or instrument number, engraved on or printed on a label that is 

affixed to the item of equipment in a conspicuous place. 

10.3 All measuring instruments and test equipment used to acquire data or control critical test 

conditions shall be properly maintained and their maintenance status clearly stated on an 

appropriate label or other record affixed thereto. Maintenance procedures shall be documented, 

preferably in a Maintenance Manual. Any item of equipment that has either been subjected to 

overloading (electrical, thermal, physical, or otherwise), or mishandling, or gives suspect results, 

or has been shown by verification to be defective, shall be taken out of service, clearly identified, 

and stored at a specific place until it has been repaired and shown by calibration verification or 

test to perform correctly. The laboratory shall examine the effect of this defect on previous tests 

or calibrations and, as required in Section 9.1.2 of this document, advise any clients whose 

reports or certificates may have been affected. 

10.4 Each item of measuring instruments and test equipment used to acquire data or control critical 

test conditions, including reference materials, and reference instruments (e.g., reference 

standards), shall be labeled, marked, or otherwise identified to indicate its calibration status. 

10.5 Records shall be maintained of each item of equipment and all reference materials, and reference 

instruments, significant to the tests performed. The records shall include as a minimum: 

The name of the test equipment 

The manufacturer's name, type identification, model number, and serial number or other 

unique identification 

Date received and date placed in service 

Current location in the laboratory, if relevant 

Condition when received (e-g., new, used, reconditioned, out-of-service) 

Copy of the manufacturer's operating manuals and instructions, where available 

Dates and results of calibrations or verifications, or both, and date of next calibration or 

verification, or both 

Details of maintenance carried out to date and planned for the future 

History of any damage, malfunction, modification or repair 
10.5.10 The following additional information should also be placed in the equipment records 

file: 

(a) Service agents and their contacts, including telephone numbers (for calibration 

and maintenance when outside vendors are employed) 

(b) Checking requirements, including the frequencies and procedures 

(c) Records of in-service checks 

(d) The performance capabilities of the equipment, such as measurement limits, 

ranges and scales, estimates of measurement errors, stability, repeatability 

(e) The identity of staff responsible for monitoring the calibration and maintenance 

of the equipment 

(f) Authorized users. 

11. Test and calibration methods 

11.1 The laboratory shall follow documented instructions on the use and operation of all relevant 

equipment, and on the handling and preparation of items for testing or calibration, or both, where 

the absence of such instructions could jeopardize the tests or calibrations. All instructions, 

standards, manuals, and reference data relevant to the work of the laboratory shall be maintained 

up-to-date and be made readily available to the staff. 

The laboratory shall use appropriate documented methods and procedures for all tests and 

calibrations and related activities within its scope of activities, including sampling, handling, 

transport, storage, and preparation of items to be tested or calibrated, and estimation of 

uncertainty of measurement or analytical error in the calibration or test data. If possible, errors 

should be divided into bias (systematic) and precision (random) error-i.e., uncertainty analysis 

(e.g., ANSIIASME PTC 19.1-1985, Part 1, Measurement Uncertainty Instruments and 

Apparatus). These procedures shall be consistent with the uncertainty level required, and with 

any standard specifications relevant to the calibrations or tests concerned. 

11.2.1 Many, if not all, of the test methods required by the photovoltaic product certification 

program outlined in Document PV-2 and compiled in Document PV-3 will represent the 

documentation required in Section 11.2 of this document. 

11.3 Where methods are not specified by the client or by the requirements of Documents PV-2 

and PV-3, the laboratory shall select appropriate methods that have been published either as 

national or international standards (e.g., ASTM, IEEE, ANSI, IEC and ISO, or UL), or by 

reputable technical organizations, or in relevant scientific texts or journals. Reference to, and 

deviations from, the methods and procedures shall be clearly documented and made available to 

the laboratory test operator and client. 
1 1.4 Where it is necessary to employ methods that have not been established as consensus standards 

according to Section 11.3 of this document, these shall be subject to agreement with the client, be 

fully documented and validated, and be available for examination by the client and other 

authorized recipients of the relevant reports. 

11 -5 Where sampling is carried out as part of a test method, the laboratory shall use documented 

procedures and appropriate statistical techniques to select samples. 

11.6 Calculations and data transfers shall be subject to appropriate independent checking as noted in 

Section 9.4 of this document. 

1 1.7 When computers or automated equipment are used for the capture, processing, manipulation, 

recording, reporting, storage, or retrieval of test and calibration data, the laboratory shall ensure 

that: 

1 1.7.1 Computer software is documented and validated as adequate for use 

1 1.7.2 Procedures are established and implemented for protecting the integrity of data; such 

procedures shall include, but not be limited to, integrity of data entry or capture, data 

storage, data transmission and data processing 

1 1.7.3 Computer and automated equipment is maintained to ensure proper functioning and 

provided with environmental and operating conditions necessary to maintain the 

integrity of test and calibration data 

1 1.7.4 Appropriate procedures are documented and implemented to maintain security of data, 

including the prevention of unauthorized access to, and amendment of, computer records 

1 1.7.5 The documented procedures to meet the foregoing requirements conform to the 

guidelines stated in ASTM E 1579. 

12. Measurement traceability and calibration 

12.1 All measuring and testing equipment having an effect on the accuracy or validity of calibrations 

or tests shall be calibrated or verified, or both, before being put into service. The laboratory shall 

have an established program for the calibration and verification of its measuring and test 

equipment, including the use of necessary reference materials and reference standards and 

appropriate independent, between-calibration checks. 

12.2 The overall program of calibration, verification, and validation of measurement and test 

equipment shall be designed and operated so as to ensure that measurements made by the 

laboratory are, with the exception noted in Section 12.2.1, either traceable to national standards 

of measurement or recognized natural physical constants, or are otherwise satisfactorily validated 

such as by a verified self-ratioing comparison mechanism. 
12.2.1 Solar radiation measuring instrumentation employed in the program of photovoltaic 

testing shall be traceable to the World Radiometric Reference (WRR) through one or 

more of the absolute, self-calibrating cavity pyrheliometers that regularly participate in 

the International Pyrheliometric Comparisons held every 5 years at Physical 

Meteorological Observatory in Davos, Switzerland. 

Calibration certificates shall indicate the traceability to national standards of measurement, or to 

the WRR as noted in Section 12.2.1, or to natural constants, or shall state other acceptable means 

of validation, and shall provide either the measurement results and associated uncertainty of 

measurement or a statement of compliance with an identified metrological specification. 

Calibration records shall clearly state the as-found values and the laboratory's tolerance limits for 

each instrument or device requiring calibration. 

Should traceability to national or international standards of measurement or other direct means of 

validation not be possible or practicable, the laboratory shall provide other satisfactory evidence 

of verification of its measurement or test results, for example, by participation in a suitable 

program of interlaboratory comparisons or proficiency testing. 

Reference standards of measurement held by the laboratory shall be used for calibration only and 

for no other purpose. 

Reference standards of measurement shall be calibrated by a body that can provide certified 

traceability to a national or international standard of measurement. 

The laboratory shall document and implement a program of calibration and verification for its 

reference standards. 

As relevant, any reference standards, including on-site primary, transfer, or working standards, 

and designated measuring and testing equipment, shall be subjected to in-service checks between 

calibrations and verifications. 

Reference materials shall be traceable to national or international standards of measurement or to 

national or international certified standard reference materials, unless it can be demonstrated that 

neither is possible. 

All procedures for in-house calibration shall be documented, including an estimation of 

uncertainty. These should include acceptance criteria, and corrective action if equipment falls 

outside these criteria. 

The staff member responsible for monitoring and for calibration program implementation for 

each item of equipment shall be identified. 

There shall be a comprehensive calibration-scheduling program to alert staff of all calibration due 

dates. 

Reagents shall be kept in properly labeled, clean containers. Their shelf life shall not have 

expired and they shall otherwise not be used after a reasonable period of time. 
13. Handling of test items 

13.1 The laboratory shall follow documented procedures for the receipt, retention, or safe disposal, or 

return to client, of test items, including all provisions necessary to protect the integrity of the 

laboratory. 

13.1.1 When the laboratory has total or partial responsibility for sampling, the laboratory shall 

follow the instructions for sampling given in Document PV-2. 

13.2 To ensure that there can be no confusion regarding the identity of test items at any time, the 

laboratory shall have a documented system for uniquely identifying items to be tested. 

13.3 On receipt, the condition of the test item, including any abnormalities or departures from 

standard conditions as prescribed in the relevant test method, shall be recorded. When there is 

any doubt as to the suitability of an item for test, or an item does not conform to the description 

provided, or the test required is not fully specified, the laboratory shall consult the client for 

further instruction before proceeding. The laboratory shall establish whether the item has 

received all necessary preparation, or whether the client requires preparation to be undertaken or 

arranged by the laboratory. 

13.4 The laboratory shall follow documented procedures and use appropriate facilities to avoid 

deterioration or damage to the test item during storage, handling, preparation, and test. Relevant 

instructions provided with the item shall be followed. When items have to be stored or 

conditioned under specific environmental conditions, these conditions shall be maintained, 

monitored, and recorded where necessary. Where a test item or portion of an item is to be held 

secure (for example, for reasons of record, safety, propriety, or value, or to enable check tests to 

be performed later), the laboratory shall follow documented storage and security arrangements 

that protect the condition and integrity of the secured items or portions concerned. 

14. Records 

14.1 The laboratory shall maintain a record system to suit its particular circumstances and comply 

with any applicable regulations, including the record requirements of Document PV-2 when the 

testing program defined by Document PV-2 appIies. 

14.2 The laboratory shall retain on record all originaI observations, calculations and derived data, 

calibration records, and a copy of the calibration certificate, test certificate or test report for a 

period of not less than 7 years. The records for each test shall contain sufficient information to 

permit their repetition. The records shall include the identity of laboratory personnel involved in 

sampling, preparation, calibration of equipment, and testing activities. 

14.2.1 The laboratory shall maintain a system that provides a traceable link between the sample 

as received and the test report or test certificate that is eventually issued on that test item, 

including all raw data. This requirement shall apply to both manually accumulated and 

computer-acquired data. Information contained in the record shall include, as a 

minimum, the following: 
A description of each sample, including its condition, model number, serial 

number, and detailed structure and composition of test item 

The individual sample, or test item, identification 

Identification of the test method, or test program, and any deviations 

Identification of the specific equipment and instrumentation used in the tests, 

and any related calibration information 

Original test data and observations 

Typed or printed name and signature of the person performing the test 

A copy of the test report as issued 

Dates, times (where relevant), and location of tests performed. 

Original observations shall be entered in ink at the time of the test into bound, numbered 

logbooks or onto properly designed work sheets that are permanently affixed to the 

logbooks. 

Mistakes shall never be erased or deleted. Mistakes shall be noted by drawing a single 

line through the error and entering the correct value alongside, or in adjacent columns or 

rows. The line-out shall be initialed by the person making the change, and the reason for 

the change shall be noted in the margin or in a conspicuous and adjacent place. 

The individual pages of the logbooks, or the work sheets, shall be provided with a place 

for dating and initialing by a higher authority. 

Computer records shall be kept in accordance with the rules described in Section 11.7 of 

this document. 

Any special instructions for completion of logbooks and work sheets provided 

by Document PV-2 shall be followed for tests and testing programs covered by 

Document PV-2. 

All records (including those listed in Section 10.5 of this document, pertaining to calibration and 

test equipment), certificates, and reports shall be safely stored, held secure, and maintained in 

confidence to the client, except as provided by the disclosure requirements in Document PV-2. 

Reports 

The results of each test or series of tests shall be reported accurately, clearly, unambiguously, and 

objectively, and in accordance with instructions in the test methods. 
15.2 When applicable, the results shall be reported in a test report in accordance with the requirements 

of Document PV-2. In all other cases, each report shall include at least the following 

information: 

A title, e.g., "Test Report,'' "Report of Test," and date of issue 

Name and address of the test laboratory, and the location where the test was carried out 

if different from the address of the laboratory 

Unique identification of the report (such as a serial number) and the total number of 

pages; pages shall be numbered consecutively, and each page shall also carry the report 

number and total number of pages 

Name and address of client 

Description and unambiguous identification of the item or items tested 

Characterization and condition of the test item(s) 

Date of receipt of test item(s) and date(s) of performance of test(s) 

Identification of each standard test method used or unambiguous description of any 

nonstandard method used (including reference to internal test procedure documentation) 

Reference to any special instrumentation or equipment used 

Reference to any relevant sampling procedure 

Any additions to, or deviations or exclusions from, the test method, and any other 

information relevant to a specific test, such as environmental conditions 

Measurements, examinations and derived results, supported by tables, graphs, sketches, 

and photographs, as appropriate, and any known failures identified 

A statement of either the estimated uncertainty of the test result(s) or the reason that no 

such estimate is possible, including reference to a more detailed error analysis, if 

required 

a signature and title or an equivalent identification of the person(s) accepting 

responsibility for the content of the test certificate or report, however produced, and the 

date of issue 

As relevant, a statement to the effect that the results relate only to the items tested 

A statement that the test report shall not be reproduced except in full, without the written 

approval of the laboratory. 
15.3 Where the test report contains results of tests performed by subcontractors, these results shall be 

clearly identified as so performed. 

15.4 Particular care and attention shall be paid to the arrangement of the test report. When the tests 

are performed in accordance with the program of testing specified in Document PV-2, the 

reporting format specified in Document PV-2 shall be followed. 

15.5 Material amendments to a test report after it has been issued shall be made only in the form of a 

further document, or data transfer, which includes the statement "Supplement to Test Report, 

serial number . . . [or as otherwise identified]," or an equivalent form of wording. Such 

amendments shall meet all the relevant requirements of Section 14 of this document. 

15.6 The laboratory shall ensure that, where clients require transmission of test results by telephone, 

telex, facsimile, or other electronic or electromagnetic means (e-g., electronic mail), staff will 

follow documented procedures that ensure that the requirements of this model are met and that 

confidentiality is preserved. . 

16. Subcontracting of testing 

16.1 When the laboratory subcontracts any part of the testing, this work shall be placed with a 

laboratory complying with the requirements of this document, or one that is accredited to IS0 

Guide 25. In an absence of accreditation, the laboratory shall perform a documented audit of the 

proposed subcontractor with reference to those aspects of the testing intended to be 

subcontracted. 

16.2 The laboratory shall ensure and be able to demonstrate that its subcontractor is competent to 

perform the activities in question and complies with the same criteria of competence as the 

laboratory in respect to the work being subcontracted. The laboratory shall immediately advise 

the client in writing whenever it intends to subcontract any portion of the testing to another party. 

16.3 The laboratory shall record and retain details of its investigation of the competence and 

compliance of its subcontractor laboratories and maintain a register of all subcontracted test 

activities. 

17. Outside support services and supplies 

17.1 When the laboratory procures outside services and supplies, other than those referred to earlier in 

this document in support of tests, the laboratory shall use only those outside support services and 

supplies that are of adequate quality to sustain confidence in the results of tests. Purchase 

requisitions for critical test materials shall contain sufficiently detailed descriptions of the 

material to assure conformance with the test specification. 
17.2 When no independent assurance of the quality of outside support services or supplies is available, 

the laboratory shall follow documented procedures to ensure that purchased equipment, materials 

and services comply with specified requirements. The laboratory shall ensure that purchased 

support equipment and consumable materials are not used until they have been inspected, 

calibrated, or otherwise verified as complying with any standard specifications or requirements 

documented in the methods for the tests concerned. 

17.3 Documented procedures shall be developed and implemented for any test materials requiring 

handling, storage, or disposal. 

17.4 The laboratory shall maintain records of all suppliers from whom it obtains support services, 

support equipment, or supplies required for tests. These records shall include the brand names of 

consumabIes and the results of any acceptance tests performed, maintenance histories of 

frequently purchased instruments and tools used in testing, and the status of suppliers' 

registration to one of the IS0 9000 standards whenever possible or relevant. 

18. Complaints 

18.1 The laboratory shall follow a documented policy and procedures for the resolution of complaints 

received from clients and other parties about technical testing activities. A record shall be 

maintained of all such complaints and of the investigations and any corrective actions taken by 

the laboratory. 

18.2 When a complaint, or any other similar or equivalent circumstance, raises doubt concerning the 

laboratory's compliance with documented policies or procedures, or with the requirements of this 

document or otherwise concerning the quality of its tests, the laboratory shall ensure that those 

areas of activity and responsibility involved are promptly audited in accordance with Sectiqn 9.1 

of this document or have records to indicate that the deficiency was detected and previously 

corrected. 
Document PV-1.1 

Calibration, Traceability and Statistical Requirements of Accredited Laboratories 

Supporting the Photovoltaic Module Certification Program 

(Addendum to Document PV- 1) 

Table of Contents 

Foreword 

1. Introduction 

2. Scope 

3. References 

4. Calibration 

5. Statistical requirements 

Appendix 1 

Vendor evaluation checklist 

Glossarv 

A2LA 

ACR 

ANSI 

ASQC 

ASTM 

IS0 

IEC 

IEEE 

NIST 

NVLAP 

SPC 

SQC 

WMO 

WRR 

American Association for Laboratory Accreditation 

absolute cavity radiometer 

American National Standards Institute 

American Society of Quality Control 

American Society for Testing and Materials 

International Standards Organization 

International Electrotechnical Commission 

Institute of Electrical and Electronics Engineers 

National Institute of Standards and Technology 

National Voluntary Laboratory Accreditation Program 

statistical process control 

statistical quality control 

World Meteorological Organization 

World Radiometric Reference 
It is intended that the requirements for calibration, traceability of calibration, and statistical representation 

of calibration and test data presented in this document represent additional requirements of the laboratory 

quality system developed to support a photovoltaic module certification and labeling program, and that 

they be employed by: (a) laboratories engaged in testing photovoltaic devices in support of a photovoltaic 

module testing, certification, and labeling program, and (b) assessment bodies and their assessors as the 

criteria against which laboratories are examined for the purposes of accreditation. The criteria established 

in this document represent minimum acceptable guidance, and an expanded quality system beyond that 

required by this document is encouraged. 

1. Introduction 

1.1 All laboratories accredited or otherwise approved for the purpose of performing testing of 

photovoltaic energy conversion devices shall be required to comply with these requirements. 

1.2 A laboratory is said to conform to these requirements if it fulfills all of the requirements defined 

herein. 

When conformance to this document is claimed, all provisions of the requirements set for in this 

document shall be met. 

Scope 

This document sets forth the minimum requirements for calibration, calibration traceability, and 

statistical representation of calibration and test data with which a laboratory shall comply and 

operate to demonstrate its competence to test photovoltaic energy conversion devices. 

In addition to its use as a model for the development of a laboratory's quality system, and for 

maintaining the quality of a laboratory's services, these criteria are for use in aiding the 

assessment of a laboratory's quality program and services. 

This document also sets forth the minimum requirements for calibration frequency, traceability of 

calibration, and for the development of information required for the statistical representation of 

calibration and test data. 

2.4 Measurements covered by the requirements of this document include the following: 

2.4.1 Current, I (A) 

2.4.2 Voltage, V (V) 

2.4.3 Resistance, R (0) 

2.4.4 Power, P (W) 
Irradiance, (using a secondary reference cell), (~m-~) 

Irradiance (using a WMO primary ACR or a primary reference cell), E (~m-'), covered 

only if the laboratory seeking accreditation will calibrate reference cells 

Spectral Irradiance , E(1) (~m-~nrn-') 

Spectral Responsivity, P(1) (AW-I) 

Temperature, T (OC) 

Linear dimension, L (mm or m) 

Wind velocity, v (mls) 

3. References 

3.1 Principal reference documents 

3.1.1 IS0 Guide 25: 

"General Requirements for the Accreditation of Calibration and Testing Laboratories" 

3.1.2 ASTM E 1036: 

"Standard Test Methods for Electrical Performance of Nonconcentrator Terrestrial 

Photovoltaic Modules and Arrays Using Reference Cells" 

3.1.3 IEEE1262: 

"Recommended Practice for Qualification of Photovoltaic (PV) Modules" 

3.2 Other ASTM standards 

ASTM E 927: 

"Specification for Solar Simulation for Terrestrial Photovoltaic Testing" 

ASTM E 973M: 

"Test Method for Determination of the Spectral Mismatch Parameter Between a 

Photovoltaic Device and a Photovoltaic Reference Cell (Metric)" 

ASTM E 1040: 

"Specification of Physical Characteristics of Nonconcentrator Terrestrial Photovoltaic 

Reference Cells" 

ASTM E 1021: 

"Test Methods for Measuring the Spectral Response of Photovoltaic Cells" 
3.2.5 ASTM E 1 125: 

"Test Method for Calibration of Primary Non-Concentrator Terrestrial Photovoltaic 

Reference Cells Using a Tabular Spectrum" 

3.2.6 ASTM E 1362: 

"Test Method for Calibration of Nonconcentrator Terrestrial Photovoltaic Secondary 

Reference Cells" 

3.3 Uncertainty and expression of values 

3.3.1 Barry N. Taylor and Kuyatt, Chris E.: 

"Guidelines for Evaluating and Expressing the Uncertainty of NIST Measurement 

Results," NIST Technical Note 1297, Physics Laboratory, National Institute of Standards 

and Technology, Gaithersburg, MD 20899, January 1993 

3.3.2 ASTM Special Technical Publication 15D: 

"ASTM Manual on Presentation of Data and Control Chart Analysis" 

3.3.3 IS0 TAG 4: 

"Guide to the Expression of Uncertainty in Measurement" 

3.3.4 ANSYASMEPTC19.1-1985,Partl 

"Measurement Uncertainty-Instruments and Apparatus" 

4. Calibration 

4.1 General requirement for calibration certificates 

4.1.1 All equipment and instrumentation used for the measurement of the parameters or 

physical properties listed in 2.4 of this document, shall be calibrated on a regular 

periodic basis, the frequency of which depends on the specific measurement. 

4.1.2 Calibration certificates shall be provided and shall include, as a minimum, the following 

information: 

(a) Name of calibration agency or authority 

(b) Date(s) of calibration 

(c) Calibration value found (as found) 

(d) Calibration value (new) 

(e) Traceability statement (shall be either to NIST, or to WRR) 
(0 NIST Test Reference Number for traceability to MST (or an appropriate 

statement of the entire hierarchy of primary reference radiometers for 

traceability to the WRR) 

(g) A statement of the total uncertainty of the transfer of calibration from either the 

NIST or WRR reference instruments to the test device being calibrated 

(h) Signature of calibration officer, or person taking responsibility for the results. 

4.2 Source of calibration 

4.2.1 When an outside, independent calibration laboratory is selected to perform the 

laboratory's regular, periodic re-calibrations, the laboratory shall: (a) ensure that the 

calibration facility or laboratory is accredited either by A2LA or NVLAP~ for the exact 

measurements required, and shall obtain evidence to that effect, (b) ensure that the 

laboratory is certified to ANSIINSCL 2540.1, and obtain evidence to that effect, and (c) 

investigate the competency of the vendor calibration laboratory in accordance with the 

requirements of 17.1 of Document PV- 1. 

4.2.2 When the original equipment or instrument manufacturer is selected for either the initial 

or re-calibration requirements, the laboratory shall ensure that all applicable traceability 

requirements are met, including the requirement of 4.3.x that the original equipment 

vendor shall have direct traceability to NIST for those measurements for which NIST 

traceability is applicable, or to the WRR for those measurements for which traceability 

to the World Meteorological Organization is required. The laboratory shall investigate 

the quality and competency of the manufacturer to provide accurate calibration values in 

accordance with the requirements of 17.1, 17.2, and 17.4 of Document PV-1. 

4.2.3 The laboratory shall use the checklist contained in Appendix 1 of this document to 

evaluate the competency of any independent calibration facilities employed, as well as 

the quality and competency of original equipment and instrument manufacturers with 

respect to the initial calibrations provided, or to any re-calibrations obtained. 

4.2.4 For the calibration of those instruments and test devices that the laboratory decides to 

perform without recourse to either outside independent calibration or the original 

manufacturer, it will be necessary to include the calibration in the laboratory's requested 

scope of accreditation. 

4.3 Calibration traceability 

4.3.1 Traceability of instruments and measurements required for laboratory accreditation in 

support of the PV module certification program is presented in Table A-1. Column 2 lists 

the test instrument that will most likely be employed by the PV test laboratory, and 

column 3 lists the reference instrument that will most likely be employed by either the 

test laboratory, the selected independent calibration laboratory, or the manufacturer's test 

I 

2~or the purposes of this document, national laboratori&s such as NREL or Sandia National Laboratories 

will not be required to become accredited by A2LA or NVLAP. 
Most Likely Typical Reference Trace- Frequency Frequency Measurement Instrument Instrument 1 ability I of Re-cnl 1 of Checks 

Current I Digital multimeter I Calibrated shunt 1 NIST 1 2 years 1 90 days 

Voltage 

- I Digital voltmeter 1 Digital voltmeter 1 NIST 1 2 years 1 90 days 

Secondary reference Total irradiance Primary reference cell 1 WRR I 1 year 1 60 days 

Direct 

irradiance Pyrheliometer, ACR One or more ACRs 1 WRR I 1 year 1 90 days 

Spectral Spectroradiometer Standardlamp irradiance 1 NIST 1 annual 1 use 

Spectral Monochrometer, Calibrated diode 

responsivity lock-in amplifier detector 1 NET 1 weekly 1 use 

Long-stem Temperature Digital thermometer thermometer 1 NIST 1 annual 30 days 

Wind velocity 1 Anemometer 1 Anemometer 1 NIST 1 annual 1 90 days 

Linear distance I Caliper, ruler 1 Caliper 1 NUT 12 years I none 

Table A-1. Traceability and Frequency Requirements for Instrumentation and Measurements 

Required for Laboratory Accreditation in Support of a Photovoltaic Module Certification Program 

Preferred 

Tier 1 data is traceable Tier 2 data is not directlv 

to NIST traceable to NIST 

Figure A-1. Hierarchy of Traceability to NIST 
Figure A-2. Hierarchy of Traceability to the WMO World Radiometric Reference for PV Terrestrial 

Reference Cells 

laboratory to calibrate and re-calibrate the laboratory's test instrumentation. Columns 5 

and 6 of Table A-1 show the suggested and mandatory re-calibration and betweencalibration check or verification frequencies, respectively. 

The hierarchy of MST traceability for instruments listed in Table A-1 is presented in 

Figure A-1. As shown, the preferred calibration traceability scenario for the PV test 

laboratory would be for the laboratory to employ only Tier 1 traceability (i.e., traceable 

to MST). If the test laboratory chooses to use a Tier 2 (traceable to NIST through Tier 1) 

calibration laboratory, it shall be responsible for assuring the competency of both the 

Tier 1 and Tier 2 calibration laboratories as noted in the vendor evaluation checklist, 

Appendix 1. 

It shall be the PV module test laboratory's responsibility to ensure that the requirements 

of 4.3.3 and Figure A-2 are met regardless of whether: (a) the test laboratory performs 

the calibration of PV terrestrial reference cells, (b) obtains the PV reference cells from 
either the module manufacturer or a third party, or (c) performs selected portions of the 

calibration chain presented in Figure A-2. 

Other tests 

In the event that the PV module test laboratory either chooses to, or is required to, 

manufacture PV terrestrial reference cells used to determine the irradiance for currentvoltage (I-V) testing of modules, the cells shall be constructed in accordance with the 

requirements of ASTM E 1040. Dimensional requirements shall be traceable to NIST as 

shown in Table A- 1. 

If the test laboratory is required to determine spectral response and spectral mismatch 

coefficients for PV module performance, these measurements shall be performed in 

accordance with ASTM E 102 1 and ASTM E 973, respectively. Spectral irradiance 

measurements shall be performed using a spectroradiometer with a calibration traceable 

to NIST. 

Should the module test laboratory utilize a solar simulator for PV module performance 

measurements, its characteristics shall meet the requirements of ASTM E 927. The 

technical requirements for uniformity and spectral irradiance will necessitate the use of a 

spectroradiometer. 

Sbtis tical requirements 

The PV module test laboratory shall ensure that calibrations obtained from outside, independent 

calibration laboratories or from original instrument manufacturers are provided with an 

expression of uncertainty by the vendor laboratory. To help the laboratory comply with this 

requirement, it is recommended that the vendor laboratory be requested to consider NIST 

Technical Note 1297, IS0 TAG 4, and ASTM STP 15D. 

5.2 For all internal calibrations, measurements, and the expression of test results, the laboratory shall 

utilize: (a) between-calibration checking of reference standards, (b) verification testing of 

whatever environmental conditions (temperature and relative humidity), (c) correlation analyses, 

and, (d) statistical process control (SPC) charting of module measurements to the extent possible. 

5.3 Between-calibration checks of reference standards for voltage, current, temperature, and 

irradiance measurements shall be performed. This shall include but not necessarily be limited to 

regression analysis of the correlation between different temperature probes, different current and 

voltage measuring devices, and several pyranometers and PV reference cells. For example, 

internal reference standards should be maintained for temperature, voltage, current and irradiance 

measuring equipment such that the internal reference standards are only used for verification and 

checking purposes. 

NOTE-Typically, x-y correlation plots are maintained with the values from the routine 

measuring equipment plotted on the ordinate and those obtained from the internal reference 

plotted on the abscissa. Running correlation coefficients, 9, can then be maintained and 

confidence limits established. 
5.4 To the extent required, environmental chambers shall be spatially mapped not less frequently than 

annually with respect to the temperature and relative humidity they are able to maintain in the 

enclosure, and their control and monitoring functions shall be subjected to the betweencalibration checking and verification described in 5.3. 

5.5 In the absence of an industry-developed proficiency test module, the laboratory shall be required 

to maintain not less than two internal reference photovoltaic modules whose short-circuit 

currents, open-circuit voltages, and fill factors will be determined on a regular, periodic basis for 

the purpose of control charting using statistical quality control (SQC) and SPC charting as 

appropriate. 
PV-1.1 Appendix 1 

Vendor Evaluation Checklist 

CII Original Equipment Manufacturer Q Independent Calibration Laboratory 

Vendor Name: Contact: 

Street Address: 

City: State: Country: 

Mail Code: Tel.: Fax: 

Equipment purchased, or being calibrated: 

Name: Model No.: 

Name: Model No.: 

1. Vendor qualification, general (obtain from vendor) 

Does the vendor have (mark as applicable): 

A2LA accreditation as a calibration laboratory (for applicable tests and equipment)? 

NVLAP accreditation as a calibration laboratory (for applicable tests and equipment)? 

Registration to IS0 9001 or IS0 9002 (or ANSVASQC 91 or 92, or EN 29001 or 29002) as a 

manufacturer? 

Accreditation to ANSUNSCL 2540. f or equivalent? 

From whom? 

.A quality assurance program? 

A laboratory quality assurance manual? 

A quality assurance manager? Who? 
2. Test laboratory's evaluation (telephone interview andlor site visit) 

Has the undersigned (check all that apply): 

Cl Interviewed the vendor's technical manager or lab director? 

Who? 

O Interviewed the vendor's quality manager? 

Who? 

CI Reviewed the vendor's quality manual? 

If so, does it meet the relevant requirements of IS0 Guide 25? O Yes CI No 

Cl Reviewed vendor's scope of accreditation (if accredited)? 

If accredited, does the scope include the tests required? QYes CI No 

Cl Performed a site visit (if a vendor calibration laboratory)? 

If yes, when? 

lab contact? 

time spent, hr? 

If vendor is an accredited calibration laboratory, go to Section 3. If vendor is a manufacturer or an unaccredited calibration laboratory, complete the following: 

Does vendor have a documented quality policy? 

If yes, attach copy 

QYes Cl No 

Does vendor have a documented in-house measurements 

verification program? ayes Ll No 

If yes, attach copies of any policies, procedures, etc. 

Does vendor have an established and documented equipment and 

reference instrument maintenance program? Dyes CI No 

Does vendor have established written "test" procedures for 

calibration of client instruments? OYes Cl No 

Does vendor participate in any of the following: 

Q Proficiency test programs? 

O Collaborative reference programs? 

CI Interlaboratory comparisons? 

Does vendor have established any of the following: 

CI SPC charting of measurement checks of its reference standards? 

Q x-y correlation measurements and charting of reference standards against each other? 

CI Any other statistical or physical verification procedures? 

What? 
Does vendor have a documented corrective action program in 

place? Dyes tl No 

Does vendor have a documented complaint policy and 

procedures in place? ayes 0 No 

Does vendor have a documented policy and procedures for 

regular, periodic internal laboratory audits in place? QYes CL No 

Qualifications of the calibrating laboratory's technical manager (however named): 

Years of experience in the calibration field: 

Formal education background: 

Special qualifications (special courses in quality, calibration, etc.): 

Measurement traceability (obtain copies of relevant documentation) 

To what internationally recognized standards body, or bodies, are the laboratory's traceability maintained? 

CS NTST 

0 WMO 

Li Other: 

The vendor's reference standards represent: OI first tier?, or, 0 second tier or greater traceability? If 

second tier, the calibration laboratory must furnish the information required by this vendor evaluation 

checklist for the calibration laboratory they use. NOTE: Third tier traceability wilI not be acceptable. 

List reference standards and NIST traceability reference test numbers for applicable instrumentation: 

Instrument: Test Number(s): 

The interviewer recommends conditional acceptance of the above-named vendor calibration or 

independent calibration laboratory. 

Signed: Date: 

Annex B 

PV-2. Model for a Third-Party Certification and Labeling Program 

for Photovoltaic Modules 
Document PV-2 

Model for a Third-Party Certification and Labeling 

Program for Photovoltaic Modules 

Table of Contents 

Foreword 

Introduction 

Scope 

References 

Definitions 

Certification body 

Manufacturer's or producer's quality system 

Initial testing and periodic retesting 

Licensing 

Surveillance 

Use of the certification of conformity, or mark of conformity, and marking 

Misuse of a certificate or mark of conformity 

Publicity by licensees 

Suspension of a license for a product 

Withdrawal or cancellation of a license 

Corrective action 

Implementation of modifications to Document PV-3 

Liability 

Disputes 

Fees 
Appendix 1 

An approach to the review by a certification body of its own internal quality system 

(reproduction of ISOmEC Guide 56) 

Appendix 2 

Form PV250: Checklist for assessing the capabilities and quality system of 

manufacturers and producers 

Appendix 3 

Form PV200: Specimen for initial questionnaire for factory assessment 

(reproduced from Appendix 1 of Annex B from ISOmEC Guide 28) 

Appendix 4 

Form PV100: Application for conformity certification by use of certificates or 

mark of conformity 

(reproduced from Annex B from ISOAEC Guide 28) 

Appendix 5 

Form PV300: Specimen of a licensing agreement for the use of a certificate or 

mark of conformity 

(reproduced from Annex C from ISO/IEC Guide 28) 

Appendix 6 

Specimen of form for a license for the use of the certificates or mark of conformity 

(reproduced from Appendix 1 of Annex C from ISO/IEC Guide 28) 

ANSI 

ASQC 

ASTM 

IS0 

IEC 

IEEE 

NIST 

UL 

American National Standards Institute 

American Society of Quality Control 

American Society for Testing and Materials 

International Standards Organization 

International Electrotechnical Commission 

Institute of Electrical and Electronics Engineers 

National Institute of Standards and Technology 

Underwriters Laboratories 

FOREWORD 

It is intended that the requirements for a model for a third-party certification and labeling 

program presented in this document be employed as a model by (1) organizations selected, formed, or 

otherwise approved to engage in the role of a photovoltaic module certification and labeling entity that is 

wholly independent of all photovoltaic product testing activities or (2) laboratories engaged in the dual 

role of testing photovoltaic modules on the one hand, and carrying out a product certification and labeling 

program, on the other. 

It is not the purpose of this document to set forth the requirements for either the operation of a 

laboratory that is accredited or otherwise approved to perform the testing, or the technical testing 

requirements that will result in creation of the information and data that will be used by such a product 

certification and labeling program (or by an organization engaged in product certification). However, this 

model is one of a series of documents that together purport to address the totality of the criteria and 

requirements of a photovoltaic testing, certification, and labeling program. The other documents in this 

series are: 

PV-1 Criteria for a Model Quality System for Laboratories Engaged in Testing Photovoltaic 

Modules 

PV- 1.1 Calibration, Traceability, and Statistical Requirements of Accredited Laboratories 

Supporting the Photovoltaic Module Certification Program (Addendum to PV- 1) 

PV-3 Testing Requirements for a Certification and Labeling Program for Photovoltaic 

Modules 

PV-4 Operational Procedures Manual for the Certification Body of the Photovoltaic Module 

Certification Program 

PV-5 Application and Certification Procedures for the Photovoltaic Module Certification 

Program 

In crafting the criteria set forth in this model, the requirements of ANSI 234.1, an American 

National Standard for "Certification-Third Party Certification Program," and ISO/IEC Guide 28, 

"General Rules for a Model Third-Party Certification System for Products," have been taken into 

consideration, and significant portions of both have been adopted. 

1. Introduction 

1. I This document describes a model and the general rules for the model's use in developing and 

implementing a third-party product certification program for photovoltaic modules. 

1.2 The application and use of this document shall not contravene any federal, state, or local statutory 

requirements. 

1.3 These general rules represent the generic criteria under which a producer is authorized to use the 

certification program's certijicate of conformity or the program's mark (certzfication mark) as a 

label to indicate that the associated manufacturing process and the photovoltaic modules 

produced therefkom are in compliance with applicable test standards and specifications. 
Scope 

The model described by the criteria and requirements of this document encompasses the structure 

of a third-party product certification system for determining the conformity of photovoltaic 

modules with a series of performance and durability-reliability standards contained in 

Document PV-3. 

This model is applicable to certification of conformity of photovoltaic modules to other test 

standards and specifications having a broad level of recognized acceptance, selected from time to 

time by the certification body's, or program's, technical committee, however named. These 

standards and specifications include revisions of the methods contained in Document PV-3, as 

well as new methods that become important to the operation of the certification program. 

Recognized acceptance of such standards and specifications shall be any of, or any combination 

of, the following: 

(a) An American National Standard 

(b) A standard promulgated by ASTM, IEEE or any other domestic national 

standards organization 

(c) An international standard promulgated by either the International 

Electrotechnical Commission (IEC) or the International Standards 

Organization (ISO) 

(d) A standard or specification published by the federal, state, or local 

governments. 

Conformity to the requirements of Document PV-3 shall be determined through initial testing and 

assessment of a factory quality management system and its acceptance followed by surveillance 

that takes into account the factory quality management system and the testing of samples from 

the factory and the open market. 

A certification body operating a product certification or certification and labeling program for 

photovoltaic modules shall itself have in place a Quality Assurance System that meets the 

relevant requirements of Document PV- 1. 

The certification body shall be responsible for selecting, or otherwise approving or accrediting, 

the laboratory or laboratories used for testing photovoltaic modules to the requirements of 

Document PV-3. Approval or accreditation of the laboratory or laboratories shall be based on the 

successful completion of an outside assessment of the laboratory's competence when audited 

against the criteria set forth in Document PV-1. 

When conformance to this model is claimed, it shall pertain to the provisions of all criteria and 

requirements set forth in this document. 

' Alternatively, conformity to the relevant requirements of IS0 9002 is acceptable. 

B-6 
References 

ANSI 234.1 : 

"Third-Party Certification Program" 

ISO/IEC Guide 28: 

"General rules for a model third-party certification system for products" 

ASTM E 548: 

"General criteria for Evaluating Testing Laboratories" 

ASTM E 1322: 

"Guide for Selection, Training and Evaluation of Assessors for Laboratory Accreditation 

Systems" 

ISO/IEC Guide 25: 

"General requirements for the accreditation of calibration and testing laboratories" 

ISO/IEC Guide 23: 

"Methods of indicating conformity with standards for third-party certification systems" 

ISOAEC Guide 27: 

"Guidelines for corrective action to be taken by a certification body in the event of misuse of its 

mark of conformity" 

ISOIIEC Guide 38: 

"General requirements for the acceptance of testing laboratories" (in revision) 

ISOAEC Guide 55: 

"Testing laboratory accreditation systems-General recommendations for operation" 

ISO/IEC Guide 56: 

"An approach to the review by a certification body of its own internal quality system" 

IS0 9001 and ANSUASQC 91 : 

"Quality Systems-Model for quality assurance in desigddevelopment, production, installation 

and servicing" 

IS0 9002 and ANSIIASQC 92: 

"Quality systems-Model for quality assurance in production and installation" 
4. Definitions 

4.1 The relevant definitions pertaining to testing, calibration, and verification contained in Document 

PV-1 are incorporated by reference and are not repeated. 

4.2 Certification activities: 

Certification: The procedure by which written assurance is given that a product or 

service conforms to a specification. A third-party certification is one that is rendered by 

a technically and otherwise competent body other than one controlled by the producer or 

the buyer. 

Certification program: The system that relates to specific products, processes, or 

services to which the same particular standards and rules, and the same procedure, 

apply. Such a program uses or is operated by a third-party inspectionltesting body or 

organization, and the program authorizes the use of controlled certification marks or 

certificates of conformity as evidence of conformity. 

Certification body: An impartial body or organization possessing the necessary 

competence to develop, promulgate, finance, and operate a certification program and to 

conduct certifications of conformity. 

NOTE: A certification body may operate its own testing and inspection activities or it 

may oversee these activities carried out on its behalf by other bodies, e.g., an 

independent testing laboratory. 

Producer: The manufacturer, distributor, supplier, or other party providing the product 

or service to be purchased and employed by a user. The producer is responsible for 

assuring conformity with all requirements of the certification program. 

Certification mark: The sign or symbol owned and controlled by the certification body 

that is used exclusively by the third-party certification program to identify products or 

services as being certified and is registered as a certification mark with the U.S. Patent 

Office under the Trade Mark Act of 1946. 

Certificate of conformity: A tag, label, nameplate, or document of specified form and 

content, affixed or otherwise directly associated with a product or service on delivery to 

the buyer, attesting that the product or service is in conformity with the requirements of 

the certification program (e.g., with the referenced standards and specifications). 

License (for certification): Document, issued under the rules of a certification program, 

by which a certification body grants to a person, manufacturer, or producer, the right to 

use the certificates or marks of conformity for its products, processes, or services in 

accordance with the rules of the relevant certification program. 

Licensee (for certification): Person, manufacturer, or producer to which a cert@cation 

body has granted a license. 
4.3 Testing and inspection activities: 

4.3.1 Tests: Technical operations that consist of the determination of one or more 

characteristics of a given product, process, or service according to a specified procedure. 

4.3.2 Testing: Actions or the process of canying out one or more tests. 

4.3.3. TestingBnspection body (third-party): An organization (if a testing body, a laboratory) 

that possesses the necessary technical competence and that is other than one operated or 

controlled by a manufacturer, supplier, or buyer (user) of a certified product or service in 

that it has no organizational, financial, or commercial involvements with the producer or 

buyer that might pose a potential conflict of interest. 

NOTE: An inspection body is an organization, often organized separately from the 

testing laboratory, and often a functional arm of the certification body (whether 

an organizational or a subcontracted entity) that performs initial inspections of 

a manufacturer's or producer's operations, including iny subsequent 

surveillance procedures that may be required. 

4.4 Conformity and standards: 

Conformity: Fulfillment by a product, process, or service, of specified requirements. 

Confonrzity evaluation: Systematic examination of the extent to which a product, 

process, or service fulfills specified requirements. 

Inspection: Evaluation for conformity by measuring, observing, testing, or gauging the 

relevant characteristics as required by a specification or standard. 

Conformity surveillance: Evaluation for conformity to determine the continuing 

conformity with specified requirements. 

Standard: A prescribed set of conditions and requirements, established by authority or 

agreement, for continuous application. It takes the form of a document containing a set 

of conditions to be fulfilled, or an object of comparison. For the purposes of this 

document, the provisions as defined and used in this document shall be such as to be 

suitable to and capable of certification. 

Certification body 

The photovoltaic certification body whose name is identified with the certification and labeling 

program for photovoltaic modules shall be one of the following: 

(a) A trade association 

(b) An existing product certification body 
(c) A professional or technical society. 

(d) An organization of photovoltaic manufacturers or of laboratories engaged in 

testing photovoltaic modules 

(e) An organization oriented to the public, consumers, or users of photovoltaic 

modules 

(f) A third-party testinglinspection organization. 

5.2 The photovoltaic certification body shall: 

5.2.1 Comply with the general requirements for third-party certification as outlined in 

Sections 6 through 19 of this model 

5.2.2 Have a structure that permits choosing its governance members, if it operates under 

either a governing boardor board of directors, from among those interests involved in 

the process of certification without any single interest predominating 

5.2.3 Have as a minimum an internal quality system and audit procedure in accordance with 

the requirements presented in Appendix 1 of ISO/IEC Guide 56, which is reproduced in 

full in Appendix 1 of this document 

5.2.4 Be responsible for and assure that certification is based on: 

5.2.4.1 The results of actual tests of the characteristics of the photovoltaic modules 

performed by a laboratory in accordance with the requirements of 

Documents PV-1 and PV-3 

5.2.4.2 Formal reports of the results of the testing and inspection of the photovoltaic 

modules 

5.2.4.3 The furnishing of photovoltaic modules by the producers and/or distributors of 

such modules that are manufactured under a system of quality assurance in 

accordance with Section 6.2 of this model, such as IS0 9000 Series of quality 

assurance standards 

5.2.5 Be responsible for: 

5.2.5.1 Assessment of, or causing to be assessed, those testing laboratories that make 

application and furnish their qualifications for accreditation by the photovoltaic 

certification body as a laboratory approved to perform the testing required in 

accordance with Document PV-3. The testing laboratory accreditation system 

shall be operated in compliance with the requirements of ISOIIEC Guide 55, 

and the assessment of candidate laboratories shall be carried out by qualified 

laboratory assessors in accordance with the requirements of Document PV-1 
Levying, or otherwise approving, of the laboratory assessment fees in 

accordance with rules established by the photovoltaic certification program 

Regular periodic reassessment and reaccreditation of laboratories initially 

qualified to perform photovoltaic testing with a frequency in accordance with 

rules established by the photovoltaic certification program 

Initial inspection of the manufacturer's or producer's factory and assessment of 

its quality management system in accordance with the checklist presented in 

Appendix 2 of this document 

Regular periodic reassessment and reapproval of the manufacturer's or 

producer's quality system with a frequency in accordance with rules established 

by the photovoltaic certification program. 

6. Manufacturer's or producer's quality system 

6.1 Initial inspection and assessment 

To facilitate the inspection and assessment, a manufacturing and quality management 

system data form shall be developed that contains pertinent information needed to be 

acquired from the applicant. An example of the required data form is presented in 

Appendix 3 of this document, and an example of an acceptable application for 

participation in the photovoltaic certification program is presented in Appendix 4 of this 

document. 

On receipt of the manufacturer's program data form and application requesting 

participation in the photovoltaic module certification program, the certification body 

shall seek any clarifications necessary to the determination that the manufacturer is 

likely to be approved as a certification program participant. 

After confirmation of the acceptance of the program data form and application, the 

certification body shall make the necessary arrangements with the applicant for initial 

inspection and assessment in accordance with the established rules of the certification 

program. The certification body's assessor or the assessment team shall be persons who 

are knowledgeable in: 

(a) The applicable photovoltaic testing standards and specifications 

(e-g., Document PV-3) 

(b) Appropriate laboratory test procedures 

(c) Quality assessment techniques and procedures 

(d) The quality system elements required for photovoltaic certification. 
The matters to be investigated by the assessment team at the manufacturer's factory shall 

include, as a minimum, the following: 

Determination that all the information provided by the manufacturer in the 

certification program data form is correct 

Determination that the manufacturer has the necessary equipment, staff, and 

facilities required for the production of a quality product and therefore for 

participation in the certification program 

Determination that the applicant demonstrates the quality control test 

procedures required of a manufacturer's quality assurance program 

Assurance that those quality system elements required for participation in the 

certification program, as detailed in Appendix 2, are being performed, or 

practiced as a routine part of the manufacturing process. 

The certification body shall inform the applicant in writing of the results of the initial 

inspection of facilities and assessment of applicant's quality system. 

If, on the basis of the inspection and assessment, the requirements for licensing are not 

met, the certification body shall inform the applicant in writing of those criteria in which 

the application has failed. 

If the applicant can provide objective evidence that the required remedial action has 

been taken to remove the deficiencies found within the time period specified by the 

photovoltaic certification program, the applicant will be judged to have complied with 

the certification program's requirements for licensing. 

If the applicant cannot provide objective evidence that the required remedial action has 

been taken, or evidence has not been provided in the time period required, the 

certification body will repeat that portion of the inspection and assessment for which 

remedial action was originally required. Failing either, the application shall be denied 

and communicated to the manufacturer in writing. 

The fees and costs associated with the initial inspection shall be in accordance with the 

rules established by the certification body. 

6.2 Manufacturer's quality management system 

6.2.1 Assessment of the manufacturer's quality management system shall form a significant 

portion of the initial inspection. 

6.2.2 The manufacturer shall implement a quality management system that meets, as a 

minimum, the requirements listed in Section 6.2.5. 
All of the manufacturer's records produced for implementation of the quality 

management system related to photovoltaic certification shall be readily available for 

inspection by the inspectors or assessors, or both, assigned by the certification body. 

The manufacturer shall appoint designated persons to be responsible for the quality 

management system and the company's contact person to the certification body for 

matters relating to certification. Ideally, they should be the same person. The quality 

manager, however named, shall be independent from production management. 

The manufacturer's quality system shall have, as a minimum, the following elements 

(which are a synopsis of IS0 9001): 

A quality assurance manual containing the policies and procedures that relate, 

as a minimum, to the quality system elements presented in Sections 6.2.5.2 

through 6.2.5.10 

Procedures to control and verify the design of the product, with emphasis on 

design changes 

Procedures that ensure that purchased product conforms to specified 

requirements 

Procedures that govern the control of manufacturing processes, document 

manufacturing work instructions, and document the operation of manufacturing 

and process equipment 

Procedures and documentation covering inspection and testing of product, 

including reporting of results, retention of test and inspection records 

Procedures for maintenance, operation, and calibration of inspection and testing 

equipment and instruments, including retention of records of calibration, outof-calibration occurrences 

Procedures for control of nonconforming product and for nonconformity review 

and disposition 

Procedures for corrective actions relating to nonconforming product, customer 

complaints, discrepancies in manufacturing processes and deficiencies found in 

internal audits 

Procedures for handling, storage, packaging, and delivery of product 

6.2.5.10 Procedures for maintenance of quality records 

6.2.5.1 1 Procedures for performing internal quality audits. 
7. Initial testing and periodic retesting 

7.1 Sample selection 

7.1.1 Photovoltaic test specimens shall be selected at random by an employee or an agent of 

the certification body from a lot of manufactured product either in the factory or in the 

field in accordance with rules and procedures established for the certification program. 

7.1.2 The lot from which specimens are chosen shall be of sufficient size to eliminate the 

possibility of selecting compliant specimens that otherwise might not be representative 

of sold product. 

7.1.3 The employee or agent of the certification body shall establish that the product chosen 

for initial test has been manufactured from production tools and assembled using 

methods established for production runs. 

7.1.4 Where testing is based on prototype product, confirmation tests or examinations, or 

both, shall be made on production samples as soon as possible. When production 

samples are found not to meet the requirements for certification, labeling, and licensing, 

revocation of certification shall be in accordance with procedures established by the 

certification body. 

7.2 Initial testing 

7.2.1 Initial testing shall be carried out by a laboratory accredited in accordance with the 

requirements of this model and Document PV-1, and the test procedures shall be those 

specified in Document PV-3. 

7.2.2 Where the certification body chooses to use test data produced by laboratories other than 

one accredited by the certification body, such as in an international program of 

reciprocity of product certification, the certification body shall ensure that the test 

laboratory conducting the testing complies with all of the criteria of ISO/IEC Guide 25 

and with those specific requirements of Document PV-1 established by the certification 

body for the purposes of reciprocity of test data. 

7.3 Periodic retesting 

7.3.1 Periodic retesting shall be carried out in accordance with the frequency and rules 

established for the photovoltaic certification program. 

8. Licensing 

8.1 When complete fulfillment of the requirements of the photovoltaic certification program has been 

established, the certification body will inform the manufacturer and will submit a licensing 

agreement for the applicant's signature. An example of a licensing agreement is presented in 

Appendix 5 of this document. 
8.2 On completion of the licensing agreement, the certification body issues a license to the 

manufacturer for use of the certification body's certificate of compliance, or mark. An example 

of a license is given in Appendix 6 of this document. 

A licensee wishing to extend a license to additional types or models of photovoltaic modules 

produced in the same factory should apply using the same application form that was used initially 

(an example form is given in Appendix 4 of this document). The conditions under which the 

certification body shall require full testing shall be defined in the rules for the certification 

program. For example, the certification body may institute procedures for type testing that 

eliminate the need for retesting modules whose only design change from a certified product is 

cosmetic (providing that objective evidence is submitted for consideration by the certification 

body). 

If the licensee wishes to apply for certification of a photovoltaic module manufactured in another 

factory, an additional application must be made, the factory must be inspected, and the quality 

system must be assessed, completely independent of existing certifications and licenses. 

Surveillance 

The certification body may, in accordance with procedures established for the photovoltaic 

certification program, exercise surveillance procedures in lieu of frequent retesting of a licensed 

product. However, surveillance shall in no way contravene the requirement for periodic retesting 

of licensed product. 

The certification body may use its own employee(s) or appoint an agent to cany out the 

surveillance under the authority of the certification body. In case the certification body exercises 

its prerogative to use surveillance techniques, permission to use surveillance shall be a provision 

of the licensing agreement. 

9.3 The Iicensee shall be informed about the results of the surveillance. 

9.4 The licensee shall inform the certification body of intended modifications to the licensed product, 

the manufacturing processes, or the quality management system that may have an effect on the 

product's compliance. On such notification, the certification body shall make a determination of 

whether to initiate a full inspection and test sequence or to schedule a surveillance visit. 

9.5 Where the licensee has made modifications to the licensed product, the manufacturing processes, 

or its quality management system, regardless of whether the certification body has been so 

notified, the licensee shall not release certified products resulting from such changes until the 

certification body has given the licensee written permission to do so. 

9.6 The licensee shall maintain a record of all complaints relative to the photovoltaic modules 

covered by the license, and shall make these available to the certification body on request 
10. Use of the certificate of conformity, or mark of conformity, and marking 

10.1 General 

10.1.1 Certificates and marks of conformity shall be limited for use in the photovoltaic 

certification program to indicate that compliance with the standard is under the 

jurisdiction of the certification program. 

10.1.2 The use of certificates and marks of conformity shall be described and controlled by the 

certification body in documentation separate from this model and from Documents PV-1 

and PV-3. 

10.1.3 The precise rules and procedures for use of representations of conformity shall be 

developed in accordance with the provisions of ISO/IEC Guide 23. The rules developed 

by the certification body shall specify whether certificates and marks are issued jointly, 

or whether they are issued separately for different purposes, or whether they are issued 

on the basis of preference expressed by the manufacturer. 

10.1.4 The rules shall specify the exact conditions under which physical representations of 

conformity are permitted or used, specific limitations on their use, types and forms of 

certificates or marks, or both, and procedures for dealing with misuse, or 

misrepresentation, of certificates and marks of conformity. 

10.2 Certificate of conformity 

10.2.1 The purpose of issuing certificates of conformity is to provide the end user information 

as to the standards covered by the certificate. 

10.2.2 Certificates of conformity may relate to all of the requirements of a standard or to 

selected provisions only. 

10.2.3 When issued, certificates of conformity shall contain as a minimum the following 

information: 

(a) Name and address of the certification body 

(b) Name and address of the manufacturer 

(c) Identification of the photovoltaic module certified and model or type number, 

and the lot and serial-number series, if relevant, to which the certificate applies 

(d) Reference to Document PV-3, or to appropriate provisions and sections of 

Document PV-3 

(e) Coded reference to the test results such that there is a capability of relating the 

certificate to the test results on which it was based 

(f) Date of issue of certificate 
(g) Signature and title of authorizing officer of the certification body. 

The rules of the photovoltaic certification program may specify additional information to be 

included. 

Marks of conformity 

The mark of conformity, or certification mark, shall be designed such as to minimize the 

possibility of counterfeiting. It shall be in the form of a nontransferable label, or mark, 

in the sense that it cannot be removed from one photovoltaic device and placed on 

another. 

If a formal certificate of conformity, issued in the context of Section 10.2, is not issued 

simultaneously with issuance of the mark, a separate certification shall be issued that 

lists the information required by Section 10.2.3. 

When only certain components of a photovoltaic system bear a certification mark, care 

shall be taken to ensure that the user or consumer is not mislead into assuming that the 

entire system is certified. 

A mark of conformity shall be issued and used only where it relates to all the 

requirements of a standard and not to selected sections or characteristics. 

When issued, a Iicense for the use of the mark of conformity shall be issued to the 

manufacturer by the certification body only. No other source of the mark shall be 

authorized, or permitted. 

Marking 

10.4.1 The requirements, procedures, and instructions for use of the physical process of 

marking and the placement of the mark shall be included in the rules established by the 

certification body and shall be a part of the provisions of the documentation required by 

Sections 10.1.2 and 10.1.3 of this document. 

Misuse of a certificate or mark of conformity 

The certification body shall operate a surveillance program as part of its program on licensing of 

the conformity certificate or mark. 

Incorrect references to the certification system or misleading use of the mark found in 

advertisements, catalogues, or product literature, shall be handled in accordance with procedures 

established by the certification body, and the subject of suitable action, including corrective 

actions, shall be covered in the licensing agreement. 

In cases of misuse of certificates or the mark of conformity by licensees, corrective action shall 

be taken. 
12. Publicity by licensees 

12.1 Licensees of the photovoltaic certification program's mark of conformity, or certificate of 

conformity, shall have the right to publish that the licensed manufacturer has been authorized to 

issue a certificate of conformity or apply a mark of conformity for products to which the license 

applies. 

12.2 Provision shall be made in the licensing agreement that requires the licensee to take sufficient 

and due care of his publications and advertising so that no confusion arises between certified and 

noncertified products. 

12.3 If permitted by the rules established by the certification body, the manufacturer may publish parts 

of a test report that relate to the certification of his products except that the licensee may do so 

only with the written permission of the certification body. 

12.4 The certification body is encouraged to establish rules requiring that licensees submit their 

proposed promotional, catalog, and advertising materials to the certification body for approval 

prior to publication. 

13. Suspension of a license for a product 

13.1 The applicable tenets of this section shall be included in the licensing agreement. 

13.2 The license applicable to a specific product may be suspended for a limited period under the 

following circumstances: 

(a) If the surveillance, or required retesting, shows noncompliance with the 

requirements of such a nature that immediate withdrawal is not necessary 

(b) If a case of improper use of the certificate or the mark, e.g., misleading prints 

or advertisements is not solved by suitable retractions and appropriate remedial 

measures by the licensee 

(c) If there has been any other contravention to the rules and procedures of the 

certification program, or requirements of the certification body. 

13.3 The licensee may not identify as certified any product that has been produced under a suspended 

license applicable to that product. 

13.4 A license may also be suspended after mutual agreement between the manufacturer and the 

certification body for reasons of existence of a finite period of nonproduction or inactivity, or for 

other reasons. 

13.5 An official suspension of a licensee shall be confirmed by the certification body in a registered 

letter to the manufacturer (or by other equivalent means). 
The certification body shall indicate under what conditions the suspension will be removed, such 

as, for example, corrective action taken in accordance with Section 15 of this document. 

At the end of the suspension period, the certification body will ascertain if the conditions for 

reinstating the license have been fulfilled and shall notify the manufacture either that the license 

has been reinstated or that the license has been withdrawn (see Section 14). 

Withdrawal or cancellation of a license 

The applicable tenets of this Section shall be included in the licensing agreement. 

Apart from the temporary suspension of a license, a license may be withdrawn or canceled in the 

following circumstances: 

(a) If the surveillance shows that the noncompliance is of a serious nature 

(b) If the licensee fails to comply with the due settlement of his financial 

obligations 

(c) If there is any other contravention of the licensing agreement 

(d) If inadequate measures are taken by the licensee in the case of suspension. 

In the circumstances described in Section 14.2, the certification body shall have the right to 

withdraw or cancel the license by informing the licensee by registered letter (or by equivalent 

means). The specification of time limit shall be contained in the licensing agreement (see 

Article 10 of the specimen licensing agreement in Appendix 5 of this document). 

The licensee may give notice of appeal. The certification body shall consider all appeals, but 

shall reserve the right to reject, after due consideration, the appeal by licensee, thereby letting the 

withdrawal or cancellation stand. 

The certification body shall ensure that documented appeals procedures are adopted for use in the 

photovoltaic certification program. 

The procedures adopted by the certification body for withdrawal or cancellation of a license shall 

include procedures for considering and acting appropriately on the consequences in relation to 

products certified under the license, whether the mark of conformity shall be removed from all 

products in stock, and if practical, whether the mark shall be removed from products already 

sold, or whether a clearance of the stock of marked products should be allowed within a short 

period of time, and if other actions are required. 

14.6.1 In any case, the manufacturer shall be required to notify the purchasers of decertified 

product that the license has been canceled. 
14.7 The license may be cancelled for any of the following reasons: 

(a) If the licensee does not wish to continue the license 

(b) If the rules are changed and the licensee either will not or cannot ensure 

compliance with the new requirements (see Section 16) 

(c) If the product is no longer manufactured or the licensee ceases to operate 

(d) Noncompliance with other provisions of the licensing agreement. 

14.8 The certification body shall have the right to publish all revocations of licenses to use the 

certification program's certificates and marks of conformity. However, regardless of whether the 

certification body established such a policy, the publication of revocations of license shall apply 

to all withdrawals and cancellations. 

15. Corrective action 

15.1 In cases of misuse of a certificate or a mark of conformity, corrective action shall be taken to 

safeguard their use. 

15.2 Procedures for corrective action shall be established and documented by the certification body. 

Such procedures shall conform, as a minimum, to the requirements of ISO/TEC Guide 27. 

16. Implementation of modifications to Document PV-3 

16.1 There are a number of circumstances that can force changes in the testing procedures and other 

product requirements that impact the manufacturers. These include 

(a) Improvements in test methods of such significance as to require revisions of 

Document PV-3 

(b) The necessity for adding test methods to Document PV-3 

(c) Changes required by federal, state, or local mandates, laws, or regulations. 

16.2 The certification body shall establish procedures for revising Document PV-3. 

16.3 The effective date of modification to a standard must be published by the certification body, and 

all licensees listed under the photovoltaic certification program shall be notified to provide 

adequate time for resubmittal of their applications. 

16.4 Factors that shall be considered when choosing an effective date include, but are not necessarily 

limited to, the following: 

(a) The urgency of complying with revised health, safety, or environmental 

requirements 
(b) The length of time and financial costs for retooling and manufacturing a 

product to meet revised requirements 

(c) The extent of stock on hand and whether it can be reworked to meet the revised 

requirements 

(d) Avoidance of unintentional commercial advantage given to a particular 

manufacturer or design 

(e) Operational problems of the certification body. 

17. Liability 

17.1 Where questions of product liability are at issue, they must be dealt with on the basis of the 

relevant law. 

17.2 The certification body shall take all possible steps to secure affordable oficers' and directors' 

insurance. 

18. Disputes 

18.1 Disputes between the certification body and licensees or potential licensees shall be handled in 

the same manner as appeals. 

18.2 The certification body's appeals procedures shall include procedures for the resolution of 

disputes arising from matters other than license revocation actions. 

19. Fees 

19.1 The certification body shall establish a fee structure for the licensing process that provides 

adequate revenue for the operation of the photovoltaic module certification program. 

19.2 The certification body shall establish assessment fees that include reimbursement of expenses 

associated with: 

(a) The inspection, assessment, and accreditation of the certification program's test 

laboratories 

(b) The inspection, assessment, and approval of the manufacturer's production 

facilities, organizational capabilities, and quality system as a condition of 

acceptance as a participant in the certification program (notwithstanding the 

additional requirements for testing and the consequences derived therefrom). 
PV-2 Appendix 1 

An approach to the review by a certification body of its own internal quality system 

(reproduction of ISOLEC Guide 56) 
ISO/IEC GUIDE !56 : 1989 (El 

An approach to the review by a certification body 

of its own internal quality system 

0 Introduction 

0.1 One of the most essential elements for the operation of 

an international certification system or for mutual recognition 

of national certification systems is confidence in the competence of the certification bodies participating in the system or 

engaged in mutual recognition. 

0.2 Confidence can be built through a progressively expanding set of acceptance arrangements, bilateral or multilateral, in 

the process of a step-by-step approach to an international certification system, as described in ISO/IEC Guide 42. 

0.3 The aim of the procedure recommended in this Guide is 

to facilitate and accelerate the initiation of such a process, by 

providing certification bodies with a means of maintaining and 

improving their competence. 1) 

0.4 It is recognized that confidence in the conformity certification system operated by a certification body will be based 

both 

- on the organizational structure and documented procedures of the certification body, and 

- on the manner in which the procedures are applied and 

how the organizational structure serves to enhance the 

effectiveness of the certification body's operation. 

0.5 Confidence should be based on identical fundamental 

elements and criteria to be met by certification bodies, which 

necessitates the appropriate organization and administrative 

structure, surveillance facilities and testing facilities (if included), and legal and fees structure - the performance of all 

functions being specified by the certification system. 

0.6 The following factors contribute to increased confidence 

among certification bodies participating in an international 

certification system, or involved in mutual certification 

arrangements: 

1 ) use of equivalent standards; 

2) use of procedures which provide for appropriate 

organizational and administrative structure, comparable 

testing equipment and methods, comparable surveillance 

procedures, comparable legal protection and other features 

which assure that none of the participants is at undue risk in 

accepting other participants' work. 

0.7 Agreements between parties operating certification 

systems in different countries will generally include provisions 

covering a number of items not dealt with in this Guide, including such items as exchanges of personnel, comparison of 

surveillance, testing and inspection techniques, the Legal 

system to be utilized in case of dispute, etc. 

1 Scope 

This Guide provides a framework for use by a certification body 

in assessing itself, its procedures, and its operations. The 

framework incorporates requirements and recommendations to 

be found in all relevant ISO/IEC reference documents. Using 

this framework, a certification body should be able to compile a 

documentary record of its internal quality system review procedure. It will also be possible to use this documentary record 

for subsequent distribution to all parties concerned. 

Certification bodies may include other specific elements and 

criteria depending on specific needs. 

2 References 

ISO/ITC booklet, Certt7icetion - Principles and practice 

I SO / I EC Guide 2, General terms and their defintions concerning standardiretion end related activities 

IS 0 /I EC Guide 7, Requirements for standards suitable for product certification 

1) Most of the points addressed in this Guide are covered in more detail in other ISO/IEC guides (see clause 21. The purpose of this Guide is only to 

facilitate the approach to the first steps recommended, for example, in ISOIIEC Guide 42. In no way is it implied, however, that a certification body 

that has used this Guide to review its internal quality procedures will automatically be recognized by other certification bodies. Agreements bemn 

certifying bodies (reciprocity) require some form of assessment of each other's arrangements regarding procedures, experience, organizational structure, legal framework, rules, auditing, testing, etc. A system of assessment involving examination teams may be required for a valid implementation of 

mutual recognition, as is the case, for example, in the IEC Quality assessment system for electronic components (IECQ). 
ISOIIEC GUIDE 56 : 1989 (El 

ISO/IEC Guide 16, Code of principles on third-paw certification systems and related standards 

ISO/IEC Guide 23, Methods of indicating conformity with standards for third-party certification systems 

ISO/IEC Guide 25, Generalrequirements for the technical corn 

petence of testing laboratories 

IS0 Guide 27, Guidehes for corrective action to be taken by 

a certification body in the event of misuse of its mark of conformity 

IS01 IEC Guide 28, General rules for a model third-paw certification system for products 

ISO/ IEC Guide 38, General requirements for the acceptance of 

testing laboratories 

ISO/ IEC Guide 39, General requirements for the acceptance of 

inspection bodies 

IS0 / IEC Guide 40, General requirements for the acceptance of 

certification bodies 

ISO/IEC Guide 42, Guidelines for a step-by-step approach to an 

international certification system 

ISO/IEC Guide 44, General rules for IS0 or IEC international 

third-pa* certification schemes for products 

ISO/ IEC Guide 54, Testing laboratory accreditation systems - General recommendations for the acceptance of accreditation 

bodies 

6 Documentation 

6.1 Before self-assessment can commence, the system 

under operation should be fully documented. 

6.2 The elements to be documented are covered in the 

ISOIITC booklet, Certification - Principles and practice, in 

which eight typical systems are identified (systems 1 to 8). 

6.3 The main types of documentation are outlined in Chapter 

5 of the ISO/ITC booklet, Certification - Principles and practice. 

6.4 In addition to the operational documentation the certification body should have a manual to cover 

a) legal identification of the certification body; 

b) the administrative structure of the certification body; 

C) terms of reference of the governing board; 

d) organizational chart which depicts responsibilities and 

reporting structure; 

el list of names, qualifications and experience of each 

member of the staff engaged in the actual certification process, including details regarding availability of staff in places 

other than headquarters; 

f) information on any certification training received by the 

staff, including training in the principles and practice of 

quality assurance; 

g) staff instructions; 

3 Definitions 

h) documentation and change control; 

The relevant definitions in ISO/IEC Guide 2:1986, or any later 

edition, are applicable. 

4 Credibility 

Of prime importance to any certification scheme, whether 

intended for internal, bilateral or multilateral use, will be its 

credibility and therefore acceptability. This aspect must be kept 

foremost during any self-assessment programme, and 

becomes critical to any international scheme. 

5 Elements to be addressed 

The elements to be addressed in a comprehensive internal quality system review procedure are the following: 

documentation (clause 6); 

testing laboratories (clause 7); 

inspection services (clause 8); 

certification staff (clause 9); . 

checklist for assessment (clause 10). 

i) records, including system used for their maintenance, 

and blank copies of report forms used; 

j) procedures covering the control of marks of conformity 

and actions to be taken in cases of misuse; 

k) procedure for investigating complaints received and 

taking any necessary corrective action; 

I) procedures and staff instructions to ensure confidentiality; 

m) publications; 

n) appeals (see ISO/ITC booklet, Certification - Principles and practice, Chapter 5.1 1 I. 

The general requirements pertaining to these elements are 

given in ISO/IEC Guide 40. 

7 Testing laboratories 

7.1 The testing laboratory may be an integral part of the 

certification body or it may be a separate entity. 
ISO/IEC GUIDE 56 : 1989 (El 

7.2 It is not intended that this Guide cover the work of testing 10.2 Procedures 

laboratories. 

Procedures by which the system is operated include provision 

7.3 It is of critical importance that the testing work per- for 

formed for certification purposes be done by a competent 

testing laboratory. a) competent and responsible management and appropriately trained staff; 

7.4 Testing work performed for certification purposes is to be 

done by a testing taboratory that meets the criteria specified in 

ISO/IEC Guides 25 and 38 and additional specific criteria appropriate for the type of product involved. 

b) participation on a non-discriminatory basis; 

C) both initial and continuing validation activities; 

d) selection and retention of qualified testing and inspection services; 7.5 The certification body should have a system of laboratory 

selection based on these points. 

e) dispute resolution through an impartial appeals 

mechanism; 7.6 A laboratory suitably accredited for the purpose should 

be capable of satisfying the above requirements. 

f) notification to licensees of changes in standards and 

procedures; 8 lnspection services 

g) confidentiality of proprietary information; 8.1 The inspection body may be an integral part of the certification body or it may be a separate entity. h) maintenance of records; 

8.2 Inspection work performed for certification purposes is to 

be done by an inspection body that meets the criteria of 

ISO/IEC Guide 39 and additionat specific criteria appropriate for 

the type of product involved. 

il safeguarding use of mark, including legal support; 

j) revocation of authorization to use mark; 

k) monitoring procedures regarding periodic inspections, 

etc; 9 Certification staff 

I) training programme on certification for the benefit of in9.1 Staff should be competent dustries and staff engaged in certification work. for the functions they undertake and should have the necessary education, training, 

technical knowledge and experience. 10.3 Requirements for licensing 

9.2 Information on the academic or other qualifications and 

experience of each member of the staff should be maintained 

by the certification body. Records of training and experience 

should be kept up-to-date. 

Requirements for licensing include (see clause 6 of ISO/IEC 

Guide 28) 

a) supplier's quality management system and documentation (only for Systems 5 and 6 described in the ISOIITC 

booklet, Certification - Principles and practice); 

9.3 Staff should have available to them clear documented instructions pertaining to their duties and responsibilities. These 

instructions should be maintained up-to-date. 

b) technically appropriate resources for testing and in9.4 When work is sub-contracted to an outside body, the spection; 

certification body is responsible for the sub-contracted work 

and should ensure that the patty performing the work meets 

the requirements for a testing laboratory referred to in 7.4, and 

the requirements for an inspection body referred to in 8.2. 

c) complaint records system; 

dl provisions against non-conforming products to which 

the mark is applied; 

9.5 In small organizations, one person may fulfil more than 

one function. el provision for notification of product changes; 

fl practices relating to the use of the certification body 

10 Checklist for assessment name or mark of conformity. 

NOTE - The following checklist for assessing a certification body's 

operation of third-party certification systems is based on ISO/IEC 

Guides 7, 23, 25, 27, 28, 38, 39 and 40. 

10.4 Indication of conformity 

Conformity is indicated by a certificate or mark which 

10.1 Standards 

a) reflects the registered mark of the certification body; 

Standards upon which the system is based, covering products, 

processes and services, shall be suitable for use as a basis for 

certification. 

b) includes information on product, standards, supplier 

and other parties, where applicable (see ISO/IEC Guide 23); 
ISOIIEC GUIDE 56 : 1989 (E) 

c) presents clearly the extent of the certification, where 10.6 Fee structure and financial aspects 

applicable. 

The certification body should have well laid out guidelines from 

10.5 Documentation the financial point of view for granting licences and for 

operating the certification system (see clause 19 of ISOIIEC 

Documentation required by the system includes Guide 281. 

a) availability of a published programme directory tiding NOTE - When complete, the checklist will be accompanied by a 

products, processes and services which may be certified, document which will key each item to relevant sections of the ISO/IEC 

standards, licensees, and other parties; reference documents. 

b) file of legally binding agreements with licensees; 11 Appeal 

C) availability of statement covering operating procedures; 

The certification body should provide for an independent line of 

d) availability of annual review or report. appeal available to its licensees. 
PV-2 Appendix 2 

Form PV250 

Checklist for assessing the capabilities and quality system of 

manufacturers and producers 
Appendix 2 

Checklist for inspection and assessing the capabilities and quality system of 

manufacturers and producers2 

1. Management responsibility 

1.1 Is a quality policy defined, documented, understood, implemented, and maintained? 

1.2 Are the responsibilities and authorities for all personnel specifying, achieving, and monitoring 

quality defined? 

1.3 Are in-house verification resources defined, trained, and funded? 

1.4 Has a staff person been designated to implement and maintain the quality system? 

2. Quality system 

2.1 Has a quality manual been prepared? Is it used by all pertinent employees? 

2.2 Have quality procedures been prepared and implemented? 

2.3 Do the management and staff understand the requirements for certification? 

3. Contract review 

3.1 Are incoming contracts and purchase orders reviewed to determine if the requirements are 

adequately defined, whether they agree with the bid, and whether they can be implemented? 

3.2 Are adequate records of such contract reviews maintained? 

4. Design control 

4.1 Do design projects receive adequate planning? 

4.2 Are design input parameters adequately defined? 

4.3 Are design output parameters, including crucial product characteristics, adequately defined and 

documented? 

4.4 Is the design output verified to determine if the input requirements are met? 

4.5 Are design changes appropriately reviewed, controlled, and documented? 

5. Document control 

5.1 Is the generation of all quality and production-related documents controlled? 

5.2 Is the distribution of such documents controlled? 

5.3 Are changes to documents controlled? 

5.4 Are obsolete documents promptly removed from all points of issue and use? 

6. Purchasing 

6.1 Are potential subcontractors and subsuppliers evaluated for their ability to provide the stated 

requirements? 

6.2 Are the requirements clearly defined in contract documents and data? 

6.3 Is the effectiveness of the subcontractor's quality assurance system assessed? 

Adapted from a summary of ANSYASQC Q91 requirements authored by Dennis Arter, Columbia 

Quality Inc., Pasco, WA 
Product identification and traceability 

Is the product identified by item and batch, or lot, during all stages of production, delivery, and 

installation? 

Is the product uniquely identified in relation to any required traceability to specifications or 

standards? 

Process control 

Are production processes defined, planned, and documented? 

Is production performed under controlled conditions that include (a) documented work 

instructions, (b) in-process controls, (c) approval of processes and equipment, and, (d) 

establishment of criteria for workmanship? 

Are processes that cannot be verified after production monitored and controlled throughout the 

processes? 

Are production records adequately prepared and maintained? 

Inspection and testing 

Is incoming material inspected, tested, or otherwise verified before use? 

Is in-process inspection and verification (where required) performed and documented? 

Is final inspection and testing performed prior to release of the finished product? 

Are the results of inspection and testing adequately documented and maintained? 

Inspection, measuring, and test equipment 

Are all items of equipment and instruments controlled, calibrated, and maintained? 

Are the required measurements identified and documented? 

Are the required instruments and test equipment adequately identified? 

Is their calibration and maintenance status affixed to the items and contained in an adequate 

calibration and maintenance $le ? 

Are periodic independent in-test parameters performed? 

Are between-calibration verification checks performed? 

Is the validity of measurements assessed when out-of-calibration conditions are found? 

Are the environmental conditions properly maintained and monitored in metrology laboratories? 

Are the measurement uncertainties of test equipment and instruments known and documented? 

Whenever software is used as a part of the in-process or final testing procedures, is it periodically 

and adequately checked? 

Inspection and test status 

Is the status of inspections and tests maintained for production items as they progress through 

various processing stages? 

Are records maintained to indicate the person who released conforming product at all pertinent 

stages? 

Control of nonconforming product 

Are the measures to control nonconforming product adequate to prevent inadvertent use or 

installation? 

Is nonconforming product adequately segregated? 

Are there documented policies and procedures for the review and disposition of nonconforming 

product? 
Corrective action 

Are there documented procedures for identifying the causes of nonconforming product? 

Are there documented procedures for assuring that corrective actions are taken for 

nonconforming product? 

Are records of nonconforming product, of the causes, and of the corrective actions taken, 

adequately maintained? 

Handling, storage, packaging, and delivery 

Are procedures for handling, storage, packaging, and delivery developed, documented and 

maintained? 

Are handling controls adequate to prevent damage and deterioration? 

Is product in stock periodically checked? Is the storage secure? 

Are delivery controls used to maintain the integrity of the product between the factory and the 

delivery point? 

Quality records 

Are the quality records adequately identified, collected, indexed, filed, stored, maintained and 

eventually disposed of? 

Internal quality audits 

Are procedures of performing internal quality audits documented? 

Are audits planned and performed? 

Are the results of internal audits communicated to top management? 

Are procedures for corrective action documented? Are deficiencies found corrected? 

Are records of deficiencies and corrective actions maintained? 

Training 

Are training needs identified and documented? Is training provided? 

Is cross-training provided? 

Are records of training maintained? 

Servicing 

Are written procedures available for servicing activities? Are they used? 

Does the service provided meet the relevant specifications and requirements? 
PV-2 Appendix 3 

Form PV200 

Specimen for initial questionnaire for factory assessment 

(reproduced from Appendix 1 of Annex B from ISO/IEC Guide 28) 
ISOIIEC GUIDE 28-1982 (El 

Appendix 1 to annex B 

Specimen1) for initial questionnaire for factory assessment 

Annex to application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 

This questionnaire should be filled in and returned together with the applic de preliminary information 

relative to the applicant and his capability to control the quality and conti cts to the requirements of 

relevant specifications. 

This document will be used by the certification body's inspection staff d o the factory or factories involved as a 

part of the initial inspection. 

Supplements may be included where it is necessary to expand any 

A separate document should be completed for each factory invo een factories clearly indicated. 

The statements should relate to the facilities available as the date 

The information given in this document will be treated in ce. 

Information on the following subjects will furthermore nt of the application. 

Date sample is available for evaluation : 

Will this be production or prototype sample? 

If protoype, when is production scheduled? 

Has product been tested to the standard? 

Urgency of application. 

INDEX 

Section 1 - Factory organizati 

Section 2 - Materials, compo 

Section 3 - Manufacture 

Section 4 - Quality control a 

Section 5 - Records and documents 

Section 6 - Appiicati conformity 

Section 1 - Factory organization 

1.1 Procedures/paperwork 

Please give following information on basic system 

1.1.1 Do you produce against orders or for stock? 

1.1.2 Do you issue a Works Order or equivalent? 

1) This specimen was selected from a current national practice; no attempt was made to harmonize the wording with the main part of this Guide. 

The specimen can be adapted in accordance with the actual situation for a given scheme. 
tSO/IEC GUIDE 28-1982 (El 

1 

1.1.3 If so does this identify a batch as a separate entity? 

1.1 -4 Do products and/or containers carry Works Order identification in manufacture? 

1.1.5 If not how does system allow for products to be isolated in case of doubtful quality? 

1.1.6 Please give any other relevant information on basic system 

7.2 Quality control/inspection staff 

Please give following information on factory QC staff organization : 

1.2.1 Head of Quality Assurance 

1.2.2 Reporting to? 

1.2.3 Is there a separate QCIlnspection Dept? 

1.2.4 If so indicate 

1.2.4.1 Chief Inspector if different from 1.2.1 

1.2.4.2 If staff are aware of the tests in the rele 

1.2.5 Are storeman/production operators re on and test on 

1.2.5.1 Materials? 

1.2.5.2 In process operations? 

1.2.5.3 Final product? 

,126 If so are they monitored 

1.2.7 Are Quality Audit ch 

1.2.8 Please give any n on QC staff organization 

Materials, components and services 

aterials quality assurance 

Please detail main material d, specification used and major suppliers involved. 

Please also give quality assurance methods adopted on receipt of materials, components, or services, indicating action taken on tejects. 

Section 3 - Manufacture 

3.1 System 

Please detail various steps in manufacture - a production schedule and/or supplement in chart form showing stages may be 

advantageous. 

3.2 Maintenance system plant and equipme 

What maintenance system is in operation? 
ISOIIEC GUIDE 28-1982 (El 

Section 4 - Quality control and testing 

4.1 System 

Please detail Quality Control system, including sampling system followed, with particular reference to the tests in the relevant standard. A QC schedule or supplement cross-referenced to chart required in 3.1 is advantageous. 

Please attach any QC manual or instructions on Quality Control issued to staff. 

4.2 Test equipment/instruments, gauges and tools 

Please detail test equipment used, makers' names and references, and in uency of checking and if certificates 

are available. 

Section 5 - Record ntation 

5.1 General 

5.1.1 Please indicate form of master specifica schedule, reference sample, etc. Also indicate other 

general records available. 

5.1.2 Please indicate system used to amend desig 

5.2 Compliance - Specification 

5.2.1 Please indicate level of defectives f s. If tests in accordance with the relevant standard(s1 have already 

been carried out, attach copies of summa 

5.2.2 Please indicate the level of clai er warranty and/or otherwise and give also as a percentage of total 

output. 

5.2.3 Have independent tests be gainst the standard? By whom? Please attach copies if available. 

Sec Application of indications of conformity 

6.1 Mark of confo 

Please attach an i indicate method, e.g. special label, embossing, etc., which will be used to show mark of 

conformity. Pleas of manufacture the mark of conformity will be applied. 

6.2 Certificate 

Please attach an illustration of the proposed format and indicate at which stage of manufacture or shipment the certificate is issued. A 

specimen certificate is reproduced in appendix 2 by way of an example. 
PV-2 Appendix 4 

Form PVlOO 

Application for conformity certification by use of certificates or mark of conformity 

(reproduced from Annex B of ISO/IEC Guide 28) 
ISO/IEC GUIDE 28-1982 (E) 

Annex B 

Specimen of form for 

APPLICATION for CONFORMITY CERTIFICATION 

BY USE OF CERTIFICATES OR MARK OF CONFORMITY 

Tobesentto ........................................................ ................ (Certification body) 

Address : 

Information regarding the applicant : 

Business address : 

Phone and telex numbers : 

Designation of product for which conformity certification is requested : 

Description of products : (see first 

of specimen licence - appen 

Date of issue : Date of issue : 

Statement : lare that we will settle the costs related to this application. 

Statement : declare to be willing, on a positive result of the initial testing and inspection, to conclude 

cified time an agreement related to the certification of the products mentioned above. 

Dateofapplication ............................................................................ 

Name and title of person authorized to sign on behalf of the applicant : 

.............................................................. 

(In block letters) 

Signature ................................................................................... 

(Examples) 
PV-2 Appendix 5 

Form PV300 

Specimen of a licensing agreement for the use of a certificate or mark of conformity 

(reproduced from Annex C of ISO/IEC Guide 28) 
ISOIIEC GUIDE 28-1982 (El 

Annex C 

Specimen of a licensing agreement for the use of a certificate or 

mark of conformity 

The . . . . . . Certification Body, having its registered offices at . . . . . ., hereinafter referred to as the certification body and represented in 

this matter by .. .... (name), ...... (title) ....., hereby grants to . ....., having its registered offices at .. ... ., hereinafter referred to as the 

licensee, licence to certify the products covered by the appended licence, as approved by the certification body for such products 

specified in the first column of the valid licence which are controlled by the licensee in accordancewfth the standards referred to in the 

second column and the Specific Rules referred to in the third column of the valid licence and on the conditions of the following 

general agreement. 

Article 1 : Regulations for certification and inspectio 

The stipulations of the General Rules for the certification system (in reement as well as the standardb) and 

the Specific Rules, specified in the attached licence. 

Article 2 : Rights and obligations 

2.1 The licensee agrees that the certified products manuf y him as specified in the licence based on and attached to this agreement will comply with the rds and General and Specific Rules specified in the 

licence. Accordingly, the certification body authorizes t the products covered by the licence, as stated in the 

Specific Rules of the scheme. 

2.2 The licensee agrees that the persons repr will have unobstructed access without prior notification 

to the premises of the factory covered by the king hours of the factory involved. 

2.3 The licensee agrees that the products for whi anted will be produced to the same specifications as the sample 

that the certification body found by the initial test iance with the standard. 

Article 3 : Surveillance 

3.1 The certification body carries nce on the licensee's compliance with his obligations, in accordance with 

the conditions stated in the Gene n system and the Specific Rules for the scheme as specified in the licence. 

3.2 This surveillance is carri certification body employees or by employees of agencies on behalf of the certification 

body. 

Article 4 : lnforma ations in production 

The licensee shall inform t dy of any intended modification in the product, the manufacturing process or the quality 

management system. 

Article 5 : Complaints 

The licensee shall upon request of the certification body keep records and report to the certification body any complaints regarding 

those aspects of the products covered by the licence. 

Article 6 : Publicity 

6.1 The licensee has the right to publish that he has been authorized to certify the products to which the license applies. 

6.2 Among other methods the certification body gives publicity to the authorization of certifying compliance with a standard in the 

public journal ...... and to cancellation of this agreement with the licensee, as appropriate. 

B-38 
ISOIIEC GUIDE 28-1982 (El 

Article 7 : Confidentiality 

The certification body is responsible for seeing that confidentiality is maintained by its employees concerning all confidential information with which they become acquainted as a result of their contacts with the licensee. 

Article 8 : Payment 

8.1 The licensee shall pay to the certification body all expenses in relation to lance, including test, inspection and administration costs. 

Article 9 : Agreement period 

This agreement comes into force on ..., and remains in force until ... unless withdrawn for justified reasons or cancelled by either 

party upon due notice given to the other party. 

Article 10 : Withdrawal/cancellation of licence 

If withdrawal/cancellation of the licence comes into question, the n of notice prior to the withdrawal/cancellation will 

differ due to the situation that causes it. 

Depending on the reason for the withdrawal/cancella schedule of notice will be followed : 

Situation requiring the dispatch of notice of notice prior to 

that can lead to withdrawal/cancellation rawaI/cancellation 

Manufacturer's wish to cancel : to be specified by the certification body 

The certification body determines that th 

dous : none 

Violation of an existing standard, for max. 60 days 

Non-payment of charges to certifi max. 30 days 

Failure to meet other provisio max. 60 days 

Mandatory compliance with nts in relation to revision of a standard : Negotiable 

Advice of cancella red letter (or equivalent means) to the other party, stating the reasons and the date of 

termination of the 

Article 11 : Mo duct requirements 

11.1 If the requirements applying to the products covered by this agreement are modified, the certification body shall immediately 

inform the licensee by registered letter (or equivalent means), stating at what date the modified requirements will become effective, 

and advising him of any need for a supplementary examination of the products which are subject to this agreement. 

11.2 Within a specified period of time after receipt of the advice described in paragrapi t 11.1, the licensee shall inform the certification body by registered letter (or equivalent means) whether he is prepared to accept the modifications. If the licensee gives confirmation within the specified period of his acceptance of the modification and provided the result of any supplementary examination is 

favourable, a supplementary licence will be issued or other modifications of the certification body's records. 

11.3 If the licensee advises the certification body that he is not prepared to accept the modification within the time specified in accordance with 11.2 or if he allows the terms for acceptance to lapse, or if the result of any supplementary examination is not 

favourable, the licence covering the particular product shall cease to be valid on the date on which the modified specifications become 

effective to the certification body, unless otherwise decided by the certification body. 
ISO/IEC GUIDE 28-1982 (El 

Article 12 : Liability 

[To be specified in connection with the relevant legal systems.] 

Article 13 : AppeaVdispute 

All disputes that may arise in connection with this agreement are to be settled in a 

tification body. 

Issued in duplicate and signed by authorized representatives of the 

For the certification body : 

the appeal 

the applicant. 

(Signature) (title) (title) 

procedures of the cer- 
PV-2 Appendix 6 

Specimen of form for a license for the use of the certificates or mark of conformity 

(reproduced from Appendix 1 of Annex C from ISOlIEC Guide 28) 
ISOIIEC GUIDE 28-1982 (El 

Appendix 1 to annex C 

Specimen 

Licence No. .... 

Issued by ...... 

of form 

............. 

for a licence for the use of the certificates or mark 

of conformity 

[An illustration of the certificate or mark of conforrnitv is to be 

attached to this for 

.......................... to Agreement No. .......... 

........................................................ ... (certification body) 

To .............................................................. .............. (licensee) 

...... ................... 

.............................................................. ................... 

Date of issue ..................... 

Signed for Certificatio n Bod ...................... 

(signature) 

Specific rules 

............................... 

(title) 
Annex C 

PV-3. Testing Requirements for a Certification and Labeling Program for 

Photovoltaic Modules 
DOCUMENT PV-3 

Testing Requirements for a Certification and Labeling Program for 

Photovoltaic Modules 

Table of Contents 

Foreword 

1. Introduction 

2. Definitions 

3. References 

4. General test plan and sequence of testing 

5. Module qualification and performance tests 

6. Reporting 

Appendix 1 

Equipment and Apparatus Required for PV Module Testing and Certification 

Appendix 2 

Laboratory Organization and Personnel 
FOREWORD 

This document sets forth the testing and reporting requirements for qualification testing and 

baseline perjonnance value measurements of photovoltaic (PV) modules that may be used in support of a 

PV module certification and labeling program. The test methods and procedures chosen for this purpose 

have all been promulgated through consensus standards development procedures in relevant committees of 

the Institute of Electrical and Electronics Engineers (IEEE), the American Society for Testing and 

Materials (ASTM), or the International Electrotechnical Commission (IEC). 

The requirements presented are taken largely from IEEE 1262 and ASTM E 1036 (see 

Sections 3.14 and 3.5). To the extent that other specific ASTM test methods are referenced in certain 

IEEE 1262 test procedures adopted in these requirements, the so-referenced ASTM standards are hereby 

incorporated as mandatory test requirements for the purposes of this document. 

The test methods and procedures presented represent the minimum testing requirements for any 

product certification and labeling programs that may be developed for photovoltaic modules. 

Additionally, these test procedures and the concomitant equipment and facilities requirements represent 

the minimum test capabilities against which laboratories should be evaluated for testing in support of any 

module certification and labeling programs. 

This document is one of a series of documents that together are intended to address the totality of 

the criteria and requirements for a PV module testing, certification, and labeling program. The other 

documents in this series are: 

PV- 1 Criteria for a Model Quality System for Laboratories Engaged in Testing PhotovoItaic 

Modules 

PV- 1.1 Calibration, Traceability, and Statistical Requirements of Accredited Laboratories 

Supporting the Photovoltaic Module Certification Program (Addendum to PV-1) 

PV-2 Model for a Third-Party Certification and Labeling Program for Photovoltaic Modules 

PV-3 Testing Requirements for a Certification and Labeling Program for Photovoltaic 

Modules 

PV-5 Application and Certification Procedures for the P hotovoltaic Module Certification 

Program 
1. Introduction 

1.1 Purpose 

1.1.1 The purpose of this document is to delineate the testing requirements for a photovoltaic 

module certification and labeling program. 

1.1.2 These testing requirements represent the minimum requirements against which 

photovoltaic modules shall be evaluated in terms of (a) their quantitative response to 

electrical performance-based tests and (b) their qualitative response to environmental 

and mechanical tests. 

1.1.3 These test procedures represent the minimum capabilities against which laboratories 

shall be assessed and accredited in accordance with Document PV-1 for testing in 

support of a photovoltaic module certification and labeling program. 

Scope 

1.2.1 The testing requirements set forth in this document shall be used for the evaluation of 

terrestrial flat-plate photovoltaic modules intended for power-generating applications. 

These requirements are not intended for use in the testing and evaluation of photovoltaic 

solar-concentrator modules. 

1.2.2 This document sets forth the minimum requirements with which photovoltaic modules 

shall comply to demonstrate their ability to meet the overall performance requirements 

of the certification program. 

1.2.3 These requirements also represent the minimum standards with which laboratories 

selected by manufacturers shall comply and operate to demonstrate their competence to 

test photovoltaic modules1. 

1.2.4 Guidelines for equipment and apparatus required are included in Appendix 1 of this 

document. Guidelines for the management of the testing laboratory are discussed in 

Appendix 2. 

1.2.5 The actual electrical performance and lifetime expectancy of modules tested, certified, 

and labeled under the provisions of this document will depend on their design, the 

environment in which they are deployed, and other conditions under which they are 

operated. Lifetime expectancy is not within the scope of this document. 

Laboratories accredited in accordance with Document PV-1 are required to demonstrate their compliance 

to the general criteria of Document PV-1 in terms of their quality system and to the specific criteria 

required by Document PV-1 and set forth in this Document (PV-3). 
2. Definitions 

2.1 Terms defined in this section are relevant to photovoltaic module testing. Terms defined in 

Documents PV- 1 and PV-2 are incorporated by reference. 

Air mass (AM): The ratio of the mass of atmosphere in the actual observer-sun path to 

the mass that would exist if the observer was at sea level, at standard barometric 

pressure, and the sun was directly overhead. Note-(sometimes called air mass ratio.) 

Air mass varies with the zenith angle of the sun and the local barometric pressure, which 

changes with altitude. For sun zenith angle, 2, of 62" or less and local atmospheric 

pressure, P, where Po is standard atmospheric pressure, AM -- secZ(PP,). 

[ASTM E 7721 

AM 1.5 standard reference spectrum: The solar spectral irradiance distribution (diffuse 

and direct) incident at sea level on a sun-facing 37" tilted surface. The atmospheric 

conditions for AM 1.5 are: precipitable water vapor, 14.2 mm; total ozone, 3.4 mrn; 

turbidity (base e, h = 0.5 mm), 0.27. [ASTM E 892, Table 21 

Baseline Performance Value: Initial values of Is,, V,, P,,, V, IMP measured by the 

accredited laboratory and corrected to Standard Test Condrtrons, used to validate the 

manufacturer's performance measurements provided with the qualification modules per 

IEEE 1262. 

Blocking diode: A diode used to restrict or block reverse current from flowing backward 

through a module. [UL 17031 

Bypass diode: A diode connected across one or more solar cells in a photovoltaic 

module such that the diode will conduct if the cell(s) become reverse biased. [UL 17031 

Current at maximum power (IMP): The current at which maximum power is available 

from a module (for the purpose of this document, the "rated" current at maximum power 

will be defined as IMP at STC). [UL 17031 

Interconnect: A conductor within a module or other means of connection which 

provides an electrical interconnection between the solar cells. [UL 17031 

I-V data: The relationship between current and voltage of a photovoltaic device in the 

power-producing quadrant, as a set of ordered pairs of current and voltage readings in a 

table, or as a curve plotted in a suitable coordinate system (i.e., Cartesian). 

(ASTM E 1036) 

Maximum power (PMp): The point on the current-voltage (I-V) curve of a module under 

illumination, where the product of current and voltage is maximum. For the purpose of 

this document, "rated" power is defined as PMp at STC. [UL 17031 

PV module (flat-plate): The smallest environmentally protected, essentially planar 

assembly of solar cells and ancillary parts, such as interconnections, terminals, [and 
protective devices such as bypass diodes] intended to generate dc power under 

unconcentrated sunlight. The structural (load carrying ) member of a module can either 

be the top layer (superstrate), or the back layer (substrate). [UL 17031 

2.1.1 1 Qualification test (PV): A procedure applied to a selected set of PV modules involving 

the application of defined electrical, mechanical, or thermal stress in a prescribed 

manner and amount. Test results are subject to a list of defined requirements. 

2.1.12 Standard Reporting Conditions (SRC): A fixed set of conditions (including 

meteorological) to which the electrical performance data of a photovoltaic module are 

translated from the set of actual test conditions. [ASTM E 10361 

2.1.13 Standard Test Conditions (STC): Conditions under which a module is typically tested 

in a laboratory: (1) Irradiance intensity of 1000 w/m2, (2) AM1.5 solar reference 

spectrum [see Section 2.1.21, and (3) a cell (module) temperature of 25 + 2°C. 

[IEC 121 51 

2.1.14 Test sequence: A set of one or more qualification tests applied in a specified order to a 

selected group of PV modules. 

2.1.15 Voltage at maximum power (VMP): The voltage at which maximum power is available 

from a module. (For the purpose of this document, the "rated" voltage at maximum 

power will be defined as VMP at STC). [UL 17031 

3. References 

3.1 ANSIIIEEE 928-1986: 

"Recommended Criteria for Terrestrial Photovoltaic Power Systems." 

3.2 ASTM E 772: 

"Standard Terminology Relating to Solar Energy Conversion." 

3.3 ASTM E 892: 

"Standard Tables for Terrestrial Solar Spectral Irradiance at Air Mass 1.5 for a 37" Tilted 

Surface", Table 2. 

3.4 ASTM E 927: 

"Standard Specification for Solar Simulation for Terrestrial PV Testing." 

3.5 ASTM E 1036: 

"Standard Test Methods for Electrical Performance of Nonconcentrator Terrestrial Photovoltaic 

Modules and Arrays Using Reference Cells." 

3.6 ASTM E 973: 

"Standard Test Method for Determination of the Spectral Mismatch Parameter Between a 

Photovoltaic Device and a Photovoltaic Reference Cell." 
ASTM E 1038: 

"Standard Test Method for Determining Resistance of Photovoltaic Modules to Hail by Impact 

with Propelled Ice Balls." 

ASTM E 1171: 

"Standard Test Method for Photovoltaic Modules in Cyclic Temperature and Humidity 

Environments." 

ASTM E 1362: 

"Standard Test Method for Calibration of Nonconcentrator Photovoltaic Secondary Reference 

Cells." 

ASTM E 1462: 

"Standard Test Methods for Insulation Integrity and Ground Path Continuity of Photovoltaic 

Modules." 

IEC TC 82 (Secretariat) 120: 

"Thin-Film Silicon Terrestrial Photovoltaic (PV) Modules-Design Qualification and Type 

Approval" (draft international standard). 

IEC 68- 1 : 

"Basic Environmental Test Procedures7', 19 88. 

EC 1215: 

"Crystalline Silicon Terrestrial Photovoltaic (PV) Modules-Design Qualification and Type 

Approval." 

IEEE 1262: 

"IEEE Recommended Practice for Qualification of Photovoltaic (PV) Modules." 

JPL 5101: 

Jet Propulsion Laboratory, JPL 5 10 1 - 16 1, Pasadena, CA, 198 1, "Block V Solar Cell Module 

Design and Test Specification for Intermediate Load Applications." 

NREL IQT: 

National Renewable Energy Laboratory (NREL), Golden, CO, TR-213-3624, 1993, "Interim 

Qualification Tests and Procedures for Terrestrial Photovoltaic Thin-Film Flat-Plate Modules." 

UL 1703: 

Underwriters Laboratories Inc., IJL Standard 1703, Second Edition, May 7, 1993, "Standard for 

Safety, Flat-Plate PV Modules and Panels." 

General test plan and sequence of testing 

Conduct module qualification tests in accordance with IEEE 1262, Figure 4-1-Qualification 

Test Program 
5. Module qualification and performance tests 

5.1 General test and inspection procedures 

The sequence of testing and inspection procedures listed are in the same order as 

described in the sequence of tests presented in Figure 1 of IEEE 1262. No significance 

should be attached to the order in which the test methods are presented in the following 

sections with respect to the importance of their suitability to photovoltaic modules for 

their intended applications. 

When modifications to the IEEE 1262 test and inspection procedures are not required 

for the purposes of this document, these unmodified portions of the standard shall be 

complied with in full as if they were repeated herein in their entireties. 

When modifications to the referenced test and inspection procedures adopted from 

IEEE 1262 are required for the purposes of this document (as defined in Section 6.2), all 

unmodified subparagraphs of the referenced sections of such standards shall be 

complied with in full as if they were repeated herein in their entireties. 

5.2 Modifications to specific tests defined by IEEE 1262 

5.2.1 IEEE 1262: Where referred to as Baseline measurements, replace paragraph 5.2, 

Electrical-Pelfonnance Test, with PV-3 Section 5.2.1.1, Baseline Performance Value 

Test, and replace all other references to paragraph 5.2 with PV-3 Section 5.2.1.2, 

Electrical-Pelformance Test: 

5.2.1.1 Baseline performance value test 

PURPOSE: The purpose of this test is to verify that the manufacturer's 

measured I-V curve data (i.e., I,,, Voc, P,, VMp, IMP ) are within f 5% of the 

testing laboratory's measurements for each of the nine modules required by 

IEEE 1262. 

PROCEDURE: Clean the module's optical surface prior to the electrical 

performance measurements. Measure the I-V curve for each module in 

accordance with ASTM E 1036. Translate the performance data to the 

following standard reporting conditions: 25°C module temperature, 1000 w/m2 

total irradiance, and ASTM E 892 (Table 2) global spectral irradiance (i.e., Standard 

Test Conditions, STC). From the corrected data, determine and record I,,, Voc, 

PMp, VMP, and IFP. The light source may be natural sunlight or a solar 

simulator. The light source must meet the requirements of a Class A solar 

simulator as specified by ASTM E 927. Spectral mismatch error corrections 

shall be made to the measured data per ASTM E 973). Because the results of 

these qualifications tests depend on the electrical performance measurements to 

determine the magnitude of any degradation of module output power, use the 

same measurement system (including the light source and reference cell) for I-V 

curve measurements throughout the test sequences. 
Reference cells used for these tests shall have the same optical and electrical 

properties as the modules under test. Such reference cells shall have been 

calibrated by a minimum of two qualified laboratories2 per ASTM E 1362 using 

the ASTM E 892 (Table 2) global reference spectrum. The calibration 

constants shall agree within +2.0% of the average value. If these reference 

cells are used at cell temperatures outside the temperature range of 23" to 27OC, 

the temperature coefficient of the calibration constant shall have also been 

measured by the two qualified laboratories, and the values shall agree within 

t-5% of the average value. The average value of the calibration constant and 

temperature coefficient measured by the qualified laboratories shall be 

considered the true value. 

REQUIREMENT: Values of factory measured power must be within f 5% of 

the testing laboratory's values of measured power for all nine modules tested. 

5.2.1.2 Electrical-performance test 

PURPOSE: The purpose of this test is to characterize the electrical 

performance of test modules and to determine each module's peak output 

power. 

PROCEDURE: Clean the module's optical surface prior to the electrical 

performance measurements. Determine the module's maximum power 

point in accordance with ASTM E 1036. Correct the performance data to 

the following standard reporting conditions: 25°C module temperature, 

1000 w/m2 total irradiance, and ASTM E 892 (Table 2) global spectral 

irradiance (i.e., Standard Test Conditions, STC). The light source may be 

natural sunlight or solar simulator. The light source must meet the 

requirements of a Class A solar simulator as specified by ASTM E 927. 

Spectral mismatch error corrections shalI be made to the measured data per 

ASTM E 973). Because these qualification tests depend on the electrical 

performance measurements to determine the magnitude of any degradation 

of module output power, use the same measurement system (including the 

light source and reference cell), for I-V curve measurements throughout the 

test sequences. 

REQUIREMENT: Initial test data recorded in 5.2.1.1 shall be used as the 

established baseline electrical output power that will serve as the comparison 

value for determination of the effects of qualification testing on electrical 

performance. 

For intermediate and final performance tests, the maximum power measured for 

each module tested shall not be less than 90% of the initial baseline power 

measured by the testing laboratory. Exception: Amorphous silicon modules 

must meet the manufacturer's minimum rated power output, following the W 

and Outdoor Exposure tests. 

The requirements of a "qualified" laboratory shall be determined by the certification body. 
6. Reporting 

6.1 Test results shall cover all of the test requirements and shall be made available only to the 

certification body and the manufacturer. 

6.2 The testing laboratory's values for the following parameters shall be reported for the purpose of 

establishing a baseline performance value for: Iso Voc, PMF VMP, and IMP for each module 

tested. These values shall be compared with the correspondmg factory module data. Factory 

data for all nine modules shall be within five percent (+5%) of the testing laboratory's value^.^ 

6.3 When a module cannot be subjected to some aspect of a test required by Document PV-3, the 

circumstances shall be documented and reported. As an example, consider the case in which the 

module is too rigid to perform the twist test. The Test Report then must clearly state this 

omission and explain the reason and any subsequent implications and ramifications. It will be up 

the certification body to resolve such issues with the manufacturer, which may require the 

manufacturer to state the ramifications in the installation manual. 

Paragraph 6.2 of Document ~~Twas added after the final draft of Document PV-3 was reviewed by the 

criteria development committee. 
PV-3 Appendix 1 

Equipment and Apparatus Required for PV Module Testing and Certification 
Table C-1. Equipment and Apparatus Required for PV Module Testing and Certification 

- 

Item 

- No. 

- A. 1 

A.2 

Requirement for Apparatus 

Per IEEE 1262: 

5.1 Visual Inspection 

5.2.1 and 5.2.2 Electrical 

Performance Tests 

5.3 Ground Continuity Tests 

5.4 Electrical Isolation (Dry 

Hi-Pot) Tests 

5.6 Wet Hi-Pot Tests 

5.5 Wet Insulation Resistance 

Tests 

5.7 Thermal Cycle Tests 

5.8 Humidity Freeze Cycle 

Test 

5.9 Robustness of 

Terminations 

5.10 Twist Test 

5.1 1.1 Static Mechanical Load 

Test 

5.1 1.2 Dynamic Mechanical 

Load Test 

5.12 Surface-Cut 

Susceptibility Test 

5.13 Damp Heat Test 

Equipment 

Required 

Camera 

Source of irradiance 

I-V curve tracer 

Reference cell, DMMs, 

Temperature sensors 

Variable dc power supply 

Ground path continuity tester 

Ohmmeter 

Metallic contacts 

Test stand 

Immersion tray (wet hi-pot) 

Megger or equivalent 

Chamber(s) 

Temperature measuring and 

recording device 

Test base 

Torque wrench 

Tensile strength gauge 

Test fixture 

Continuity tester 

Rigid test structure 

Continuity tester 

2400 Pa uniform static load 

Rigid test structure 

continuity tester 

1440 Pa uniform dynamic load 

Cut test tool (e.g. UL 1703, 

Fig. 23.1) 

Chamber(s) 

Requirements 

~efined By: 

IEEE 1262: $ 5.1 

IEEE 1262: P 5.2 

ASTM E 1036 

ASTM E 892, ASTM E 927 

PV-3: 1 5.2.1.1 and 5.2.1.2 

IEEE 1262: 8 5.3. 5.4. 5.6 , . 

ASTM E 1462: $ 6 

Nntes 

Documentation of visual defects 

Multijunction subcells require a 

Class A solar simulator per 

ASTM E 927 

IEEE 1262: $ 5.7 and 5.8 

ASTM E 1171 

I 

IEEE 1262: 5 5.9 

UL 1703: sic. 28 

IEEE 1262: $ 5.10 

IEEE 1262: $ 5.11.1 

IEEE 1262: $ 5.1 1.2 

UL 1703: $ 39 

I 

IEEE 1262, 'j 5.5 I 

UL 1703: $24 I 

IEEE 1262: $ 5.13 
Tabie C-1. Equipment and Apparatus Required for PV Module Testing and Certification (continued) 

- 

Item 

No. 

Requirement for Apparatus 

Per 

IEEE 1262: 

5.14 Hail-Impact Test 

5.15 B ypass-Diode Thermal 

Test 

5.15.1 Nonintrusive 

5.15.2 Intrusive 

5.16.1 Non-intrusive Hot Spot 

Endurance Test 

5.16.2 Intrusive Hot Spot 

Endurance Test 

(Requires special test module) 

5.17 Ultraviolet Conditioning 

Test 

5.1 8 Outdoor Exposure Test 

5.19 Annealing Procedure 

Equipment 

Required 

Ice-ball launcher and velocity 

measuring instrument 

Oven 

Temperature measuring 

instrument 

Constant current power supply 

Sample and hold voltmeter 

IR heat lamps 

Source of irradiance 

I-V curve tracer 

Temperature detector 

ammeter 

irradiance monitor 

Constant current/voltage power 

supply Source of irradiance (wlo IR) 

I-V curve tracer 

Temperature detector 

Voltmeter, ammeter 

Irradiance monitor 

IR heat lamps 

Source of UV or sunlight 

UV radiometer 

Oven or module heater 

Solar irradiance monitor 

Oven or module heater 

Requirements 

Defined By: 

IEEE 1262: 8 5.5 

ASTM E 1038 

IEEE 1262: $5.15 

IEEE 1262: 8 5.16 

IEEE 1262: 8 5.16 

Notes 

+ 

IEEE 1262: 8 5.17 

IEEE 1262: 5.18 

IEEE 1262: Ci 5.19 
PV-3 Appendix 2 

Laboratory Organization and Personnel 

1. Introduction 

This section will provide guidelines to the organization, structure, and functional requirements 

for personnel needed to effectively manage and operate a PV qualification laboratory. 

Economics will dictate the staff needs to be kept small, yet large enough to perform all tasks 

required by Documents PV-1 and PV-3. Because of the technical nature of the testing, combined with 

stringent requirements for documentation and conformance to standards, the staff will need to be 

multidisciplinary with extensive cross-training. 

2. Organization 

A simplified organization chart for operation of a certification laboratory is shown in Figure C1. The number of people needed to fill each functional box will depend on the level of PV testing and 

other related businesses operated by the laboratory. During the formative stages, a total of two or three 

carefully selected staff members should be adequate to perform all tasks. During this period, certain 

functions, such as periodic equipment maintenance and certain of the facility requirements, will likely be 

contracted. The initial staff, being limited to a few individuals, will have to be highly trained, 

multidisciplined, and quite versatile. 

3. Functional Requirements 

The functions needed to operate the laboratory depicted in Figure C- 1 are: 

Director: 

Provides technical expertise, marketing, and leadership for the laboratory 

Provides customer interface 

Provides interface to the certification body 

Maintains contacts and information flow with government, industry, and organizations 

relevant to the laboratories' business 

Is responsible for the overall laboratory operation; sets and maintains laboratory policy 

Reviews all records and reports 

Sets and keeps budgets 

Plans the laboratory needs for personnel and equipment 

Reviews performance of the laboratory and its personnel. 

Quality Assurance: 

Conducts and records all calibration functions 

Writes, maintains, and controls the quality manual 

Reviews all reports, and periodically checks data 

Conducts training 

Acquires, keeps, and maintains all physical standards and certificates 

Helps select and qualify laboratories for outside testing if such testing is required 

Establishes and maintains relationships with vendors 
Figure C-1. Laboratory Organization 

Provides interface and communications with engineering 

Conducts annual audit 

Is responsible for Plant Safety Program. 

Measurements Engineering: 

Is responsible for all product testing 

Plans flow, logistics, and personnel requirements 

Prepares all technical reports 

Arranges and conducts special tests, i.e., round-robin 

Supervises outside testing and checks results 

Plans for and is responsible for equipment calibration 

Interfaces with quality assurance 

Provides technical training 

Establishes standards andreviews performance of laboratory personnel 

Provides interface and reacts to communications from quality assurance. 

Equipment/Facilities Engineering: 

Maintains all equipment 

Provides for equipment installation or movement 

Provides periodic preventative and required maintenance 

Provides repair and service 

Keeps traceable records 

Maintains building/facility, including WAC, support equipment/supplies, and cleaning 

function. 
Laboratory Technician (Electrical, Thermal, Mechanical, Optical): 

Conducts assigned tests 

Monitors equipment and testing function 

Records and maintains data log 

Calibrates assigned equipment. 

4. Operational Guidelines 

The total number of people on staff will depend on the level of testing and on other business the 

laboratory may conduct. Considering the cost-sensitive nature of the PV industry, and in the formative 

stages when the laboratory is gaining an experience base and credibility, it would be prudent to keep 

testing costs low. Operation of the laboratory during this stage should be characterized by a minimum 

staff of two or three people, with emphasis on automated, computerized equipment base. For economy 

and efficiency, a selected number of tests may be sent to qualified outside laboratories. 

To obtain and maintain accreditation, the following guidelines are offered regarding organization, 

personnel and laboratory function: 

Maintain lines of responsibility and authority, especially in reporting to and interacting with 

the certification body. 

Maintain and provide good record keeping, especially on calibration, data log books, and 

certification and training of personnel. 

Follow and assure all safety regulations. 

Provide evidence of training and cross-training of technicians and equipment operators. 

Require that at least two people be trained for each major test or procedure. 

When subcontracting testing, ensure the qualification and competence of the subcontracting 

laboratory. Document these. 

Set a goal to initially subcontract no more than 50% of the tests in Table C-1, and after 3 

years of operation, no more than 20%. 

Keep good records of customer communications, especially complaints and complaint 

resolution. 

Keep the quality assurance manual current and ensure that the stated quality system is in 

force. 
Annex D 

PV-4. Operational Procedures Manual for the Certification Body 

of the 

Photovoltaic Module Certification Program 
Document PV-4 

Operational Procedures Manual for the Certification Body 

of the Photovoltaic Module Certification Program 

Table of Contents 

Foreword 

Introduction 

Scope 

Definitions 

Initial responsibilities of the executive director 

Approval of module certification test laboratories 

Establishment of the factory quality assessment team 

Procedural flow diagram 

Application for participation 

Requirements for a manufacturer's factory quality system 

Review by PMCC of application for module certification 

The factory assessment 

Random selection of test modules 

Review and determination of applicant's suitability 

Selection of the PV module test laboratory 

Module testing 

Appeals 

Approval and certification processes 

Annual, biennial, and periodic requirements 

Challenge testing and factory audits 

Bibliography 

Glossary 

A2LA 

ANSI 

ASQC 

CAR 

FQAT 

IS0 

IEC 

MQSC 

PMCC 

RAE3 

TQM 

American Association for Laboratory Accreditation 

American National Standards Institute 

American Society of Quality Control 

Corrective Action Report 

Factory Quality Assessment Team 

International Standards Organization 

International Electrotechnical Commission 

Manufacturer's Quality System Compliance (committee) 

Photovoltaic Module Certification Corporation 

Registration Accreditation Board 

Total Quality Management 
This document is one of a series that together purport to address the totality of the criteria and 

requirements of the Photovoltaic Module Certification Corporation (PMCC) photovoltaic module testing, 

certification, and labeling program. The other documents in this series which have been issued are: 

PV- 1 

PV-1.1 

PV-2 

PV-3 

PV-5 

Criteria for a Model Quality System for Laboratories Engaged in Testing Photovoltaic 

Modules 

Calibration, Traceability, and Statistical Requirements of Accredited Laboratories 

Supporting the Photovoltaic Module Certification Program (Addendum to PV-1) 

Model for a Third-Party Certification and Labeling Program for Photovoltaic Modules 

Testing Requirements for a Certification and Labeling Program for Photovoltaic 

Modules 

Application and Certification Procedures for the Photovoltaic Module Certification 

Program 

It is intended that this document be employed by the PMCC staff and standing committees in the 

operation and management of the PMCC photovoltaic module testing, certification, and labeling program, 

hereinafter called the PMCC module certzjication program. 

1. Introduction 

1.1 This document describes the procedures and processes required for the day-to-day operation of 

the PMCC PV module certification program, as well as the procedures required of module 

manufacturers who choose to obtain PMCC certification of their PV modules. This document 

must be revised once the program start-up procedures have been c.ompleted. 

1.2 This document is the principal guide for managing and administering the PMCC PV module 

certification program, and has been constructed to conform to Document PV-2 (which itself 

conforms to ANSI 234.1 and IS0 Guide 28), and to ISO/IEC Guides 40 and 56. 

1.3 Access to the module certification processes shall not be conditional upon membership in any 

association or group, nor shall there be undue financial conditions to restrict participation. These 

procedures will be operated and administered in a nondiscriminatory manner. 
2. Scope 

2.1 The module certification program shall be administered by PMCC in such a manner as to ensure 

conformity to the requirements of this document with respect to: 

(a) Maintaining an administrative structure consisting of a governing board and a permanent 

staff, however small or large 

(b) Creating standing and other committees consistent with the rules of procedure for such 

committees as specified in the General Rules of Procedure and the Specific Rules of 

Procedure in Annex F of this handbook. 

(c) Preparation and maintenance of a PMCC quality system and quality manual consistent 

with the requirements of ISO/IEC Guide 56, which is reproduced in its entirety in 

Appendix 1 of Document PV-2. 

2.2 PMCC staff shall establish and maintain, or cause to be established and maintained, a laboratory 

accreditation program in accordance with Documents PV-1 and PV-2 and shall render to program 

applicants and participants whatever assistance may be required to establish contact with the 

appropriate approved test laboratory, or laboratories. 

2.3 PMCC staff shall establish and maintain, or cause to be established and maintained, a 

manufacturer's quality system assessment and surveillance program in accordance with 

Document PV-2, and shall render to program applicants and participants whatever assistance may 

be required to establish contact with the appropriate quality audit person, persons, group, or 

organization selected for determining the suitability of manufacturer's quality system. 

2.4 Conformity by participating manufacturers to the requirements of this document shall be 

determined through initial testing to the requirements of Document PV-3 and to the satisfactory 

results of the assessment of the manufacturer's factory quality management system as noted in 

2.3 above. 

2.5 Continuing conformity to the requirements of this document, and to the general requirements of 

the PMCC PV module certification program, shall depend upon: 

(a) Evidentiary results of any supplemental, periodic, or other testing and surveillance 

audits of the manufacturer's quality system as may be generally instituted or specifically 

required by the board of directors of the PMCC andlor its agents 

(b) The timely rendering to PMCC of the certification fees required to maintain the module 

certification program. 

3. Definitions 

3.1 The relevant definitions pertaining to testing, calibration, and verification contained in Document 

PV-1, those pertaining to certification activities contained in Document PV-2, and those 

pertaining to the technical basis for testing contained in Document PV-3, are incorporated by 

reference and are not repeated. 
3.2 Application procedures: 

3.2.1 Applicant: A manufacturer or distributor of PV modules who by their desire to produce 

andlor distribute said modules as PMCC-certified products have made application for 

participation in the PMCC PV module certification program 

3.2.2 Participant: A manufacturer or distributor of PV modules who by their desire to produce 

andlor distribute said modules as PMCC-certified products have made application for 

participation in the PMCC PV module certification program, have submitted their 

module(s) for testing to an A2LA-accredited testing laboratory approved by the PMCC 

for testing to the requirements of Document PV-3, and, having met all other 

requirements, are accepted for participation in the certification program and possess the 

right to represent their certijied modules as such. 

4. Initial responsibiIities of the executive director 

4.1 Housekeeping activities 

4.1.1 The executive director, working closely with the chairman of the PMCC board of 

directors, shall immediately: 

(a) Establish the necessary bank account(s) 

(b) Seek, arrange for, and obtain initial start-up funding from whatever sources 

may be available including, but not limited to, advances on participation fees 

from program participants and state, federal, or public grants 

(c) Arrange for affordable accounting and legal representation. 

4.1.2 The executive director shall locate and arrange for the following that are appropriate to 

the start-up condition of the module certification program: 

(a) Office space 

(b) Telephone and facsimile services 

(c) Office furniture 

(d) Word processing capabilities. 

4.1.3 Working closely with the board of directors, the executive director shall design or have 

designed the appropriate letterhead stationery and those documents and forms that will 

be required to initially promote and manage the module certification program. 

Legal representation will be required for the purpose of ensuring the legality and providing risk 

reduction with respect to the articles of incorporation, corporate bylaws, and rules of procedure. 
4.2 Formation of standing committees 

4.2.1 The executive director, working with the program participants and the PMCC board of 

directors, shall arrange for the formation and staffing of the standing committees for 

which rules of procedures are available (see the General Rules of Procedure and the 

Specific Rules of Procedure in Annex F of this handbook). 

4.2.2 The most likely candidates for chairmanship of the standing committees shall be 

consulted with respect to candidates for membership on their respective committees. 

4.2.3 Once the minimum number of members have agreed to serve on the various standing 

committees, and immediately following the seating of the board of directors, the 

executive director shall arrange for the convening of the initial meetings of the standing 

committees. 

5. Approval of module certification test laboratories 

5.1 Working with the program's laboratory accreditation committee, the executive director shall 

provide notice to the American Association for Laboratory Accreditation (A2LA) of PMCC's 

intent to establish a laboratory approval program based on laboratory accreditation by A2LA. 

5.2 The laboratory accreditation committee shall provide A2LA with: 

(a) The specific testing criteria contained in Document PV-3, as well as individual test 

standards and any additional information requested by A2LA 

(a) A list of technically qualified potential assessors who may be readily or already trained 

as laboratory assessors. 

5.3 By whatever means are most appropriate, the executive director shall advertise the existence of 

the module certification program and the need for one or more qualified laboratories that will be 

required to perform module testing in accordance with Document PV-3. 

5.4 Based on the decision of the board of directors with respect to criteria that will be applied to the 

approval of laboratories for testing in support of the module certification program and in 

compliance with Document PV-3, a precondition of which shall be laboratory accreditation by 

the A2LA, program participants and potential participants will be notified of the approved 

laboratory, or approved laboratories. Further, the executive director shall arrange to include the 

names and contact information of all approved laboratories in program literature. 
Establishment of the factory quality assessment team 

The committee on manufacturer's quality system compliance (MQSC) shall draw up the criteria 

for service on the factory quality assessment team (FQAT), said criteria to be approved by the 

board of directors of PMCC. 

Working with the MQSC committee, the executive director shall provide notice to the 

photovoltaic manufacturing community that it is seeking trained quality system auditors who are 

certified as quality assessors either by the ANSVASQC Registration Accreditation Board (RAB) , 

or by ASQC, to serve on the FQAT. Members of the MQSC committee shall be eligible to serve 

on the FQAT unless they have conflicts of interest as delineated in the rules of procedure for this 

committee. 

The MQSC committee shall arrange to hold a one- to two-day training and review session for the 

RAB-certified auditors that have applied and been accepted for service on the FQAT. The scope 

of the training session shall consist, as a minimum, of the elements of quality system operation, 

documentation, and records as proscribed in Section 11 of this document and on Form PV350, 

contained in Appendix 1 of Document PV-5. 

The chairman of the MQSC committee shall, in concert with the executive director and the board 

of directors, determine the compensation scale, and the factory quality assessment fee schedule, 

for the factory quality assessments that will be required of module manufacturers as a condition 

of participation in the module certification program. 

The chairman of the MQSC committee shall, with the advice and consent of the executive 

director of PMCC, select the most qualified of the attendees for service on the FQAT. 

Procedural flow diagram 

The hierarchy and order of all programmatic activities affecting both participants and PMCC staff 

are presented in the flow diagram of Figure D- 1. 

These diagrams represent the procedural flow for applications, payment of application fees, 

submission of signed licensing agreements, manufacturer's quality audits, submission of modules 

for testing, module testing, rendering of test fees to the test laboratory, rendering of required sales 

information and royalty payments under the terms of the license, and acceptance of the findings 

of the test laboratory and PMCC. 

It is recognized that due to the exigencies of the certification program, it may be necessary from 

time to time to alter the exact order in which the various tasks and steps are either permitted or 

caused to take place. In no case shall it be construed that the participant has the right to make 

changes without the express written consent of the executive director of the PMCC. 
ram 

Manufacturer 

Applicant1 

Participant 

Approved 

Test Lab 

PCC 0 

Standing 

Committee pMcc O 

Figure D-1. Procedural Flow Diagram, Initial Certification 
Application for participation 

Assembly of application package: 

8.1.1 Working with the appropriate standing committees, the executive director shall prepare 

andlor cause to be prepared the following forms, which thereafter shall be assembled as 

the application package:2 

(a) Form PV 100, Application 

(b) Form PV200, Manufacturer's factory quality system questionnaire 

(c) Form PV250, Checklist for inspection and assessing the capabilities and quality 

system of manufacturers and producers 

(d) Form PV300, Licensing agreement for the use of the certificate and mark of 

conformity 

(e) Form PV350, Licensing fee based on product sold. 

8.1.2 Having prepared the above documentation, the executive director shall distribute the 

forms to the appropriate standing committees for final approval. These are the product 

certification committee, the committee on manufacturer's quality system compliance, 

the committee on licensing compliance, and the audit and finance committee. 

General requirements 

8.2.1 Having requested the application package, the applicant must complete and submit the 

application (Form PV100) and the applicant's questionnaire for factory assessment 

(Form PV200), specimen copies of which are provided in Document PV-2. Form PV250 

is also provided as a part of the application package in order to assist the applicant in 

ensuring that its manufacturing quality assurance system is adequate for the purpose of 

the PV module certification program, and to provide information on the scope of the 

factory assessment, a third-party audit that must be satisfactorily completed prior to 

random selection of the PV modules for testing. 

8.2.2 Submission of Form PV200 is required at the time application is made for participation 

in the program. It is anticipated that some applicants will be required to resubmit PV200 

at the time the applicant notifies the PMCC that they wish to be given their factory 

assessment. 

Examples of these forms are contained in the appendices of Document PV-2, except for Form PV350, 

which is contained in Appendix A of Document PV-5. 
8.3 Application form, Form PVlW 

8.3.1 In completing PV100, the PMCC executive office should be aware that the addresses of 

the official contact person (Block 3) and that of the manufacturing plant (Block 4) may 

or may not be the same as that of the registered corporate address requested in Block 1. 

8.3.2 Applicants must be required to be specific in their answers. Block 5 must provide the 

exact descriptions of the module, or modules, to be offered for testing and certification. 

As a minimum, the information should include the material basis of the photovoltaic 

module (i.e., whether it is crystalline, semicrystalline or amorphous silicon, cadmium 

telluride, etc.), the type of transparent cover employed, the nominal power in watts (i.e., 

a 30-watt, 40-watt, or 50-watt module), the model name and number, and the catalog 

number (if different from the model n~mber).~ 

8.4 Manufacturer's factory quality system questionnaire, Form PV200 

The applicant must be required to furnish a completed Form PV200 at the time the 

application is submitted to PMCC. The answers should reflect the status of the factory's 

quality system and quality assurance program at the time of submission. If the applicant 

manufacturer does not have a quality system in place, by whatever name or however 

recently implemented, the manufacturer should be encouraged to delay submission of 

the application package until a factory quality system has been developed and 

implemented that, in general, meets the criteria presented in Form PV250. 

In the event that the applicant requires clarification or help in completing Form PV200, 

selected PMCC staff and/or members of the committee on manufacturer's quality system 

compliance should offer whatever help is needed that may be permitted under the 

operational procedures for PMCC and/or the rules and procedures for the stated 

committee. 

8.5 Submission of application 

8.5.1 Upon completion of Forms PV 100 and PV200, applicant must mail them to the PMCC 

along with a nonrefundable fee of $800 (plus $100 for every module type or model in 

excess of one for which certification is sought). 

8.5.2 The executive office will accept fees paid by check or certified bank draft, or fees that 

are wired to PMCC's bank account. 

8.5.3 Foreign manufacturers must render payment in $U.S. via an international bank draft 

drawn on any major U.S. bank, or may wire the funds to PMCC's bank account. 

More precise information is required at the time the specimen modules are randomly selected and tagged 

for shipment to the applicant's laboratory of choice. 
9. Requirements for a manufacturer's factory qudity system 

9.1 Specific duties of the executive director 

The executive director shall participate in the quality system assessor training and 

review seminar discussed in Section 6.3 and, as a result of the information presented, 

will be responsible for handling initial inquiries, questions, and comments from 

applicants, potential applicants, and participants in the module certification program. 

All inquiries, questions, and comments from applicants, potential applicants, and 

participants that are outside the experience of the executive director, or responses from 

the executive director that engender further queries and discussion, will be deferred to 

the committee on manufacmrer's quality system compliance or the committee on 

licensing compliance for resolution. 

The executive director will inform applicants or potential applicants of the appropriate 

steps they must take depending on whether the applicant has a factory quality system in 

place, has an IS0 9000 factory quality system in place that is registered by a RABcertified registrar (or certified by an internationally certified registrar), or has no factory 

quality system in place. 

9.2 Factory quality system already in place 

If the applicant has received or obtained certification or registration of its factory quality 

system to either IS0 9001 or IS0 9002, or the equivalent ANSYASQC Q9001 or 49002, 

quality systems standards, a copy of the certification or registration certificate must be 

submitted with the application in lieu of submitting a completed Form PV200. 

In the event the IS0 9000 series registration has lapsed, or will lapse prior to completion 

of the PMCC certification process, the applicant must submit a completed Form PV200. 

If the applicant's IS0 9000 registration/certification is current, the applicant must submit 

a copy of the deficiency report and its corrective action response leading to certification 

that applicant meets the requirements of the relevant IS0 9000 quality ~tandard.~ 

In the event that the applicant has received a private third-party assessment of its factory 

quality system, but chose not to apply to a registrar for registration.certification to an 

IS0 9000 standard, applicant must give PMCC written permission to contact the thirdparty auditor/assessor in order to ascertain the level of compliance to IS0 9000, to an 

acceptable TQM criteria document, or to an equivalent criteria, in order to determine 

whether or not a PMCC-initiated audittassessment of applicant's factory quality system 

will be required. 

The objective of this exercise is to avoid the necessity of PMCC having to perform, or causing to be 

performed, a factory audit prior to random selection of modules for submission to a PMCC-approved test 

laboratory. 
Factory/manufacturer's quality system not developed 

The executive office must ensure that the applicant's management understands that its 

first step will be to commit to the development of a factory quality system that will in 

general meet the criteria presented in Form PV250. Commitment will require that 

management select a quality manager (if one has not been named), provide the resources 

necessary to complete and implement the development of a manufacturing quality 

system, and to empower the quality manager and designated staff with the authority to 

cany out the assigned activities. 

It will be necessary for management to name a contact person with respect to the 

application and participation in the certification program. It is suggested that this person 

be the quality manager. 

Form PV250 is the checklist that PMCC's designated quality system auditor will employ 

in performing the factory assessment prior to random selection of the specimen modules 

for submission to the PV test laboratory. 

The executive office must emphasize that the applicant will be required to arrange for 

the implementation of an internal audit prior to calling for the PMCC factory assessment 

of their manufacturing quality system. This internal audit must be documented and meet 

the requirements of Criteria 16 (16.1 through 16.5) of PV250. Although PMCC will 

attempt to provide nominal assistance to manufacturers who must develop their quality 

system from the beginning in order to comply with the PMCC module certification 

program requirements, two references are given in the bibliography at the end of this 

document. 

Review by PMCC of application for module certification 

Jurisdiction 

10.1.1 Upon receipt of the application package, PMCC's executive director will examine the 

application (Form PV100). When satisfied with respect to its accuracy and 

completeness, he or she will forward it to the chairman of the MQSC committee. 

10.1.2 The committee chair will inform the applicant of the expected time frame for completion 

of a review of the application package, barring any questions or problems that must be 

resolved. 

Review 

10.2.1 The chairman of the MQSC committee will distribute photocopies of the application 

package to selected members of the committee. The committee will review the 

application and the questionnaire (Form PV200), or quality system registration1 

certification documentation in lieu thereof, to determine if the applicant appears ready 

for a visit by the committee-appointed auditor to perform the factory quality system 

assessment. 
10.2.2 If IS0 9000 registration or similar quality system certification documentation is 

proffered in lieu of submitting a completed Form PV200, the committee's review will be 

for the purpose of determining if the factory assessment can be waived. If the committee 

determines that no factory assessment is required, the application will be approved for 

an immediate visit for the purpose of randomly selecting the specimen modules to be 

shipped to the applicant's chosen test laboratory. 

10.2.3 Should the MQSC committee have questions pertaining to the application or should it 

determine that the applicant is not prepared for a factory assessment, for whatever 

reason, the committee chair or a designated committee member will communicate with 

applicant's designated contact person to resolve questions, request additional 

information, or request that additional quality system elements be developed and 

implemented. A timetable will be set for submission of satisfactory responses to the 

committee's concerns. 

10.2.4 Upon determining that the applicant has developed and implemented what appears to be 

the required manufacturing/factory quality system, the applicant will be notified that its 

application is accepted and appIicant is ready for scheduling the factory assessment. 

11 The factory assessment 

1 1.1 Arranging for factory assessment 

1 1.1.1 Applicant must communicate to PMCC several preferable dates when the factory 

assessment of the manufacturer's quality system will have the least impact on the 

applicant's ongoing operations. 

1 1.1.2 Either prior to agreeing upon an assessment date or immediately thereafter, the applicant 

must submit a completed manufacturer's quality system checklist (Form PV250). Form 

PV250 will be used by PMCC's factory auditor to assess the existing elements and 

degree of implementation during the on-site assessment. 

11.1.3 It is important that this checklist be submitted to PMCC at least two weeks in advance of 

the scheduled audit. It is the guide that: (a) the auditor will use during the assessment, 

(b) will make the assessment more efficient, and (c) will tend to reduce the possibiIity of 

extending the audit beyond the scheduled two days. 

1 1.1.4 To further facilitate an efficient audit, the applicant must be encouraged to furnish 

PMCC with a copy of the applicant's manufacturing quality assurance manual, which is 

a requirement for participation in the PMCC module certification program. If applicant 

does not have a quality assurance manual, it must be developed and available for 

review by the PMCC factory auditor prior to the factory assessment (even though 

it is not specifically required by the tenets of Form PV~SO).~ 

A manufacturing quality assurance manual is required, however, by PMCC Document PV-2 and by the 

IS0 9001 and IS0 9002 quality systems standards (and the U.S. equivalent ANSVASQC Q9001 and 

Q9002 standards). 
1 1.1.5 Applicant must make payment to PMCC for the factory assessment deposit of $2,200. 

This is required prior to the arrival of the PMCC factory auditor. The scheduled factory 

assessment and subsequent random selection of modules for testing will not be 

performed until this fee has been paid. The fee covers the following: 

(a) On-site assessment, 2 days at $600 $1,200 

(b) Processing fee $200 

(c) Air fare for PMCC auditor, estimated $450 

(d) Hotel, 2 nights at $75, estimated $150 

(e) Miscellaneous (car, ground transportation, meals) $200 

(f) TOTAL $2,200 

1 1.1.6 Excess travel expenses (above that incurred by the PMCC auditor) will be returned to 

the applicant. The applicant will be invoiced for all reasonable expenses that are 

incurred for amounts greater than those allocated in lines c, d, and e above. 

11.1.7 PMCC auditors must be required to make air, car, and hotel reservations at reasonably 

low rates. However, they will not be required to stay in hotels/motels lacking in comfort 

and normal business amenities (such as a work area for preparation of reports, 

telephoning, etc.). 

1 1.2 The factory assessment 

11.2.1 The PMCC PV quality systems auditor will normally divide the on-site assessment into 

four segments, listed in the order they will occur, as follows: 

(a) Entrance briefing 

(b) Evaluation of applicant's quality system elements 

(c) Evaluation of applicant's manufacturing, inspection, and test procedures 

(d) Exit briefing. 

1 1.2.2 Entrance brie$ng-an approximately 30 to 60 minute orientation that will cover 

introductions and an overview of the assessment by the auditor, explaining the purpose 

and scope of the assessment. The auditor will request an overview of the applicant's 

company, including a general description of its photovoltaic module manufacturing 

operations. The auditor will confirm that relevant manufacturing processes can be 
observed, that employees pertinent to the manufacturing and quality functions will be 

present for interviews, and that the required quality documentation can be examined. 

The manner of identifying nonconformance will be discussed, as will the recording of 

deficiencies and the corrective actions that will be necessary before participation in the 

module certification program can be assured. 

1 1.2.3 Evaluation of applicant's quality system elements-the elements of the applicant's 

quality system that will be examined include the eighteen major headings of Form 

PV250. Of these, documentation, process procedures, measurement traceability in 

manufacturing, inspection, and testing, equipment and instrument maintenance, 

accountability, internal audits, and corrective actions are the most critical. The auditor 

will require an escort at all times while examining the quality system (and the 

manufacturing, inspection and test processes). 

11.2.3.1 The purpose of the assessment is to find reasons to approve applicant's quality 

system in order to permit participation in the module certification program. 

While nonconformance likely will be found, deficiencies noted and corrective 

actions required, PMCC's objective is to ensure the quality of modules certified 

and labeled by the program. To this end, PMCC, its auditors, and the applicant 

are in reality partners in assuring that a minimum acceptable level of quality is 

maintained for all modules certified and labeled under the aegis of the PMCC 

module certification and labeling program. 

1 1.2.4 Evaluation of manufacturing, inspection, and test procedures-actuaI manufacturing 

processes will be examined, as will inspection and test procedures. Interviews will be 

conducted with manufacturing employees and inspection and test technicians. 

Conformance to good manufacturing practices and to written processes and procedures 

will be sought. 

Exit briefing-an exit briefing will be held to discuss the assessment findings. The 

applicant must ensure that the official contact person, the applicant's quality manager (if 

different from the contact), and the appropriate company managers are present for the 

exit briefing. During the briefing, special attention will be devoted to any 

nonconformance, or deficiencies, found, and to the corrective actions that will be 

required prior to approval of the applicant for participation in the module certification 

program. The auditor will discuss the format for the corrective action responses that 

must be submitted to PMCC. 

1 1.2.5.1 The applicant will be given 30 days to respond to the deficiencyhonconformance report by providing documentation of corrective actions taken up to 

that time, and furnishing a timetable for completion of the remaining corrective 

actions. 
12. Random selection of test modules 

12.1 The production lot 

The PMCC factory auditor will, at his or her discretion, perform the random selection of 

the test modules at the conclusion of the factory assessment. 

The conditions under which the factory auditor would be permitted to decline to perform 

the random selection of test modules might include one or more of the following: 

(a) The auditor finds that the applicant is simply not prepared for the assessment 

(b) The applicant's manufacturing processes do not meet the minimum standard of 

good practice 

(c) The inspection and test procedures do not meet the minimum standard of good 

practice. 

The applicant shall ensure that the photovoltaic modules to be selected are contained in 

a production lot of not less than forty (40) modules. 

The factory auditor will establish that the modules chosen have been manufactured from 

production tools and assembled using methods and processes established by the 

applicant for production runs. 

Having assured himself or herself that the requirements of 9.1.2 and 9.1.3 are met, the 

auditor will randomly select ten (10) modules and affix a non-removable or otherwise 

indelible tag to each module. These tags are to be numerically or alphanumerically 

marked in accordance with a PMCC chronological system to identify the module 

manufacturer and model. 

Any attempt to counterfeit or move the above tags to other modules will result in 

termination of the manufacturer's application for certification, and the applicant will be 

subject to whatever additional sanctions and remedies that may be imposed by the 

PMCC's board of directors. 

12.2 Pre-production prototypes 

12.2.1 Should the applicant and the PMCC reach an agreement whereby for good and cogent 

reasons the modules to be initially certified will be pre-production prototypes, applicant 

will be required to certify in writing that: 

(a) Module certification will be temporary and provisional 

(b) Certification will expire at the end of 9 months 

(c) Complete certification testing in accordance with Document PV-3 will 

thereafter be required on the production model or models. 
12.2.2 The applicant should understand that a mark of conformity will not be issued, and that 

the certificate of conformity will state clearly that the certification applies to a prototype 

module or modules, and will expire at the specified date. 

Review and determination of applicant's suitability 

The factory auditor will submit two reports to the executive director of PMCC: (a) a 

manufacturing quality assessment, and (b) a deficiency/noncompliance report. This will be done 

within one week following the completion of the factory assessment. 

Once the applicant's corrective action response has been received by PMCC, the executive 

director will forward the entire package to the chairman of the MQSC committee. The MQSC 

committee will have 30 days to review the auditor's report and corrective actions documentation 

furnished by the applicant manufacturer, and to render a decision as to applicant's suitability for 

participation in the module certification program. 

The executive director of PMCC will inform applicant in writing of the results of the initial 

inspection and factory assessment of applicant's quality system and manufacturing processes. If 

the MQSC committee determines that the requirements for participation and licensing are not 

met, the letter will also state those criteria that the applicant does not meet, and will outline those 

corrective actions that will be required prior to further action on behalf of the applicant. 

The applicant must provide objective evidence that the corrective actions have been taken to 

remove the deficiencies and nonconformance cited within ninety (90) days. However, the 

applicant must provide PMCC with a written response to the deficiency/nonconformity report, 

citing those areas that may be in disagreement, including applicant's plan and timetable to 

complete the remedial actions required. 

Should the MQSC committee agree with applicant's position regarding one or more cited 

nonconfonnities, applicant will be so notified and further response to such deficiencies will no 

longer be required. In the event that a specific disagreement regarding a nonconformity or 

deficiency cannot be resolved between the committee and the applicant, the applicant will be 

invited to appeal the question to the PMCC7s appeals committee as provided in Section 16 of this 

document. 

If the applicant cannot provide objective evidence that the required remedial action has been 

taken, or the evidence has not been provided within the specified time period, PMCC will repeat 

that portion of the inspection and assessment for which a corrective action response was required. 

Failing either, the application will be denied and this decision will be communicated to the 

applicant in writing. 

A reprocessing fee of $500 plus all out-of-pocket expenses will be assessed the applicant for any 

factory reassessments that may be required. 

Successful completion of the factory assessment can serve as an unofficial pre-audit assessment 

for the purposes of IS0 9000 registrationlcertification. 
Selection of the PV module test laboratory 

Only test data from PMCC-approved test laboratories will be accepted by PMCC for 

consideration in meeting the requirements of the module certification program. 

The executive office shall ensure applicant's understanding that PMCC approval of test 

laboratories capable of performing the tests required by Document PV-3 is based on laboratory 

accreditation procedures proscribed by Document PV-1. Laboratory accreditation procedures are 

canied out under the aegis of A2LA. 

Applicants must be made duly aware that, except for the processes associated with arrangements 

for accrediting test laboratories to perform the tests required by Document PV-3, PMCC is not 

and will not be a party to the contract between applicant and the module test laboratory or 

laboratories, including the establishment of applicable testing fees charged to applicant by the 

test laboratories. Payment of laboratory test fees associated with testing to the requirements of 

Document PV-3 is entirely the responsibility of applicant. 

Upon notification of applicant's suitability for participation in the PMCC PV module certification 

program, the applicant will be required to ship the tagged modules to a PMCC-approved test 

laboratory of the applicant's choosing. ' 

Applicant should be cautioned to ensure proper packaging to avoid breakage and the cost and 

time required for a subsequent return to the factory for random selection of replacement test 

modules. 

Module testing 

PMCC will encourage the applicant to become fully conversant with the testing requirements 

contained in Document PV-3. Technical questions concerning the test requirements and technical 

issues that these test requirements address should be forwarded to the executive director well in 

advance of contracting with the test laboratory. If such questions cannot be answered by PMCC 

staff, they will be referred to the PMCC technical committee for response. 

PMCC will encourage the applicant to fully apprise themselves of the test laboratory's policies 

and procedures including terms and conditions of sale, specific rules for witness of tests, 

transmittal of interim test results, etc., prior to contracting with the laboratory for the PV-3 test 

program. 

The tests required by Document PV-3 fall into two categories, those that establish pass-fail 

criteria with respect to the minimum requirements for reliability and durability, and those that 

establish a performance level (however named or described). 

PMCC will ensure the applicant's understanding of the following requirement-modules that fail 

to meet the minimum requirements of the reliability and durability tests, i.e. PV-3, will result in 

suspension of further testing until one of the following is determined: 
15.4.1 The laboratory determines that the problem is due to equipment or instrumentation 

malfunction, or to the manner in which the test is conducted. 

15.4.1.1 Should it be determined that the problem is the responsibility of the laboratory, 

the laboratory shall be required to retest the module at its own expense and to 

furnish a corrective action report (CAR) to the laboratory accreditation 

committee that indicates satisfactory resolution of the problem. 

15.4.2 The laboratory determines that the module is not representative of the other samples 

shipped for testing as a result of damage during shipment that was not visible during 

incoming inspection by the laboratory. 

15.4.2.1 The laboratory, with the advice and consent of both the technical committee 

and the product certification committee, should be permitted to select another 

module fiom those shipped to the laboratory, but only if the results of all tests 

performed on the selected module are deemed to not be affected by the 

additional testing. Failing this assurance, the issue will be referred to the above 

committees to resolve the problem in a manner that is most favorable to the 

applicant manufacturer without compromising the integrity of the certification 

program. 

15.4.3 The laboratory determines that the module was properly tested and that it is not 

representative of the other samples shipped. 

13.4.3.1 The applicant manufacturer must be required to furnish a CAR for review by 

the manufacturer's quality system compliance, the technical and the product 

certification committees. Upon acceptance of the CAR by these committees, 

the applicant will be permitted to furnish a randomly selected module for 

retesting. All costs associated with random selection and retesting will be borne 

solely by the applicant. 

15.4.4 The laboratory determines that the module was properly tested and that it is 

representative of the other samples shipped. 

15.4.4.1 The laboratory must be required to notify both the applicant and PMCC of the 

failed test results, and the applicant will be given the opportunity to withdraw 

from the certification program without prejudice to any subsequent decision to 

reapply for participation in the certification program with the same or other 

models. Any subsequent application for participation in the certification 

program will be treated as a new application in terms of costs associated with 

the application and testing of the same or other models. 

The results of the reliability and durability tests, and the performance-level tests (whether 

considered as power rating or energy efficiency values), will be submitted by the laboratory to 

both the applicant and PMCC. Once the executive director determines that the file is complete, all 

test information, as we1 as the results of the factory quality assessment, will be submitted to the 

product certification committee for validation of the reliability and durability tests, and for 

assignment of a performance or rating value that will be used on the certificate of conformity 
and/or the label that will be issued to the participant in accordance with the licensing agreement. 

The executive director will also forward the results of the factory quality assessment to the 

product certification committee for their use in evaluating the applicant's overall suitability for 

certification, labeling, and licensing. 

The product certification committee will review applicant's file. The committee may request 

additional information or clarification from either or both the laboratory and the manufacturer, 

and they may: (a) require additional testing, (b) require an additional site visit to assess any 

particular aspect of the factory's manufacturing and inspection process, or (c) conditionally 

approve the application subject to the resolution of any concerns they may have, including the 

requirement for periodic factory quality system surveillance visits, or retesting in a time frame 

that is earlier than the normal certification program retest requirement of every two years. 

The applicant has the right to appeal the results of: (a) the factory quality assessment, 

(b) specific reliability and durability test results, and (c) performance-level test results, and/or the 

performance level chosen by the product certification committee for insertion in the certificate of 

conformity. 

The PMCC appeals board will thoroughly investigate applicant's appeal and in rendering a 

determination will utilize the particular expertise of other PMCC standing committees such as the 

technical, laboratory accreditation, and manufacturer's quality assessment committees. 

The appeals board may require additional testing either at the applicant's chosen test laboratory, 

or at a referee laboratory. 

16.3.1 In case the original test laboratory is chosen, the board shall have the right to nominate a 

technical expert from the appropriate standing committee to witness the testing required. 

Applicant shall have the right to waive the necessity for a third-party witness. 

16.3.2 In the event that further testing supports the results obtained by the test laboratory 

originally selected by the applicant, all costs associated with said testing, including the 

costs associated with the use of an expert witness, will be the responsibility of the 

applicant. In the event that further testing supports applicant's claims, or that the results 

are contrary to the results obtained by the test laboratory selected by the applicant, and 

providing that the results support acceptance of the applicant's modules for certification, 

labeling, and licensing, all costs associated with the additional test requirements will be 

the responsibility of the original test laboratory selected by the applicant. 

Approval and certification processes 

Upon notification of acceptability of the applicant's module or modules for certification, labeling, 

and licensing by the product certification committee, and the rendering of all application and test 

fees due the PMCC and the test laboratory, the executive director will notify the applicant that its 
photovoltaic module or modules have been found suitable for inclusion in the registry of certified 

photovoltaic modules pending completion of the licensing agreement (Form PV300) and 

rendering to the PMCC the first year's licensing fees established therein. 

17.2 A form for indicating the total watts of product sold during the previous six months (Form 

PV350), as well as Form PV300, will be furnished to the manufacturer at the time of notification 

of the determination of suitability. The manufacturer must sign Form PV300 and complete Form 

PV350 by listing the product sold and computing the annualized licensing fee, as provided 

therein. 

17.3 Upon receipt of the completed Forms PV300 and PV350, and the fees computed therefrom6, the 

executive director will submit Form PV350 to the audit and finance committee for examination, 

verification, and approval. 

17.3.1 Should a finding of error in the computation of either the product sold or the licensing 

fee be determined by the audit and finance committee, and should attempts to resolve 

such issues with the manufacturer be unsuccessful, the entire matter will be referred to 

the board of directors of PMCC for resolution. 

17.4 Upon approval by the audit and finance committee, the executive director will mail or otherwise 

furnish to the participant a completed license giving the manufacturer the right to use the 

certification mark as a label of conformity (to be fl~xed to all certified modules sold), as well as 

the certificate of conformity, in the manner proscribed by the licensing agreement and the license. 

18. Annual, biennial, and periodic requirements 

18.1 Annual licensing fees 

18.1.1 Participants are required to submit Form 350 within 30 days of the anniversary date (the 

date on the license). Form 350 will be mailed to participants 30 days in advance of the 

anniversary date. 

18.1.2 Form 350 provides for an adjustment in fees for the product actually sold during the first 

or previous year of participation in the certification program, plus the projected fees for 

the second or following year, computed on basis of the previous six months. 

18.2 Biennial requirements 

18.2.1 The participant will be required to submit certified product for recertification every two 

years in order to maintain the license and the right to advertise the product as being 

certified by PMCC. 

18.2.2 PMCC will make every attempt to use as the random selector a representative of PMCC 

who resides or has regular business in the closest possible proximity to the participant. 

Whether by check, bank draft, or wire transfer. 
18.2.3 All of the requirements and conditions that apply to the initial certification will apply to 

recertification of the previously certified modules, except that the assessment of the 

factory's quality system may be waived (see 15.3). 

18.2.4 Inclusion of a new, previously non-certified module in the program will entail additional 

processing costs and will require a reassessment of the factory's manufacturing quality 

system as it relates to the new, previously non-certified product. 

18.3 Surveillance audits of the factory's quality system 

18.3.1 The product certification committee, with the concurrence of the committee on 

manufacturer's quality system compliance, may require a surveillance audit of a 

participant's factory quality system on an annual or less frequent basis, either as a matter 

of policy or when deemed necessary due to the exigencies of a participant based on the 

history of previous submittals, applications, site visits, testing problems, etc. 

18.3.1.1 Should the PMCC's board of directors authorize and require regular periodic 

surveillance factory assessments, whether in lieu of the biennial frequency of 

test requirements or as a required element of the certification program, and 

thereby affecting all participants, all participants will be so notified. 

18.3.2 When carried out as a matter of policy, annual surveillance audits of the factory's quality 

system may be less exhaustive depending on the results of the initial site assessment for 

a particular certified module. Participants will be notified 60 days in advance of the level 

of surveillance that will be conducted. 

18.3.2.1 A participant's continuing registration to either IS0 9001 or IS0 9002 can be 

used to waive annual surveillance audits by furnishing objective evidence of 

same. PMCC may still require submission of a completed checklist (Form 

PV200). 

18.3.3 Blitz surveillance audits will not be conducted as a matter of policy. 

18.3.4 Participants will be given 30 days notice of any special site visits, assessments or audits 

that may be required due to the exigencies of a particular participant's situation. 

19. Challenge testing and factory audits 

19.1 The rules of procedure for the certification program provide for challenge of the quality or 

performance level advertised for certified product by either third parties or by another participant 

in the PMCC certification program. 

19.2 The processes associated with administration of all such challenges will be treated as special 

cases except that: (a) the PMCC board of directors will become directly involved in all such 

challenges, and (b) the board of directors and the executive director will take whatever steps are 

deemed necessary to provide the affected participant(s) with due process procedures. 
19.3 When in order to resolve such challenges the board of directors determines that referee testing or 

site assessments are required, the costs of said testing and factory assessments will be borne by: 

(a) The challenger when the challenge or accusation is found to be either in error or 

frivolous, and the test results and factory assessment resulting in certification are found 

therefore to be substantiated. 

(b) The participant when the challenge or accusation is found to be accurate or persuasive, 

and the test results andlor factory assessment resulting in certification are found not to 

be substantiated. 

(c) PMCC when the results enumerated in clause (b) are a result of PMCC's errors and 

when the board of directors authorizes and requires testing in support of claims made by 

a third party (i-e., a party that is not a participant in the PMCC certification program). 

19.4 Challenges by another participant will require that both participants place the required funds in a 

PMCC escrow account pending resolution of the challenge. Funds will then be refunded to the 

party found to be correct after evaluation and resolution of the challenge. 

19.5 When the challenge is found to be persuasive and/or is upheld, and depending upon the nature of 

the error, infraction, etc., any one of the following actions may be taken at the direction of the 

board: 

19.5.1 

19.5.2 

19.5.3 

19.5.4 

As a minimum, the participant will be required to complete any corrective actions 

indicated by the board of directors, to file a CAR Report, and to permit a follow-up site 

visit to assess the affected manufacturing processes (at the participant's expense). 

The participant's license will be suspended pending resolution of the causative 

problems. 

Failure to resolve within a reasonable period the identified problems on the part of the 

participant during the suspension will result in revocation, or cancellation, and 

withdrawal of the license. 

Willful misrepresentation or other intentional violations of the terms of the license when 

said violation is found as a result of the challenge will result in the immediate revocation 

and withdrawal of the license, depending on the seriousness of the violation. 

Bibliography 

1. Robert W. Peach, Ed., The IS0 9000 Handbook, CEEM Information Services, Fairfax, VA, 1994. 

2. Perry L. Johnson, IS0 9000: Meeting the New International Standards, McGraw-Hill, New York, 

1995. 

Annex E 

PV-5. Application and Certification Procedures for the 

Photovoltaic Module Certification Program 
Document PV-5 

Application and Certification Procedures for the 

Photovoltaic Module Certification Program 

Table of Contents 

Foreword 

Introduction 

Scope 

Definitions 

Procedural flow diagram 

Application for participation 

Requirements for a manufacturer's factory quality system 

Review by PMCC of application for module certification 

The factory assessment 

Random selection of test modules 

Review and determination of applicant's suitability 

Selection of the PV module test laboratory 

Module testing 

Appeals 

Approval and certification processes 

Annual, biennial, and periodic requirements 

Challenge testing and factory audits 

Bibliography 

Appendix 1 

Form PV350: Licensing fee based on product sold 

Glossary 

A2LA 

ANSI 

ASQC 

CAR 

FQAT 

IS0 

IEC 

MQSC 

PMCC 

RAB 

TQM 

American Association for Laboratory Accreditation 

American National Standards Institute 

American Society of Quality Control 

Corrective Action Report 

Factory Quality Assessment Team 

International Standards Organization 

International Electrotechnical Commission 

Manufacturer's Quality System Compliance (committee) 

Photovoltaic Module Certification Corporation 

Registration Accreditation Board 

Total Quality Management 
This document is one of a series that together purport to address the totality of the criteria and 

requirements of the Photovoltaic Module Certification Corporation (PMCC) photovoltaic module testing, 

certification, and labeling program. The other documents in this series which have been issued are: 

PV-1 Criteria for a Model Quality System for Laboratories Engaged in Testing Photovoltaic 

Modules 

PV-1.1 Calibration, Traceability, and Statistical Requirements of Accredited Laboratories 

Supporting the Photovoltaic Module Certification Program (Addendum to PV-1) 

PV-2 Model for a Third-Party Certification and Labeling Program for Photovoltaic Modules 

PV-3 Testing Requirements for a Certification and Labeling Program for Photovoltaic 

Modules 

PV-4 Operational Procedures Manual 

It is intended that this document be employed by manufacturers for the purpose of making application for 

participation in the PMCC photovoltaic module testing, certification, and labeling program, hereinafter 

caIled the PMCC module certification program. 

Introduction 

This document describes the procedures and processes required of PV module manufacturers 

who choose to obtain PMCC certification of one, several, or all of their models. 

The principal guide for managing and administering the PMCC module certification program is 

Document PV-4, which has been constructed to conform to Document PV-2 (which itself 

conforms to ANSI 234.1 and IS0 Guide 28). 

Documents PV-2 and PV-5 represent the major portions of the application package that will be 

available at cost to interested manufacturers who are potential applicants. All documentation will 

be provided to participant manufacturers at no cost. 

Scope 

Conformity by participating manufacturers to the requirements of this document shall be 

determined through initial testing according to the requirements of Document PV-3 and to the 

satisfactory results of a second-party assessment of the manufacturer's factory quality 

management system in accordance with the requirements of Document PV-2. 
Continuing conformity to the requirements of this document, and to the general requirements of 

the PMCC module certification program, shall depend upon evidentiary results of any 

supplemental, periodic, or other testing and surveillance audits of the manufacturer's quality 

system as may be generally instituted or specifically required by the board of directors of the 

PMCC and/or its agents. 

Definitions 

The relevant definitions pertaining to testing, calibration, and verification contained in Document 

PV-1, those pertaining to certification activities contained in Document PV-2, and those 

pertaining to the technical basis for testing contained in Document PV-3, are incorporated by 

reference and are not repeated herein. 

Application procedures: 

Applicant: A manufacturer or distributor of PV modules who, by their desire to produce 

and/or distribute said modules as PMCC-certified products, have made application for 

participation in the PMCC PV module certification program 

Participant: A manufacturer or distributor of PV modules who, by their desire to 

produce and/or distribute said modules as PMCC-certified products, have made 

application for participation in the PMCC PV module certification program, have 

submitted their module(s) for testing to an A2LA-accredited testing laboratory approved 

by the PMCC for testing to the requirements of Document PV-3, and, having met all 

other requirements, are accepted for participation in the Certification Program and 

possess the right to represent their cert~jied modules as such. 

Procedural flow diagram 

The procedural flow for application, payment of application fees, submission of signed licensing 

agreement, manufacturer's quality audit, submission of modules for testing, testing, rendering of 

test fees to test laboratory, rendering of required sales information and royalty payments under 

the terms of the license, and acceptance of the findings of the tests laboratory and PMCC, are 

presented in the form of a flow diagram in Figure E-1. 

It is recognized that due to the exigencies of the certification program, it may be necessary from 

time to time to alter the exact order in which the various tasks and steps are either permitted or 

caused to take place. In no case shall it be construed that the participant has the right to make 

changes without the express written consent of the executive director of the PMCC. 
Manufacturer PI 

Applicant/ 

Participant 

PMCC 

Approved 

Test Lab 

PMCC 0 

PMCC 

Standing 

Committee 

Figure E-1. Procedural Flow Diagram, Initial CeM~cation 
Application for participation 

General requirements 

Having requested the application package, the applicant must complete and submit the 

application (Form PVlOO) and the applicant's questionnaire for factory assessment 

(Form PV200), which are provided as exhibits and appended to this document. Form 

PV250 is also provided as a part of the application package in order to assist the 

applicant in ensuring that their manufacturing quality assurance system is adequate for 

the purpose of the PV module certification program, and to provide information on the 

scope of the factory assessment, a third-party audit, that must be satisfactorily completed 

prior to random selection of the PV modules for testing.l 

5.1.2 Submission of Form PV200 is required at the time application is made for participation 

in the program. It is anticipated that some applicants will be required to resubmit PV200 

at the time the applicant notifies the PMCC that they wish to be given their factory 

assessment. 

Application form, Form PVlOO 

In completing PV100, applicant should understand that the addresses of the official contact 

person (Block 3) and that of the manufacturing plant (Block 4) may or may not be the same as 

that of the registered corporate address requested in Block 1. 

Applicants should be specific in their answers. Block 5 must provide the exact descriptions of the 

module, or modules, to be offered for testing and certification. As a minimum, the information 

should include the material basis of the photovoltaic module (i.e., whether it is crystalline, 

semicrystalline or amorphous silicon, cadmium telluride, etc.), the type of transparent cover 

employed, the nominal power in watts (i.e., a 30-watt, 40-watt, or 50-watt module), the model 

name and number, and the catalog number (if different from the model n~mber).~ 

Manufacturer's factory quality system questionnaire, Form PV200 

5.3.1 The applicant is required to furnish a completed Form PV200 at the time the application 

is submitted to PMCC. The answers should reflect the status of the factory's quality 

system and quality assurance program at the time of submission. 

NOTE 1-If the applicant manufacturer does not have a quality system in place, by 

whatever name or however recently implemented, the manufacturer should consider 

delaying submission of the application package until a factory quality system has been 

developed and implemented, and that in general meets the criteria presented in Form 

PV250. [1nformative13 

Examples of these forms are contained in the appendices of Document PV-2, except for Form PV350, 

which is contained in Appendix A of this document. 

More precise information will be required at the time the specimen modules are randomly selected and 

tagged for shipment to the applicant's laboratory of choice. 

Information in notes will be normative unless indicated as informative at the end of the note. 
5.3.2 In the event that the applicant requires clarification or help in completing Form PV200, 

the PMCC executive director should be contacted for whatever help is needed. 

5.4 Submission of application 

Upon compIetion of Forms PVlOO and PV200, the applicant shouId mail them to the 

following address, along with a nonrefundable fee of $800 (plus $100 for every module 

type in excess of one for which certification is sought): 

Mr. John XXXXXXXXX 

Executive Director 

PMCC 

Suite XX 

XXX West First Street 

Anytown, State XXXXX-XXXX 

The fee may be paid by check or certified bank draft, or may be wired to PMCC's bank 

account: 

XXXXXXXX Bank 

XXXXXXl Office 

Anytown, State XXXXX-XXXX 

ABA XXXXX-XXXX 

Account: PMCC 

NO. XXXXX-XXXX 

Foreign manufacturers must render payment in $US. via an international bank draft 

drawn on any major U.S. bank, or may wire the funds to the above account. 

Requirements for a manufacturer's factory quality system 

Factory quality system already in place 

6.1.1 If the applicant has received or obtained certification or registration of its manufacturing, 

or factory, quality system to either IS0 9001 or IS0 9002, or the equivalent ANSU 

ASQC 49001 or 49002 quality systems standards, a copy of the certification or 

registration certificate must be submitted with the application in lieu of submitting a 

completed form PV200. 

NOTE 2-In the event the IS0 9000 series registration has lapsed, or will lapse prior to 

completion of the PMCC certification process, the applicant must submit a completed 

Form PV200. 
6.1.2 If the applicant's IS0 9000 registration/certification is current, the applicant must submit 

a copy of the deficiency report and its corrective action response leading to certification 

that the applicant meets the requirements of the relevant IS0 9000 quality standard? 

NOTE 3-In the event that the applicant has received a private third-party assessment of 

its factory quality system, but chooses not to apply to a registrar for registration1 

certification to an IS0 9000 standard, the applicant must give PMCC written permission 

to contact the third-party auditor/assessor in order to ascertain the level of compliance to 

IS0 9000, to an acceptable TQM criteria document, or to equivalent criteria, in order to 

determine whether or not a PMCC-initiated audit/assessment of applicant's factory 

quality system will be required. 

6.2 Factory/manufacturer's quality system not developed 

6.2.1 The first step for the applicant's management is to commit to the development of a 

factory quality system that will in general meet the criteria presented in ~orh PV250. 

Commitment will require that management select a quality manager (if one has not been 

named), provide the resources necessary to complete and implement the development of 

a manufacturing quality system, and to empower the quality manager and designated 

staff with the authority to carry out the assigned activities. 

NOTE 4--It will be necessary for management to name a contact person with respect to 

the application and participation in the certification program. It is suggested that this 

person be the quality assurance manager. [Informative] 

NOTE 5-Form PV250 is the checklist that PMCC's designated quality system auditor 

will employ in performing the factory assessment prior to random selection of the 

specimen modules for submission to the PV test laboratory. [Informative] 

6.2.2 It is emphasized that the applicant must arrange for the implementation of an internal 

audit prior to calling for the PMCC factory assessment of their manufacturing quality 

system. This internal audit must be documented and meet the requirements of 

Criteria 16 (16.1 through 16.5) of PV250. Although PMCC will attempt to provide 

nominal assistance to manufacturers who must develop their quality system from the 

beginning in order to comply with the PMCC module certification program 

requirements, several references are given in the bibliographic section at the end of this 

document. 

The objective of this exercise is to avoid the necessity of PMCC having to perform, or causing to be 

performed, a factory audit prior to random selection of modules for submission to a PMCC-approved test 

laboratory. 
7. Review by PMCC of application for module certification 

Jurisdiction 

7.1.1 Upon receipt of the application package, PMCC's executive director will examine the 

application (Form PV100). When satisfied with respect to its accuracy and 

completeness, he or she will forward it to the chairman of the PMCC committee on 

manufacturer's quality-system compliance (MQSC). 

7.1.2 The committee chair will inform the applicant of the expected time frame for completion 

of a review of the application package, barring any questions or problems that must be 

resolved. 

7.2 Review 

7.2.1 The chairman of the MQSC committee will distribute photocopies of the application 

package to selected members of the committee. The committee will review the 

application and the questionnaire (Form fV2#), or quality system registration1 

certification documentation in lieu thereof, to determine if the applicant appears ready 

for a visit by the committee-appointed auditor to perform the factory quality system 

assessment. 

7.2.2 If IS0 9000 registration or similar quality system certification documentation is 

volunteered in lieu of submitting a completed Form PV200, the committee's review wilI 

be for the purpose of determining if the factory assessment can be waived. If the 

committee determines that no factory assessment is required, the application will be 

approved for an immediate visit for the purpose of randomly selecting the specimen 

modules to be shipped to the applicant's chosen test laboratory. 

7.2.3 Should the MQSC committee have questions pertaining to the application, or should it 

determine that the applicant is not prepared for a factory assessment, for whatever 

reason, the committee chair or a designated committee member will communicate with 

applicant's designated contact person to resolve questions, request additional 

information, or request that additional quality system elements be developed and 

implemented. A timetable wilI be set for submission of satisfactory responses to the 

committee's concerns. 

7.2.4 After it has been determined that the applicant has developed and implemented what 

appears to be the required manufacturingffactory quality system, the applicant will be 

notified of the acceptance its application, and of its readiness to schedule a factory 

assessment. 
8. The factory assessment 

8.1 Arranging for factory assessment 

8.1.1 The applicant should communicate to PMCC several preferable dates when the factory 

assessment of the manufacturer's quality system will have the least impact on the 

applicant's ongoing operations. 

8.1.2 Either prior to agreeing upon an assessment date, or immediately thereafter, the 

applicant must submit a completed manufacturer's quality system checklist (Form 

PV250). Form PV250 will be used by PMCC's factory auditor to assess the existing 

elements and degree of implementation during the on-site assessment. 

NOTE &It is important that this checklist be submitted to PMCC at least two weeks in 

advance of the scheduled audit. It is the guide that the auditor will use during the 

assessment and will make the assessment more efficient, and will tend to reduce the 

possibility of extending the audit beyond the scheduled two days. 

NOTE 7-To further facilitate an efficient audit, it is recommended that the applicant 

also furnish PMCC with a copy of the applicant's manufacturing quality assurance 

manual, which is a requirement for participation in the PMCC module certification 

program. If applicant does not have a quality assurance manual, it must be 

developed and available for review by the PMCC factory auditor prior to the 

factory assessment (even though it is not specifically required by the tenets of Form 

PV~~O).~ [Informative] 

8.1.3 The applicant must make payment to PMCC for the factory assessment deposit of 

$2,200. This is required prior to the arrival of the PMCC factory auditor. The scheduled 

factory assessment and subsequent random selection of modules for testing will not be 

performed until this fee has been paid. The fee covers the following: 

(a) On-site assessment, 2 days at $600 $1,200 

(b) Processing fee $200 

(c) Air fare for PMCC auditor, estimated $450 

(d) Hotel, 2 nights at $75, estimated $150 

(e) Miscellaneous (car, ground transportation, meals) $200 

(f) TOTAL $2,200 

A manufacturing quality assurance manual is required, however, by PMCC Document PV-2 and by the 

IS0 9001 and IS0 9002 quality-systems standards (and the U.S. equivalent ANSIJASQC 49001 and 

49002 standards). 
8.1.4 Excess travel expenses (above that incurred by the PMCC auditor) will be returned to 

the applicant. The applicant will be invoiced for all reasonable expenses that are 

incurred for amounts greater than those allocated in lines c, d, and e above. 

NOTE 8-PMCC auditors are required to make air, car and hotel reservations at 

reasonably low rates. However, they will not be required to stay in hotels/motels lacking 

in comfort and normal business amenities (such as a work area for preparation of 

reports, telephoning, etc.). [l[nformative] 

8.2 The factory assessment 

8.2.1 The PMCC PV quality-systems auditor will normally divide the on-site assessment into 

four segments, listed in the order they will occur, as follows: 

(a) Entrance briefing 

(b) Evaluation of applicant's quality-system elements 

(c) Evaluation of applicant's manufacturing, inspection, and test procedures 

(d) Exit briefing. 

Entrance Briefing-an approximately 30- to 60-minute orientation that will cover 

introductions, and an overview of the assessment by the auditor, explaining the purpose 

and scope of the assessment. The auditor will request an overview of the applicant's 

company, including a general description of its photovoltaic module manufacturing 

operations. The auditor will confirm that relevant manufacturing processes can be 

observed, that employees pertinent to the manufacturing and quality functions will be 

present for interviews, and that the required quality documentation can be examined. 

The manner of identifying nonconformance will be discussed, as will the recording of 

deficiencies and the corrective actions that will be necessary before participation in the 

module certification program can be assured. 

8.2.3 Evaluation of Applicant's Quality System Elements-The elements of the applicant's 

quality system that will be examined include the eighteen major headings of Form 

PV250. Of these, documentation, process procedures, measurement traceability in 

manufacturing, inspection and testing, equipment and instrument maintenance, 

accountability, internal audits, and corrective actions are the most critical. The auditor 

will require an escort at all times while examining the quality system (and the 

manufacturing, inspection, and test processes). 

NOTE 9-4 is important that the applicant understand that the purpose of the assessment 

is to find reasons to approve applicant's quality system in order to permit participation in 

the module certification program. While nonconformance likely will be found, 

deficiencies noted, and corrective actions required, PMCC's objective is to ensure the 

quality of modules certified and labeled by the program. To this end, PMCC, its 

auditors, and the applicant are in reality partners in assuring that a minimum acceptable 

level of quality is maintained for all modules certified and labeled under the aegis of the 

PMCC module certification and labeling program. pnformative] 
Evaluation of Manufacturing, Inspection, and Test Procedures-Actual manufacturing 

processes will be examined, as will inspection and test procedures. Interviews will be 

conducted with manufacturing employees and inspection and test technicians. 

Conformance to good manufacturing practices and to written processes and procedures 

will be sought. 

Exit Briefing-An exit briefing will be held to discuss the assessment findings. The 

applicant must ensure that the official contact person, the applicant's quality manager (if 

different from the contact), and the appropriate company managers are present for the exit 

briefing. During the briefing, special attention will be devoted to any nonconformance or 

deficiencies found, and to the corrective actions that will be required prior to approval of 

the applicant for participation in the module certification program. The auditor will 

discuss the format for the corrective action responses that must be submitted to PMCC. 

NOTE 10-The applicant will be given 30 days to respond to the deficiency] 

nonconformance report by providing documentation of corrective actions taken up to 

that time, and to furnish a timetable for completion of the remaining corrective actions. 

9. Random selection of test modules 

9.1 The production lot 

The PMCC factory auditor will, at his or her discretion, perform the random selection of 

the test modules at the conclusion of the factory assessment. 

NOTE 11-The conditions under which the factory auditor would be permitted to decline 

to perform the random selection of test modules might include one or more of the 

following: (a) the auditor finds that the applicant is simply not prepared for the 

assessment, (b) the applicant's manufacturing processes do not meet the minimum 

standard of good practice, or (c) the inspection and test procedures do not meet the 

minimum standard of good practice. 

The applicant shall ensure that the photovoltaic modules to be selected are contained in 

a production lot of not less than forty (40) modules. 

The factory auditor will establish that the modules chosen have been manufactured from 

production tools and assembled using methods and processes established by the 

applicant for production runs. 

Having been assured that the requirements of 9.1.2 and 9.1.3 are met, the auditor will 

randomly select ten (10) modules and will affix a non-removable or otherwise indelible 

tag to each module. These tags are to be numerically or alphanumerically marked in 

accordance with a PMCC chronological system to identify the module manufacturer and 

model. 
NOTE 12-Any attempt to counterfeit or move the above tags to other modules will 

result in termination of the manufacturer's application for certification, and the applicant 

will be subject to whatever additional sanctions and remedies that may be imposed by 

the PMCC's board of directors. 

9.2 Pre-production prototypes 

9.2.1 Should the applicant and the PMCC reach an agreement whereby for good and cogent 

reasons the modules to be initially certified will be pre-production prototypes, applicant 

will be required to certify in writing that it understands that: (a) module certification 

will be temporary and provisional, (b) certification will expire at the end of 9 months, 

and, (c) complete certification testing in accordance with Document PV-3 will thereafter 

be required on the production model, or models. 

NOTE 13-The applicant should understand that a mark of conformity will not be issued, 

and that the certificate of conformity will state clearly that the certification applies to a 

prototype module or modules, and will expire at a certain date. 

10. Review and determination of applicant's suitability 

10.1 The factory auditor will submit two reports to the executive director of PMCC: a 

manufacturing quality assessment and a deficiency/noncompliance report. This will be 

done within one week following the completion of the factory assessment. 

10.2 Once the applicant's corrective action response has been received by PMCC, the 

executive director will forward the entire package to the chairman of the MQSC 

committee. The MQSC committee will have 30 days to review the auditor's report and 

the corrective actions documentation furnished by the applicant manufacturer, and to 

render a decision as to applicant's suitability for participation in the module certification 

program. 

10.3 The executive director of PMCC will inform the applicant in writing of the results of the 

initial inspection and factory assessment of applicant's quality system and 

manufacturing processes. If the MQSC committee determines that the requirements for 

participation and licensing are not met, the letter will also state those criteria that the 

applicant does not meet, and will outline those corrective actions that will be required 

prior to further action on behalf of the applicant. 

10.4 The applicant must provide objective evidence that the corrective actions have been 

taken to remove the deficiencies and nonconformance cited within ninety (90) days. 

However, the applicant must provide PMCC with a written response to the deficiency1 

nonconformity report, citing those areas that may be in disagreement, including 

applicant's plan and timetable to complete the remedial actions required. 
NOTE 14--Should the MQSC committee agree with applicant's position regarding one 

or more cited nonconformities, applicant will be so notified and further response to such 

deficiencies will no longer be required. In the event that a specific disagreement 

regarding a nonconformity or deficiency cannot be resolved between the committee and 

the applicant, the applicant will be invited to appeal the question to the PMCC's appeals 

committee as provided in Section 13 of this document. [Informative] 

10.5 If the applicant cannot provide objective evidence that the required remedial action has 

been taken, or evidence has not been provided in the time period required, PMCC will 

repeat that portion of the inspection and assessment for which a corrective action 

response was required. Failing either, the application will be denied and this decision 

will be communicated to applicant in writing. 

NOTE 15-A reprocessing fee of $500, plus all out-of-pocket expenses, will be assessed 

the applicant for any factory reassessments that may be required. 

NOTE 1bSuccessful completion of the factory assessment can serve as an unofficial 

pre-audit assessment for the purposes of IS0 9000 registrationkertification. 

[Informative] 

11. Selection of the PV module test laboratory 

11.1 Only test data from PMCC-approved test laboratories will be accepted by PMCC for 

consideration in meeting the requirements of the module certification program. 

11.2 PMCC approval of test laboratories capable of performing the tests required by Document PV-3 

is based on laboratory accreditation procedures proscribed by Document PV-1. Laboratory 

accreditation procedures are carried out under the aegis of the American Association for 

Laboratory Accreditation (A2LA). 

1 1.3 Except for the processes associated with arrangements for accrediting test laboratories to perform 

the tests required by Document PV-3, PMCC is not and will not be a party to the contract 

between applicant and the module test laboratory, or laboratories, including the establishment of 

applicable testing fees charged to applicant by the test laboratories. Payment of laboratory test 

fees associated with testing to the requirements of Document PV-3 are the sole responsibility of 

applicant. 

11.4 Upon notification of the applicant's suitability for participation in the PMCC module certification 

program, the applicant is expected to ship the tagged modules to a PMCC-approved test 

laboratory of the applicant's choosing. 

NOTE 17-The applicant is cautioned to ensure proper packaging to avoid breakage and the cost 

and time required for a subsequent return to the factory for random selection of test modules. 

[Informative] 
Module testing 

The applicant should be fully conversant with the testing requirements contained in PMCC 

Document PV-3. Technical questions concerning the test requirements, and technical issues that 

these test requirements address, should be forwarded to the executive director well in advance of 

contracting with the test laboratory. If such questions cannot be answered by PMCC staff, they 

will be referred to the PMCC technical committee for response. 

The applicant is encouraged to fully apprise itself of the test laboratory's policies and procedures 

including terms and conditions of sale, specific rules for witness of tests, transmittal of interim 

test results, etc., prior to contracting with the laboratory for the PV-3 test program. 

The tests required by Document PV-3 fall into two categories. Those that establish pass-fail 

criteria with respect to the minimum requirements for reliability and durability, and those that 

establish a performance level in terms of the module's electrical output (however named or 

described). 

Modules that fail to meet the minimum requirements of the reliability and durability tests (i.e., 

those that do not address the module's performance as defined in PV-3), will result in suspension 

of further testing until one of the foIlowing is determined: 

The laboratory determines that the problem is due to equipment or instrumentation 

malfunction, or to the manner in which the test is conducted. 

NOTE 18-Should it be determined that the problem is the responsibility of the 

laboratory, the laboratory shall be required to retest the module at its own expense and to 

furnish a corrective action report (CAR) to the laboratory accreditation committee that 

indicates satisfactory resolution of the problem. 

The laboratory determines that the module is not representative of the other samples 

shipped for testing as a result of damage during shipment that was not visible during 

incoming inspection by the laboratory. 

NOTE 19-The laboratory, with the advice and consent of both the technical committee 

and the product certification committee, will be permitted to select another module from 

those shipped to the laboratory but only if the results of all tests performed on the 

selected module are deemed to not be affected by the additional testing. Failing this 

assurance, the issue will be referred to the above committees to resolve the problem in a 

manner that is most favorable to the applicant manufacturer without compromising the 

integrity of the certification program. 

The laboratory determines that the module was properly tested and that it is not 

representative of the other sam~leshimed. 
NOTE 20-The applicant manufacturer will be required to furnish a CAR for review by 

the manufacturer's quality system compliance, the technical and the product certification 

committees. Upon acceptance of the CAR by these committees, the applicant will be 

permitted to furnish a randomly selected module for retesting. All costs associated with 

random selection and retesting will be borne solely by the applicant. 

12.4.4 The laboratory determines that the module was properly tested and that it is 

representative of the other samples shipped. 

NOTE 21-The laboratory will notify both the applicant and PMCC of the failed test 

results, and the applicant will be given the opportunity to withdraw from the certification 

program without prejudice to any subsequent decision to reapply for participation in the 

certification program with the same or other models. Any subsequent application for 

participation in the certification program will be treated as a new application in terms of 

costs associated with the application and testing of the same or other models. 

12.5 The results of both the reliability and durability tests, and the performance-level tests (whether 

considered as power rating or energy efficiency values), will be submitted by the laboratory to 

both the applicant and PMCC. Once the executive director determines that the file is complete, all 

test information, as well as the results of the factory quality assessment, will be submitted to the 

product certification committee for validation of the reliability and durability tests, and for 

assignment of a performance or rating value that will be used on the certificate of conformity 

andlor the label issued to the participant in accordance with the licensing agreement. 

12.6 The executive director will also forward the results of the factory quality assessment to the 

product certification committee for their use in evaluating the applicant's overall suitability for 

certification, labeling, and licensing. 

12.7 The product certification committee will review applicant's file. The committee may request 

additional information or clarification from either or both the laboratory and the manufacturer, 

and they: (a) may require additional testing, (b) may require an additional site visit to assess any 

particular aspect of the factory's manufacturing and inspection process, or (c) may conditionally 

approve the application subject to the resolution of any concerns they may have, including the 

requirement for periodic factory quality system surveillance visits, or retesting in a time frame 

that is earlier than the certification program retest requirement of every two years. 

13. Appeals 

13.1 The applicant has the right to appeal the results of: (a) the factory quality assessment, 

(b) specific reliability and durability test results, and, (c) performance-level test results, andlor 

the performance level chosen by the product certification committee for insertion in the 

certificate of conformity. 

13.2 The PMCC appeals board will thoroughly investigate the applicant's appeal and in rendering a 

determination will utilize the particular expertise of other PMCC standing committees such as the 

technical, laboratory accreditation, and MQSC committees. 
The appeals board may require additional testing either at the applicant's chosen test laboratory, 

or at a referee laboratory. 

NOTE 22-In case the original test laboratory is chosen, the board shall have the right to 

nominate a technical expert from the appropriate standing committee to witness the testing 

required. The applicant shall have the right to waive the necessity for a third-party witness. 

NOTE 23-In the event that further testing supports the results obtained by the test laboratory 

originally selected by the applicant, all costs associated with said testing, including the costs 

associated with the use of an expert witness, will be the responsibility of the applicant. In the 

event that further testing supports applicant's claims, or that the results are contrary to the results 

obtained by the test laboratory selected by the applicant, and providing that the results support 

acceptance of the applicant's modules for certification, labeling, and licensing, all costs 

associated with the additional test requirements will be the responsibility of the original test 

laboratory selected by the applicant. 

Approval and certification processes 

Upon notification of acceptability of the applicant's module or modules for certification, labeling, 

and licensing by the product certification committee, and the rendering of all application and test 

fees due the PMCC and the test laboratory, the executive director will notify the applicant that its 

photovoltaic module or modules have been found suitable for inclusion in the registry of certified 

photovoltaic modules pending completion of the licensing agreement (Form PV300) and 

rendering to the PMCC the first year's licensing fees established therein. 

A form for indicating the total watts of product sold during the previous six months (Form 

PV350), as well as Form PV300, will be furnished to the manufacturer at the time of notification 

of the determination of suitability. The manufacturer must sign Form PV300 and complete Form 

PV350 by listing the product sold and computing the annualized licensing fee, as provided 

therein. 

Upon receipt of the completed Forms PV300 and PV350, and the fees computed therefr~m,~ the 

executive director will submit Form PV350 to the audit and finance committee for examination, 

verification, and approval. 

NOTE 24-Should a finding of error in the computation of either the product sold or the licensing 

fee be determined by the audit and finance committee, and should attempts to resolve such issues 

with the manufacturer be unsuccessful, the entire matter will be referred to the board of directors 

of PMCC for resolution. 

Upon approval by the audit and finance committee, the executive director will mail or otherwise 

furnish to the participant a completed license giving the manufacturer the right to use the 

certification mark as a label of conformity (to be affixed to all certified modules sold), as well as 

the certificate of conformity, in the manner proscribed by the licensing agreement and the license. 

Whether by check, bank draft or wire transfer. 
15. Annual, biennial, and periodic requirements 

15.1 Annual licensing fees 

15.1.1 Participants are required to submit Form 350 within 30 days of the anniversary date (the 

date on the license). Form 350 will be mailed to participants 30 days in advance of the 

anniversary date. 

15.1.2 Form 350 provides for an adjustment in fees for the product actually sold during the first 

or previous year of participation in the certification program, plus the projected fees for 

the second or following year computed on the bash of the previous six months (see 

Note 24). 

15.2 Biennial Requirements 

The participant will be required to submit certified product for recertification every two 

years in order to maintain the license and the right to advertise the product as being 

certified by PMCC. 

PMCC will make every attempt to use as the random selector a representative of PMCC 

who resides or has regular business in the closest possible proximity to the participant. 

All of the requirements and conditions that apply to the initial certification will apply to 

recertification of the previously certified modules, except that the assessment of the 

factory's quality system may be waived (see 15.3). 

NOTE 25-Inclusion of a new, previously non-certified module in the program will entail 

additional processing costs and will require a reassessment of the factory's 

manufacturing quality system as it relates to the new, previously non-certified product. 

[Informative] 

15.3 Surveillance audits of the factory's quality system 

15.3.1 The product certification committee, with the concurrence of the committee on 

manufacturer's quality system compliance, may require a surveillance audit of a 

participant's factory quality system on an annual or less frequent basis, either as a matter 

of policy or when deemed necessary due to the exigencies of a participant based on the 

history of previous submittals, applications, site visits, testing problems, etc. 

NOTE 26-Should the PMCC's board of directors authorize and require regular periodic 

surveillance factory assessments, whether in lieu of the biennial frequency of test 

requirements or as a required element of the certification program, affecting all 

participants, all participants will be so notified. [Informative] 
15.3.2 When carried out as a matter of policy, annual surveillance audits of the factory's quality 

system may be less exhaustive depending on the results of the initial site assessment for 

a particular certified module. Participants will be notified 60 days in advance of the level 

of surveillance that will be conducted. 

NOTE 27-A participant's continuing registration to either IS0 9001 or IS0 9002 can be 

used to waive annual surveillance audits by furnishing objective evidence of same. 

PMCC may still require submission of a completed checklist (Form PV200). 

[Informative] 

15.3.3 Unannounced surveillance audits will not be conducted as a matter of policy. 

15.3.4 Participants will be given 30 days notice of any specid site visits, assessments or audits 

that may be required due to the exigencies of a particular participant's situation. 

16. Challenge testing and factory audits 

16.1 The rules of procedure for the certification program provide for challenge of the quality or 

performance level advertised for certified product by either third parties or by another participant 

in the PMCC certification program. 

16.2 The processes associated with administration of all such challenges will be treated as special 

cases except that: (a) the PMCC board of directors will become directly involved in all such 

challenges, and (b) the board of directors and the executive director will take whatever steps are 

deemed necessary to provide the affected participant(s) with due and speedy process procedures. 

16.3 When in order to resolve such challenges the board of directors determine that referee testing or 

site assessments are required, the costs of said testing and factory assessments will be borne by: 

(a) The challenger when the challenge or accusation is found to be either in error or 

frivolous, and the test results and factory assessment resulting in certification are found 

therefore to be substantiated. 

(b) The participant when the challenge or accusation is found to be accurate or persuasive, 

and the test results and/or factory assessment resulting in certification are found not to 

be substantiated. 

(c) PMCC when the results enumerated in clause (b) are a result of PMCC's errors and 

when the board of directors authorize and require testing in support of claims made by a 

third party (i.e., a party that is not a participant in the PMCC certification program). 

NOTE 28-Challenges by another participant will require that both participants place the 

required funds in a PMCC escrow account pending resolution of the challenge. These 

moneys will then be refunded to the party found to be correct in evaluation and 

resolution of the challenge. 
16.4 When the challenge is found to be persuasive and/or is upheld, and depending upon the nature of 

the error, infraction, etc., any one of the following actions may be taken at the direction of the 

board of directors: 

16.4.1 As a minimum, the participant will be required to complete any corrective actions 

indicated by the board of directors, to file a CAR, and to permit a follow-up site visit to 

assess the affected manufacturing processes (at the participant's expense). 

16.4.2 The participant's license will be suspended pending resolution of the causative 

problems. 

16.4.3 Failure to resolve within a reasonable period the identified problems on the part of the 

participant during the suspension will result in revocation, cancellation, and/or 

withdrawal of the license. 

16.4.4 Willful misrepresentation or other intentional violations of the terms of the license when 

said violation is found as a result of the challenge will result in the immediate revocation 

and withdrawal of the license, depending on the seriousness of the violation. 

Bibliography 

1. Robert W. Peach, Ed., The IS0 9000 Handbook, CEEM Information Services, Fairfax, VA, 1994. 

2. Perry L. Johnson, IS0 9000: Meeting the New International Standards, McGraw-Hill, New York, 

1995. 
PV-5 Appendix 1 

Form PV350 

Licensing fee based on product sold 
PV-5 Appendix 1 

Form PV350 

Licensing Fee Based on Product Sold 

Complete this form for each module cert$ed 

Participant: License year starting date: 

Address: Certified product model: 

City: State: Mail Code: 

Country: 

Section I. This section is to be completed by ALL participants. Section 11 is to be completed only by 

second-year and greater participants. 

A. Product sold during the last six months: Watts 

B. Multiply line A by 2.2 (assumes a 20% per year growth rate): Watts 

Line B is the basis for the amount of product sold on which the 

licensing fee is due for the first year, or the previous year for 

second-year and greater participants. 

C. Multiply line B by $O.xx per watt: $- 

Line C is the licensing fee for the first year of your participation 

in the PMCC PV module certification program. 

ction 11. This section is for second-year and greater participants. 

D. Product sold during the last six months Watts 

E. Multiply line D by 2.2: Watts 

F. Subtract line A from line B and insert here: Watts 

G. If line F is less than D, insert difference: +- Watts 

H. If line F is greater than D, insert difference: - Watts 

I. Insert whichever line is completed (G or H), including sign: Watts 

J. Add line E and I and insert new basis for product sold: Watts 

K. Multiply line J by $O.xx per watt: $- 

Line K is the licensing fee for the current certification year for 

the module model shown. 

The undersigned, who is the of the manufacturer and participant shown, 

certifies that the watts of product sold in Section I andor Section 11 is accurate and true to the best of my 

knowledge. 

Attested to by: Date: 
ARTICLES OF INCORPORATION 

of the 

Pbotovoltaic Module Certification Corporation (PMC Corp.) 

a Non-Profit Corporation 

KNOW ALL MEN BY THESE PRESENTS: 

That we, the undersigned, desiring to form a Non-Profit Corporation under and pursuant to the laws of 

the State of [State], and for that purpose, do hereby adopt these Articles of Incorporation: 

ARTICLE I 

NAME: The name of the corporation is Photovoltaic Module Certification Corporation, also to be known as 

the PMC Corp., or PMC Corporation, or PMCC. 

ARTICLE n 

PRINCIPAL OFFICE: The principal office of PMCC is to be Iocated at: [Street], [City], [State], [Zip Code]. 

PMCC may transact its business at the principal office and maintain other offices either within or outside 

[State]. 

18 

19 ARTICLE III 

20 PWOSE: This corporation is organized for the purpose of transacting any and all business for which 

21 non-profit corporations may be incorporated under the laws of this State, as they may be amended from time to 

22 time, except that said corporation is organized exclusively for photovoltaic module certification and labeling 

23 purposes, within the meaning of Section 501(c)(3) of the InternaI Revenue Code of 1986, or the corresponding 

24 provisions of any future United States internal Revenue laws. 

25 

26 
1 ARTICLE IV 

2 SPECIFIC BUSINESS: The specific business activities for which this corporation is organized and intends 

3 actually to conduct in this State, which shall not limit the character of the exempt activities which this 

4 corporation may ultimately conduct, are as follows: (1) to arrange for the testing of photovoltaic modules in 

5 accordance with documented test procedures, said modules to be submitted by manufacturers who have agreed 

6 to participate in the corporation's photovoltaic module testing, certification and labeling program, and who 

7 have met the corporation's quality requirements for said participation; (2) to accredit, or cause to be 

8 accredited, a laboratory or laboratories meeting the minimum testing qualifications, and minimum quality 

9 requirements of the corporation's criteria document dealing with laboratory accreditation; (3) to license the use 

10 of the corporation's mark of conformity by those manufacturers of modules who by the results of testing 

11 conducted in direct support of the corporation's certification and labeling program, are entitled to affix said 

12 mark to individual modules offered for sale by participating manufacturers; and (4) to collect whatever fees 

13 are due the corporation as compensation for the right to use said mark, or marks, of conformity from 

14 participating manufacturers, within the meaning of Section 501(c)(3) of the Internal Revenue Code of 1986, 

15 including for such purposes, the making of distributions to organizations that qualify as exempt organizations 

16 under said Section 501(c)(3), or the corresponding provisions of any future United States Internal Revenue 

17 Laws. 

18 
1 ARTICLE V 

2 INCORPORATORS: The names and addresses of the incorporators of this corporation are: 

NAME ADDRESS 

(Name) (Address) 

(CityIStatelZip Code) 

(Name) (Address) 

(CityIStatelZip Code) 

(Name) (Address) 

(CityIStatelZip Code) 
1 ARTICLE VI 

BOARD OF DIRECTORS: The business and affairs of this corporation shall be conducted by a board of 

directors who shall number not less than - nor more than - members. Said directors shall have the 

authority and power to. increase or decrease the number of serving directors within the limits above provided. 

The board of directors may fill any vacancy that may occur on the board of directors pending the next annual 

meeting of either the members, if a membership non-profit corporation, or the board of directors, if a 

non-membership or limited membership non-profit corporation. The person(s) appointed to serve on the board 

of directors may be appointed to serve as directors for any term of years, not to exceed 5 years, which said 

term shall commence the date of appointment unless otherwise designated by the board of directors. The 

Bylaws shall specify the number of directors necessary to constitute a lawful quorum. The board of directors 

may, by proper resolution or resolutions passed by a lawful quorum of the whole board, designate one or more 

committees which, to the extent provided in said resolution or resolutions, or in the Bylaws, shall have and 

may exercise those powers so designated in the resolution or resolutions or in the Bylaws, on the management 

of activities and affairs of the corporation, and may have the power to authorize the Seal of the corporation to 

be fixed to all papers, documents or writings which may require it, and such committee or committees shall 

have such name or names as may be stated in the Bylaws, or as may be determined from time to time by 

resolution adopted by the board of directors. The board of directors may elect such officers of the corporation 

as the Bylaws may specify, who shall, subject to the provisions of the Bylaws, have such titles and exercise 

such duties as the Bylaws provide. The board of directors is authorized to make, adopt, alter or repeal the 

Bylaws of this corporation, or any article therein, provided such authority and power is not vested and reserved 

to members of the corporation, if applicable. The names and addresses of the persons who are appointed to 

serve as directors of this corporation until the first annual meeting of the board of directors, or until their 

successors are elected and qualified, are: 
NAME ADDRESS 

(Name) (Address) 

(CityIStatelZip Code) 

- 

(Name) (Address) 

(City/S tatelzip Code) 

(Name) (Address) 

(CityIStatelZip Code) 

(Name) (Address) 

(CityIStatelZip Code) 

(Name) (Address) 

(City/State/Zip Code) 

(Name) (Address) 

(CityIS tatelzip Code) 

(Name) (Address) 

(CityIS tat elzip Code) 

(Name) (Address) 
1 ARTICLE W 

LIMITATIONS: No part of the net earnings of the corporation shall inure to the benefit of, or be distributable 

to, its members, trustees, officers, or other private persons, except that the corporation shall be authorized and 

empowered to pay reasonable compensation for services rendered and to make payments and distributions in 

the furtherance of the purposes set forth in Article IV hereof. No substantial part of the activities of the 

corporation shall be the carrying on of propaganda, or otherwise attempting to influence legislation, and the 

corporation shall not participate in, or intervene in (including the publishing or distribution of statements) any 

political campaigns on behalf of any candidate for public office. Notwithstanding any other provision of these 

Articles, this corporation shall not, except to an insubstantial degree, engage in any activities or exercise any 

powers that are not in furtherance of the purposes of this corporation. 

11 ARTICLE Vlll 

12 DISSOLUTION: In the event of a dissolution of this corporation, any assets remaining after payment to 

13 creditors, shall be distributed for one or more exempt purposes within the meaning of Section 501(c)(3) of the 

14 Internal Revenue Code, or corresponding Section of any future Federal Tax Code, or shall be distributed to the 

15 Federal Government for public purposes. Any such assets not so disposed of, shall be disposed of by a Court of 

16 competent jurisdiction in the County where the principal office of the corporation is then located, exclusively 

17 for such purposes or to such organizations as said Court shall determine, which are organized and operated 

18 exclusively for such purposes. 

19 ARTICLE M 

XI PRIVATE PROPERTY: The private property of the directors, members, if any, officers, employees and agents 

21 of the corporation shall be forever exempt from any and all debts of every kind and nature incurred by the 

22 corporation, and as authorized by the laws of this State. 

23 ARTICLE X 

2 INDEMNIFICATION: The corporation shall indemnify every director, officer, employee and agent, or his or 

25 her heirs, executors and administrators, against expenses reasonably incurred by him or her in connection with 

26 any action, suit or proceedings to which he or she may be a party by reason of his or her being, or having been, 

27 a director, officer, employee, or agent of the corporation, except in relation to those matters which he or she 

28 shall be adjudicated to be liable for negligence or misconduct. In the event of a settlement, indemnification 

29 shall be provided only in connection with such matter covered by the settlement as to which the corporation is 

30 advised by counsel that the person to be indemnified did not commit such breach of duty. This right of 

31 indemnification shall not be exclusive of other rights to which he or she may be entitled. As used in this 

32 Article, expenses shall include amounts of judgments, penalties or fines rendered or levied against such 

33 director, officer, employee or agent, and the amounts paid in settlement by him or her shall have been first 

34 approved by the directors of this corporation. 

35 

36 ARTICLE XI 

37 DIRECTOR'S LIABILITY: No director of this corporation shall be personally liable to the corporation for 

38 monetary damages for breach of fiduciary duty as a director; provided, however, that this Article shall not be 

39 construed as eliminating or limiting the liability of a director by one or more of the following acts, namely: 

40 (1) A breach of duty or loyalty to the corporation; (2) Any acts or omissions that are not in good faith or that 

41 involve intentional misconduct or a knowing violation of the law; (3) The authorizing of an unlawful payment 

42 or distribution out of the corporate assets; (4) Any transaction made in the furtherance of the exempt purposes 

43 of the corporation which the director derived an improper personal benefit; or (5) Any act or acts that can be 
1 defined under the laws of this State as "Director Conflicts of Interest". 

2 

3 ARTICLE XI1 

ANNUAL MEETING: The annual meeting of the Board of Directors is to be held at a place either within or 

without this State as fixed by the Bylaws. 

ARTICLE XIII 

DURATION: The existence of this corporation shall be perpetual unless sooner terminated as provided for by 

law. 

ARTICLE XN 

NON-MEMBERSHIP PROVISIONS: The corporation shall not be a membership corporation with members, 

unless by a two-thirds vote of the Board of Directors, these Articles of Incorporation are so amended to change 

this corporation from a non-membership to a membership corporation with members. 

ARTICLE XV 

FISCAL YEAR: The fiscal year of the corporation shall end on of each year. 

ARTICLE XVI 

STATUTORY (RESIDENT) (REGISTERED) AGENT: The name and address of the initial Statutory 

24 (Resident) (Registered) Agent of this corporation is: 

26 IN WITNESS WHEREOF, I (WE) have set my (our) hand@) this day of 19-. 

- - 

Incorporator 

Incorporator 

Incorporator 
1 ACKNOWLEDGMENT 

2 STATE OF ( ) 

( ) ss. 

County of ( 1 

On this day of , 19, before me, the undersigned, a Notary Public in and for 

the County of , State of , personally appeared: 

9 

known to me to be the person(s) whose name(s) is (are) subscribed to the foregoing ARTICLES OF 

INCORPORATION, and acknowledge to me that he (she) (they) executed the same for the purposes therein 

contained. 

IN WITNESS WHEREOF, I hereunto set my hand and official seal. 

MY COMMISSION 

EXPIRES: 

Notary Public 
BYLAWS 

of the 

PHOTOVOLTAIC MODULE CERTIFICATION CORPORATION 

ARTICLE I 

NAME AND SCOPE 

The name of the corporation shall be the "Photovoltaic Module Certification Corporation," a not-forprofit corporation hereinafter referred to as "the Corporation ," or "PMCC." 

The Corporation may, at its pleasure and by a majority vote of the membership body, change its 

name. 

The main office of the Corporation shall be located in Anytown, State, as designated by the Board of 

Directors. A Registered Office and a Registered Agent shall be maintained consistent with the 

requirements for not-for-profit corporations in the State of Incorporation (STATE). 

The scope of the Corporation's activities shall be international, although emphasis shall be placed on 

its national activities, and shall include liaison and cooperative developments with other 

organizations, institutions and corporations for the furtherance of its objective of promoting the 

certification of photovoltaic modules, and the sale of certified modules, produced by manufacturers 

from throughout the world. 

ARTICLE ]3[ 

PURPOSES AND OBJECTIVES 

The purposes and objectives for which the Corporation is organized are: 

To develop and implement product certification programs for photovoltaic solar energy conversion 

modules used in the generation of electric power over a wide range of applications. The PMCC 

certification programs shall be open to any potential licensee from the photovoltaic module 

manufacturing community whose finished product is a market-ready module of a type and power level 

for which a certification program has been established, regardless of whether that module has been 

certified and labeled and/or marked by any other domestic or international photovoltaic module 

certification body. 

Develop andlor adopt photovoltaic module test methods and consensus standards required for testing 

and evaluation of module reliability, durability and performance in accordance with the requirements 

adopted for the certification program. The development of any consensus standards that are needed, 

and which are not available within the domestic or international standards community, shall be done 
in cooperation with, and within the framework of, U.S. domestic standards bodies such as IEEE, 

ASTM, and ANSI (the U.S. National committee representative for the U.S. Technical Advisory Groups 

to ISOITC 180 and IECITC 82). 

Adopt photovoltaic module performance rating standards for photovoltaic modules. 

To educate the public, public institutions, and private commercial organizations on the benefits of 

using Certified Photovoltaic Modules carrying the label, or mark, of PMCC. 

To educate the public, public institutions, and private commercial organizations, on the 

advancements, improvements, uses, and benefits of photovoltaic solar energy conversion modules, 

systems and arrays. 

To encourage and promote cooperation and understanding between PMCC and its counterparts in 

other nations and regions of the world, an example of the latter being Certification Bodies operating in 

the EEC. The objective of such cooperation shall be the establishment of Memorandums of 

Understanding (MOUs) providing for reciprocity between PMCC and regional photovoltaic module 

certification programs throughout the world. 

To make available to any interested member of the photovoltaic industrial community descriptive 

material setting forth the Corporation's certification programs and its module rating standards, 

including Document PV-3. 

To administer and manage testing, certification and labeling programs based upon Document PV-3 

and whatever module rating standards are in place. 

To award PMCC's certification mark, and concomitantly, the certification label, pursuant to 

Document PV-3 and the module rating standards, to qualified participants whose modules have been 

determined to be qualified for award of said mark and/or label. 

ARTICLE m 

POWERS 

In furtherance, and not in limitation thereof, of the general powers conferred by the laws of STATE 

and the objectives and purposes herein set forth, it is expressly provided that the Corporation shall 

also have the following powers, viz: 

To borrow or raise monies for any of the purposes of the Corporation and, from time to time, without 

limit as to amount, to draw, make, accept, endorse, execute and issue promissory notes, drafts, bills 
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3 2. 

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7 

8 3. 

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13 

14 4. 

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18 5. 

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22 6. 

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33 

34 1. Authority and Responsibility 

35 

36 1.1 The governing body of the Corporation shall be its Board of Directors. 

37 

38 1.2 The Board of Directors shall have supervision, control and direction of the affairs of the Corporation, 

39 its product certification and laboratory accreditation programs, its committees, and its publications. 

40 

of exchange and other negotiable and nonnegotiable instruments and evidences of indebtedness. 

To purchase, lease, accept and receive by gift, device or bequest, hold, sell, mortgage, or otherwise 

acquire, dispose of or deal in real and personal property of all kinds, except that the acceptance and 

receipt of gifts, devices or bequests shall not pose either the appearance or fact of a conflict of 

interest, or contravene either these Bylaws or the laws of STATE. 

To enter into, make, perform, carry out and enforce any contract, agreement or transaction which it 

may desire to enter into, pursuant to any of its general purposes, with any persons, firm, association, 

trust or corporation, and to do and perform any and all of the objectives and purposes of the 

Corporation not forbidden by its Certificate of Incorporation or these Bylaws, or by the laws of the 

United States of America or STATE. 

To have offices and promote and accomplish its objectives and purposes within or without STATE, in 

other states and the territories, colonies, possessions and dependencies of the United States of 

America as well as in foreign nations. 

Subject to the provisions of its Articles of Incorporation and these Bylaws, to do, perform and engage 

in such other acts, things, business, transactions and operations as may be incidental to, or that may 

facilitate, the business and general purposes of the Corporation. 

To have all of the powers conferred upon a corporation by the laws of STATE, except as herein 

prohibited or forbidden and to do any and all of the things hereinbefore set forth, to the same extent as 

natural persons might or lawfully could do. 

ARTICLE IV 

MEMBERSHIP 

The Corporation shall have no members. 

ARTICLE V 

BOARD OF DIRECTORS 
The Board of Directors shall determine the general policies of the Corporation, shall actively 

prosecute the objectives and purposes of the Corporation, and shall supervise the disbursement of its 

funds. 

The Board may adopt Rules and Regulations for the conduct of its business. 

Board Composition 

The Board of Directors shall be composed of eleven members. 

Six members shall be from the commercial and industrial community, defined as "manufacturers, 

suppliers, dealers, distributors and individuals who are engaged in the manufacture, production, 

distribution and/or sale of components or finished product relating to photovoltaic modules and 

systems," and hereinafter referred to as Industry Sector Members. Industry Sector Members shall be 

nominated and elected by the Certification Program Participants (i.e., applicants and licensees). 

Three members shall be from the public utility sector, defined as "employees or representatives of 

electrical utility companies," hereinafter referred to as Utility Sector Members. Utility Sector 

Members shall be nominated by the electrical utility industry, by individual public utilities, or by an 

association of electrical utilities, and shall be elected by the Certification Program Participants. 

Two members shall be from the public sector, defined as "employees or representatives of public 

foundations, public interest groups, state organizations, states, or associations of states," and 

hereinafter referred to as Public Sector Members. Public Sector Members shall be nominated by their 

constituencies, and shall be elected by the Certification Program Participants. 

Alternates to the Board of Directors 

Alternates to the Board of Directors shall be nominated and appointed or elected to the Board of 

Directors in the same manner as other board members. Each sector (the Industry, Utility and Public 

Sectors) shall be represented by one alternate. Alternate Directors may vote only in the absence of a 

regular director from the constituency they represent. 

ARTICLE VI 

INTERIM BOARD OF DIRECTORS 

The Interim Industry Sector board members shall be comprised of the Corporation's Incorporators as 

provided in the Articles of Corporation. These directors shall be the President, Secretary and 

Treasurer of the Corporation as therein provided. 
It shall be the first duty of the Interim Board of Directors to adopt these Bylaws and to announce and 

advertise, or cause to be announced and advertised, a solicitation of applications from the U.S.-based 

Industry Sector for participation in the PMCC photovoltaic module certification and labeling program. 

It shall be the second duty of the Interim Board of Directors to announce and advertise, or cause to be 

announced and advertised, a solicitation for nominations to the PMCC Board of Directors as set forth 

in Article V of these Bylaws. The Interim Board shall thereafter accept nominations from the 

Industry, Utility and Public Sectors, including a sufficient number of nominations from the Industry 

Sector, to fill vacancies created by the resignations of said Incorporator Directors at the completion of 

their Interim duties, said resignations being either for personal reasons or by reason of failure of the 

Incorporator Director to meet the membership requirements of the full sitting Board as contemplated 

by these Bylaws. Two nominations shall be accepted for each seat on the Board of Directors, which 

shall include nominations of any Interim Board Member who desires to have his or her name placed 

on the ballot and who meets one of the Sector Requirements as defined in Article V, sections 2.3 

through 2.5. 

Nominations for Alternate Directors shall not be accepted by the Interim Board of Directors. 

If less than the required number of nominations are received from each of the three Sectors for the 

purpose of completing the Board of Directors, the Interim Board of Directors shall nominate two 

willing candidates who are known to represent each Sector for which an insufficient number of said 

nominations were received. 

Not less than 75 days prior to the first annual meeting of the Corporation, the Chair of the Interim 

Board of Directors, who shall be elected by two of the three votes, or failing same shall be selected 

by lot, shall prepare and disseminate a ballot to all Applicants for participation in the PMCC 

Photovoltaic Module Certification and Labeling Program, and to all Industry Sector manufacturers 

who furnish a bona fide affidavit that they intend to apply within the next six months for participation 

in the program, said ballot to be for the election of the full PMCC Board of Directors in accordance 

with the terms specified in Article VII. 

Ballots shall be due not less than 21 days prior to the annual meeting of the Corporation. The 

nominees within each of the three Sectors receiving the largest number of votes cast, as certified by 

the Chair of the Interim Board of Directors, shall be elected to the longest regular terms of the initial 

full sitting Board of Directors. The nominees receiving the next largest number of votes cast shall be 

elected to the next longest regular terms. The nominees receiving the next largest number of votes 

cast shall be elected to fill Alternate Board Member seats. Tie votes shall be decided by the newly 

elected Board of Directors in a mail ballot prior to the first annual meeting of the Corporation. 
ARTICLE VII 

TERMS OF OFFICE 

For the initial Board of Directors, four (4) Industry Sector, two (2) Utility Sector, and one (1) Public 

Sector members shall be selected for a two-year term; two (2) Industry Sector, one (1) Utility Sector, 

and one (1) Public Sector members shall be selected for a one-year term; and all alternates shall be 

selected for a one-year term. 

Thereafter, Directors and Alternates shall be elected for a term of two (2) years. 

The Interim Board of Directors shall assume office immediately upon adoption of these Bylaws. 

Terms of office for all elected Board Members shall commence at the beginning of the Annual 

Meeting of the Corporation following the notice of the election results. 

Directors and Alternates shall hold office until the successor is duly elected and qualified, or until 

resignation, ineligibility, or removal. 

Directors and Alternates shall be elected to fill the vacancies of the Directors whose terms are 

expiring. 

ARTICLE Vm 

VACANCIES & REMOVAL 

Upon the occurrence of any vacancy in any office of the Corporation elected by the Program 

Participants, the Board may appoint one of its members to fill such office for the remainder of the 

original term. 

The Board of Directors may remove a Director by affirmative vote of 67% of all of the Directors 

eligible to vote on grounds of disability, incapacity, failure to comply with these Bylaws, substantial 

failure to perform his or her duties as a Director, or any other act which is found to be prejudicial to 

the purposes, objectives, stature, or well-being of the Corporation. 

Prior to the removal of a Director, there shall be submitted to such Director a written notice of the 

alleged ground for removal and the Director shall be offered the opportunity to answer such allegations 

in writing and to appear in person, or by counsel, at a hearing conducted by the Board of Directors. 

The Board of Directors may undertake such investigation in connection with the consideration of the 

removal of a Director as it deems necessary or appropriate under the circumstances and may appoint a 

special committee for such purpose, or may delegate such investigation to a Standing Committee. 
,ARTICLE IX 

MEETINGS 

The Board of Directors shall hold no less than one regular meeting each year. One meeting each year 

shall be designated as the Annual Meeting of the Corporation. 

The time and place of meetings shall be designated by the Chair of the Board of Directors. Notice of 

each regular meeting of the Board shall be sent by mail to each Director at least sixty (60) days in 

advance of said meetings. 

Special meetings of the Board of Directors may be called by the Chair at a time and place he or she 

designates, and shall be called upon demand of the majority of the Directors at such time and place 

as such Directors designate. Notice of special meetings shall be sent by regular mail at least thirty 

(30) days in advance except that such meetings may be called with less notice given in case of 

emergency, providing the Chair can be assured that a quorum of the Board will be present. 

Notices of special meetings shall state the purposes thereof and the questions and matters to be 

considered thereat. 

ARTICLE X 

QUORUM 

A quorum at any meeting of the Board of Directors shall be constituted by the presence of at least 

seven (7) Directors, which shall include not less than four Industry Sector Members, at least two (2) 

Utility Sector Members, and at least one (1) Public Sector Member. 

ARTICLE XI 

RULES 

Unless otherwise prescribed by these Bylaws, and if a quorum is present, any actions or decisions 

taken by the Board of Directors shall be valid providing it is affirmatively passed by a simple majority 

of those present. 

Robert's Rules of Order shall be used to govern all debates when not in conflict with these Bylaws. 
ARTICLE XII 

VOTING 

An affirmative vote in number greater than a two-thirds majority of all Directors eligible to vote shall 

be required to adopt or amend product certification and rating requirements and standards; operating 

guidelines for the certification program; and test laboratory accreditation standards, criteria and 

guidelines. 

Such votes may be taken at regular or special meetings of the Board of Directors, or by telephone, or 

by facsimile, or by mail ballot. Votes may be by voice, hand or written, and mail, ballot. Voting by 

telephone shall be accompanied by tape recording of the vote, providing a voiced agreement of all of 

the parties thereto is recorded. 

Directors shall be given no less than ten (10) days to vote. Votes received by mail or telephone shall 

be preserved by the Secretary of the Corporation until the next meeting of the Board of Directors and 

shall be recorded in the minutes of that meeting. Results of all such mail or telephone votes shall be 

mailed to all Directors within fifteen days after the deadline for receipt of mail votes or the recording 

of telephone votes. 

Voting may not be by proxy. Alternates' votes may be counted as provided by these Bylaws. 

ARTICLE XIlI 

ABSENCES 

If any member of the Board of Directors is absent from two consecutive meetings, and the Board shall 

have determined that the reasons for such absence are insufficient, the Director's resignation shall be 

deemed to be tendered and accepted. 

ARTICLE XIV 

COMPENSATION & REIMBURSEMENT OF EXPENSES 

No Director shall be paid any compensation for services to the Corporation, but the Board of Directors 

may authorize the reimbursement of any reasonable and customary expenses incurred by a Director in 

the performance of his or her duties. 

Nothing herein contained shall be construed to preclude any Director from sewing the corporation in 

any other capacity and receiving compensation therefor. 
ARTICLE XV 

OFFICERS OF THE CORPORATION 

Officers 

The elected officers of the Corporation shall consist of a Chair, a Vice Chair, a Secretary and a 

Treasurer. Only Directors of the Corporation shall be eligible to serve as elected officers of the 

Corporation, except that Alternate Directors shall not be eligible to service as elected officers. 

The Board of Directors shall elect or appoint an Executive Director, who shall be a paid officer of the 

Corporation. The Executive Director shall be a nonvoting, ex-officio member of the Board of 

Directors. 

The Board of Directors may also elect one of its own as President of the Corporation to provide a 

close working relationship with the Executive Director of the Corporation and the Corporation's office 

functions and staff. 

Nomination and Election of Officers 

The officers of the Corporation shall be elected annually at the Annual Meeting of the Board of 

Directors from a slate of nominees submitted by the Nominating Committee, a committee of the 

Board. New offices may be created and filled at any meeting of the Board. 

Terms of offlce for elected Officers shall commence at the beginning of the Annual Meeting of the 

Corporation. Each Officer shall hold office until their successor shall have been duly elected and 

qualified. Members of the Board shall have served as a Director of the Corporation for a period of at 

least one year in order to be eligible for nomination to the office of Chair. 

Removal of Officers 

The Board of Directors may remove an Officer in the same manner as it may remove a Director (see 

Article VII). 

Vacancies 

If the office of Chair becomes vacant, the Vice Chair, if he or she is willing and able to serve, 

otherwise the Treasurer, if he or she is willing and able to serve, otherwise the Secretary, if he or she 

is willing and able to serve, otherwise a Director elected by the Board and willing and able to serve, 

shall become the Chair. Any vacancy in any other office shall be filled by the Board at its next 

regular Meeting, or at a special Meeting held in part or in its entirety for that purpose. 
An office shall be vacant if the holder of such office dies, resigns, becomes ineligible to hold such 

office, or is removed by the Board. 

compensation and Reimbursement of Ex~enses 

No Officer shall be paid any compensation for service to the Corporation. 

The Board may authorize reimbursement of any reasonable and customary expenses incurred by an 

Officer in the performance of his or her duties. 

Nothing herein contained shall be construed to preclude any Officer from servicing the Corporation in 

any other capacity and receiving compensation therefrom. 

ARTICLE XVI 

COMMITTEES OF THE BOARD 

Establishment of Committees 

The Board of Directors shall have the power to create standing and special committees and/or task 

groups of the Corporation and to define, limit or enlarge the function of any such committee or task 

group consistent with these Bylaws. 

The Chair shall appoint and remove any committee chair(s) and member(s) and fix the terms of such 

appointment(s) unless otherwise prescribed by these Bylaws. 

The Board may assign any matter to any committee, make rules with respect to their governance not 

inconsistent with these Bylaws, and discharge or terminate any such committees. 

The Board shall formulate and adopt General Rules of Procedure for Standing Committees with 

respect to their governance and shall ratify the specific Rules of Procedures for all Standing 

Committees. 

Each Standing Committee may formulate its own specific Rules of Procedure, regulations and 

policies, subject to being consistent with the General Rules of Procedure for Standing Committees. 

Any regulations or policies which affect the rights of the Program Participants, or privileges or 

obligations of the Program Participants, shall be subject to confirmation by the Board of Directors 

before becoming effective. 
Special Committees 

Nominating Committee-The Nominating Committee for Officers of the Board of Directors shall be 

constituted on an annual basis not less than sixty days prior to the Annual Meeting of the Board. The 

Nominating Committee shall consist of three members of the Board who will be Directors at the 

Annual Meeting appointed by the Chair with the concurrence of the Board of Directors. The 

Nominating Committee shall nominate at least one candidate for each elective corporate office. All 

nominees shall then be consulted to determine their wiIlingness to undertake the duties of the position 

to which the committee shall nominate them. Not less than fifteen days before the Annual Meeting, 

the Nominating Committee shall submit its recommended slate of candidates to the Board of 

Directors. The candidates for each respective corporate office receiving the largest number of votes in 

the election of Officers held at the Annual Meeting, or as soon thereafter as conveniently possible, 

shall be elected. 

Executive Committee-The Board of Directors may delegate such powers and authority to the 

Executive Committee, not inconsistent with the laws of STATE, or these Bylaws, as in its discretion 

is deemed warranted. Actions of the Executive Committee shall be reported to the Board of Directors 

for ratification at the next Board Meeting following said action, or actions. The Executive Committee 

shall consist of not less than three nor more than five members and shall be chaired by the 

Corporation's President, who may also be the Chair of the Board of Directors, and its members shall 

consist of all duly elected officers, and the Executive Director, who shall have voting rights. In 

addition to the Officers of the Board, and the Executive Director of the Corporation, the Board may 

elect up to two members to the Executive Committee who are not duly elected Officers of the 

Corporation to serve on the Executive Committee. Failing to elect said additional members, the 

Chair may appoint additional members to complete the roster of up to five members of the Executive 

Committee. The President, or if none, the Chair of the Board, shall preside. A majority of the 

members of the Committee shall constitute a quorum for the transaction of business and any action 

taken shall be valid providing it is affirmatively passed by a majority of the members of the entire 

Executive Committee. Vacancies shall be filled in the manner prescribed by Article XIV section 4. 

Standinp Committees 

Technical Committee-The Technical Committee shall be responsible for the continued 

maintenance of the test methods, rating methodologies, and minimum criteria for certification. The 

Chair of the Technical Committee may be the Corporation's Technical Director, if such person is 

employed by the Corporation, or may be employed by one of the Program Participants. The 

committee shall serve as the Corporation's liaison to the relevant committees of domestic and 

international standards-writing bodies, which shall include ASTM, IEEE, and IEC, and shall keep the 

Board of Directors apprised of domestic and international standards, methodologies, and developments 

of procedures which may affect the Corporation' s product certification programs. The Technical 
Committee shall be charged with maintenance of Document PV-3 and, additionally, shall perform 

such other duties and tasks as may be assigned by the Chair or the Board of Directors. 

Laboratory Accreditation Committee-The Laboratory Accreditation Committee shall be charged with 

defining and implementing, and thereafter continually monitoring and overseeing, the Corporation's 

Laboratory Accreditation Program, including the maintenance of Document PV-1. The Committee's 

Chair may be employed by one of the Participants in the Certification Program. 

Product Certification Committee-The Product Certification Committee shall be charged with 

defining and implementing, and thereafter continually monitoring and overseeing, the Corporation's 

Certification Procedures, which are the operational procedures developed on the basis of Document 

PV-2. This Committee shall also have the responsibility for maintaining Document PV-2, and any 

changes required thereto as a result of changes to ANSI 234.1 and IS0 Guide 28. This committee 

shall be composed of the Chairpersons of all other Standing Committees of the Corporation. 

Committee on Manufacturer's Ouality-Svstem Com~liance-The Committee on Manufacturer's 

Quality-System Compliance shall be charged with defining and implementing, and thereafter 

continually monitoring and overseeing, the requirements of Section 6 of Document PV-2. The 

principal requirement for selection of the Chair shall be that the person chosen shall have background 

in quality system management, compliance, or auditing (either internal or external). This Committee 

shall use Quality-System Assessors who are not employed by a Certification Program Participant 

either as an employee or consultant in any capacity. 

Committee on Licensing Com~liance-The Committee on Licensing Compliance shall be responsible 

for defining and implementing the Corporation's provisions for licensing its Certification Mark and 

Certificate and for development of procedures for monitoring compliance by Participant 

manufacturers, and for review of licensing violations brought to its attention. 

Audit and Finance Committee-The Audit and Finance Committee shall be Chaired by the Treasurer 

of the Corporation, and shall include the Executive Director of the Corporation as a voting member. 

The duties of the Committee shall include (1) preparation of industry audits of product sold, which 

shall include compliance estimates related to revenues received from participants based on product 

sold, and (2) preparation, annually and as otherwise requested by the Chair or the Board of Directors, 

of recommendations for approval by the Board of the orderly receipt, expenditure and disbursement of 

the Corporation's funds. The Committee shall be responsible for the preparation and submittal of the 

Corporation's annual budget. The Committee shall also from time to time review income and 

expenditures to ensure that the Corporation's objectives can be adequately met. 
Committee on &meals and Dis~utes-The Committee on Appeals and Disputes shall be chaired by 

the President of the Corporation, who may be the Chair of the Board of Directors, and shall be 

comprised of Board Members or employees of Program Participants who do not serve on other 

Standing Committees. 

Article XVII 

CORPORATE SEAL 

The Board of Directors shall provide a suitable seal containing the name of the Corporation and the 

place and year of incorporation. 

The Corporate Seal shall be maintained in the custody of the Secretary of the Corporation, or the 

Secretary's designee. 

Article XVIII 

FISCAL YEAR & AUDIT 

The fiscal year of the Corporation shall be from January 1 through December 31. 

An audit of the books and records of the Corporation shall be made at least every five years by a 

Certified Public Accountant and a copy of the audit shall be available in the administrative offices for 

inspection by any Director of the Corporation. 

Article XIX 

DISSOLUTION OF THE CORPORATION 

In the event of the dissolution or final liquidation of the Corporation, the Board shall, after making 

provisions for the payment of all liabilities of the Corporation, dispose of all the assets of the 

Corporation in such manner, or to such organization ox organizations organized and operated 

exclusively for charitable, educational or scientific purposes as shall at the time qualify as an exempt 

organization or organizations under Section 501(c) of the Internal Revenue Code, or the corresponding 

provision of any United States Internal Revenue Law in force at the time, as the Board shall 

determine. 
Article XX 

CONTRACTS, CHECKS, DEPOSITS AND FUNDS 

Contracts 

The Board may authorize its Administrative Staff, any Officer or Officers, agent or agents of the 

Corporation, in addition to the Officer so authorized by these Bylaws, to enter into any contract or 

execute and deliver any instrument in the name of and on behalf of the Corporation. 

Such contract authority may be general or confined to specific issues at hand. 

Checks. Drafts. and Deposits 

All checks, drafts or other orders for payment of money, or notice of other evidence of indebtedness 

incurred in the name of the Corporation, shall be signed by such Officer, or Officers, Agent or Agents 

of the Corporation in such manner as shall from time to time be determined by resolution of the Board 

of Directors. 

All funds of the Corporation shall be deposited from time to time to the credit of the Corporation bank 

or trust company, or other depositories, as the Board of Directors my select. 

Non-~rofit Character 

The Corporation shall not afford any pecuniary gain, incidentally or otherwise, to its Directors, elected 

Officers. or committee volunteers. 

The Corporation's directors, officers and committee volunteers shall have no personal liability for 

carrying out their corporate duties and obligations. 

Article XXI 

BOOKS & RECORDS 

The Corporation shall keep correct and complete books and records of accounts, and shall also keep 

minutes of the proceedings of its Board, and shall keep at its registered or principal office a record 

giving the names and addresses of those entitled to vote. All books and records of the Corporation 

may be inspected by any Director or the Director's agent or attorney for any proper purpose at any 

time within normal business hours. 
Article XXXI 

INDEMNIFICATION 

The Corporation shall indemnify, either via the corporation or through a suitable liability insurance 

carrier, to the extent permitted by the laws of STATE, every individual who has been or now is (1) a 

duly appointed or elected Director or duly appointed or elected Alternate of the Corporation; or (2) a 

duly elected or appointed Officer of the Corporation; or (3) an employee of the Corporation in the 

performance of the Employee's specified duties; or (4) any person who may have been or is now 

serving the Corporation at the Corporation's request as a representative, Director, or Officer of another 

corporation, whether for profit or not for profit. 

The individuals identified in the previous paragraph shall be indemnified against expenses actually 

and necessarily incurred by him, or her, in connection with the defense of any action, suit or 

proceeding in which he, or she, is named a party by reason of being or having serviced in such 

capacity as described above, except in relation to matters to which he, or she, shall be adjudged in 

such action, suit or proceeding, to be Iiable for negligence or misconduct in the performance of a duty. 

Such indemnification shall not be deemed exclusive of any other rights to which such individual, or 

individuals, may be entitled under any Bylaw, agreement, vote of the Board of Directors, or otherwise. 

Article XXIl[I 

AMENDMENTS TO BYLAWS 

These Bylaws by be altered, amended, or repealed by affhnative majority vote of two-thirds of all 

Directors eligible to vote if at least fifteen day's written notice is given of the intention to alter, 

amend, repeal or adopt new Bylaws prior to convening a Meeting of the Board of Directors for the 

stated purpose, or where one of the stated purposes, is to so alter, amend, repeal or adopt new Bylaws. 

Article XXIV 

AMENDMENTS TO THE ARTICLES OF INCORPORATION 

Amendments to the Articles of Incorporation shall be made in the following manner: The Board of 

Directors shall adopt a resolution setting forth the proposed amendment and directing that it be 

submitted to a vote at the next meeting of the Board of Directors. Written notice setting forth the 

proposed amendment or a summary of the changes to be affected thereby shall be given to each 

Director entitled to vote at least 30 days prior to the Meeting of the Board of Directors at which the 

proposed amendment is to be considered. The proposed amendment shall be adopted upon receiving 

the affirmative vote of at least two-thirds of all Directors eligible to vote. 

Photovoltaic Module Certification Corporation (PMCC) 

General Rules of Procedure 

for 

Standing Committees 

SECTION I: AUTHORITY 

1.1 By the authority of the Photovoltaic Module Certification Corporation (PMCC) Board of Directors, 

the Executive Committee has duly constituted the establishment of standing committees. 

1.2 These Rules of Procedure shall govern the operations of each standing committee. 

1.3 These rules may be modified by each standing committee to meet its particular needs but may not be 

modified in any manner which would contravene the purpose and objectives of PMCC as defined by 

the Board of Directors, or which would substantively alter the due process rights afforded herein. Any 

modifications proposed by a standing committee must be approved by a two-thirds majority of the 

voting members of the standing committee, and by a two-thirds majority of the voting members of the 

PMCC Board of Directors, and by a two-thirds majority of the Participating Manufacturers in the 

Certification Program. 

SECTION 2: SCOPE AND OBJECTIVES 

2.1 Each standing committee is to perform the functions and fulfill the responsibilities assigned to it by 

the PMCC Executive Committee, acting for the Board of Directors. 

2.2 The standing committees shall develop standards and protocols, and shall render decisions which 

insure the greatest benefit for the largest number, yet protect all interests and not seriously injure 

anyone. 

2.3 The standing committees shall not engage in influencing enactment of building or other codes, or in 

propaganda, or in other activities designed to influence legislation. 

SECTION 3: ORGANIZATION 

3.1 Each standing committee shall, at its first meeting, set forth in detaiI its proposed scope and 

objectives in a manner consistent with the scope and objectives more generally set forth by PMCC in 

establishing any such standing committee. Upon adoption of its specific rules of procedure and its 

proposed scope and objectives by a two-thirds majority of the voting membership of the standing 

committee, said proposal shall be submitted to PMCC for review, modification if necessary, and 
approval. Once approved by PMCC, the proposed scope and objectives shall be set forth as 

Attachment "A thereto and shall be incorporated into the rules of procedures with the same force and 

effect as if originally included therein. 

Every good-faith effort shall be made to have the membership of the standing committee reasonably 

balanced so as to include representation of various affected interests, except to the extent that certain 

classes of members who represent affected parties may be excluded from membership on certain 

committees because of conflicts of interest. 

The standing committee officers shall consist of a Chair, Vice Chair and Secretary. The Chairs of 

standing committees shall be appointed by the President of PMCC. The Vice Chairs and Secretaries 

of standing committees shall be appointed by the Chairs of the affected standing committees and shall 

be approved by a simple majority of both the PMCC Board of Directors and members of the standing 

committee. 

If the Chair is absent, the Vice Chair shall preside. If both the Chair and the Vice Chair are absent, 

the committee shall select one of its members to act as temporary Chair. Any standing committee 

member may hold more than one of the offices described herein. 

Subcommittees may be established by each standing committee as required. 

The standing committee Chairs shall be from Participating Manufacturers in the PMCC Certification 

Program. 

Standing committees may be added, or eliminated, at the discretion of the President of PMCC upon 

approval by a simple majority of the Board of Directors. Currently active standing committees shall 

be listed, along with brief scope statements, in Appendix 1 attached hereto. 

29 SECTION 4: SPECIFIC DUTIES OF THE COMMITTEE 

30 

31 4.1 The specific duties of each standing committee shall be specified by the President and approved by 

32 the Board of Directors of PMCC. 

33 

34 4.2 These specific duties shall be framed in suitable language and contained in Section 4, Specific Duties 

35 of the Committee, Specific Rules of Procedure, for each standing committee. 

36 

37 
I SECTION 5: DUTIES OF COMMIT'IXE OFFICERS AND MEMBERS 

2 

3 5.1 CHAIR 

4 

5 5.1.1 The standing committee Chairs shall be appointed by the President of PMCC. 

6 

7 5.1.2 CommitteeChairsshall: 

8 

9 

10 

11 

12 

13 

14 

15 

16 

17 

18 

19 

20 

21 

22 

23 

24 

25 

26 

27 

28 

29 

30 

31 

n 

33 

34 

35 

36 

5.1.2.1 Preside at all meetings. 

5.1.2.2 Prepare agendas for all meetings. 

5.1.2.3 Be charged with the responsibility of ensuring that detailed written records of discussions, 

including minutes of committee meetings, decisions, drafts of proposed documents, 

amendments thereto, and dissenting opinions are accurately kept by the Secretary, forwarded 

to the President and Executive Director of PMCC and made accessible to all Participating 

Manufacturers and the public. 1 

5.1.2.4 Ensure that reports on the activities and progress of the standing committees are prepared and 

submitted to the President and Executive Director on a regular basis. 

5.1.2.5 Appoint such subcommittees as necessary to assist in the operation of the committee. All 

actions of such subcommittees are subject to confirmation by the full committee and by the 

President of PMCC. 

5.1.2.6 Notify the Executive Director and President in the event that any committee member has 

failed to attend two consecutive committee meetings or failed to cast a vote on any written 

ballot. 

5.1.2.7 Review and, if satisfied, submit, with approval, invoices reflecting expenses incurred by 

technical committee and subcommittee members to the Executive Director of PMCC for 

payment if payment of expenses has been authorized by the Executive Director. 

5.1.2.8 Be an ex-officio, nonvoting, advisory member of all subcommittees and working groups. 

~N.B. While the deliberations and actions of the PMCC must be "open" to public scrutiny, the actual 

procedures for ensuring "openness" should be reviewed by competent counsel. 
VICE CHAIR 

Committee Vice Chairs shall be appointed by the respective Committee Chairs and approved by the 

PMCC Board of Directors and members of the applicable committee. 

The Vice Chairs shall: 

5.2.2.1 Preside at meetings and perform such other duties as are required by the absence of the 

respective Chairs. 

5.2.2.2 Perform such additional duties as may be delegated to himor her by the Chair, or that may be 

delegated to him or her by the Specific Rules of Procedure for the applicable committee. 

SECRETARY 

Committee Secretaries shall be appointed by the respective Committee Chairs and approved by the 

PMCC Board of Directors and members of the applicable committee. 

The Secretaries shall attend all meetings of the applicable committee, and keep the minutes thereof, 

and shall circulate copies of minutes of committee meetings to members of the applicable committee, 

and to the Executive Director, President, and designated counsel of PMCC on a timely basis. 

The Secretaries shall issue notices of meetings; conduct correspondence for the applicable 

committee; inform subcommittee members of their appointments and duties; and keep a complete list 

of the members of the applicable committee and subcommittees. All committee records shall be 

available for public review. 

COMMITTEE MEMBERS 

With the advice and consent of a simple majority (more than 50%) of the Board of Directors and of 

the voting Participating Manufacturers, Committee Chairs shall appoint the officers and members of 

the respective standing committees. 

Committee members: 

5.4.2.1 Are expected to attend all meetings of their respective committees and to respond diligently 

to all correspondence. 

5.4.2.2 Shall act as Chair, Vice Chair andlor Secretary of a subcommittee, if appointed. 
1 5.4.2.3 

2 

3 5.4.2.4 

4 

5 

6 5.4.2.5 

7 

8 

9 

10 

I I 5.4.2.6 

12 

13 

14 

15 SECTION 6: 

16 

Shall act as Liaison to other standing committees, if appointed. 

Shall responsibly and diligently exercise voting privileges and cast a vote on each ballot 

issued for the applicable committee. 

Shall promptly notify either the President and Executive Director of PMCC of any procedural 

irregularities he or she may have reason to believe exist. If not satisfied with resolution of the 

matter, he or she may petition to the PMCC Board of Directors for review of the 

determination rendered by the President and Executive Director. 

Shall notify the Executive Director of PMCC in the event that the Chair of the applicable 

committee has failed to attend two consecutive committee meetings, or has failed to cast a 

vote on any written ballot. 

REMOVAL OF MEMBERS OF STANDING COMMITTEES 

17 6.1 Should a standing committee member fail to attend two consecutive committee meetings or fail to 

18 cast a vote on two consecutive written ballots, either personally or through a properly appointed 

19 alternate, or proxy, the President of PMCC, upon being so notified by the Standing Committee Chair, 

20 shall consider, and may direct with the approval of a two-thirds majority of the members of the Board 

21 of Directors, that said member shall be removed from the standing committee. 

22 

23 6.2 Should the absent or nonvoting member of a standing committee be the Chair of the said committee 

24 that fails to meet the criteria stated in paragraph 6.1, it shall be the responsibility of the standing 

25 committee as a whole, or any member thereof, to notify the President and the Executive Director of 

26 PMCC. 

27 

28 SECTION 7: MEETINGS 

29 

30 7.1 The standing committees shall meet at least twice annually or as otherwise directed by the President 

31 of PMCC, or the Executive Director acting on behalf of the President. Notice must be given 

32 committee members at least 60 days in advance of the meeting. A proposed agenda shall accompany 

33 the notice of meeting. 

34 

35 Additional meetings may be called by the Chairs of the respective standing committees, and must be 

3 called by the Chair of any standing committee at the request of more than 50% of the committee 

37 membership. Notice must be given to committee members 30 days in advance of the meeting when 

38 practical. For emergency meetings, a minimum notice of 48 hours will be provided. During periods in 

39 which PMCC may be under any contractual obligation to develop standards, procedures, protocols or 

40 other documentation, each standing committee involved in the development of said standards, 
procedures, protocols, etc., shall meet ill accord with a schedule to be prepared by the standing 

committee and approved by the President of PMCC, said schedule to meet the minimum requirements 

of such contracts. 

A minimum of a two-thirds majority of the committee membership must be present at each meeting in 

order to conduct business. Proxies shall not be permitted. A committee member may designate in 

writing to the Chair an alternate to represent the member at specific committee meetings. Any such 

alternate, if approved by the committee, shall have voting power and shall be counted as a member in 

attendance for the purpose of determining a quorum and conducting business. The President of 

PMCC shall be promptly notified of all such alternates. 

The rules contained in Robert's Rules of Order2 shall govern the committee in all cases to which they 

are applicable and in which they are not inconsistent with the Rules of Procedure of the applicable 

committee as stated in its Specific Rules of Procedure. 

All interested parties, including members of the general public, shall be permitted to attend meetings 

of the following standing committees: Executive Committee, Technical Committee, Laboratory 

Accreditation Committee, and Product Certification Committee (see Footnote 1, Section 5.1.2.3). 

The Chair may recognize any observer for the purpose of permitting succinct oral comments on 

relevant points, provided the orderly conduct of the meeting will not be disrupted. However, written 

comments by observers attending meetings shall be encouraged and shall be duly accepted and 

considered. 

All dissenting views and the reasons in support thereof shall be stated with particularity. After 

consideration, written comments shall be prepared in response to all dissenting viewpoints, indicating 

action taken by the committee and the reasons therefor. All such dissenting views and actions taken . 

by the committee in response thereto shall be duly recorded and maintained in the minutes of the 

meetings. 

The committees shall at all times maintain complete records including minutes of all meetings. 

These records shall include copies of all voting ballots, dissenting opinions and replies thereto, and all 

alternative viewpoints considered by the committee. 

Each standing committee shall submit regular reports to the President and the Executive Director 

detailing the activities and progress of the committee. Such reports may be presented in the format 

required by the President of PMCC. 

2~ased on Robert's "Rules of Order," the monograph by 0. Garfield Jones "Parliamentary Procedure at a 

Glance, New Edition," LCCCN 77-161641, Hawthorn Books, 260 Madison Ave., New York, NY 10016, 1971. 
1 7.8 During periods in which PMCC is under any contractual obligation to develop standards, procedures, 

2 protocols, documentation, etc., each standing committee involved in the development of said 

3 documentation shall submit a progress report to the President of PMCC on a monthly basis, and shall 

4 submit their required contributions to any technical or other reports required by the contract to be 

5 furnished by PMCC to the contracting sponsor. 

6 

7 SECTION 8: VOTING PROCEDURE 

All votes relating to standards, procedures, and protocol approval shall be by written ballot. The 

Secretary of the said committee shall prepare a written ballot for each vote to be taken by members of 

the affected committee at the request of the Chair, or upon the request of more than 50% of 

committee members, presented to the Secretary through the Chair of any standing committee. 

The ballots must provide sufficient information to permit an informed vote on a proposed standard, 

procedure, protocol, etc. The ballot must include the following four options with the accompanying 

description of each option. 

(1 ) Vote AKirmative 

(2) Vote Affirmative with Comment 

a) Member agrees with the standard but desires to make editorial changes such as word 

and sentence clarification, styling, metric equivalents, etc. 

(3) Vote Negative 

a) A negative vote requires a reason to be validated. 

b) Member must give a specific and detailed discussion of the objection to the 

standard, procedure, protocol, or document, or to specific language in said standard, 

procedure, protocol, or document, substantiating his or her position with appropriate 

data and references. 

(4) Vote Abstain 

a) Member lacks expertise. 

b) Abstention by ballot helps validate due process because it is included in computing 

the number of ballots required to validate all voting. 

Each committee member shall be provided one ballot. The ballots shall be returned by hand, through 

the mail, or by facsimile, to the Secretary of the committee, who shall compile the results and notify 

the Chair of the committee. A voting member must be permitted a minimum of 30 days to return any 

ballot. The Chair shall inform the membership of the committee, and the President and Executive 

Director of PMCC, of the results as promptly as possible. 

A minimum return of 90% of the ballots, or ballots from all committee members except one, 

whichever is the lesser number, is required to validate the vote on a ballot. A minimum of a two-thirds 

majority of the sum of the affirmative and negative votes cast must be affirmative for the standard, 
procedure, protocol or document to be accepted by the committee. The number of abstentions 

returned shall not exceed one third of all ballots mailed in order for the results to be considered valid. 

The committee must consider all the negative votes and comments appearing thereon. Each negative 

vote will be discussed and classified as either: 

Non-Related, or Non-Relevant 

a) Negative votes that lack any meaningful comment. 

b) By a vote of a two-thirds majority of the members present and voting, the committee 

can vote to overrule the objection and to disregard it. 

Non-Persuasive 

a) Opinion is poorly supported, or in obvious error. 

b) By a vote of a two-thirds majority of the members present and voting, the committee 

can vote to overrule the objection and to disregard it. 

Uphold 

a) The standard, procedure, protocol or document shall be revised in accordance with 

the objection if: 

b) A two-thirds majority of the members present and voting uphold the objection. If so, 

the standard, procedure, protocol or document will be sent to the appropriate standing 

committee, subcommittee or task group, with appropriate comment, for revision. If 

returned to a subcommittee, the standard should be re-submitted for approval to the 

applicable standing committee with a new subcommittee or task-group ballot. 

All requirements set forth herein relating to written ballots shall apply to written ballots issued for 

voting by subcommittees and task-groups of standing committees. 

26 SECTION 9: PROCEDURE FOLLOWING APPROVAL OF PROPOSED STANDARDS, PROCEDURES, 

27 PROTOCOLS, DOCUMENTS, ETC. 

28 

29 9.1 Upon the approval of any proposed standards, procedures, protocols, or documents, the affected 

30 standing committee shall submit a final report to the President of PMCC for review and approval by 

31 the Board of Directors. The final report shall include: 

The data considered by the committee. 

The data supportive of and contrary to the proposed standard, procedure, protocol or 

document. 

Results of the balloting. 

The recorded objections to the proposed standard, procedure, protocol or document. 

Copies of all the committee minutes. 

Names and affiliations of the members who worked on the affected standing committee. 

Identification of all organizations or individuals who are not members of PMCC or a standing 

committee who participated in development of the proposed standard, procedure, protocol or 
1 document, as well as a description of the extent of the participation of any such 

2 organizations. 

3 (8) Any such additional information or reports as may be requested by the President or the 

4 Executive Director, or a Board Member of PMCC. 

5 

6 9.2 Special procedures as required by the scope and duties of specific standing committees as defined in 

7 the Specific Rules of Procedure for specific standing committees. 

8 

9 SECTION 10: PROCEDURAL REVIEW AND APPEAL 

The PMCC Board of Directors, serving as the sponsoring group for photovoltaic module certification 

standards, procedures, protocols and documents developed by the standing committees of PMCC, is 

vested with and retains the ultimate responsibility for insuring that said standards, procedures, 

protocols and documents are developed, reviewed, revised or withdrawn in a fair and equitable 

manner and that all interests are adequately represented in any such action. 

The scope of review by the PMCC Board of Directors, with the exception of the determination of 

whether new standards, procedures, protocols and documents shall be developed, shall be limited to 

the determination that all rules of procedure are being, or have been, diligently adhered to by the staff 

of PMCC and the standing committees and all duly established subcommittees. PMCC shall not 

initiate the development of new standards, procedures, protocols and documents without the approval 

of the PMCC Board of Directors. 

Any interested person claiming to be adversely affected by these Rules of Procedure, or failure to 

comply with these Rules of Procedure, may petition the PMCC Board of Directors for review. 

If a member of a standing committee has reason to believe that procedural irregularities exist, the 

member shall first notify the President, or Executive Director, of PMCC. If not satisfied with the 

resolution offered by the President andlor the Executive Director, the member may petition the PMCC 

Board of Directors for review of the matter. 

The PMCC Board of Directors shall entertain all appeals relating to procedural matters, including 

appeals related to committee balance and representation of affected interests. The Board shalI 

promptly decide on each petition and issue a written response. 

Upon completion of the procedural review and final determination by the PMCC Board of Directors 

that these Rules of Procedure have been fully met, the Board shall direct the Executive ~irector to 

arrange for final publication of the approved standards, procedures, protocols or documents. 
Appendix 1 

Standing Committees 

of the 

Photovoltaic Module Certification Corporation (PMCC) 

Executive Committee 

Technical Committee 

Laboratory Accreditation Committee 

Product Certification Committee 

Committee on Manufacturer's Quality-System Compliance 

Committee on Licensing Compliance 

Audit and Finance Committee 

Appeals Board 
Photovoltaic Module Certification Corporation (PMCC) 

Specific Rules of Procedure 

for the 

APPEALS COMMITTEE 

SECTION 1: AUTHORITY 

1.1 By the authority of the Photovoltaic Module Certification Corporation (PMCC) Board of Directors, 

the Executive Committee has duly constituted the establishment of an Appeals Committee. 

1.2 These Rules of Procedure shall govern the operations of the Appeals Committee. 

1.3 Except as provided herein, the General Rules of Procedure for Standing Committees are incorporated 

by reference in these rules, and shall be deemed to apply to the conduct of the affairs of the Appeals 

Committee. In the event of a conflict between specific provisions of the General Rules and these 

Rules of Procedure, the applicable provisions of these Rules of Procedure for the Appeals Committee 

shall take precedence. 

SECTION 2: SCOPE AND OBJECTIVES 

The Appeals Committee shall have overaIl responsibility for resolution of disputes, complaints and 

appeals. 

The Board of Directors shall approve of resolutions of all disputes, complaints and appeals. 

The Appeals Committee shall receive, hear, consider and attempt to resolve the following: 

2.3.1 Appeals of decisions affecting participating manufacturers. 

2.3.2 Disputes between a program-accredited testing laboratory and an applicant, or participating, 

manufacturer. 

2.3.3 Disputes between participants and the Executive Director, or staff, of the PMCC. 

2.3.4 Complaints from third parties such as purchasers of PMCC-certified product, other end users, 

or other manufacturers. 

2.3.5 Complaints referred to the Appeals Committee by other Standing Committees of the 

Corporation. 
1 SECTION 3: ORGANIZATION 

2 

3 3.1 Members of the Appeals Committee may also be members of the PMCC Board of Directors, but may 

4 not be members of any other Standing Committee of the Corporation. 

5 

6 3.2 The Chair shall be appointed by the President of PMCC. 

7 

8 3.3 The Appeals Committee shall consist of not less than five nor more than seven members deemed by 

9 the Committee Chair and the Board of Directors to have the requisite background, education, and experience 

10 pertinent to the Corporation's Photovoltaic Module Certification Program. At least three members of the 

11 Appeals Board shall have a technical background with a knowledge of photovoltaic technologies. 

12 

13 SECTION 4: SPECIFIC DUTIES OF THE APPEALS BOARD 

As its first items of business, the Appeals Committee shall ratify and adopt, or revise subject to 

approval by the Board of Directors, the Procedures for Handling Complaints, Appeals and Disputes 

contained in Document PV-4 O~erational Procedures Manual - Photovoltaic Module Testin?, 

Certification and Labeling Promam. 

The types of appeals that will be accepted for resolution shall include: 

Denials of participation. 

Denials of certification. 

Disputes relating to test results. 

Disputes relating to rated performance levels. 

Disputes of audited findings of product sold. 

Complaints from third parties, other committees, etc. 

The Appeals Committee shall have the prerogative of calling for opinions from qualified outside 

consultants, and shall as a matter of course request the consultation of the Chairman of the affected 

Standing Committee. 

38 SECTION 5: GENERAL PROVISIONS 

39 5.1 Sections 5 through 10 of the General Rules of Procedure for Standing Committees are incorporated by 

40 reference and shall be deemed as the rules of procedure for the Appeals Committee. 
Photovoltaic Module Certification Corporation (PMCC) 

Rules of Procedure 

for the 

AUDIT AND FINANCE COMMITTEE 

1 

2 

3 

4 

5 

6 

7 SECTIONl: AUTHORITY 

8 

9 1.1 By the authority of the Photovoltaic Module Certification Corporation (PMCC) Board of Directors, 

10 the Executive Committee has duly constituted the establishment of an Audit and Finance Committee. 

11 

12 1.2 These Rules of Procedure shall govern the operations of the Audit and Finance Committee. 

13 

14 1.3 Except as provided herein, the General Rules of Procedure for Standing Committees are incorporated 

15 by reference in these rules, and shall be deemed to apply to the conduct of the affairs of the Audit and 

16 Finance Committee. In the event of a conflict between specific provisions of the General Rules and 

17 these Rules of Procedure, the applicable provisions of these Rules of Procedure for the Audit and 

18 Finance Committee shall take precedence. 

19 

20 SECTION 2: SCOPE AND OBJECTIVES 

21 

22 2.1 The Audit and Finance Committee shall have oversight responsibility for the financial operations of 

23 the PMCC. 

24 

25 2.2 The Audit and Finance Committee shall establish liaison with the Audit and Finance Committee with 

26 respect to (1) the format and structure of the License Agreement, and (2) keeping the Audit and 

27 Finance Committee informed of audit results of certified product sold. 

28 

29 2.3 The Audit and Finance Committee shall ensure that (I) the application fees, manufacturer's plant 

30 inspection fees, and licensing fees charged by PMCC are sufficient to maintain a positive cash flow 

31 and to provide adequate reserves for the Corporation, and (2) to the extent possible the manufacturers 

32 report accurately the annual volume of certified product sold. 

33 

34 SECTION 3: ORGANIZATION 

35 

36 3.1 The Chair shall be the Treasurer of the Corporation. 

37 
1 3.2 The Audit and Finance Committee shall consist of not less than five' nor more than seven members 

2 deemed by the Committee Chair and the Board of Directors to have the requisite financial, budgeting 

3 and administrative backgrounds and education, or experience in lieu thereof, pertinent to the 

4 Corporation's Photovoltaic Module Certification Program. 

5 

6 SECTION 4: SPECIFIC DUTIES OF THE AUDIT AND FINANCE COMMITTEE 

As its first items of business, the Audit and Finance Committee shall: 

Establish the structure and level of the fees that shall accompany Applications for 

Certification by PMCC. 

Establish the site inspection and quality system assessment fees associated with the 

evaluation of Applicant's ability to consistently manufacture quality product, and establish 

the upper limit to laboratory test fees that will be charged to Applicants (providing contracts 

between PMCC and the testing laboratory(ies) are used). 

Establish the basis for, and level of, the compensation to be rendered to PMCC by 

participating manufacturers for the license (license fee) giving the manufacturer the right to 

use PMCC's Mark, or label, and/or Certificate of Conformity. 

Establish the method and frequency by which manufacturers will report the quantity of 

certified product sold on an annual basis. 

Establish and maintain the method of audit, and the depth (completeness) of audit, designed 

to ascertain the veracity of the manufacturer's reports of certified product sold. 

The Audit and Finance Committee shall apply its auditing procedures to all participating 

manufacturers on a regular, periodic basis as an ongoing responsibility of the Committee. 

The Audit and Finance Committee shall have as a minimum the following additional duties: 

4.3.1 Notification of the Committee on Licensing Compliance of any and all discrepancies found in 

auditing manufacturer's reports of product sold. 

1It is anticipated that, during the first several months after the formation of this committee, five members may 

not be readily available to serve on this committee. If so, it will then be necessary for the Committee to 

modify these rules to coincide with the number of persons available to serve, but in no event shall the number 

of members be less than three. 
4.3.2 Notification of the Committee on Licensing Compliance of any and all discrepancies found 

either in other auditing techniques that may be developed, or in any third-party notifications 

that are brought to the attention of the Audit and Finance Committee. 

4.3.3 Provide budget projections at regular intervals to the Executive Director, the President and the Board 

of Directors of the Corporation. 

SECTION 5: GENERAL PROVISIONS 

5.1 Sections 5 through 10 of the General Rules of Procedure for Standing Committees are incorporated by 

reference and shall be deemed as the rules of procedure for the Audit and Finance Committee, 

Photovoltaic Module. Certifkation Corporation (PMCC) 

Specific Rules of Procedure 

for the 

LABORATORY ACCREDITATION COMMITTEE 

SECTION 1 : AUTHORITY 

1.1 By the authority of the Photovoltaic Module Certification Corporation (PMCC) Board of Directors, 

the Executive Committee has duly constituted the establishment of a Laboratory Accreditation 

Committee. 

1.2 These Rules of Procedure shall govern the operations of the Laboratory Accreditation Committee. 

1.3 Except as provided herein, the General Rules of Procedure for Standing Committees are incorporated 

by reference in these rules, and shall be deemed to apply to the conduct of the affairs of the 

Laboratory Accreditation Committee. In the event of a conflict between specific provisions of the 

General Rules and these Rules of Procedure, the applicable provisions of these Rules of Procedure for 

the Laboratory Accreditation Committee shall take precedence. 

SECTION 2: SCOPE AND OBJECTIVES 

2.1 The Laboratory Accreditation Committee shall define and implement, and thereafter continually 

monitor and oversee, the Corporation's Laboratory Accreditation Program. 

2.2 The Committee shall maintain Document PV-1 by ensuring that its provisions continually reflect 

changes in the published requirements of IS0 Guides 25 and 38. 

2.3 The Laboratory Accreditation Committee shall, as one of its first action items, initiate contact with 

American Association for Laboratory Accreditation (A2LA), which shall be requested to provide 

laboratory assessments and accreditation services in support of the Corporation's Photovoltaic Module 

Certification Program, said laboratory assessments to conform to PMCC Document PV-I. 

SECTION 3: ORGANIZATION 

3.1 The Laboratory Accreditation Committee shall consist of not less than five1 nor more than seven 

11t is anticipated that, during the first several months after 

not be readily available to serve on this committee. If so, 

modify these rules to coincide with the number of persons 

of members be less than three. 

the formation of this committee, five members may 

it will then be necessary for the Committee to 

available to serve, but in no event shall the number 
1 members deemed by the Committee Chair and the Board of Directors to have the requisite technical 

2 background and education, or experience in lieu thereof, in laboratory practices dealing with 

3 photovoltaic technologies pertinent to the Corporation's Photovoltaic Module Certification Program. 

4 

5 SECTION 4: SPECIFIC DUTIES OF THE LABORATORY ACCREDITATION COMMITTEE 

6 

7 4.1 As its first items of business, the Laboratory Accreditation Committee shall: 

8 

9 4.1.1 Accept and ratify, or modify, and adopt PMCC Document PV-1, entitled Criteria for a Model 

10 Oualitv Svstem for Laboratories Engazed in Testing Photovoltaic Modules. 

11 

12 4.1.2 Provide for the notification, or advertisement, of the intention of the Corporation to provide 

the photovoltaic manufacturing community with a product certification program, and the 

solicitation of laboratories that are interested in providing test services in support of the 

PMCC module certification program. 

17 4.1.3 Provide for the advertisement and solicitation of persons who are technically proficient in 

18 photovoltaic laboratory test technologies and who (1) have experience in quality-systems 

19 auditing, or are willing to receive training in laboratory quality-systems assessment, and 

a0 (2) are interested in working with A2LA as paid laboratory quality-system auditors in the 

21 assessment of photovoltaic testing laboratories on a contract basis. 

22 

23 4.2 The Laboratory Accreditation Committee shall provide recommendations, liaison, and technical 

24 support to the Corporation's Technical Committee in the event that initially, or at any future time, the 

Technical Committee undertakes the development of a photovoltaic proficiency test procedure that 

may be used by A2LA and PMCC in determining the capability of test laboratories to perform 

photovoltaic testing as one criteria in determining the test laboratory's capability to render quality test 

services to the Program's participating module manufacturers. 

As one of its initial items of business, the Laboratory Accreditation Committee shall, in conjunction 

with A2LA, arrange for any training required of potential assessors in (1) quality-system auditing if 

said potential assessors are experienced in photovoltaic testing technology but are not familiar with 

quality-systems standards, or (2) photovoltaic testing technologies in test methods relevant to the 

Corporation's certification program, if said potential assessors are experienced in quality-systems 

auditing but not in the relevant photovoltaic technologies. 

The Committee shall consider the establishment of a nominal laboratory accreditation fee that is in 

addition to that imposed on the laboratory by A2LA, and that is paid directly to the Corporation for the 

privilege of testing photovoltaic modules in support of the PMCC certification program. The 

Committee shall consider this issue, and the amount of fees to be levied, on an annual basis, and 
shall provide such recommendations to the Board of Directors as may be required. 

The Laboratory Accreditation Committee shall develop the criteria for selecting either (a) several 

accredited test laboratories to support the Corporation's module certification program, or (b) a single 

accredited test laboratory. These criteria shall be reconsidered on at least an annual basis and any 

changes deemed necessary, or desirable, shalI be communicated to the Board of Directors as a 

recommendation for adoption as a policy of the Corporation. 

As necessary, the Committee shall develop and maintain, and from time to time modify criteria, 

procedures, and relevant checklists for between-assessment surveillance visits and review of the 

quality-system and testing capabilities of laboratories chosen to provide testing in support of the 

Corporation's certification programs. Criteria and procedures developed in connection with said 

laboratory surveillance shall be communicated to the Board of Directors as a recommendation for 

adoption as a policy of the Corporation. 

16 SECTION 5: GENERAL PROVISIONS 

17 

18 5.1 Sections 5 through 10 of the General Rules of Procedure for Standing Committees are incorporated by 

19 reference and shall be deemed as the rules of procedure for the Laboratory Accreditation Committee. 

m 

Photovoltaic Module CeM~cation Corporation (PMCC) 

Rules of Procedure 

for the 

LICENSING COMPLIANCE COMMITTEE 

SECTION 1 : AUTHORITY 

1.1 By the authority of the Photovoltaic Module Certification Corporation (PMCC) Board of Directors, 

the Executive Committee has duly constituted the establishment of a Committee on Licensing 

Compliance. 

1.2 These Rules of Procedure shall govern the operations of the Committee on Licensing Compliance. 

1.3 Except as provided herein, the General Rules of Procedure for Standing Committees are incorporated 

by reference in these rules, and shall be deemed to apply to the conduct of the affairs of the 

Committee on Licensing Compliance. In the event of a conflict between specific provisions of the 

General Rules and these Rules of Procedure, the appIicabIe provisions of these Rules of Procedure for 

the Committee on Licensing Compliance shall take precedence. 

SECTION 2: SCOPE AND OBJECTIVES 

2.1 The Committee on Licensing Compliance shall have overall responsibility for tracking compliance of 

manufacturers with respect to the License Agreement, and shall establish formal liaison with the 

Audit and Finance Committee. 

2.2 The Committee on Licensing Compliance shall ensure that (1) the licensing protocols remain 

consistent with industry needs, (2) the requirements of Document PV-2 are maintained consistent with 

the criteria dealing with licensing compliance, and (3) participating manufacturers are provided with 

due process with respect to the issuance of notices of non-compliance, corrective actions and notices 

of potential cancellation of the License. 

SECTION 3: ORGANIZATION 

3.1 Membership on the Committee on Licensing Compliance and the Audit and Finance Committee may 

include the same person or persons. 

3.2 The Chair shall be appointed by the President of PMCC. 
1 3.3 The Committee on Licensing Compliance shall consist of not less than five1 nor more than seven 

2 members deemed by the Committee Chair and the Board of Directors to have the requisite 

3 background, education, and experience pertinent to the Corporation's Photovoltaic Module 

4 Certification Program. 

5 

6 SECTION 4: SPECIFIC DUTIES OF THE COMMITTEE ON LICENSING COMPLIANCE 

As its first items of business, the Committee on Licensing Compliance shall: 

4.1.1 Accept, ratify and adopt the Licensing Agreement that is contained in PMCC Document 

PV-4 entitled O~erations Manual for the PMCC Photovoltaic Module Certification Promam. 

Any modifications or changes to the Licensing Agreement shall be submitted to the PMCC 

Board of Directors for Approval. 

4.1.2 Develop appropriate procedures for monitoring licensing compliance by participating 

manufacturers. 

The Committee on Licensing Compliance shall review complaints of licensing violations received by 

PMCC from third parties, including users and purchasers of the certified product, and other 

manufacturers. 

The Committee on Licensing Compliance shall first notify the affected manufacturer of the complaint, 

taking care to protect the identity of the complainant, and shall request a response from the 

manufacturer. 

Upon determination that the complaint of violation of the Licensing Agreement is valid, the 

Committee on Licensing Compliance shall immediately demand that a verifiable Corrective Action 

be taken by the manufacturer, and that the appropriate evidence be furnished to the Committee. 

Upon receiving incontrovertible proof that a licensing violation may be of sufficient gravity to 

immediately justify the cancellation of the manufacturer's license, the Committee shall prepare a 

report of the violation for the Board of Directors, citing the violation. 

If, after review of a manufacturer's Corrective Action response to the notice of a violation, the 

Committee on Licensing Compliance considers the Corrective Action to be sufficient, it shall so 

notify the Board of Directors. 

1It is anticipated that, during the first several months after the formation of this committee, five members may 

not be readily available to serve on this committee. If so, it will then be necessary for the Committee to 

modify these rules to coincide with the number of persons available to serve, but in no event shall the number 

of members be less than three. 
1 46.1 On the contrary, if the Corrective Action is considered to be insufficient, or if the 

2 manufacturer either refuses to respond, or procrastinates in responding, the matter shall be 

3 referred to the Board of Directors for the appropriate action. 

4 

5 SECTION 5: GENERAL PROVISIONS 

6 

7 5.1 Sections 5 through 10 of the General Rules of Procedure for Standing Committees are incorporated by 

8 reference and shall be deemed as the rules of procedure for the Committee on Licensing Compliance. 

9 

Photovoltaic Module CeMication Corporation (PMCC) 

Rules of Procedure 

for the 

MANUFACTURIER'S QUALITY-SYS'IEM COMPLIANCE COMMITTEE 

SECTION 1 : AUTHORITY 

1.1 By the authority of the Photovoltaic Module Certification Corporation (PMCC) Board of Directors, 

the Executive Committee has duly constituted the establishment of a Committee on Manufacturer's 

Quality-System Compliance. 

1.2 These Rules of Procedure shall govern the operations of the Committee on Manufacturer's QuaIitySystem Compliance. 

1.3 Except as provided herein, the General Rules of Procedure for Standing Committees are incorporated 

by reference in these rules, and shall be deemed to apply to the conduct of the affairs of the 

Committee on Manufacturer's Quality-System Compliance. In the event of a conflict between 

specific provisions of the General Rules and these Rules of Procedure, the applicable provisions of 

these Rules of Procedure for the Committee on Manufacturer's Quality-System Compliance shall take 

precedence. 

SECTION 2: SCOPE AND OBJECTIVES 

The Committee on Manufacturer's Quality-System Compliance shall have overall responsibility for 

establishing and maintaining the criteria presented in Appendix 2 of Document PV-2, Model for a 

Third-Party Certification and Labeling Program for Photovoltaic Modules. 

The Committee shall administer the application of the criteria to candidate manufacturers that have 

submitted applications for certification under the rules and protocols established for the program. 

The objectives of the Committee on Manufacturer's Quality System Compliance shall be to (1) 

determine the existence of a quality program resident at the participant's manufacturing plant, 

(2) determine the degree of compliance practiced by the candidate manufacturer with respect to 

Appendix 2 of Document PV-2, (3) encourage compliance, and (4) provide clear and concise 

instructions on the corrective actions necessary for admittance to the Photovoltaic Module 

Certification Program. 
1 SECTION 3: ORGANIZATION 

2 

3 3.1 Representatives of manufacturers and program participants shall be excluded from membership on the 

4 Committee on Manufacturer's Quality-System Compliance. 

5 

6 NOTE 1-Membership on the Committee on Manufacturer's Quality-System Compliance and the 

7 Product Certification Committee may include the same person or persons. 

8 

9 3.2 The Chair shall be appointed by the President of PMCC. 

10 

11 3.3 The Committee on Manufacturer's Quality-System Compliance shall consist of not less than five1 nor 

12 more than seven members deemed by the Committee Chair and the Board of Directors to have the 

13 requisite product certification background and education, or experience in lieu thereof, in photovoltaic 

14 technologies pertinent to the Corporation's Photovoltaic Module Certification Program. 

15 

16 SECTION 4: SPECIFIC DUTIES OF THE COMMITTEE ON MANUFACTURER'S QUALITY-SYSTEM 

17 COMPLIANCE 

As its first items of business, the Committee on Manufacturer's Quality-System Compliance shall: 

4.1.1 Accept, ratify and adopt Appendix 2 of Document PV-2 entitled Model for a Third-Partv 

Certification and Labeling - Program for Photovoltaic Modules. Any modifications or changes 

to Appendix 2 shall be submitted to the PMCC Board of Directors for Approval. 

4.1.2 Provide for formal liaison to the Product Certification Committee on Licensing Compliance. 

The Committee on Manufacturer's Quality-System Compliance shall be responsible for all product 

certification matters to be considered in the PMCC Photovoltaic Module Certification Program. 

The Committee on Manufacturer's Quality-System Compliance shall have as a minimum the 

following additional duties: 

4.3.1 Select, train, or cause to be trained, assessors who will audit applicant manufacturer's quality 

systems. 

-- 

1It is anticipated that, during the first several months after the formation of this committee, five members may 

not be readily available to serve on this committee. If so, it will then be necessary for the Committee to 

modify these rules to coincide with the number of persons available to serve, but in no event shall the number 

of members be less than three. 
1 

2 

3 

4 

5 

6 

7 

8 

9 4.3.2 

10 

11 

12 4.3.3 

13 

14 

15 4.3.4 

16 

17 

18 SECTION 5: 

19 

NOTE 2-The terms "assessors" and "auditors" will be used interchangeably for the purposes 

of this program. 

NOTE 3-Manufacturers of photovoltaic modules who are registered or otherwise certified to 

comply with ANSLJASQC 49001 or 49002, IS0 9001 or 9002, or EN 24001 or 24002, shall be 

required only to provide evidence of such to be placed in consideration for certification by 

PMCC. 

Schedule and perform, or cause to be performed, initial site visits and assessments of the 

applicant's manufacturing plant and the quality system resident thereat. 

Evaluate assessment reports and issue corrective action requests as required by the assessor, 

or auditor, as amended by the Committee. 

Evaluate corrective action responses and render decisions as to the suitability of the 

manufacturer for inclusion in the PMCC program. 

GENERAL PROVISIONS 

5.1 Sections 5 through 10 of the General Rules of Procedure for Standing Committees are incorporated by 

21 reference and shall be deemed as the rules of procedure for the Committee on Manufacturer's Quality22 System Compliance. 

23 

Photovoltaic Module Certification Corporation (PMCC) 

Rules of Procedure 

for the 

PRODUCT CERTIFICATION COMMITTEE 

SECTION 1: AUTHORITY 

1.1 By the authority of the Photovoltaic Module Certification Corporation (PMCC) Board of Directors, 

the Executive Committee has duly constituted the establishment of a Product Certification 

Committee. 

1.2 These Rules of Procedure shall govern the operations of the Product Certification Committee. 

1.3 Except as provided herein, the General Rules of Procedure for Standing Committees are incorporated 

by reference in these rules, and shall be deemed to apply to the conduct of the affairs of the Product 

Certification Committee. In the event of a conflict between specific provisions of the General Rules 

and these Rules of Procedure, the applicable provisions of these Rules of Procedure for the Product 

Certification Committee shall take precedence. 

SECTION 2: SCOPE AND OBJECTIVES 

2.1 The Product Certification Committee shall have oversight responsibility for the Operational 

Procedures of the product certification program adopted by the PMCC Board of Directors. 

2.2 The Product Certification Committee shall ensure that (1) the program protocols remain consistent 

with industry needs, and (2) the requirements of Document PV-2 are maintained consistent with the 

criteria and provisions of ANSI 234.1 and ISOAEC Guide 28 dealing with third-party certification 

programs. 

SECTION 3: ORGANIZATION 

3.1 Representatives of manufacturers and program participants shall be excluded from membership on the 

Product Certification Committee. 

NOTE 1-Membership on the Product Certification Committee and the Committee on Manufacturer's 

Quality-System Compliance may include the same person or persons. 

3.2 The Chair shall be appointed by the President of PMCC. 
1 3.3 The Product Certification Committee shall consist of not less than five1 nor more than seven members 

2 deemed by the Committee Chair and the Board of Directors to have the requisite product certification 

3 background and education, or experience in lieu thereof, in photovoltaic technologies pertinent to the 

4 Corporation's Photovoltaic Module Certification Program. 

5 

6 SECTION 4: SPECIFIC DUTIES OF THE PRODUCT CERTIFICATION COMMITTEE 

As its first items of business, the Product Certification Committee shall: 

4.1.1 Accept, ratify and adopt PMCC Document PV-2, entitled Model for a Third-Party 

Certification and Labeling Program for Photovoltaic Modules. Any modifications or changes 

to Document PV-2 shall be submitted to the PMCC Board of Directors for Approval. 

4.1.2 Provide for formal liaison to the Committee on Manufacturer's Quality-System Compliance 

and the Committee on Licensing Compliance. 

The Product Certification Committee shall be responsible for all product certification matters to be 

considered in the PMCC Photovoltaic Module Certification Program. 

The Product Certification Committee shall have as a minimum the following additional duties: 

Review, evaluate and approve, or disapprove, of the results of all qualification and electrical 

performance tests submitted by the laboratory(ies) accredited and selected for testing to the 

requirements of the Photovoltaic Module Certification Program. 

Review problem applications forwarded by the Executive Director of the PMCC Program. 

Request additional information such as retest, explanations, etc., as appropriate, including 

testing by a referee laboratory(ies) when required. 

Render final decision on the suitability of applicant's product for certification. 

Establish and issue a performance value, and authorize the Executive Director to issue a 

license to use the mark andor certificate of conformity. 

1It is anticipated that, during the first several months after the formation of this committee, five members may 

not be readily available to serve on this committee. If so, it will then be necessary for the Committee to 

modify these rules to coincide with the number of persons available to serve, but in no event shall the number 

of members be less than three. 
1 SECTION 5: GENERAL PROVISIONS 

2 

3 5.1 Sections 5 through 10 of the General Rules of Procedure for Standing Committees are incorporated by 

4 reference and shall be deemed as the rules of procedure for the Product Certification Committee. 

5 

Photovoltaic Module Certification Corporation (PMCC) 

Specific Rules of Procedure 

for the 

TECHNICAL COMMITTEE 

SECTION 1 : AUTHORITY 

1.1 By the authority of the Photovoltaic Module Certification Corporation (PMCC) Board of Directors, 

the Executive Committee has duly constituted the establishinent of a Technical Committee. 

1.2 These Rules of Procedure shall govern the operations of the Technical Committee. 

1.3 Except as provided herein, the General Rules of Procedure for Standing Committees are incorporated 

by reference in these rules, and shall be deemed to apply to the conduct of the affairs of the Technical 

Committee. In the event of a conflict between specific provisions of the General Rules and these 

Rules of Procedure, the applicable provisions of these Rules of Procedure for the Technical 

Committee shall take precedence. 

SECTION 2: SCOPE AND OBJECTIVES 

2.1 The Technical Committee shall be responsible for the selection and adoption of the test methods, 

23 rating methodologies, and minimum criteria for photovoltaic module certification. The Committee 

24 shall maintain liaison with the appropriate committees and subcommittees of ASTM, IEEE, IEC, and 

25 ISO. 

26. 

27 2.2 The Technical Committee shall maintain Document PV-3, and shall ensure that the test methods and 

28 rating methodologies contained therein are consistent with industry needs and are up to date in terms 

of the state of the art relating to test methods, standards, and protocols. It shall be the policy of the 

Technical Committee to use, wherever possible, test methods, standards, protocols and specifications 

that have been developed, either domestically or internationally, by consensus procedures and 

processes. Further, it shall be the policy of the Committee to use, to the extent possible, 

international standards that have been promulgated in IECTTC82 and ISO/TC180. 

SECTION 3: ORGANIZATION 

3.1 The Chair may be the Technical Director of the Corporation providing such a person is employed for 

that purpose. 
1 3.2 The Technical Committee shall consist of not less than five nor more than seven members deemed by 

2 the Committee Chair and the Board of Directors to have the requisite technical background and 

3 education, or experience in lieu thereof, in photovoltaic technologies pertinent to the Corporation's 

4 Photovoltaic Module Certification Program. 

5 

6 SECTION 4: SPECIFIC DUTIES OF THE TECHMCAL COMMITTEE 

As its first items of business, the Technical Committee shall: 

4.1.1 Accept and ratify, or modify, and adopt PMCC Document PV-3, entitled Testing 

Reauirements for a Certification and Labeling Pro~am for Photovoltaic Modules. 

4.1.2 Provide for committee liaison to the relevant technical committees and subcommittees of 

IEEE, ASTM, the U.S. TAG for IECtTC82, and the U.S. TAG for ISOlTC180. 

4.1.3 Provide for formal liaison to the Laboratory Accreditation Committee the principle purpose of 

which is to establish equitable and thorough evaluation criteria and procedures. 

The Technical Committee shall be responsible for all technical matters to be considered in the PMCC 

Photovoltaic Module Certification Program. 

Proficiency Test Procedure: 

4.3.1 A Proficiency Test Procedure shall be developed by the Technical Committee to aid the 

laboratory quality assessor, or assessors, and the Laboratory Accreditation Committee, in 

evaluating the module testing proficiency and capabilities of candidate testing laboratories. 

4.3.2 The Proficiency Test Procedure will be for use by laboratories that have applied for 

accreditation in support of the Corporation's module certification program. 

4.3.3 In evaluating the concept of a photovoltaic Proficiency Test Procedure, the Committee shall 

ensure that PV module performance measurements are accurate and repeatable, and that 

laboratories involved shall participate in round-robin testing in collaboration with appropriate 

national and international laboratories to establish accurate and reliable test values against 

which candidate independent testing laboratories may be judged. 

4.3.4 The Committee shall be responsible for providing its technical expertise to the Laboratory 

Accreditation Committee with respect to interpretation of the results of testing the 

photovoltaic Proficiency Test Procedure by candidate testing laboratories. 
1 SECTION 5: GENERAL PROVISIONS 

2 

3 5.1 Sections 5 through 10 of the General Rules of Procedure for Standing Committees are incorporated by 

4 reference and shall be deemed as the rules of procedure for the Technical Committee. 

5 

Annex G 

Partial Business Plan for the PMCC 
Partial Business Plan for the PMCC 

Table of Contents 

Benefits of a certification program 

Marketing brochure 

Table G-1: Marketing contact list 

Table G-2: Draft initial operating budget 
Benefits of a Certification Program 

Increased sales due to customer confidence in the product. A certification program will 

differentiate mature technology products from products that do not meet reliability or 

performance standards; poor quality modules and the module manufacturer may be exposed due 

the inability to pass the certification requirements and potential module failure in the field. 

Reduced cost of qualification testing1. A nationally and internationally accepted certification 

program will eliminate the need for multiple qualification tests (e.g., JPL Block IV and V; NRELJ 

SEN IQT; CEC 503; IEEE 1262; IEC 1215, PVUSA) and eliminate the need for a manufacturer 

to conform to a variety of specifications by various customers. It could also eliminate the need 

for customers to develop their own procurement qualification/performance specifications (e.g. the 

PVUSA qualification specification). Also, UL would accept the certification [rogram certified 

tests which are common to UL 1703, if certain conditions are met2. 

Nearly all large purchases of energy systems are highly competitive and such purchases usually 

have some stringent requirements for performance and durability. A single certification program 

will eliminate or minimize potential conflicting requirements. 

When there are incentive-based purchases (such as those by groups of utility companies), the 

purchasing agency is likely to insist on some level of performance, durability, and safety. A 

consensus-driven certification program simplifies these types of purchase. 

A certification program provides for faster module qualification than testing to a broad selection 

of qualification standards (since there is only one specification to deal with), communications are 

easier with a single entity (the certification body) and rules of procedures eliminate common 

testing or procedural problems (or provides a ready solution to such problems). 

The program facilitates communications between supplier and customer by establishing common 

terminology. 

Leverage for reciprocity with potential European, Japanese, and other international certification 

programs (for example, via a memorandum of understanding). 

Simplified purchase contracts. The vendor specifications could simply require the product to 

have the PV certification label. 

Increased competitiveness in the international market. 

The program increases the certainty of passing a "rated power" test (such as PWSA testing) for 

system acceptance (e.g., Yuma Proving Grounds). 

A certification program reduces a manufacturer's product liability by sharing that liability with 

the certification body, the testing laboratory, and the accreditation body. 

These costs will be quantified in a companion document to be developed. 

The following is per correspondence with Tom Lundtveit (UL) dated January 12, 1995: 

UL would accept the certified tests (from a certification program) for UL 1703, provided either of the 

following are met: 

UL witnesses and supervises all tests, or 

UL certifies the test lab, in which case, UL would accept the data as if UL conducted the tests. 

Certification of the test lab would require an initial assessment of about $6,000. Annual assessments 

would also be necessary, which would cost about $2,000 annually. Living and travel expenses are extra. 

In addition, if long distance travel is involved, for example a foreign country, travel time at $1,200 per day 

needs to be factored in. 
Benefits of developing a U.S. PV certification program versus using a European (e.g. ESTI), 

Japanese, or other foreign certif~cation programs 

The total cost of a U.S. program will be less than a non-U.S. program3. Annual audits and 

inspections will be less expensive if done by a domestic organization. 

An effective certification program must be actively marketed to major users by the certifying 

organization. A domestic program will be less expensive to market to local users, and the local 

users will be more inclined to accept the domestic program. Management personnel of a domestic 

certification program are much more likely to actively market the PV certification program to the 

U.S. manufacturers' benefit. 

U.S. manufacturers can provide significant input for a domestic program, since some 

manufacturers will participate in the establishment and management of such an organization 

(e.g., board members and technical committee members). 

Faster certification; no shipping delays with a domestic lab; communications are easier and more 

timely. 

Simpler certification; no international documents. 

A U.S. program stimulates U.S. business. 

Testing can be monitored and problems discussed in-person, rather than being performed at a 

distant place where test methods and interpretation of results are subject to language barriers and 

political considerations. 

Greater acceptance of U.S. PV modules by major U.S. purchasers (government and private). 

General Comments by Committee Members 

This education is absolutely in the right direction. 

This educational program must emphasize the lower costs and simplified purchasing aspects of 

such a program. 

Don't make too snazzy a marketing blitz; it wont give the impression of lower costs. 

Include testimonials or examples from other industries showing how such a program inevitably 

saves costs. A survey of associated transaction costs sent to executives may be the first step. 

These costs will be quantified in a companion document to be developed. 

G-4 
Specific Comments and Questions by Committee Members 

Comment 1. The only customer request for certification is for UL certification. 

Response 1. The only existing certification program for PV today is the UL certification program. 

However, nearly all industrial, commercial and institutional customers (e.g., SMUD, PG&E, PVUSA, 

DOD), require a module qualification test. The UL certification is often an additional requirement. For 

years both domestic and international buyers required JPL Block V qualification tests. There is no longer 

a single internationally accepted qualification test. Buyers (domestic and international) are requiring any 

one of the following tests: JPL Block IV or V, SERI/NREL IQT, CEC 503, IEC 121 5, or PVUSA - and 

more are on the way (e.g. IEEE 1262)!. Are you going to perform all of these tests in order to sell to a 

variety of customers? 

The UL 1703 specification addresses safety issues and the UL Label on a module provides confidence 

that the module is safe. It says little or nothing about the reliability or performance of a product. 

JPL Block IV and V, SERI/NREL IQT, CEC 503, IEC 1215 and PVUSA address issues related to module 

performance, safety, and susceptibility to known failure mechanisms, with emphasis on testing for 

potential degradation of module performance resulting from environmental weathering, mechanical 

loading, corrosion, and shadowing.. These tests provide confidence that the module will perform reliably 

in the field. 

It is important to make the distinction between module qualification tests and module certification. 

Module qualification testing is a one-time test for a given module type. A module certification program 

may perform the same qualification test, but it also includes other requirements to ensure continuing 

compliance, such as an initial and periodic audits of the factory, plus spot checks of module performance 

and reliability (in the same manner that UL maintains a license with their clients). 

Comment 2. The time frame does not appear to be any shorter than other certification programs (i.e., 

FSEC suggests two months to one year). 

Response 2. There are no other certification programs (except UL l7O3)! The proposed PV Certification 

program, when properly marketed, would provide a nationally and internationally recognized 

performance/qualification test Label which could eliminate the time and expense for a manufacturer to 

qualifying to JPL Block IV and V, SERINREL IQT, CEC 503, IEC 1215 and PVUSA and others which 

are being developed. 

The minimum time required to perform any of the above qualification tests is about 60 days, since the 

thermal cycle test (200 cycles) requires 50 days. The full battery of test would typically take 90-120 days, 

depending on the available equipment for parallel testing. If there is a backlog of testing to be done, it 

could take longer than 120 days. 

Doing one internationally accepted certified qualification/performance test is certainly faster that five of 

the existing qualification tests. And it is not only the actual qualification test that requires time. 

Negotiating, for example, with a potential buyer who requires the JPL Block V qualification test that the 

PVUSA test is equally valid, may take a considerable amount of time. These negotiations do occur on a 

regular basis with many of the PV manufacturers. And yes, some customers still call out JPL Block V. 
Comment 3. UL is nationally and internationally accepted - why should we be duplicating or incumng 

additional costs? 

Response 3. Yes, UL is accepted both nationally and internationally, but the UL program is focused on 

eroduct safetv. The UL Label gives the user of the product confidence that the product is safe from 

electrical shock and fire hazards. Major PV purchasers also want to know that the PV module is reliable 

and that the advertised performance values are valid. The proposed PV Module Certification Program is 

intended to provide this assurance. 

Comment 4. UL Certification has acceptance and I see no evidence that State, local or municipality 

inspectors would be willing to accept anything else. 

Response 4. State local and municipalities generally inspect to ensure compliance with safety standards 

(NEC and UL) and local ordinances. The PV Certification Corporation would petition the state and local 

government agencies to endorse the PV certification program for product reliability and durability 

requirements. And if the state and local government agency is the PURCHASER of the product, they will 

have much to gain (and nothing to lose) by requiring PV module certification. And, yes, they will 

continue to require the UL Label. 

Comment 5. Quality and cost of the product are what we believe will increase our competitive advantage 

in the international market, not a new certification program. 

Response 5. A certification program will verify the quality of a product, by an independent third-party 

testing organization. Third-party testing generally has much more credibility than the claims of a 

manufacturer. A certification program will also prevent a supplier (i.e., your competitor) from making 

false claims about quality, reliability, durability and performance, and taking business on low price. The 

solar thermal certification program (Solar Rating and Certification Corporation) is a good example of a 

certification program that has weeded out inferior products, instilled confidence in buyers and stimulated 

the market. 

Comment 6. JPL, NREL, or PWSA or other demonstration projects could waive their qualification test 

requirements for UL certified modules - they do not - they should. 

Response 6. They do not and they should not provide such waivers. The UL Label provides assurance of 

a safe product, but says little about product reliability, durability and performance. The proposed PV 

Module Certification program would provide assurance of product reliability, durability and 

performance. 
Comment 7. Marketing costs for a new certifying organization could be deployed elsewhere in the 

industry to give US manufacturers a competitive advantage. UL already has this acceptance. 

Response 7. Nearly every major industry has found it cost effective to implement certification programs 

- from solar thermal collectors to the automotive industry. The photovoltaic industry has matured to the 

point where a module certification program for reliability and performance will be cost-effective. Such a 

program will reduce the total cost of convincing the buyer that the product is reliable and meets advertised 

performance values. The Label will also separate the quality products from the inferior products! 

You may be interested in the very pertinent points made by one of our new committee members: 

Nearly all large purchases of energy systems are highly competitive and such purchases usually have some 

stringent requirements for performance and durability. A s,&& certification program will eliminate or 

minimize conflicting requirements. 

When there are incentive-based purchases (such as those by groups of utility companies, e.g., UPVG), the 

purchasing agency is likely to insist on some level of performance, durability, and safety. A consensusdriven certification program simplifies these types of purchases. 

... a consensus certification program is faster, simpler, and cheaper ... 

Question 1. Who is working the issue of "A nationally and internationally accepted certification program 

will eliminate the need for multiple qualification tests" mentioned in the second bullet? ... 

Answer 1. No one is currently working the issue. This is the task of the Certification Body (probably the 

Executive Director). One of the major activities of the Director is to market the Certification Program. 

This marketing activity is also one of the values of a Certification program. 

Question 2. What prohibits a US test laboratory from getting approval through a non-US certification 

body? Has this approach been investigated? Can we learn anything from the IS0 9000 oversight 

methodology? 

Answer 2. There is no other PV certification bodv in place today, although the EC and ISPRA are 

apparently developing such a program. Travel costs associated with periodic audits of the accredited 

laboratory and manufacturers would be prohibitive unless local US auditors were used. If US auditors are 

used, then the remaining negatives is the difficulty is communicating with an international organization, 

and US organizations has less influence over such a program. 

Question 3. What are the likely difference among the US, EC and Japanese programs? 

Answer 3. The non-US certification programs will likely cost more and the US manufacturers will 

probably not be members of the certification body board (and thus will have little control over the 

program). 
Question 4. When was the last time you looked into a manufacturer's certification pedigree before buying 

a product for the first time or repeat purchases? Does it matter what label is on a product before you buy 

it? Ultimately it's the product's performance against the customer's expectations that matters. 

Answer 4. The Label must be properly marketed before it has value. Properly marketed, the Label will 

be synonymous with customer confidence (performance, reliability and durability) in the product. And 

properly marketed, the Label will be required as a condition of purchase for maior customers. (In the'area 

of safety, UL has done a superb job of marketing their Label. How many appliances have you purchased 

that did not have the UL label?) It is not enough for the manufacturer to claim good performance, 

reliability and durability, since most customers have neither the equipment to perform the required tests 

nor the patience to wait one to five years for a product to prove satisfactory. The Label will provide 

confidence that the product meet minimum standards today and, due to continued factory audits of a 

certification urosmrn, that the Labeled product purchased next month or next year will also be satisfactory. 

Question 5. Footnote ii: What is the certification criteria in the statement "UL would accept the certified 

tests for UL 1703 if UL certifies the test lab"? Is this redundant to the requirements listed in "Criteria for 

a Module Quality System for Laboratories Engaged in Testing Photovoltaic Modules (PV- 1, Rev. c l? 

Answer 5. After the proposed PV module certification program is established for performance, reliability 

and durability, many major buyers will require this label as well as the UL label for safety. Many of the 

test will be the same, such as 200 thermal cycles from -40C to +90C. If the thermal cycling test is 

performed for IEEE 1262 qualification, UL would accept the results of this for the UL 1703 Label if the 

conditions of footnote ii are met. Otherwise, this test will have to be repeated (another $10K!) for the UL 

label. 

Testinq 

resting to the requirements of PMC Doc. 

PV-3 will eliminate the need for conforming 

to multiple qualification testing programs, 

hcludmg JPL Block V, NREL IQT, CEC 

503, IEEE 1262, IEC 1215, and PVUSA. 

Module qualifmtion tests are conducted in 

au ce with IEEE 1262. In addition, a 

Ba Performance Test is performed tc 

verifL the rnanufhcturer's measured I-V 

curve data, and an Electrical Performam 

Test is required to determine the module's 

peak output power. 

To obtain information 

Contact Mr. Steve Chalmers, PowerMark 

Coporation, to request an application and 

additional information. 

Announcing 

National Program 

for 

Testing, Certification 

and Labeling of 

Photovoltaic Modules 
PowerMark Corporation (PMC) was 

formed to provide PV rnanufhcturers with a 

module certification program that, through 

the process of product labeling, attests to 

the module's quality. 

Product certification involves the formal 

process of hcensing the rnanufbcturer to use 

I a Certificate of Codonnity. This program 

involves the use of formal quality system 

criteria for the manuhcturer, PMC itself, 

the test laboratories authorized to perform 

testing in support of the program, and the 

laboratory accreditation body selected by 

PMC. 

PMCts module certification program is 

based on both U.S. and lnternaional 

consensusdeveloped standards. 

Manuficturers are required to conform 

to selected elements of IS0 9001. Laboratories 

are required to be accredited to IS0 Guide 25, 

and PMC has been configured to conform to the 

quality system requirements of ANSI 234.1 & 

IS0 Guide 28. 

Reauirements 

Benefits 

The benefits of a PV module 

certification program are: 

o Provide evidence, e.g., a label, that a 

module meets certain minimum 

requirements. 

Increased sales as a result of customers' 

perceived confidence in the product. 

Potential for reduced costs associated 

with qualification testing. 

Potential reciprocity with European and 

future Japanese certification programs. I 

To join the program, a manufacturer Purchase specifications could simply 

require PMC certification, simplifying 

must sign a licensing agreement, render the PV contracting. 

specified fes to PMC, and submit the required Increased competitiveness in the internumber of modules to a designated laboratory for national marketplace. 

testing to PMC Doc. PV-3 Testing Require- 0 Real improvement, and an increased 

ments for a Cerrification and Labeling Program perception of improvement, in the 

for Photovoltaic Modules. quality of US-manumred photuvoltaic .modules. 
Table G-1. Marketing Contact List 

ORGANIZATION 

Amonix 

Advanced Photovoltaic 

Systems, Inc. 

ASE Americas 

TECHNICAL I MARKETING 1 CEO 

Sewang Yoon I 1 Vahan 

Cheryl Keith 

302-366-0400 

Garboushian 

3 10-325-809 1 

Klaus Albrecht 

President 

508-667-5900 

Allen Barnett 

President 

Besicorp Group, Inc. 

Atlantis Energy 

BP Solar 

302-366-0400 

Corning 

Energy Conversion 

Devices 

. I I 

ENTECH 1 I I W.H. Hesse 

I I 1 President 

EPV (Energy 

Photovoltaics) 

I I 1 617-736-1744 

Golden Photon I Scot P. Albrinht I I 

2 14-456-0900 

Evergreen Solar Jack Kanoka 

6 17-736- 1744 

I Manager - I I 

Mark Farber 

President 

SEIA 

Dan Shugar 

Klaus Albrecht 

Allen Barnett 

Steve Coonen VP 

9 16-274-2743 

Michael Zinn 

President 

9 14-336-7700 

Richard V. Sowte~ 

VP, Sales-Mktg 

713-560-301 1 

Thomas J. Dwyer 

Mgr., Mkt. Dev. 

607-974-4801 

Barbara Levin 

S~ecial Proiects 

8 i 0-280- 1960 

W.H. Hesse 

Zoltan J. Kiss 

President 

609-587-3000 

Mark Farber 

Scot P. Albright 

MAILING ADDRESS 

3545 Lomita Blvd., #A, 

Torrance, CA 90505 

150 Tehama Court, 

San Bruno, CA 94066 

4 Suburban Park Drive, 

Billerica, MA 01821 

Solar Park, 

Newark, DE 19716-2000 

14790 Mosswood, 

Grass Valley, CA 95945 

11 5 1 Flatbush Road, 

Kingston, NY 12401 

PO Box 4587, 

Houston, TX 77210-4587 

Corporate Marketing One, 

Riverfront Plaza, HQ-E 1 -06-C26 

Corning, NY 1483 1k001 

1675 West Maple Road, 

Troy, MI 48084 

PO Box 612246, 

DFW Airport, TX 75261 

PO Box 7456, 

Princeton, NJ 098543 

49 Jones Rd., 

Waltham, MA 02154 

4545 McIntyre Street, 

Golden, CO 80403 
Table G-1. Marketing Contact List (continued) 

ORGANIZATION 

Hoxan America 

Kyocera America, Inc. 

Photocomm Inc. 

Siemens Solar 

Industries 

Solar Cells, Inc. 

Solar Kinetics 

Solarex 

Solec International, 

Inc. 

Spire 

SunPower Corporation 

United Solar Systems 

Cop. 

WtiIity Power Group 

908-980-0777 

Alan Panton 

TECHNICAL 

I I 1 President 

MARKETING 

Robert W. Spotts 

CEO 

602-948-8003 

Don Aldrich 

805-388-653 1 

John Wohlgemuth Leonard May 

301 -698-4375 1 301-698-4200 I 

SEIA 

Thomas R. 

Siebert 

Robert Kauffman 

Dan Sandwisch 

4 19-534-3377 

I Dr. Harvey Forrest 

President 

619-576-2647 

Robert Kauffman 

Eric Daniels 

James Brown 

4 19-537-013 1 

Gus Hutchison 

Richard Swanson I Richard Swanson 1 Richard Swanson I Richard Swanson 

President, 

602-948-8003 

Steve Hogan 

6 17-275-6000x3 12 

Dr. George 

Roland 

President 

8 10-362-4 170 1 10-362-4170 I President 1 Nagashima 

Nagashima 

Joel Davidson 

3 10-970-0065 

4 15-968-3403 

Tmy Glatfelter 

Ishaq Shahryar 

President 

3 10-970-0065 

Roger Little 

President 

4 15-968-3403 1 415-968-3403 

Larry Slominski 1 Shinoichiro 

Gilbert Duran 

818-700-1995 

FAX 

908-980-0488 

Ishaq Shahryar 

Roger Little 

S hinoichiro 

MAILING ADDRESS 

One Centennial Plaza, #3F, 

Piscatawary , NJ 08854 

619-569-9412 

3 13-362-4170 

805-388-6557 4650 Adohr Lane, I Camarillo, CA 93010 

861 1 Balboa Avenue, 

San Diego, CA 92 123 

602-483-643 1 

Michael Sterns 

President 

8 1 8-700- 1995 

419-534-2794 1 1202 N. Westwood Ave, I 

768 1 East Gray Rd., 

Scottsdale, AZ 85260 

I Dallas, T~ 75220 I 

419-537-883 1 

2 24-869-4 158 

301-698-4201 630 Solarex Court, I Frederick, MD 21701 I 

Toledo, OH 43607 

10635 King Williams Drive, 

3 10-970-1065 12533 Chadron Ave, I Hawthorne, CA 90250 I 

415-968-341 8 1 435 Indio Way, I 

617-275-7470 One Patriots Park, 

Bedford, MA 01730-2396 

I Troy, MI 48067 

8 10-362-4442 

Sunnyvale. CA 94086 

1 100 W. Maple Rd., 

8 18-700-25 18 94 10-G DeSoto Ave., 

Chatsworth, CA 9131 1 
Table G-2. Draft Initial Operating Budget 

Note 1: Executive director-50% FTE 1st and 2nd years, 75% 3rd year, 100% 4th and thereafter; starting 

salary, $70kJyear, benefits at 30% of salary. 

Note 2: Office manager-starting salary, $20k/year, benefits at 30% of salary. 

Note 3: 1st year, $400/month for two office combination, including utilities and janitorial. 
REPORT DOCUMENTATION PAGE 

Form Approved 

OMB NO. 0704-0188 

Public reporting burden for this collection of information Is estimated to average 1 hour per response, including the lime for reviewing instructions, searching existing data sources, 

gathering and maintaining the data needed, and completing and reviewing the colledion of Information. Send comments regarding this burden estimate or any other aspect of this 

collection of information, including suggestions for redudng this burden, to Washington Headquarters Services, Directorate for Information Operations and Reports, I215 Jefferson 

Davis Highway, Suite 1204, Arlington, VA 22202-4302, and to the Office of Management and Budget, Pslpe~rark Redudion Projed (0704-0188), Washington, DC 20503. I I I I. AGENCY USE ONLY (~eave bhnk) 1 2. REPORT DATE 1 3. REPORT WPE AND DATES COVERED I August 1996 1 Technical Report 

4. TITLE AND SUBTITLE 

Photovoltaic Module Certification/Laboratory Accreditation Criteria Development: Implementation 

Handbook 

6. AUTHOR(S) 

C.R. Osterwald, R.L. Hammond, B.D. Wood, C.E. Backus, R.L. Sears, G.A. Zerlaut, 

and R.V. D'Aiello 

7. PERFORMING ORGANIZATION NAME(S) AND ADDRESS(ES) 

NREL, Golden, CO 80401 -3393 

Arizona State University, Tempe, AZ 85287-5806 

SC-International, Inc., Phoenix, AZ 85023 

RD Associates, Tempe, AZ 85284 

9. SPONSORING/MONITORING AGENCY NAME(S) AND ADDRESS(ES) 

National Renewable Energy Laboratory 

161 7 Cole Blvd. 

Golden, CO 80401 -3393 

1 1. SUPPLEMENTARY NOTES 

5. FUNDING NUMBERS 

TA: PV660109 

8. PERFORMING ORGANIZATION 

REPORT NUMBER 

10. SPONSORING/MONTTORING 

AGENCY REPORT NUMBER 

1 2a. DISTRIBUTIO WAVAILAB ILlTY STATEMENT I 12b. DISTRIBUTION CODE 

- - 

13. ABSTRACT (Maximum 200 words) 

This document covers the second phase of a two-part program. Phase 1 provided an overview of the structure and function of typical 

product certification/laboratory accreditation programs. This report (Phase II) provides most of the draft documents that will be necessary for 

implementing a photovottaic (PV) module certificationAaboratory accreditation program. These draft documents include organizational 

documents, such as articles of incorporation, bylaws, rules of procedure, and a marketing and educational program. In Phase I, a 30- 

member criteria development committee was established to guide, review, and reach a majority consensus regarding criteria for a PV 

certification/laboratory accreditation program. Committee members represented PV manufacturers, end users, standards and codes 

organizations, and testing laboratories. A similar committee was established for Phase II; the criteria implementation committee consisted of 

29 members. Twenty-one of the Phase I committee members also served on the Phase II committee, which helped to provide program 

continurty during Phase II. 

14. SUBJECT TERMS 

photovoltaics ; photovokaic modules ; module certification ; laboratory accreditation ; 

implementation handbook 

-- 

15. NUMBER OF PAGES 

249 

17. SECURITY CLASSIFICATION 

OF REPORT 

Unclassified 

20. Ll MITATION OF ABSTRACT 

NSN 7540-01 -280-5500 

18. SECURITY CLASSIFICATION 

OF MIS PAGE 

Unclassified 

Standard Form 298 (Rev. 2-89) 

Prescribed by ANSI Std. 239-18 

298-1 02 

19. SECURiTY CLASSIFICATION 

OF ABSTRACT 

Unclassified