[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