Energy Efficiency Rating, Certification and Labeling for Windows and Window Systems

DEPARTMENT OF ENERGY

Energy Efficiency Rating, Certification and Labeling for Windows

and Window Systems

AGENCY: U.S. Department of Energy; Office of Energy Efficiency and

Renewable Energy.

ACTION: Notice of determination.

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SUMMARY: The Energy Policy Act of 1992 (EPAct) requires the Secretary

of Energy to make a determination, within one year of enactment, on

whether a window energy rating and labeling program established by the

National Fenestration Rating Council (NFRC) meets the objectives of the

legislation. If not, the Department is to develop a mandatory rating

program. The Secretary has determined, provided certain conditions are

accepted and met by NFRC, that NFRC's voluntary national window rating

program as it is presently being developed is expected to result in a

program consistent with the objectives of the Federal Government as

established in the Act. The conditions include, but are not limited to,

continued good progress, and completion of a basic window energy rating

program by October 24, 1995. In the interim, the Department of Energy

(DOE) supports NFRC's efforts to establish a uniform, national rating,

certification and labeling program through incorporation of the NFRC

program in Federal, state and local government and national voluntary

codes and standards.

FOR FURTHER INFORMATION CONTACT: Samuel J. Taylor, Office of Building

Technologies, U.S. Department of Energy, 1000 Independence Avenue, SW.,

Washington, D.C. 20585, Tel. 202-586-9214.

SUPPLEMENTARY INFORMATION: Section 121 of the Energy Policy Act of 1992

(EPAct), Pub. L. 102-486, requires the Department of Energy to provide

technical and financial support for development of a voluntary energy

performance rating and labeling program for windows and window systems.

Furthermore, EPAct directs that such voluntary program will be

developed by NFRC, and that it is to be developed according to

``commonly accepted procedures'' [section 121(a)(3)]; and states that

``such a rating program shall include: Specifications for testing

procedures and labels that will enable window buyers to make more

informed purchasing decisions about the energy efficiency of windows

and window systems; and information . . . that will allow window

buyers to assess the energy consumption and potential cost savings of

alternative window products'' [section 121(a)(2)]. This program is

currently being developed by NFRC, a voluntary coalition comprised of

representatives of the building industry, product manufacturers,

utilities, government, and consumer groups. The NFRC, formed in 1989,

has the exclusive purpose of providing a voluntary, nationally-

recognized method for rating the energy performance of fenestration

products, in a fair, accurate and credible manner, and certifying and

labeling these products for consumer comparison and information

purposes.

EPAct also requires that the Department monitor and evaluate the

efforts of the NFRC and make a determination, within one year of

enactment, as to whether the NFRC program is consistent with the

objectives of the legislation. If the program does not meet the

objectives, then the Department is required to proceed to develop a

mandatory window energy performance rating and labeling process. The

EPAct Conference Report, H. Report No. 102-1018, 102nd Congress, 2nd

Session, p. 384 (1992), states that ``commonly accepted procedures''

are those procedures that are recognized by the Federal Trade

Commission or are consistent with Commission policy. The Commission

recognizes ``commonly accepted procedures'' as those which might be

described as being pro-competitive, having a sound technical basis and

discouraging unfair or deceptive acts or practices. Also, the report

addresses the program's implementation and administration, and says

they should be in accordance with ``commonly accepted procedures'', Id.

Furthermore, the Conference Report states: ``It is the intent of the

Conferees that the Secretary shall seek to harmonize these standards

internationally, particularly with standards established or under

development in Canada or Mexico, nations with which the United States

conducts substantial trade. Such harmonization will simplify

enforcement, reduce impediments to trade, and will reduce burdens on

manufacturers.'' Id.

DOE Evaluation and Requirements

Information upon which DOE relied to make its determination, as

well as information further describing EPAct and DOE objectives and

requirements, is listed in this Notice within the paragraph labeled

``Documentation''. To carry out its evaluation, DOE requested from NFRC

certain information in a letter from the Deputy Assistant Secretary for

Building Technologies to the Chairman of NFRC of March 25, 1993 [see

Documentation, item 6]. ``This information would include a description

of the current and planned program and its procedures, scope and

definitions and such other information that may be needed for DOE to

make its evaluation. The planned program would be described in a multi-

year program plan. This plan would describe how NFRC would meet the

requirements of EPAct and should describe the mission, goals and

objectives of NFRC, and identify the resource and program requirements,

research requirements, and intermediate milestones for completing a

window energy rating and labeling program.'' Also DOE elaborated on the

information requirements and explained DOE and EPAct objectives in the

documentation associated with its fiscal year 1993 financial assistance

award to NFRC [see Documentation, item 7]. NFRC provided DOE with its

multi-year plan and other information useful to the evaluation by DOE,

including all NFRC procedures and a copy of documentation provided to

the California Energy Commission which mandated the use of the NFRC

program [see Documentation, items 1 to 5].

In carrying out the evaluation of the NFRC's voluntary program and

resulting determination of conformity with the objectives of EPAct, the

Department has considered two major criteria: The structure of the NFRC

program including requirements for such program elements as technically

credible rating procedures addressing the thermal, optical and energy

performance of windows and window systems, procedures to assure the

fair, accurate and credible implementation and administration of the

energy rating program, certification, accreditation, labeling, and

consumer education; and the extent of adoption of the NFRC program by

manufacturers and recognition by states and voluntary code bodies.

NFRC Program Structure

The Department believes NFRC has made good progress in the

development of the program structure for window energy rating,

labeling, and certification. This progress addresses: a credible

technical basis, internationally recognized, for rating window energy

performance; and an administrative framework for rating, labeling, and

certification. Progress is being made in the development of an

education program aimed at all major end users which affect the

specification or purchase of windows. This progress is described below,

and documentation describing the progress in greater detail is

referenced in the ``Documentation'' paragraph of this Notice. Among

this documentation, the NFRC Multi-Year Plan is important as a

statement by NFRC regarding current progress and a commitment to

certain future progress in meeting EPAct, DOE and membership

requirements. DOE accepts the requirements, particularly the research

requirements, identified in the NFRC plan as important to meeting EPAct

and DOE requirements for the rating program and national energy

savings. DOE expects NFRC to continue to make good progress on meeting

these requirements and certain other requirements identified in this

notice or clarified in subsequent communications with NFRC. DOE expects

NFRC leadership to closely follow progress on meeting these

requirements.

The NFRC has, and continues, to develop a highly credible

scientific and technical basis for the rating of window energy

performance. Historically, the NFRC program grew out of a strong

collaboration among the U.S. and Canadian Governments, and among

national laboratory, university and industry researchers addressing

window energy performance in technical society forums, primarily the

American Society of Heating, Refrigerating and Air-Conditioning

Engineers (ASHRAE) and the American Society for Testing and Materials

(ASTM). In 1989, when NFRC was formed, the NFRC Technical Committee

became the primary forum for this research. Under the Technical

Committee, subcommittees were formed to develop and validate the

technical basis for the different thermal and optical properties,

annual energy performance and durability which comprise a complete

characterization of window energy performance. This research, under

development for over a decade, provided for a thermal performance (U-

Value) rating procedure which was validated by U.S. and Canadian

laboratories. Recently, the technical subcommittees have completed

research for the initial emissivity and solar heat gain coefficient

procedures. Different parts of these procedures are also being adopted

by such organizations as ASTM, ASHRAE and the International Standards

Organization (ISO), and are being reviewed for adoption in several

foreign countries. Though the technical accomplishments are impressive,

more research is needed, as discussed below, to meet DOE and EPAct

objectives.

The NFRC has developed, as part of its Multi-year Plan, a five-year

research plan for completing the establishment of the scientific and

technical framework for a comprehensive energy performance rating,

certification and labeling system. The research plan initially focuses

resources on completing a basic energy rating system which would meet

the minimum requirements for satisfying the objectives of DOE and

EPAct. DOE finds these requirements include, but are not limited to:

The establishment of a validated, internationally accepted, sound

scientific and technical basis for window energy performance to enable

the development of energy rating procedures for residential

applications, and at least limited guidance for architects and

engineers for commercial applications; the development of such energy

rating procedures and technical guidance, as well as procedures for the

major thermal and optical properties; and significant progress on long

term energy performance procedures. The research plan indicates that

less than two years of research should enable completion of the basic

energy rating system. The overall comprehensive 5-year program outlined

within the plan would provide, in the opinion of DOE, for a marketplace

and industry which is responsive to the development, specification and

selection of energy efficient windows and window systems, and other

fenestration products for both residential and commercial building

applications. This plan, when implemented, should produce significant

energy savings. The comprehensive program is expected to accelerate

development and deployment of advanced energy efficient window

technologies beyond that which could be realized under the basic energy

rating program. It would provide the technology to broaden the

application of the rating program in commercial building applications

and upgrade the procedures for residential applications (e.g., more

fenestration types, both conventional and advanced, more building

types, and advanced computer tools to enable more users to specify and

select energy efficient products). It would also complete the

procedures for long term energy performance (durability), including

guidance for determining life cycle costs of window applications.

NFRC's research plan further outlines the additional research and

development activities that are necessary to fully accomplish all of

the objectives of EPAct and DOE's energy saving goals.

NFRC has also established an operational and administrative

framework for implementing a nationally-accepted window rating and

labeling program which, in DOE's opinion, substantially meets the

intent of EPAct. Within this framework, NFRC addresses the development

of rating procedures, technical interpretations, programs for

laboratory accreditation and product certification, and guidelines for

such programs. NFRC has already implemented a rating program for

several components of fenestration energy performance including those

for U-Value, solar heat gain and emissivity, and is pursuing the

development of rating procedures for other thermal and optical

properties and total energy performance properties. The development of

the remaining procedures involves work by the technical committee

members and the significant research, by DOE and others, focused on the

associated technical issues. The adoption of the U-Value procedure is

the culmination of over a decade of Federally-sponsored and private-

industry-supported research. This activity also includes the

development and updating of procedures and program guidelines to assure

the fair and credible implementation and administration of the rating

program and to assure industry and consumer trust in the program.

However, as program implementation proceeds, deficiencies requiring

revised or new guidance will become apparent. For example, there will

need to be guidance for fair, consistent and uniform implementation

among the independent agents (IA) carrying out the NFRC certification

and inspection programs in such areas as ratings challenges, appeals

and reporting procedures. [At this time, the IA's include: American

Architectural Manufacturers Association (AAMA); California Association

of Window Manufacturers (CAWM); National Wood Window and Door

Association (NWWDA; and Southwest Research Institute (SwRI).] Continued

progress is expected in developing and updating procedures which are

pro-competitive and open to innovation, have a sound technical basis,

and discourage unfair or deceptive acts or practices. Also, NFRC, in

updating its procedures, should consider the conformity of the

different elements of its program procedures and their implementation

(e.g., accreditation and quality control) to the applicable standards

set forth by the International Standards Organization (ISO).

Work underway by NFRC technical committees is being closely

coordinated with related work in other countries through such

organizations as the International Standards Organization (ISO), the

International Energy Agency, and through bilateral agreements between

the U.S. and other countries. This effort by NFRC has sought to

establish a common scientific and technical basis for window

performance rating which, in the opinion of the Department, is an

effective approach in complying with EPAct requirements for

international harmonization of standards. This approach presumes the

technical excellence of the common basis for rating, and a willingness

by all parties to move towards adoption of cost-effective rating

procedures which have been demonstrated to be technically superior.

Good progress in this area is expected to continue.

NFRC has also initiated a program which would provide information

to consumers that will support informed purchase decisions. At this

time, a DOE-sponsored building simulation computer program (DOE 2) has

been used to develop a simplified window energy rating computer tool

and sensitivity analyses for development of simple energy rating

indices. The simulation tool has been used to develop draft guidance

for residential window users and the ability to develop a number of

interim consumer information products. However, the procedures for

providing a total energy rating as well as complete energy performance

information upon which consumers could base window purchase decisions

are not yet completed. The research needed to develop and validate such

energy rating procedures should, in the opinion of the Department, be

completed within the two years (from October 1993), as part of the

basic energy rating program. The NFRC information program would

develop, maintain and distribute the information products which meet

the DOE and EPAct requirements to ``enable window buyers to make more

informed purchasing decisions about the energy efficiency of windows

and window systems; and information * * * that will allow window buyers

to assess the energy consumption and potential cost savings of

alternative window products'' [section 121(a)(2)]. ``The DOE defines

`window buyers' broadly as major end users which can significantly

affect the specification or purchase decision. These end users include,

but are not limited to: consumers, builders, architects, utilities,

building standard organizations, among others.'' [see Documentation,

Item 7]

NFRC Program Adoption

The Department considers that the extent of adoption by states and

code bodies, and the level of participation by product manufacturers,

and testing and simulation laboratories show good progress toward

nationwide acceptance of the NFRC program as a viable system for

establishing the uniform energy performance rating and labeling of

windows and window systems. Towards wider adoption of this program,

NFRC has developed and is implementing an Education and Awareness plan.

NFRC members are also actively participating in technical society

(e.g., ASHRAE) standards committees and with regional code

organizations to foster referencing of NFRC standards. NFRC members are

also working with ISO technical committees and foreign standard

organizations to foster recognition of NFRC rating procedures or rating

procedures with a common technical basis.

Several states have adopted or referenced NFRC rating procedures,

or are considering doing so. At least six states have already adopted

the NFRC's procedure for rating the thermal performance of fenestration

products (NFRC 100-91SM). These states include: California,

Oregon, Washington, Alaska, Idaho, and Minnesota. Several other states

are considering adoption of NFRC 100-91SM as a part of their

comprehensive building energy codes.

The NFRC's Certified Product Directory currently lists the NFRC

rated thermal performance in terms of U-Value, the rate of heat loss

due to a temperature difference across the product, for over 5,000

window, door, and skylight products produced by more than one hundred

manufacturers.

Widespread participation exists in the NFRC energy performance

rating, certification and labeling program. This program, to ensure

accuracy and credibility, includes a system of checks and balances

embodied in its three key subprograms: laboratory accreditation,

product certification, and the certification agency program. [see

Documentation, items 1 to 5 for a description of this program and its

elements]. To date, the NFRC has certified the participation of twelve

accredited simulation laboratories, seven testing laboratories, and

four independent certification and inspection agencies to support the

needs of fenestration manufacturers for product testing, certification,

and labeling.

Secretary's Determination

Based on the Department's evaluation of the NFRC's program

structure and current rate of adoption by states and the industry, the

Secretary believes that critical elements of a basic energy performance

rating, certification and labeling program are already operational or

under development and that the program can expand and mature to a level

consistent with the objectives of EPAct within two years. These

critical program elements now operational include the administrative

framework for the rating, labeling and certification program and rating

procedures for certain thermal and optical properties of windows, such

as U-Value and solar heat gain. Other critical elements, such as annual

energy procedures or consumer information on energy performance of

windows have made good progress and are expected to be completed within

two years. The Secretary has therefore made a provisional determination

regarding the acceptability of the NFRC rating program based on current

progress by NFRC and subject to certain conditions being met and a

commitment by NFRC to meet those conditions. The conditions include,

but are not limited to, continued good progress towards, and completion

of a basic window energy rating program which meets the objectives of

the Federal Government as established under the EPAct and other

relevant legislative or executive authority, by October 24, 1995. The

Department shall continue to monitor, evaluate and provide periodic

assessments of the NFRC's progress in developing, according to commonly

accepted procedures, the basic energy rating, certification and

labeling program and its procedures and program guidelines, and will be

looking for continuation of substantial progress toward completion of

the basic program structure. The Department shall also monitor the

extent of adoption of the NFRC program by state regulatory bodies, and

market acceptance of the program as established by the percentage of

total product sales carrying NFRC labels. The Department's continued

evaluation of progress will require certain information from NFRC such

as periodic updates of the multi-year plan, and intermediate measures

of progress on the level of adoption of the rating program and on

development of critical elements of the program such as rating

procedures and consumer information. The Department will provide the

NFRC with certain information needed for the completion of the basic

energy rating and labeling program such as its periodic assessments,

evaluations, identification of information requirements, and

clarifications on EPAct and Federal objectives and requirements. To

facilitate this exchange of information and the Department's evaluation

of progress, as well as the achievement of the goals and full energy

savings potential described in NFRC's comprehensive multi-year plan,

provisions for close collaboration between the NFRC and the Department

should be maintained. Based on these conditions, the Secretary finds

the NFRC program would be acceptable. Further, in the interim, DOE

supports NFRC's efforts to establish a uniform, national rating,

certification and labeling program through incorporation of the NFRC

program in Federal, state and local government and national voluntary

codes and standards.

The Secretary also finds that the Department shall continue to seek

to provide the technical and financial assistance necessary to

establish a basic energy performance rating, certification and labeling

system for windows and window systems that would meet the requirements

of either a mandatory or voluntary program. The Department shall also

take the necessary steps to ensure that a mandatory program would be in

place within the statutory time limits defined by EPAct, if such a

program is needed. The Department shall request financial and technical

support for the full five-year comprehensive program as defined in the

NFRC program plan.

Further, the Secretary finds that the Department shall use the

existing NFRC performance procedures, as well as new procedures for

addressing additional thermal and optical properties and the energy

impacts of windows and window systems, as they become established, in

DOE programs which affect the specification and selection of

fenestration products in Federal buildings. The Department shall also

proceed to take the necessary steps to both require and encourage the

use of NFRC performance rating procedures by other Federal agencies,

and to encourage their use by state and local governments and by code

bodies.

Documentation

Copies of information are listed below upon which the Department

has relied in making this provisional determination. Information is

also listed which further addresses DOE's objectives and requirements.

1.Technical, Operational and Administrative Foundations for

Fenestration Rating, Certification and Labeling: The NFRC Multi-Year

Plan (and revisions to the plan), Sept. 1993 The plan outlines NFRC's

accomplishments and planned growth for the five years commencing with

the submission of the plan in September 1993. The plan is organized

into three sections: The technical or research work plan; the

operational program activities, including certification, labeling,

education and communications; and NFRC's administrative management

processes. Attachments include NFRC's Bylaws and operating procedures.

This plan provides: A description of the rating program and its

elements, the current status of the NFRC program, a description the

mission, goals and objectives of NFRC and how NFRC would meet the

requirements of EPAct as well as its goals and objectives, and

identifies the resource and program requirements (including research

requirements) for completing a window energy rating and labeling

program, and the schedule for completion of all major elements of the

program with intermediate milestones.

2. NFRC Technical (Rating) Procedures--for determining the thermal

, optical and annual energy performance of fenestration products:

(a) (NFRC 100-91SM) Procedures for Determining Fenestration

Product Thermal Properties (currently limited to U-values);

(b) (NFRC 200-93SM) Procedures for Determining Fenestration

Solar Heat Gain Coefficients at Normal Incidence;

(c) (NFRC 301-92SM) Procedures for Measuring Surface

Emittance.

(d) Other procedures are under development.

3. NFRC Program Documents--outline and provide the operational

details of NFRC's on-going programs. To date, NFRC has published the

following documents:

(a) NFRC PCP 1-92: Product Certification Program--to certify and

label fenestration products using NFRC rating procedures. Under this

program which sets forth the NFRC requirements for thermal efficiency

certification and labeling of fenestration products, manufacturers may

obtain NFRC thermal performance ratings for their fenestration products

from NFRC- accredited testing and simulation laboratories, in

accordance with NFRC 100-91: Procedure for Determining Fenestration

Products Thermal Properties (currently limited to U-values). A

fenestration manufacturer may also obtain authorization to certify the

performance ratings and receive permission to label products from NFRC-

licensed independent certification and inspection agencies. This

program, as new technical rating procedures become approved, will

provide for ratings of other thermal and optical properties and energy

performance.

(b) NFRC LAP 1-92: Laboratory Accreditation Program--to accredit

laboratories in the use of NFRC rating procedures, which encompass

computer simulation programs and physical test procedures. Under this

program, NFRC licenses independent testing and simulation laboratories

to perform physical tests and computer simulations and to issue thermal

performance ratings for each product line submitted for rating and

certification. NFRC guarantees the integrity and uniformity of NFRC

rating, certification and labeling by ensuring that testing and

simulation laboratories adhere to strict NFRC requirements.

(c) NFRC CAP 1-92: Certification Agency Program--to license

independent certification and inspection agencies (IA's), conducting

verification and assessments of rated products. Under this program,

also referred to as the ``IA Program'', NFRC licenses independent

certification and inspection agencies to determine that all NFRC

requirements for NFRC certification of fenestration energy performance

ratings have been met by a manufacturer, and to grant permission to

label products to indicate NFRC certification. Through the

Certification Program and IA Program and their companion NFRC

laboratory accreditation program set forth in the associated program

documents, NFRC intends to protect the integrity and uniformity of NFRC

rating, certification and labeling by ensuring manufacturers, testing

and simulation laboratories, and IA's adhere to strict NFRC

requirements.

4. NFRC Certified Products Directory--NFRC publishes at least

annually a directory of products certified and decertified within the

program. The first edition of the Directory was published November 9,

1993 and included descriptive information and thermal performance

ratings for over 2100 products. The Second edition of the Directory was

published January 7, 1994 and included listings for over 3800

fenestration products. To date, over 5000 products have been certified.

5. Documentation submitted by NFRC recently to the California

Energy Commission (CEC) supporting CEC designation of NFRC as the

supervisory entity for the California mandatory rating program.

(a) Letter from the Chairman of NFRC to the CEC (Docket No. 92-WIN-

1), March 24, 1994--The letter provides detailed answers to questions

raised by the Commission regarding the NFRC program. These answers

provide extensive information documenting the good progress of the NFRC

program which is directly applicable to the Departments determination.

(b) Final Report to the CEC, under CEC contract No. 400-90-023,

March 29, 1994. In 1991, NFRC entered into a contract with the

California Energy Commission. The contract directed NFRC to develop and

implement an energy performance rating, certification, and labeling

program for fenestration products sold in the State of California. The

report documents the work completed under the project.

6. Letter--from Deputy Assistant Secretary for Building

Technologies, Energy Efficiency and Renewable Energy, DOE to Chairman,

NFRC, March 25, 1993. Letter formerly initiated relationship between

DOE and NFRC under EPAct and identified EPAct requirements and DOE

information requirements.

7. Financial Assistance Award documentation, DOE grant no. DE-FG03-

91SF19011, 1993. The FY 1993 award included a description of the

objectives of DOE regarding both the overall rating program and the

objectives for key elements of the program. Program elements addressed

included: education and information: research and validation; planning

and analysis, including multi-year plan updates; and liaison with

domestic and international organizations. Documentation associated with

subsequent awards restated and clarified DOE's objectives.

These documents and other pertinent information are available at

the following locations:

National Fenestration Rating Council, 1300 Spring Street, Suite 120,

Silver Spring, Maryland 20910, (301) 589-6372

U.S. Department of Energy, Freedom of Information Reading Room, Room

1E-190, 1000 Independence Avenue SW ., Washington, DC 20585, (202)

586-5755.

Issued in Washington, DC on September 15, 1994.

Christine A. Ervin,

Assistant Secretary, Energy Efficiency and Renewable Energy.

[FR Doc. 94-23639 Filed 9-22-94; 8:45 am]

BILLING CODE 6450-01-P