PUBLICATION NO - AAMAAAMA 103-13 ORIGINALLY PUBLISHED: 1981 PRECEDING DOCUMENT: 103-12 PUBLISHED:...

A M E R I C A N A R C H I T E C T U R A L

AAMA 103-13

Procedural Guide for Certification of Window and Door Assemblies

M A N U F A C T U R E R S A S S O C I A T I O N

1.0 ADMINISTRATION PROCEDURES AND GENERAL INFORMATION…………….1 2.0 ENGINEERING DESIGN RULES………………………………………………………20 3.0 IN-PLANT QUALITY CONTROL REQUIREMENTS…………………………………20 4.0 OPTIONAL ENHANCED IN-PLANT QUALITY CONTROL REQUIREMENTS…..22 APPENDIX A…………………………………………………………………………………..26

AAMA. The Source of Performance Standards, Products Certification and Educational Programs for the Fenestration Industry. All AAMA documents may be ordered at our web site in the “Publications Store”. ©2013 American Architectural Manufacturers Association – These printed or electronic pages may NOT be reproduced, republished or distributed in any format without the express written consent of the American Architectural Manufacturers Association. This document was developed and maintained by representative members of AAMA as advisory information. AAMA DISCLAIMS ALL WARRANTIES WITH REGARD TO THIS INFORMATION, INCLUDING ALL IMPLIED WARRANTIES OF MERCHANTABILITY AND FITNESS. IN NO EVENT SHALL AAMA BE LIABLE FOR ANY DAMAGES WHATSOEVER FROM THE USE, APPLICATION OR ADAPTATION OF MATERIALS PUBLISHED HEREIN. It is the sole responsibility of the user/purchaser to evaluate the accuracy, completeness or usefulness of any information, opinion, advice or other content published herein. AAMA 103-13 ORIGINALLY PUBLISHED: 1981 PRECEDING DOCUMENT: 103-12 PUBLISHED: 5/13 American Architectural Manufacturers Association 1827 Walden Office Square, Suite 550, Schaumburg, IL 60173 PHONE (847) 303-5664 FAX (847) 303-5774 EMAIL [email protected] WEBSITE www.aamanet.org

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1.0 ADMINISTRATION PROCEDURES AND GENERAL INFORMATION 1.1 THE CERTIFICATION CONCEPT The American Architectural Manufacturing Association (AAMA) sponsored Window and Door Certification Program is based on the conviction that any standard of quality is only as good as the application and continuous adherence to the requirements of the standard by those who claim to comply with its provisions. The AAMA sponsored Certification mark is a sign that products bearing them conform to the designated specifications. The AAMA Window and Door Certification Program is a quality control and testing program of product certification conducted in accordance with ISO/IEC Guide 65-1996, “General Requirements for Bodies Operating Product Certification Systems.” The AAMA Window and Door Certification Program is accredited and monitored via audit and inspection by the American National Standard Institute (ANSI). AAMA is also an Independent Certification and Inspection Agency (IA) for the National Fenestration Rating Council’s (NFRC) Certification Program. This program, offered in addition to the AAMA Window and Door Certification Program, encompasses U-value certification according to NFRC 100-2011, “Procedure for Determining Fenestration Product Thermal Properties (Currently Limited to U-values).” 1.2 ELIGIBILITY Any manufacturer whose products meet the designated voluntary specifications and who signs a License Agreement may participate in the AAMA Window and Door Certification Program. Concurrently, a manufacturer may participate through AAMA in the NFRC Certification Program by meeting the requirements established by NFRC, and by entering into a separate license agreement with NFRC. 1.3 PROGRAM OWNERSHIP The American Architectural Manufacturers Association owns the AAMA Window and Door Certification Program. Associated Laboratories, Inc. (ALI), AAMA’s Validator (hereinafter referred to as “Validator” or “the Validator”), under contract with AAMA carries out in-plant inspections; is authorized to witness tests at AAMA Accredited Laboratories; review and validate test data and perform other services incident to the validation functions. The National Fenestration Rating Council owns the NFRC Certification Program. NFRC monitors AAMA’s function as an IA under the NFRC Certification Program, to assure that it operates as set forth in the various NFRC program manuals. 1.4 LICENSING To participate in the AAMA Window and Door Certification Program, a manufacturer signs a License Agreement and agrees to the certification requirements set forth in this Procedural Guide. To participate through AAMA in the NFRC Certification Program, a licensee must submit product simulation and test data prepared in accordance with NFRC 100 and other NFRC procedures, and enter into a separate license agreement with NFRC. 1.5 ELIGIBLE PRODUCTS A licensee shall submit for testing and certification those products which comply with the program’s designated standards. This includes those standard sizes regularly cataloged or offered for sale as well as those special or odd sizes offered for sale up to the maximum size tested. On an interim basis, AAMA will certify exterior side-hinged doors tested for structural properties to ASTM E330, and optionally for impact resistance to either ASTM E1886/E1996 or Florida Test Protocols for High Velocity Hurricane Zones, TAS 201/TAS 203. Policies for this interim certification program are specified in AAMA Technical Bulletin 04-01. For the NFRC Certification Program, the licensee shall conduct computer simulation and U-value testing according to the requirements established by NFRC. Products being certified to AAMA 1504 shall be tested per AAMA 1503, “Voluntary Test Method for Thermal Transmittance and Condensation Resistance of Windows, Doors, and Glazed Wall Sections.” Thermal performance ratings of

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products with more than one glazing option may be qualified per AAMA 1505, “Voluntary Test Methods for Thermal Performance of Fenestration Products with Multiple Glazing Options,” based on glazing configurations included in the approved thermal performance glass data library maintained by AAMA for this purpose. 1.6 WINDOW AND DOOR CERTIFICATION The AAMA Window and Door Certification program provides for simple, equitable administration and enforcement though the following procedure: 1.6.1 AAMA Develops Voluntary Standards Specifications covering materials, construction, strength and other performance features are promulgated and reviewed regularly by AAMA’s technical committees, some of which are submitted for approval to the American National Standards Institute through its canvass procedures. AAMA may adopt from time to time, standards or specifications for inclusion in the program. 1.6.2 Accredited Laboratory Conducts Initial Qualification Tests An AAMA Accredited Laboratory (hereinafter referred to as a “Testing Laboratory”) meeting the requirements set forth in the AAMA Laboratory Accreditation Operations Manual and Section 4 of this guide, performs testing to determine compliance with the applicable standard. The licensee sends test specimens to the accredited testing laboratory of his choice. Testing costs shall be borne by the licensee. Representative portions of every specimen tested and corresponding related drawings shall be retained by the testing laboratory until informed in writing by the Validator of expiration of certification. Test reports may be transferred (typically from a profile producer that develops window designs) to a fabricator either by cover letter, or by re-issue of the test report in the fabricator’s name, as has been the policy. However, the fabricator must now provide an affidavit to the lab (which re-issues the test report), affirming that they will manufacture the product per the sample tested. 1.6.3 AAMA Authorizes Certification Copies of the Initial Qualification Test Report, section and part drawings, assembly drawings and bill of materials are compared with test samples, verified then issued by the testing laboratory to the Validator, who reviews them for completeness and compliance to the requirements of the program. The Validator initiates an Authorization for Product Certification and forwards the form to the AAMA Certification Manager for review and signature. The original form is sent to the licensee. This notifies the licensee that the product has been accepted for Certification and may thus be listed in the Certified Products Directory. The licensee, according to the License Agreement, is then eligible to label as authorized by AAMA for this product. Note that products are not certified unless they are labeled. AAMA Product certification may be extended beyond the initial four-year term either in one-year increments for up to four additional years by complying with the requirements of Section 4.0 (Optional Enhanced In-Plant Quality Control Requirements) of this procedural guide or, when available, by alternate published methods approved by AAMA. 1.6.4 The Validator Conducts In-Plant Inspections Without prior notice, an inspector shall visit the licensee’s plant(s) at least twice annually, to determine compliance with the requirements of the program. 1.7 NFRC THERMAL CERTIFICATION THROUGH AAMA In addition to compliance with all the requirements of the AAMA Window and Door Certification Program, a manufacturer may elect to participate through AAMA in the NFRC Certification Program. Specific details relating to the conduct of the NFRC Certification Program are contained in other NFRC documents, available through AAMA or directly from NFRC. However, some basic program enforcement procedures are outlined below. 1.7.1 NFRC – Accredited Simulation Laboratory Conducts Computer Simulations The manufacturer obtains computer simulation reports from an NFRC-accredited simulation laboratory of his choice. The simulation laboratory performs these simulations according to the requirements established by NFRC. Copies of the simulation reports and supporting documentation are forwarded by the simulation laboratory to the Validator. Simulation costs shall be borne by the licensee. Upon receipt of simulation reports or the request of the manufacturer, the Validator shall request NFRC to forward a license agreement to the licensee.

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1.7.2 NFRC – Accredited Testing Laboratory Conducts Physical Tests The manufacturer obtains U-value tests from an NFRC-accredited testing laboratory of his choice. The testing laboratory performs these tests on baseline products as determined by the simulation laboratory, according to the requirements established by NFRC. Copies of the U-value test reports and supporting documentation are forwarded by the simulation laboratory to the Validator. Testing costs shall be borne by the licensee. 1.7.3 AAMA Validator Authorizes Certification to NFRC 100 Copies of the initial physical qualification test report and simulation report, to include all applicable computer files on diskette; U-value test report, section and part drawings, assembly drawings and bill of materials are compared by the Validator, the sole judge of compliance, for completeness and compliance to the requirements of the program. The Validator then notifies the licensee that the product has been accepted for NFRC Certification, and notifies NFRC that the product may thus be listed in the NFRC Certified Products Directory. The licensee enters into a separate license agreement with NFRC, and is then eligible to purchase labels as authorized by AAMA and NFRC. 1.7.4 AAMA Validator Conducts In-Plant Inspection Without prior notice, an inspector shall visit the licensee’s plant or plants of manufacture at least once annually to determine compliance with the requirements of the NFRC Certification Program. Whenever possible, this inspection shall be conducted in conjunction with one of the in-plant inspections required by the AAMA Certification Program. 1.8 PROGRAM OVERSIGHT AAMA, through its Certification Policy Committee, has full responsibility for the development, activation and guidance of the AAMA Window and Door Certification Program and the formulation of general policy to ensure the uniformity and equity of its administration on a continuing basis. The AAMA Certification Policy Committee (CPC) has authority to amend this procedural guide as it deems appropriate. Actions by the Committee relating to program policy matters shall be recorded in the AAMA’s meeting minutes and shall be available to all licensees. The CPC shall specify dates of implementation for all revisions to program policy. Representatives of record for the appropriate program or program function, along with the AAMA Voting Representative (if applicable) shall be notified by mail, e-mail, or fax as appropriate, within 10 business days. Licensee conformance shall be verified during plant and lab inspections as appropriate. NFRC has full responsibility for the development, activation and guidance of the NFRC Certification Program. Actions by NFRC relating to program policy matters are recorded in various NFRC documents and are available to all licensees through AAMA or directly from NFRC. 1.9 APPEALS, COMPLAINTS & DISPUTES 1.9.1 Definitions Appeal Request to AAMA by a licensee for reconsideration of a decision, which may have resulted from a complaint or a dispute. Appeals must be in writing, directed to the Validator, the AAMA Certification Manager, the Certification Policy Committee, or the Board of Directors, as appropriate. Complaint Expression of dissatisfaction (other than Appeal) to the AAMA Validator or Certification Manager by a licensee, any person, or organization, relating to either the operation of the certification program or qualifications of a certified product, where a response is expected. Complaints and responses must be in writing. If the complainant deems the response unsatisfactory, he may file an Appeal. Dispute Disagreement between two parties (typically a licensee and a test lab, or a licensee and a customer) which is brought to AAMA for a decision based on procedural documents. Disputes shall be addressed, in writing, to the Validator, the AAMA Certification Manager, or to the Certification Policy Committee, as appropriate. A response unsatisfactory to any party may result in an appeal. 1.9.2 Certification Policy Committee The Validator has the responsibility to perform administrative functions as described in this guide. Complaints of non-compliance shall follow the procedures explained later in this guide. However, any party may appeal matters regarding AAMA Window and Door Certification in writing, to the AAMA Certification Policy Committee. Any party may appeal NFRC certification matters, in writing, directly to NFRC.

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1.10 COMMUNICATIONS On all certification matters communicate directly with:

Associated Laboratories, Inc. (ALI) P.O. Box 152835, 1323 Wall Street

Dallas, TX 75315 Phone: (214) 565-0593 – Fax: (214) 565-1094

On matters pertaining to membership in the American Architectural Manufacturers Association (AAMA) communicate with:

American Architectural Manufacturers Association (AAMA) 1827 Walden Office Square, Suite 550

Schaumburg, IL 60173-4268 Phone: (847) 303-5664 – Fax: (847) 303-5774

E-Mail: [email protected] On certification matters regarding NFRC, contact ALI directly or NFRC:

National Fenestration Rating Council (NFRC) 6305 Ivy Lane, Suite 104

Greenbelt, MD 20770 Phone: (301) 589-1776 – Fax: (301) 589-3884

All communications must be confirmed in writing to be considered official. 1.11 LABELING The AAMA Certification Label, which is a registered trademark in the U.S. Patent Trademark office. Licensee stipulates, in affixing the Gold permanent label, that those products are representative of the evaluated and documented units subject to the allowable manufacturing tolerances specified within the standards. Permanent Gold labels or authorization to print shall be obtained only from the Validator, and displayed only by licensees of the AAMA Window and Door Certification Program on certified products. Unused labels shall be returned to the Validator immediately upon termination of participation in the program. Optional Permanent Certification Mark As an option to the permanent AAMA Gold label, the licensee may use an approved permanent mark or etch on the finished product. The mark or etch shall be visible from the interior when the product is installed. The optional permanent certification mark or etch draft format for use on authorized products shall be submitted to the Validator for review and approval prior to use. It shall include, at a minimum, the AAMA logo, manufacturer code and CPD number. Use of the optional mark or etch as a permanent identification will also require the use of a temporary or supplemental label to be applied by the manufacturer. The label shall identify AAMA as the approved certification agency, identify the product manufacturer, product model/series number, performance class and performance grade rating, and maximum tested size. The temporary supplemental label is intended to remain on the product until final approval by the building official. Each AAMA licensee using the optional permanent mark or etch on products authorized for certification, shall supply the Validator with a confidential written report of the number of products upon which a certification mark or etch has been employed. This report shall be delivered to and received by the Validator not later than thirty (30) calendar days after the due date established by the Validator. Temporary labels for the NFRC Certification Program are the responsibility of the manufacturer. Draft label formats shall be forwarded to the Validator for review and approval prior to printing. The Certification Label, tab, mark or etch serves to identify products that conform within specified tolerances, in design and fabrication to models which have been tested in accordance with the procedures established by AAMA’s and NFRC’s Certification Program and have met the requirements of the specification printed on the permanent or temporary label. The AAMA Window and Door Certification Program includes nine voluntary specifications to which products may be certified. These are listed below:

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AAMA/WDMA 101/I.S. 2/NAFS-02, Voluntary Performance Specification for Windows, Skylights and Glass Doors AAMA/WDMA/CSA 101/I.S. 2/A440-05, Standard/Specification for Windows, Doors, and Unit Skylights AAMA/WDMA/CSA 101/I.S. 2/A440-08, North American Fenestration Standard/Specification for Windows, Doors, and Skylights AAMA/WDMA/CSA 101/I.S. 2/A440-11, North American Fenestration Standard/Specification for Windows, Doors, and Skylights AAMA 450-10, Voluntary Performance Rating Method for Mulled Fenestration Assemblies AAMA 506-11, Voluntary Specifications for Impact and Cycle Testing of Fenestration Products AAMA 1002-11, Voluntary Specifications for Insulating Storm Products for Windows and Sliding Glass Doors AAMA 1102-11, Voluntary Specifications for Aluminum Storm Doors AAMA 1504-97, Voluntary Standard for Thermal Performance of Windows, Doors and Glazed Wall Sections Effective March 1, 2008, Licensees may certify to AAMA/WDMA/CSA 101/I.S. 2/A440-08. Effective December 30, 2011, Licensees may certify to AAMA/WDMA/CSA 101/I.S. 2/A440-11. Testing for certification to AAMA/NWWDA 101/I.S. 2-97 in the AAMA program ended as of March 1, 2012. However, test reports will be permitted for use for their entire four-year span, so certification and labeling to 101-97 will end four years later, as of March 2016. Testing for certification to AAMA/WDMA 101/I.S.2/NAFS-02 (NAFS-02) in the AAMA program will end as of March 1, 2013. However, test reports will be permitted for use for their entire four-year span, so certification and labeling to NAFS-02 will end four years later, as of March 2017. Labeling utilized in the AAMA Window and Door Certification Program shall be affixed on an interior part of the product that will render it visible after the product has been installed and glazed. Labels shall only be affixed at the place of manufacture or by approved and monitored field application. Field labeling, as a method of correcting process errors, shall be by the licensee employee only and strict field label application records shall be maintained. Prior notification for all field labeling shall be submitted to the licensee’s certification Validator. For any AAMA-Certified fenestration product containing profiles produced outside the United States and Canada, the following shall apply. The product or packaging of AAMA-Certified fenestration products made from AAMA Certified profiles shall be labeled to indicate the Country/Countries of Origin of the profiles; in addition, the label shall include the AAMA generated Profile Licensee code(s). All labels shall be in English and legible to the unaided eye at a distance of 600 mm (2 ft). The label(s) shall be located such that they are visible at the point of sale and delivery, and until the assembled fenestration product is installed. SAMPLE PROFILE LICENSEE CODE FORMAT:

XXX-## Products may be certified and labeled, under NFRC’s Program, to: NFRC 100, “Procedure for Determining Fenestration Product U-Factors” NFRC 200, “Procedure for Determining Fenestration Product Solar Heat Gain Coefficient and Visible Transmittance at Normal Incidence” NFRC 500, “Procedure for Determining Fenestration Product Condensation Resistance Values”

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B

TABS Various tabs shall be permitted to be added to the standard Gold Certification Label to provide information on additional qualifications of the window or door product which are not part of AAMA/NWWDA 101/I.S. 2-97 or AAMA/WDMA/CSA 101/I.S. 2/A440 (“NAFS”). Examples are: Forced Entry, HUD, Production Model Tested, Tested Negative Design Pressure, and Thermal tabs. See Figure 1.5 Optional Tabs for specific designs and samples. Consistent with the requirement for certification labels, all label tabs shall be ordered through AAMA’s Independent Validator. When a mark or etch is used, additional qualifications of the window, door or skylight product which are not part of AAMA/NWWDA 101/I.S. 2-97or AAMA/WDMA/CSA 101/I.S.2/A440 (“NAFS”), the licensee is permitted to provide the qualified information on the temporary supplemental label. Qualified shall mean authorized by the Validator. Tested Negative Design Pressure Tab The Performance Grade indicated on the certification label is based on the lowest of: (a) Positive Test Pressure, (b) Negative Test Pressure, or (c) Water Test Pressure per AAMA/NWWDA 101/I.S. 2-97 or AAMA/WDMA/CSA 101/I.S. 2/A440 (NAFS), reported in 5 psf increments. Some code jurisdictions require higher negative than positive design pressure (DP), without a negative pressure water test requirement. Further, these jurisdictions do not limit DP reporting to 5 psf increments. The Tested Negative Design Pressure tab shall be permitted to be added to indicate data included in a valid test report issued for the product by an AAMA-accredited test lab, rounded down to single-psf integers (e.g., - 47.3 = - 47). The Tested Negative Design Pressure tab shall be permitted to be added to label only when negative tested design pressure exceeds positive tested design pressure. The negative tested design pressure shall be limited to 2/3 of the negative tested uniform load structural test pressure achieved.

MEMBER

QUALITY CONTROL & TESTING AAMA CERTIFICATION PROGRAM

ACCREDITED BY AMERICAN NATIONAL STANDARDS INSTITUTE

A-L-I ® VALIDATOR MFR. CODE: AAA-1

AAMA/WDMA 101/I.S. 2/NAFS-02

R (RESIDENTIAL)

KEY: A = Manufacturer’s Code Number. As an option, manufacturer may show company name in addition to the required Manufacturer’s Code Number. B = Specification Identification (AAMA/WDMA 101/I.S. 2/NAFS-02) (Non-member label available upon request)

FIGURE 1.1: AAMA/WDMA 101/I.S. 2/NAFS-02, AAMA MEMBER GENERIC LABEL NOTE 1: Also applies to AAMA/NWWDA 101/I.S.2-97 Gold Labels with “B” changing accordingly.

A

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A B

MEMBER




AAMA/WDMA/CSA 101/I.S. 2/A440-05

R

KEY: A = Manufacturer’s Code Number. As an option, manufacturer may show company name in addition to the required Manufacturer’s Code Number. B = Specification Identification (AAMA/WDMA 101/I.S. 2/A44-05) (Non-member label available upon request)

FIGURE 1.2: AAMA/WDMA/CSA 101/I.S. 2/A440-05, AAMA MEMBER GENERIC LABEL NOTE 2: Also applies to AAMA/WDMA/CSA 101/I.S.2/A440-08 Gold Labels with “B” changing accordingly.

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C

D E

A D E C

B

A

A C B

B

C

B AIR/WATER/STRUCTURAL ONLY (Gold Label)

MEMBER

QUALITY CONTROL & TESTING AAM A CERTI F I CATIO N PROG RAM

ACCREDITED BY: AMERICAN NATIONAL STANDARDS INSTITUTE

VALIDATOR: ALI® Code: XXX-1

Series: XXX

AAMA/WDMA/CSA 101/I.S.2/A440-05

HS-R15-1600 x 1100 (63 x 44)

AIR/WATER/STRUCTURAL + THERMAL (Gold Label)

MEMBER




This product has been rated in accordance with: AAMA/WDMA/CSA 101/I.S.2/A40-05 and NFRC 100

HS-R15 1600x1100 (63 x 44)

Series: XXX

THERMAL ONLY (Silver Label)

MEMBER




SERIES: XXX

TYPE: Horizontal Sliding

THIS PRODUCT HAS BEEN RATED IN ACCORDANCE

WITH NFRC 100-XX

XXX KEY: A = Manufacturer’s Code Number. As an option, manufacturer may show company name in addition to the

required Manufacturer’s Code Number. B = Specification Identification (AAMA/WMDA/CSA 101/I.S.2/A440-05) (NFRC 100-01) C = Manufacturer’s Series Number D = Product, Class, Grade E = Maximum Size Tested (Non-member labels available upon request) FIGURE 1.3: AAMA/WDMA/CSA 101/I.S.2/A440-05 AND THERMAL AAMA MEMBER INDIVIDUAL PRODUCT LABELS NOTE 3: Also applies to AAMA/NWWDA 101/I.S.2-97 and AAMA/WDMA 101/I.S. 2/NAFS-02 Gold Labels, with “B” changing accordingly.

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C B

D E A

AIR/WATER/STRUCTURAL ONLY (Gold Label)

KEY: A = Manufacturer’s Code Number. As an option, manufacturer may show company name in addition to the

required Manufacturer’s Code Number. B = Specification Identification (AAMA/WMDA/CSA 101/I.S.2/A440-08) C = Manufacturer’s Series Number D = Product, Class, Grade E = Maximum Size Tested (Non-member labels available upon request) FIGURE 1.4: AAMA/WDMA/CSA 101/I.S.2/A440-08 AAMA MEMBER INDIVIDUAL PRODUCT LABEL NOTE 4: Figure 1.4 also applies to the structural portion of a “Structural + Thermal” (as indicated in Figure 1.3) AAMA Certification Label.

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OPTIONAL TABS

FORCED ENTRY TORNADO HAZARD

THERMAL

C F H

F H G I F H G I G I HUD MULLED ASSEMBLY IMPACT RESISTANT

All Materials TESTED NEGATIVE DESIGN PRESSURE

NOTE 5: The “Negative Design Pressure” Tab can apply to any edition of the 101 standard. FIGURE 1.5: OPTIONAL TABS (All 1-Inch in Length)

TESTED NEGATIVE DESIGN PRESSURE

Labeled Performance Grade is per AAMA/WDMA/CSA 101/I.S.2/A440-05

requirements. This product was tested to the following negative (-) pressure without water test: Negative Design Pressure = -47 psf

IMPACT RESISTANT AAMA 506-XX

Missile Level: C Rating: +65 / -65, 36 x 72 Conforms To: ASTM E 1886 and E 1996

MULL ASSEMBLY

Conforms To:

AAMA 450-XX

Design Pressure: +55/-63 psf

Complies with HUD

UM111

THERMAL TESTED

CRF CLASS XXX (MIN CRF = XX)

THERMAL TESTED

U CLASS XXX CRF CLASS XXX (MAX U = XXX) (MIN CRF = XX)

THERMAL TESTED AAMA 1504-97

U CLASS XXX CRF CLASS XXX (MAX U = XXX) (MIN CRF = XX)

THERMAL TESTED

U CLASS XXX (MAX U = XXX)

This product has been rated in accordance with

NFRC 100-XX XXX-XXX

FORCED ENTRY

RESISTANT

KEY: B = Specification Identification (*) C = Manufacturer’s Series Number F = U Value Class (U30, U40, U50, U60, U70) G = CRF Class (C65, C55, C50, C45, C35) H = Maximum U Value (.30, .40, .50, .60, .70) I = Minimum CRF (65, 55, 50, 45, 35) J = HUD Specification K = Mulled Assembly Design Pressure L = Impact Resistance Level, DP and MST M = Negative Design Pressure * (NFRC 100, NFRC 200, NFRC 500, AAMA 506, AAMA/NWWDA 101/I.S. 2-97. AAMA/WDMA 101/I.S. 2/NAFS-02, AAMA/WDMA/CSA 101/I.S.2/A440-05, AAMA/WDMA/CSA 101/I.S.2/A440-08 or AAMA/WDMA/CSA 101/I.S.2/A440-11)

PRODUCTION MODEL TESTED

PRODUCTION

MODEL TESTED

SECURITY TESTED The manufacturer of this product stipulates compliance with the forced entry resistance requirements of the California Model Building Security Ordinance.

B

C F H

F H G I F H G I G I

J

K

B L

B

B

M

SECURITY TESTED The manufacturer of this product stipulates compliance with the forced entry resistance requirements of AAMA 1302.5

TORNADO HAZARD MITIGATING AAMA 512-11

Protection Level: 1 FEMA Zone: III

AAMA 103-13 Page 11

NOTES 6: a. Only one of the three Forced Entry Tabs shown and/or four Thermal Tabs shown shall be permitted to be used in conjunction with a label. b. Color of tab(s) shall be the same as the label. c. Tab(s) shall be located on the right hand side of the label. d. A Thermal Tab shall be permitted to be used with one of the Forced Entry Tabs, in which case the Thermal Tab shall be the outer tab. e. The HUD Tab shall only be used when product(s) are requalified on a “Production Model” basis and with the “Individual Product Label”. f. Product Model Tested Tab shall only be used when the product(s) have been production model tested.

MEMBER




AAMA 1002-11 SERIES: XXX

HWE-20

MST: 36” x 72”

KEY: A = Manufacturer’s Code Number. As an option, manufacturer may show company

name in addition to the required Manufacturer’s Code Number. B = Manufacturer’s Series Number C = Product, Class, Grade D = Maximum Size Tested (Non-member label available upon request)

FIGURE 1.6: AAMA 1002-11, AAMA MEMBER GENERIC LABEL

MEMBER




AAMA 1102-11 SERIES: XXX

CSD-1 MST: 36” x 72”

KEY: A = Manufacturer’s Code Number. As an option, manufacturer may show company

name in addition to the required Manufacturer’s Code Number. B = Manufacturer’s Series Number C = Product, Class, Grade D = Maximum Size Tested (Non-member label available upon request)

FIGURE 1.7: AAMA 1102-11, AAMA MEMBER GENERIC LABEL

A D C B

A D C B

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1.12 ADMINISTRATIVE AND OPERATIONAL PROCEDURES 1.12.1 Procedures The administration of the AAMA sponsored Window and Door Certification Program requires certain procedures established by AAMA. They cover Initial Qualification and Requalification Testing and reporting of test results, Authorization for Product Certification, Notices of Certification Delisting, Request for Waiver of Retest (Form RWR-1) and Inspection Reports. The specific procedures are detailed in the paragraphs which follow. 1.12.2 Initial Qualification Test Sample Submission The sample submitted to the testing laboratory shall be complete with all sections and components to be tested in accordance with the specifications. Two copies of all sections and part drawings, two copies of assembly drawings, and two copies of the bill of materials showing component manufacturer’s name and full part numbers shall be sent to the testing laboratory. 1.12.3 Initial Qualification Test Report On completion of an authorized test, the testing laboratory shall immediately forward the Initial Qualification Test Report to the Validator accompanied by one complete set of validated drawings and bill of materials covering the test specimen. The Initial Qualification Test Report shall contain the information detailed in AAMA LAP-1-12. An optional method of describing products tested is also available – a drawing based test report. The report description shall be per Appendix D in AAMA LAP-1-12 and shall reference the drawings for the unit tested which would have been reviewed by the lab after testing to make sure that the drawings have all of the information required per the “drawings checklist” as shown in Appendix D, AAMA LAP-1-12 (Form LAP-DBC-1). This test report, data and drawings indicating full compliance with the applicable specifications, are promptly reviewed by the Validator and, if correct, the Validator shall forward an Authorization for Product Certification to AAMA for approval and signature. AAMA's approval constitutes acceptance based on reported test findings, for purposes of the Certified Products Directory listings, sales of AAM Gold Certification Labels to licensee by AAMA and the affixing thereafter, of an authorized label by licensee to its production of the certified product. NOTE 7: An authorized label may be an AAMA Gold Label or the use of a mark or etch accompanied by a temporary supplemental label Each test report and its related drawings constitute the basic reference material for validation by the Validator through in-plant inspection of subsequent manufacture of the product, that the products are representative of the tested unit subject to the allowable manufacturing tolerances specified within the standards. If the Validator has reason to question test findings, even though such findings may indicate full compliance with the specifications, he shall have the right to withhold recommendation to AAMA for Certification pending clarification to his satisfaction of such questions as he may have with the testing laboratory and/or licensee. The test report does not, in itself, constitute certification. Official authorization to certify is validated by the aforementioned Authorization for Product Certification and subsequent listing in the Certified Products Directory. Initial Qualification Test Reports shall be considered valid for four years. Delisting or withdrawal of product listings invalidates the test report for certification purposes. 1.12.3.1 Digital Transfer of Test Reports As of January 1, 2011 all test reports intended for product certification are to be sent to the Validator as .pdf files attached to e-mail. This is the first step in a revised procedure that will keep the licensees informed during every step of the validation process: All structural and related (e.g., impact) test reports shall be sent directly from the test lab as .pdf attachments to the following e-mail address: [email protected] with the e-mail copied to the licensee’s designated representative. This eliminates delays due to mailing; enables the reports to be reviewed, forwarded, and stored digitally; and notifies the client licensee that the test report has been sent to the Validator for validation.

mailto:[email protected]�

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Note that many test reports are issued with a summary indicating that the product tested qualifies to more than one edition of the 101/I.S.2 standard. Unless otherwise directed, AAMA will issue APCs to all versions of the standard indicated in the test report.

If during the process of validation it is determined that the test report needs to go back to the lab for correction or completion, it will again be sent by e-mail with a copy to the client representative. Return of the corrected test report from the lab back to the Validator follows the same procedure. The licensee is kept informed at every step of the process.

Once validation is complete, the Validator creates an Authorization for Product Certification (APC), appropriately signed, and forwards to the Certification Manager at AAMA HQ via e-mail. The client licensee will also be notified at this step. Beginning early in January 2011, each APC will be assigned a unique Directory Number for reference and tracking purposes.

Following AAMA review and signature, the APC, in .pdf format, is forwarded to the licensee’s designated representative by e-mail. 1.12.4 Authorization for Product Certification The Authorization for Product Certification shall be initiated by the Validator and forwarded to AAMA. It indicates the Validator’s review of the product; AAMA authorizes the product’s listing in the Certified Products Directory and use of authorized labels. The Authorization for Product Certification shall contain the following information: 1. Manufacturer’s Name, Code Number, Plant Location 2. Testing Laboratory’s Name 3. Specification and Applicable Performance Class 4. Report Number and Date 5. Re-qualification Test Due Date/Certification Expiration Date 6. Record of Product Tested

a. Series/Model b. Configuration, glazing type and any other pertinent details of the test specimen c. Maximum Size Tested

1.12.5 Procedures for the NFRC Certification Program Through AAMA AAMA is an Independent Certification and Inspection Agency (IA) for the National Fenestration Rating Council’s (NFRC) Certification Program. Subsequent to or concurrent with certification under the AAMA Certification Program, a manufacturer may certify products through AAMA to the NFRC Certification Program. Administration of the NFRC Certification Program requires certain procedures in addition to those established by AAMA. An outline of the general procedures for obtaining NFRC Certification through AAMA is described below. The specific procedures are detailed in separate NFRC documents. Simulation Testing The manufacturer submits two copies of product drawings representative of each of the products in the applicable product line to an NFRC-accredited simulation laboratory. Products to be rated shall meet the definition and other requirements set forth in NFRC 100. The licensee shall direct the simulation laboratory to conduct computer simulations on each product in accordance with NFRC 100, develop a matrix, and forward the matrix, a copy of each simulation report and support data in accordance with NFRC LAP-1, Section 4.7 to the AAMA Validator. NOTE 8: Products which cannot be simulated may be able to qualify for NFRC rating using the Alternative Testing Procedure. See NFRC PCP 1 for details regarding this alternative. U-Value Testing The manufacturer shall submit a test sample, representing the product in the simulation matrix, to an NFRC-accredited testing laboratory for validation testing. Two copies of the product drawings representative of each of the products in the applicable product line shall accompany the test samples. The licensee shall direct the testing laboratory to conduct U-value tests in accordance with NFRC 100. Upon completion of testing, the testing laboratory shall forward a copy of each test report, together with copies of the complete support data as required by NFRC LAP-1, Section 4.7 to the AAMA Validator.

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Initial NFRC Qualification These simulation and test reports, data and drawings indicating full compliance with the applicable specifications, shall be promptly reviewed by the Validator and, if approved, the Validator shall forward a Notice of Product Certification to the licensee, AAMA and NFRC. The Validator’s approval, completion of the license agreement between the manufacturer and NFRC, and NFRC’s subsequent notice back to the Validator, constitutes acceptance based on reported test findings, for purposes of the NFRC Certified Products Directory listings, sales of Certification Labels to licensee, and the affixing thereafter, of the label by licensee to its production of the certified products. 1.12.6 Certification Expiration Initial Qualification test reports shall be considered valid for four years from the date of the test. AAMA Product certification may be extended beyond the initial 4-year term in one-year increments for up to four additional years by complying with the requirements of Section 4.0 (Optional Enhanced In-Plant Quality Control Requirements) of this procedural guide. NFRC Certification shall be valid for four years from the date of the Notice of Product Certification. Certification shall also expire under any of the following conditions: 1. Upon event of Certification delisting by the Validator. 2. Upon withdrawal of the product from the Certification Program by the licensee. 1.12.7 Notification of Certification Delisting Finding it necessary to delist a product due to program violations, the Validator shall immediately notify AAMA; the Product Certification shall notify the licensee of this action with a copy, if applicable, to NFRC. The notification shall include the product(s) affected as well as a full explanation of the reasons for delisting. 1.12.8 USE AND REFERENCE TO AAMA CERTIFICATION Licensees are not permitted to make any incorrect references to the status of their certification, nor may they make any misleading use of their license, AAMA certificates or marks, and upon suspension or cancellation of certification, must immediately discontinue the use of all advertising matter that contains any reference to the AAMA certification of their products. Upon suspension or cancellation, all certification documents, as requested by AAMA, must be returned as directed. At no time may AAMA Certification be referred to or used in a misleading manner. Use of the AAMA logo is permitted only as authorized by AAMA and upon proper application and request. Certification may not be used in such a manner as to bring AAMA or its program into disrepute. 1.13 WAIVERS Due to the great variation of designs and arrangements of sash, ventilators, panels and/or fixed lites manufactured, it is not always practical to perform tests in the manner regularly performed on standard windows and doors. To ensure uniformity of performance of all sections required in such special cases, the “Engineering Design Rules”, Section 2.0 of this guide will apply. 1.13.1 Request for Waiver of Retest (Form RWR-1) In lieu of retesting when minor changes are made in a certified product, a Waiver of Retest may be obtained in certain instances. The assumption is that the changes made will result in an otherwise certifiable product. This provision may be implemented by submitting a Request for Waiver of Retest (Form RWR-1) to the Validator, details and limitations of which are described hereafter. A Request for Waiver of Retest (Form RWR-1) shall be submitted to the Validator in duplicate and shall include two complete sets of drawings and details showing the proposed revisions marked in red. These shall be accompanied by a statement from the licensee justifying the waiver and relating the details and reason for the proposed revision as well as supporting evidence that the proposed revision constitutes equivalency or superiority to the originally certified product. NFRC Certification requires new simulations reflecting the changes. The responsibility for the authenticity of a Request for Waiver of Retest (Form RWR-1) rests on the licensee requesting the waiver. This form of waiver procedure is only intended for use in cases of minor changes of product design, deemed not to adversely affect test results. Determination of whether a change is considered minor rests solely with the Validator. However, the licensee may appeal to the AAMA Certification Policy Committee whose decision shall be final. All appeals to the AAMA Certification Policy Committee shall be in writing with any necessary supporting material or data.

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A Request for Waiver of Retest (Form RWR-1) shall be approved by the Validator before affixing the Certification Label to any such changed product. Any product or component for which such a waiver is requested shall first have been tested and certified. The minor change shall indicate, without question, an improvement or equivalency in the product over that which was tested. For example, a component which differs from that tested but is deemed to be within the limits of the specification is not eligible for a Waiver of Retest unless it is equal or superior to the one tested. In the matter of substituting a new product for an existing product, a manufacturer shall not substitute a product and part number before the Request for a Waiver of Retest (Form RWR-1) has been approved by the Validator. The Validator shall give written notice to the applicant of his action on the Request for a Waiver of Retest (Form RWR-1) within 30 days of the receipt of the request. 1.14 IN-PLANT INSPECTION The Validator’s personnel shall perform in-plant inspections of certified products on the basis of at least two unannounced visits annually which will be made during normal business hours. The inspector shall be equipped with copies of the specifications, this Procedural Guide, test reports and other data of the licensee’s certified products and such Technical Interpretation Reports as may, from time to time be issued. The inspector shall informally discuss any findings with the licensee’s personnel prior to leaving the plant. The inspector’s report of in-plant inspection shall be made to the office of the Validator who, in turn, shall communicate with the licensee regarding any matters requiring clarification or other action on the part of the licensee. All official comments and/or decisions with respect to compliance or non-compliance of a certified product shall be made in writing from AAMA. 1.14.1 Certification Program In-Plant Inspection Report The Certification Program Inspection Report shall be the official report, issued under the supervision of the Validator of the findings of its inspector at each In-Plant Inspection. The report shall be confidential and shall be mailed only to the licensee or designated representative, and to AAMA or NFRC, if so requested. The report shall contain the following information: 1. Name of Company 2. Plant Location 3. Inspection Number 4. Date of Inspection 5. Name of Inspector 6. Name of Licensee Representative 7. Any discrepancies noted that require corrective action 8. Quality Control Disposition 9. Action to be taken by licensee, if required 10. Units requiring Requalification Tests

a. Series/Model b. Specification c. Test Due Date

Any finding of non-compliance of a certified product shall be reported to the licensee by this report. The licensee shall indicate any proposed corrective action to the Validator within 30 days. 1.15 NOTICE OF DELISTING, SUSPENSION OR TERMINATION If, thirty (30) days after licensee’s receipt of Notice of Non-Compliance, corrective action acceptable to the Validator has not been made, the Validator will advise the AAMA Certification Manager, who will notify the licensee of delisting of the product in accordance with the terms of the License Agreement. If the non-compliance affects multiple products to the degree that product quality or general product conformance to the standard is compromised (such as lack of a quality control program), and corrective action has not been initiated sixty (60) days after licensee’s receipt of Notice of Non-Compliance, AAMA may, at its option, suspend manufacturer’s license by

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written notice to the licensee’s representative and address of record. If no corrective action has been initiated within ninety (90) days of Notice, AAMA may terminate the license by the same process. At any stage, the licensee may appeal to the AAMA Certification Policy Committee, and further to the Board of Directors, whose decision shall be final. 1.16 COMPLAINTS OF NON-COMPLIANCE A complainant shall be permitted to submit data on a licensee’s certified product in substantiation of a claim of non-compliance to AAMA. Such documentation shall be of a substantial nature and in sufficient detail to enable identification of the product and justify action. If such a complaint is substantiated, the manufacturer of the product, in addition to taking required corrective action to bring its product into compliance, shall reimburse the Validator and/or AAMA for the expenses incident to the determination of non-compliance. If such a complaint is not substantiated, the complainant shall reimburse the Validator and/or AAMA for the expenses incidental to the determination thereof, and no action shall be taken with respect to the manufacturer of the product. 1.17 REQUALIFICATION TESTING Each licensee’s certified product(s), unless qualified by Waiver of Retest, shall be subjected to requalification testing at least once every four years. The licensee can choose to have product(s) retested on a “prototype” basis using the same procedures as an Initial Qualification Test or on a “production model” basis whereby the Validator randomly selects the product(s) to be retested. 1.17.1 Re-qualification on a “Prototype” Basis The sample submitted to the testing laboratory shall be complete with all sections and components to be tested. Two copies of all section and part drawings, two copies of assembly drawings and two copies of the bill of materials showing component manufacturer’s name and full part numbers shall be sent to the testing laboratory. 1.17.2 Re-qualification on a “Production Model” Basis The Validator shall randomly select each of the licensee’s certified product(s) except those qualified by Waiver of Retest, for Production Model Retesting at least once every four years for each plant. The Validator shall notify the licensee of any product that is in its final year of certification on the “Certification Program Plant Action Report” which shall be issued after each in-plant inspection. It shall be the licensee’s responsibility to assure that products so identified are available for selection and testing during a forthcoming inspection. If a listed product has not been selected for Production Model Testing within the required four year period, due to the inability of the manufacturer to produce it and have it available for selection, it shall be delisted and Initial Qualification Testing shall again be required. In addition, a Production Model Test shall be performed within the first year after the product has been relisted. The Validator’s inspector, during one of the two in-plant inspections conducted yearly at each licensed manufacturing location, shall randomly select and properly identify the required product(s). The inspector, at the time of selection, shall prepare a transmittal form to be sent with the product(s) to the test laboratory. The selected product(s) shall be sealed by the Validator’s inspector with tamper-proof seals and the transmittal form shall be attached to the sample. The product(s) selected and identified for “Production Model” testing shall be submitted to any test laboratory selected by the licensee which has been accredited by AAMA for testing in the AAMA Certification Program. Testing shall be accomplished within 90 days following the selection. If testing is not accomplished within 90 days, the production model selection process shall be repeated at the next inspection. The product randomly selected for Production Model Testing shall be the largest size commercially available and of a representative size of normal production at the time of the inspection. The suitability of a sample selection shall be at the discretion of the Validator. Upon receipt of a production model test sample, the testing laboratory shall immediately unpack and inspect the sample to determine that it has arrived in suitable condition. If shipping damage has occurred, the Validator shall be notified immediately. If the tamper-proof seals applied by the Validator’s inspector show any signs of interference, the Validator shall

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be notified immediately and all testing delayed until the Validator makes a determination as to the acceptability of the sample. The performance tests shall be performed by the test laboratory under the following conditions: 1. Absolutely no modifications or changes shall be made to the test sample, other than normal installation adjustments. 2. Operating force and air infiltration values shall not exceed those specified in the standard. Water resistance and uniform structural load tests shall be performed at the pressure required for the performance class rating of the product. 3. The test report shall be submitted by the test laboratory to the Validator within seven (7) days of the conclusion of the test and shall contain the information identified in AAMA LAP-1-12, and shall be reported as (pass)/(fail) against the applicable criteria. 4. If the test results obtained indicate full compliance with the applicable specifications, the product shall be requalified for a new four year period and a new AAMA Authorization for Product Certification shall be issued by AAMA. 5. Upon any failure of a production model test sample, the testing laboratory shall carefully document the type/cause of the failure in the test report including a determination as to whether or not the probable cause of failure was due to faulty workmanship and list the reasons to support the determination. The following corrective action shall be taken if a failure occurs. 1.17.2.1 Test Failure Attributed To Workmanship The Validator shall notify the licensee within 7 days of receipt of a production model test report which states that, in the opinion of the testing laboratory, the failure was attributable to workmanship. The licensee shall respond within 30 days of the date of such notification stipulating the action taken to correct the cause of failure, including quality control measures taken to monitor the corrective action. Failure to respond within this time period shall result in immediate delisting of the product by AAMA. At the next in-plant inspection, in addition to any other sample selection, another sample of the same product shall be selected and subjected to the production model test procedures established above. If the test results obtained on the second unit indicate full compliance with the applicable specifications, the product shall be requalified for a new four year period and a new AAMA Authorization for Product Certification shall be issued by AAMA. If the test results obtained from the second unit indicate a failure, the product shall be immediately delisted and Initial Qualification Testing shall again be required. In addition, a Production Model Test shall be performed within the first year after the product has been relisted. 1.17.2.2 Test Failure Not Attributed to Workmanship The Validator shall notify the licensee within 7 days of the receipt of a production model test report which states that, in the opinion of the testing laboratory, the failure was attributed to a cause other than faulty workmanship. The licensee shall, within 30 days, submit another product sample of the same size and model to an AAMA accredited testing laboratory along with the documentation (drawings, bill of materials, etc.,) as required for an initial qualification test. If the test results obtained on the second unit indicate full compliance with the applicable specifications, the product shall be requalified for a new four year period and a new AAMA Authorization for Product Certification shall be issued by AAMA. If the test results obtained indicate a failure, the product shall be immediately delisted and Initial Qualification Testing shall again be required. In addition, a Production Model Test shall be performed within the first year after the product has been relisted. A licensee shall be permitted to withdraw its products from the AAMA Certification Program during any phase of the production model sampling and testing procedures. Such withdrawal shall be indicated by written notice to AAMA. If subsequent relisting of the product or any variation of the product in the Certification Program is desired, it shall be necessary to follow the procedures for an Initial Qualification Test. In addition, a Production Model Test shall be performed within the first year after the product has been relisted. All costs for crating, shipping and testing under the production model testing procedures shall be borne by the licensee. Any costs for an additional in-plant visit by the Validator for the purpose of sampling a product for production model testing shall be borne by the licensee. An additional visit shall be considered to be any visit by the Validator other than the two normal unannounced yearly inspections. 1.18 QUESTIONS RELATED TO THE AAMA WINDOW AND DOOR CERTIFICATION PROGRAM Questions as to the applicability of a specific provision of the AAMA Window & Door Certification Program to the licensee’s products shall be referred to the Validator for determination. When, in the Validator’s opinion, applicability is

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questionable, the Validator shall refer the matter to the AAMA Certification Manager for joint determination. If the Validator and Certification Manager are unable to agree on the matter, it shall be promptly referred, in writing, to the AAMA Certification Policy Committee. Questions as to the applicability of a specific provision of the NFRC Certification Program to the licensee’s products shall be referred to the Validator for determination. When, in the Validator’s opinion, applicability is questionable, the Validator shall refer the matter to NFRC for determination.

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AAMA CERTIFICATION PROGRAM

REQUEST FOR WAIVER OF RETEST

THIS FORM OF WAIVER PROCEDURE IS ONLY INTENDED FOR USE IN CASES OF MINOR

CHANGES OF PRODUCT DESIGN.

DATE: TO: Associated Laboratories, Inc. P.O. Box 152837 Dallas, TX 75315 Gentlemen: This is to request that a Waiver of Retest be granted in accordance with the applicable provisions of the Certification Program on the product described below. 1. The Certified Product to be modified is represented by:

Certification Report No. Issued by

Laboratory, Specification design or class

Our Series No. Size

2. The nature of the modification, in brief is:

3. This request, submitted in duplicate, is accompanied by:

(a) Two complete sets of drawings and details showing the proposed revisions. (b) Two copies of signed statement from a qualified person relating the details and reasons for the proposed modification and giving supporting evidence that the proposed revision constitutes equivalency or superiority to justify the waiver.

(The responsibility for the authenticity of a request for waiver of retest rests on the licensee.)

Licensee

(CORPORATE NAME)

By

(SIGNATURE)

(NAME-PRINT) (TITLE) Form: RWR-1 Issued: 10/1/1963 Revised:1983

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2.0 ENGINEERING DESIGN RULES See AAMA 2502, Comparative Analysis Procedure for Window and Door Products

3.0 IN-PLANT QUALITY CONTROL REQUIREMENTS 3.1 SCOPE This section sets forth requirements for In-Plant Quality Control which participants in the AAMA Window and Door Certification Programs shall be expected to meet when manufacturing certified products. 3.2 QUALITY CONTROL REQIREMENTS 3.2.1 Quality Control requirements established in this Procedural Guide are the minimum acceptable for the AAMA Window and Door Certification Program. It is recommended that each manufacturer, when establishing quality control procedures include any other elements necessary to assure that products meet the manufacturer’s requirements and the requirements of the specification. 3.2.2 Each participating manufacturer in the AAMA Window and Door Certification Programs shall be required to prepare a written description and explanation of the quality control procedures for each facility. This description and explanation shall set forth the following: 3.2.2.1 Tests and/or inspections to be performed and frequency. 3.2.2.2 List of equipment used in quality control testing. 3.2.2.3 Who will perform them and record of results. 3.2.2.4 Method of handling materials which do not conform. 3.2.2.5 Forms to be used, test methods and any other pertinent information desired by the manufacturer. This description shall be submitted to the Validator for acceptance, and shall be considered and integral part of the product design. This description shall include as a minimum, the basic requirements set forth herein. Revisions shall be provided to the Validator within 30 days. 3.2.3 Quality Control Records Permanent records of all quality control procedures shall be maintained by the manufacturer. These records shall be permitted to be one comprehensive sheet or several report forms as selected by the manufacturer. These records shall have a place to: 3.2.3.1 Set forth a method of isolating the quality control samples by: 3.2.3.1.1 Date of production and batch number, lot number; or any other applicable method. 3.2.3.2 Each entry shall have provisions for initialing and dating by the person performing quality control functions. Should any products be found in noncompliance, an entry shall be made denoting its disposition. 3.2.4 Quality Control Inspectors 3.2.4.1 It shall be preferable that the in-house quality control inspector not be responsible for production. The quality control inspector should report directly to management and should have an equal voice with production personnel. Recognizing the nature of the industry, this ideal may not be possible, but every attempt shall be made to assure that the person designated as responsible for quality control can get the attention of management at a level which is responsible for quality as well as production. 3.2.4.2 The quality control inspector shall have an effective knowledge of all specification requirements and the ability to perform all required tests of the quality control program. Other persons performing quality control functions shall be properly

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instructed in their duties. The Validator shall lend assistance wherever possible, to aid the quality control inspector to obtain the necessary expertise to perform the required tests. 3.2.5 Quality Control System The following system shall be the minimum necessary to create an acceptable quality control program: 3.2.5.1 Materials 3.2.5.1.1 Extrusions and profiles shall be checked to determine that they: 3.2.5.1.1.1 Have the wall thickness and dimensions specified on the product manufacturer’s drawings and are within commercial tolerances. 3.2.5.1.1.2 Have the required physical properties. NOTE 9: When checking extrusions or profiles, it shall not be necessary to verify each and every thickness or dimension, but only those critical dimensions which the extruder and product manufacturer have agreed upon to fall within commercial tolerances. Upon request from the product manufacturer, the extruder shall provide a statement which will indicate compliance with this section. When such a statement is not presented, the product manufacturer shall provide data in paragraphs 3.2.5.1.1.1 and 3.2.5.1.1.2. 3.2.5.1.2 Sealed insulating glass, pile weather-stripping, sealant, back-bedding compound, plastic parts and all other components shall comply with the appropriate AAMA referenced specifications where applicable. 3.2.5.1.3 A record of acceptance of incoming material used in certified products shall be kept on file for a period of one year. The NFRC Certification Program requires that quality control records be maintained for four years. 3.2.6 In-Process Quality Control 3.2.6.1 Fabricated parts of each different product manufactured during each shift on which it is processed shall be checked for the following: a. Length b. Die Stamping c. Application of Weather-strip d. Application of Back-bedding Compound and Other Sealants 3.2.6.2 A record of these inspections for the AAMA Window and Door Certification Programs shall be kept on file for a period of one year. NFRC-licensed manufactures shall retain all quality control records for a minimum of four years. 3.2.7 Finished Product 3.2.7.1 Finished products shall be examined daily in accordance with the following schedule:

Production Number Examined Up to 150 151-500

Greater than 500

2 3 5

3.2.7.2 The examinations of finished products shall include at least the: a. Size b. Hardware Application c. Weather-strip Contact d. Corner Sealant Applications e. Squareness f. Glazing Appropriateness g. Operation

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3.2.7.3 A record of finished product inspections shall be made and kept on file for a period of one year. The record shall indicate the disposition of all items not determined satisfactory for the labeling of the product. NFRC program licensees shall retain a record of finished product inspections on file for a period of four years. 3.3 DETERMINING COMPLIANCE The manufacturer shall establish a procedure for handling any product where quality control indicates that the product is not in compliance. All items not complying with the company’s design criteria shall either be corrected or scrapped. 3.4 LABELING The manufacturer shall designate individual responsible for handling all aspects of the labeling program and for issuing instructions on the procurement, handling and use of labels. 3.5 VALIDATOR’S REVIEW During each unannounced in-plant inspection, the Validator shall evaluate the licensee’s quality control system, including testing and record keeping. Findings of non- compliance with the licensee’s quality control description shall be discussed with the quality control inspector, and corrective actions shall be initiated. Continued non-compliance with the quality control requirements of this Procedural Guide shall result in AAMA delisting all certified products and may result in suspension or termination of the manufacturer’s license as described in Section 1 of this guide.

4.0 OPTIONAL ENHANCED IN-PLANT QUALITY CONTROL REQUIREMENTS 4.1 PROGRAM OVERVIEW This optional enhanced in-plant quality assurance section of this procedural guide provides the minimum requirements for manufacturers seeking to extend the current product certification. These requirements are in addition to those found in Section 3.0 In-Plant Quality Control Requirements and provide the basis by which a product certification may be permitted to extend up to an additional four years. 4.2 PROGRAM SCOPE AND PARTICIPATION 4.2.1 These optional, enhanced quality control requirements establish a quality management system (hereinafter referred to as “QMS”). It allows for manufacturers to achieve recognition for their QMS, using an industry-recognized quality standard based on the integrity of their manufacturing and production line testing processes. 4.2.2 The AAMA Validator shall be accredited in accordance with ISO IEC 17020 by an ILAC recognized accreditation agency. 4.2.3 The licensee shall notify the AAMA Validator of their intent to extend product certification based on the submission of the documents required in this section. AAMA form REPC-1 AAMA Certification Program Request for Extension of Product Certification shall be used for this purpose. 4.2.4 Such notification shall be in writing addressed to the AAMA Validator, and shall be provided at least six months prior to expiration of the current Authorization for Product Certification (APC). Notification shall include documentation as required in Section 4.6.2 (Documentation Requirements). For initial extension of certification this submittal shall include the manufacturer’s Quality Manual. Content of the manufacturer’s Quality Manual shall be approved by the Validator within 30 days of receipt of Form REPC-1 (Request for Extension of Product Certification). This must occur prior to the first plant inspection intended for extension of product certification. Within 30 days of receipt of Form REPC-1, the Validator shall counter sign and date the form and return it to the licensee. 4.3 IN-PLANT INSPECTION The Validator’s personnel shall conduct two unannounced in-plant inspections per year at each of the Licensee’s facility(ies) to review the QMS for compliance to the AAMA requirements. These inspections shall be documented by completion of Manufacturer Enhanced Inspection Report (EIR-1).These QMS inspections shall be permitted to be conducted at the same time as the unannounced AAMA certification program inspections as required in Section 3.0 of this procedural guide (an additional two inspections are not required). The inspector’s report of the QMS audit shall be communicated to the Licensee regarding any matters requiring clarification or corrective action on the part of the Licensee.

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All official comments and/or decisions with respect to compliance or non-compliance of the QMS shall be made in writing to the Licensee by the Validator. 4.4 IN-PLANT INSPECTION REPORT The optional enhanced plant inspection report form EIR-1 Manufacturer Enhanced Inspection Report is the official report issued by the Validator which documents the findings of its inspector at each in-plant inspection. The report is confidential and shall be sent only to AAMA and the Licensee or the Licensee’s designated representative. The report shall contain the following information:

1. Name of Company 2. Plant Location 3. Inspection Number 4. Date of Inspection 5. Name of Inspector 6. Name of Licensee Representative 7. Any finding of non-compliance that requires corrective action 8. Immediate actions that must be taken to correct findings of non-compliance 9. Long-term actions that must be taken by Licensee to correct findings of non-compliance, if required 10. Sampling

A finding of non-compliance includes any audit finding in which the Licensee’s QMS does not meet all elements of the AAMA requirements or where there is insufficient evidence and/or QMS records to demonstrate that the program is implemented. Any finding of non-compliance with these AAMA requirements shall be reported to the Licensee using this report. On all non-compliance matters, the Licensee shall respond in writing to the Validator within 30 days of receipt of this report. 4.5 NOTICE OF REVOCATION If, 30 days after Licensee’s receipt of Notice of Non-Compliance, corrective action (or plan of action) acceptable to the Validator has not been made, AAMA shall notify the Licensee in writing that the extension of product certification beyond the initial four year term is revoked. 4.6 LICENSEE’S QUALITY ASSURANCE PROGRAM REQUIREMENTS The Licensee shall be evaluated on minimum quality management system requirements. Manufacturing and testing areas shall be inspected for compliance in accordance with the requirements of this section. 4.6.1 General Requirements The Licensee shall establish, document, implement and maintain a quality management system in accordance with the requirements of this section by:

a) identifying the processes needed for the quality management system and their application throughout the organization (see Component and Product Testing and Verification Processes);

b) determining the sequence and interaction of the processes; c) determining criteria and methods needed to ensure that both the operation and control of the processes are effective; d) ensuring the availability of resources and information necessary to support the operation and control of these

processes; e) monitoring, measuring and analyzing these processes, f) documenting remedial actions taken when quality requirements are not met; g) implementing actions necessary to achieve planned results and continual improvement of these processes; and h) demonstrating that decisions on product quality and acceptability are not solely determined by manufacturing

operations personnel. This also includes decisions on structure and function of the QMS. 4.6.2 Documentation Requirements 4.6.2.1 General The Quality Manual shall be signed and dated by an authorized representative of the Licensee. The Quality Manual shall clearly state the facility name, the facility location, the street address and telephone number, and the name of the contact person at the facility.

AAMA 103-13 Page 24

The Licensee shall establish provisions for the Quality Manual to be reviewed by management at least annually, and a separate Management Review Log shall be maintained. Revisions to the Quality Manual shall be documented and a revision history sheet included in the manual. The AAMA Quality Assurance Program documentation shall include:

a) documented procedures on testing and inspection of components; b) documented procedures on testing and inspection of finished product; c) records of production line testing activities; and d) documented manufacturing process requirements and record of completion.

NOTE 10: Where the term “documented procedure” appears within this procedural guide, this means that the procedure is established, documented, implemented and maintained (demonstrated review of compliance and approval).

NOTE 11: The documentation and records shall be permitted to be in any form or type of Media. 4.6.2.2 Quality Manual The Licensee shall establish and maintain a Quality Manual that includes:

a) the scope of the Licensee’s QMS; b) documented procedures established to meet the AAMA requirements, or reference to them; c) description of the communication between the manufacturing and production line testing processes of the QMS; d) documentation of the type of quality inspections and their frequency; and e) Licensee’s organizational chart and a description of the duties and responsibilities assigned to key positions in the

QMS at the plant location being inspected. f) Maintenance and control documentation (authorized individuals responsible for revisions; maintenance of revision

history)

4.6.2.3 Control of Quality Records Quality records shall be established and maintained to provide evidence of conformity to AAMA requirements and of the effective operation of the QMS. Quality records shall be reviewed annually, updated as necessary and easily retrievable. Quality records and/or summaries shall be retained for a minimum of two years after production is completed. 4.6.2.4 Product Identification Based upon product identification, the QMS shall provide a means to trace finished product back to the production and quality control records at the manufacturing facility. 4.6.3 Component and Product Testing and Verification Processes 4.6.3.1 Verification of Purchased Materials The Licensee shall establish and implement the inspection, testing or other monitoring activities necessary for ensuring that purchased materials and components meet specified requirements (per the AAMA Component Verification Program or the AAMA Profile Certification Program). The QMS shall provide specifications for incoming materials (including raw materials or components) used for the manufacture of finished products. Details shall be provided of inspections or tests that are conducted on incoming materials, or other means used to determine that the materials meet specifications. The Licensee shall indicate that the supplied materials and components meet company requirements, AAMA standards (or existing AAMA certification requirements) and assembly/project requirements if applicable. The licensee shall affirm via an affidavit from each manufacturing facility on an annual basis that no unapproved changes (other than approved waivers) have occurred to the certified product. The affidavit shall be signed by the Quality Manager and a designee authorized by an officer of the corporation. The licensee is responsible to obtain and retain appropriate affidavits from component suppliers, confirming that no product changes have been made. A list of measurement and test equipment used to validate the whole product and component performance shall be maintained. The QMS shall specify the frequency of equipment calibration and means of determining the traceability of measurements to national standards, if applicable. Component and material testing shall be permitted to be performed at an independent testing laboratory or a manufacturer’s testing facility. 4.6.3.2 Verification of Assembled Product Performance The Licensee shall establish and implement production line testing of the assembled product as necessary for ensuring conformance with the product certification. At a minimum, air infiltration and water penetration resistance production line

AAMA 103-13 Page 25

testing shall be performed on finished whole product assemblies to confirm compliance with the labeled performance. The frequency of production line testing shall be specified in the QMS. Additionally, one certified product shall be identified for air and water testing by the plant inspector during each plant inspection. The manufacturer shall have the option to request a random selection from production inventory or produce a separate production line sample for testing. If the manufacturer elects to build a separate production line test product, the inspector shall identify the type and size unit to be assembled on the production line selected. The inspector shall select the test unit after a thorough review of all products chosen by the manufacturer for extended certification. The test unit selected shall be the unit deemed to be critical for review (e.g.; multiple Waivers of Retest issued for the product). The manufacturer has thirty days to have the specified test sample manufactured, tested and reported. Production line testing shall be performed either at an AAMA-accredited independent testing laboratory or witnessed by an AAMA-accredited laboratory at the manufacturer’s testing facility for which an AAMA-accredited full-service independent test lab has filed an Annual Lab Application Appendix C with AAMA. Alternatively, the manufacturer may perform the production line testing without witness by an AAMA-accredited lab. If this option is selected, the test report shall be signed by the QA Manager or QA designated individual in responsible charge and the test report shall include calibration records. Pass-fail criteria for the production line test unit shall be per the manufacturer’s certified performance class and grade. If the production line test results do not comply with the specified performance the QMS shall include a procedure to document the type/cause of the failure. The QMS shall include a Corrective Action Procedure including Quality control procedures to monitor the corrective action. Results of the production line testing shall be submitted to the Validator within fourteen days of the completion of the production line testing.

AAMA 103-13 Page 26

APPENDIX A

AAMA TEST METHOD FOR DETERMINING MOMENT OF INERTIA OF COMPOSITE SECTIONS

1.0 SCOPE 1.1 This test method shall be used to determine the effective moment of inertia of aluminum composite sections. 1.2 This test method may also be used to determine the effective moment of inertia of complex aluminum sections in lieu of calculations. 1.3 In general, the theoretical moment of inertia of a composite (assuming the aluminum sections are fixed in relation to each other) will be greater than the effective moment of inertia calculated by this procedure. 1.4 This test procedure is subject to several limitations: 1.4.1 The effective moment of inertia is only applicable within the elastic range of the composite section. Under certain circumstances the thermal break material may reach its yield or even ultimate strength before the aluminum. This is dependent upon the location of the thermal cavity and type of thermal material used. If such a condition exists, the section will behave in the field with a smaller moment of inertia than the effective value calculated. If in doubt, consult qualified engineering personnel. 1.4.2 Many thermal break materials (i.e. cast-in-place polyurethanes) are very temperature dependent. Specifically, the modulus of elasticity decreases with increasing temperatures (the material becomes softer). For this reason, the effective moment of inertia calculated at room temperature may be greater than actual field performance where metal temperatures can reach 180°F. A possible solution is to test certain sections at elevated temperatures and reduce all room temperature results by the calculated percentage. 1.4.3 The location of the thermal break may give different results for positive and negative loadings on the same section.

2.0 DESCRIPTION

An aluminum composite section is defined as: Any combination of aluminum and one or more materials, such as plastic, vinyl, wood, etc. This includes thermally broken aluminum sections with cast, rolled in, bonded or mechanically fastened thermal barriers. The aluminum, however, must comprise at least 80% of the section by area. The test method subjects the composite specimen to a small deformation from a concentrated load at the center of the span. The specimen is unsupported at the reaction points. Due to the small deformation, it is assumed for purposes of this test that 1) rotation due to unsymmetrical loading is negligible and can be neglected, 2) stresses will remain within the elastic range of the materials, 3) the restraints provided at the supports simulate a simply supported end condition, and 4) the modulus of elasticity of the composite section remains approximately equal to that of pure aluminum (10 x 106 psi). By accurately weighing the concentrated load applied and accurately measuring the resulting center deflection, the effective moment of inertia for the composite section can be determined by using the standard deflection formula for a simply supported beam with a concentrated load at the center. Solving for the moment of inertia:

I = PL3

48 E ∆ Where:

I is the calculated effective moment of inertia for the composite section in inches to the fourth power. P is the applied concentrated load in pounds. L is the length of the center of the span between the reaction points in inches. ∆ is the deflection of the center of the span due only to the applied load (in inches). E is 10 x 106 PSI for aluminum.

AAMA 103-13 Page 27

3.0 PROCEDURE 3.1 The test specimen shall be a single detached aluminum composite member(s) of uniform construction its entire length and supported at the reaction points by means of supports that stimulate a knife-edge condition. Free rotation of the specimen in the plane of the loading must be permitted. 3.2 Loads shall be applied so as not to permanently yield or distort the test specimen. Calibrated testing equipment or dead weights may be used. Accuracy shall be within ± 0.01 pounds. 3.3 Deflection shall be measured with a dial gauge having an accuracy of ±0.001 inches. 3.4 Tests shall be conducted with specimens conditioned with the applied load for a minimum of 15 minutes at 70°F ±5°F. 3.5 Three different specimens of different length shall be loaded one time each and the three calculated moments averaged to determine the effective moment of inertia for the composite section. 3.6 The test specimen must regain a minimum of 75 percent of the deflection within 15 minutes after the load is removed. If the deflection set is 26 percent or more after 15 minutes, the applied load shall be reduced, the test results discarded, and the test rerun on a new specimen. 3.7 The length of the specimen shall exceed ten times the depth of the specimen.

4.0 REPORT

4.1 A dimensioned drawing showing a cross section of the composite specimen, a description of materials, and the direction(s) of loading shall be included. 4.2 The results from each of the three test specimens shall be reported including the individual span lengths, loads, and centerline deflections as well as the average calculated effective moment of inertia.

Form REPC-1-10 Page 1

Form: REPC-1 Issued: 6/8/2010

AAMA CERTIFICATION PROGRAM

REQUEST FOR EXTENSION OF PRODUCT CERTIFICATION

Date TO: Associated Laboratories, Inc. P.O. Box 152837 Dallas, TX 75315 Gentlemen: This affidavit is to officially request an extension of product certification be granted in accordance with the applicable provisions of the AAMA Certification Program described as optional additional in-plant quality control requirements. We understand that these optional additional in-plant quality assurance procedures provide the minimum requirements for manufacturers seeking to extend the four year life span of the existing product certification. We recognize that our voluntary participation in the AAMA Quality Assurance Program requires the establishment of an approved Quality Management System (QMS) and a Quality Manual which conforms to all the requirements outlined in Section 4.0 of AAMA 103. We hereby submit the following products for consideration: (Multiple products may be included on a single form)

Series/Model Test Report Number APC Number

1.

2.

3.

4.

5.

Licensee _____________________________________________ Corporate Name By __________________________________________________ Signature _____________________________________________________ Name (Print) Title*

Validator _____________________________________________ Date

*This affidavit must be signed by a corporate officer or a duly appointed Quality Control Official. The manufacturer/licensee applying for extension of product certification should ensure that the Validator has reviewed and accepted their QMS and Quality Manual prior to the first site visit, in order to avoid potential delays.

Form MSCA-1-10 Page 1

Form: MCSA-1 Issued: 6/8/2010

MANUFACTURER AND COMPONENT SUPPLIER AFFIDAVIT

Background The AAMA sponsored Window and Door Certification Program is based on the conviction that any standard of quality is only as good as the application and continuous adherence to the requirements of the standard by those who claim to comply with its provisions. When a Licensee puts the AAMA sponsored Certification mark, on its products, the Licensee confirms that products bearing them conform to the designated specifications. A licensee shall submit for testing and certification those products which comply with the programs designated standards. Initial qualification tests are conducted by an AAMA accredited laboratory. Representative portions of every specimen tested and corresponding related drawings are retained by the testing laboratory until the expiration of the certification. The initial qualification test report includes section and part drawings, assembly drawings and bill of materials which are compared to the test sample by the testing laboratory and reviewed by the AAMA Validator. The initial certification shall be considered valid for four years and may be extended up to an additional four years as long as the product does not change. The manufacturer and component suppliers must attest that the product has not adversely changed since the original qualification test date. Attest

I, , certify that I have read the foregoing background statement and that the component/product manufactured on this date has not adversely

PUBLICATION NO - AAMAAAMA 103-13 ORIGINALLY PUBLISHED: 1981 PRECEDING DOCUMENT: 103-12 PUBLISHED:...

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