[Federal Register Volume 59, Number 184 (Friday, September 23, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-23639]
[[Page Unknown]]
[Federal Register: September 23, 1994]
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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