Guiding Principles for

Installation of Exterior
Windows and Doors

R. Christopher Mathis
ASTM, October 23, 2006
Recap
 Previous recommendations for:
 Structure
 Work effort
 Scientific back-up
 Customer focus

A Two Slide Summary from

the presentations last ASTM
meeting – April 2006
Previous Recommendations (1)
 Divide and Conquer
 Break the “Principles” out into a stand alone
document. Others parts also into stand alone
documents. Common style. Minimize repetition.

 Work on it Here
 Do it at ASTM versus in multiple organizations
and places. Work to the common good.
Previous Recommendations (2)
 Build a Scientific Foundation
 Recommendations based on data – not
speculation. Publish lab test results, field test
results.
 KNOW the boundary conditions/limits

 Plan for Customers

 Know WHO each part is written for. Focus on
new construction first. Focus on the specification
community first.
Some Customers
 Standards Writers  Code Officials
 Architects  Possibly, or another
 Specifiers document specifically
focusing on delivered
 Builders and performance compliance
Remodelers It is CRITICALLY important to
 “How To” training aids know the limits of each
document’s knowledge base.
 What a good job looks
Do NOT extend any
like recommendations beyond
 What a good job does the substantiating data we
have that backs them up!
Plan to prevent their misuse!
New Organization Plan
G u i d in g P r i n c i p le s

W a ll T y p e S t d s . A p p li c a ti o n o f t h e G . P .s A n c i l la r y T o p i c s

S t d . f o r M a s o n r y W a l ls A n c h o rs

S t d . f o r F r a m e W a l ls S i l ls

S td . fo r M e ta l S tu d F r a m in g S e a la n ts

ETC. ETC.

From the Summer Interim Meeting

 Now, on to
The Guiding Principles
The Guiding Principles

We didn’t get
“divine” guidance,
so we had to do
the best we could
with our small
brains…
Governing Concepts
 Principles-based
 Focus on the Goals, NOT the details of “how”
 How goes into other documents

 Simple
 Easy for the common installer, builder, user to
understand
GP Scope
 Suitability for Use
 Product must…

 Preparation
 Wall must…

 Installation Basics
 Square, plumb, level, anchored…

 Integration
 System must…
1. Suitability for Use
 The Product Must:
 Meet the requirements of the code
 Air, water, structural, energy, impact, etc.

 Meet the requirements of its intended use

 Where in the wall (mid-wall versus corners)
 Where in the building (low versus high)
 Type of building (house versus hospital)
 Type of exposure (protected versus exposed)
 Where in the climate zone (wind/rain exposures)

A lot of this is included in the DP rating…

Design Pressure Ratings
Six basic elements are
used to calculate design
pressure ratings

• Wind speed
• Exposure Wind speed
Wall Zone

• Importance factor
Importance factor
• Mean roof height (building category)

• Unit size
• Wall location 30’

Exposure
(B or C)
Mean roof height Unit Size
What Does “Suitability” Mean?
 You have to FIRST select the right window
for the job!
 Know the Code requirements
 Know the DP ratings needed for the specific
application and location

Gotta know these things before you

can even BEGIN to make installation
decisions!
Location Matters!

And these wind speed

issues are NOT limited to
Coastal conditions!

Wind Zone
150 mph
140 mph
130 mph
120 mph
110 mph
100 mph
90 mph
Suitability and Water Exposure
 Make sure the PRODUCT is suitable for
the expected water exposure

 Make sure the WALL SYSTEM is suitable

for the expected water exposure

Gotta know these things before you

can even BEGIN to make suitable
installation decisions!
2. Preparation
 The wall must be APPROPRIATE for the
window selected
 Structurally, water management, material
compatibility, etc.

 The wall must be READY for the window

selected
 Proper framing, square, level, etc.
 Dry? Yes, we know this is not a standard on how
to build walls… But we can’t properly install
a window if the WALL isn’t ready!
Wait a Minute…
 I thought we were here to discuss
WINDOW INSTALLATION?

 Yes, however we MUST address

“suitability” and “preparation” first, or we
can never hope to have a proper and
performing installation

(1) Right product for the job, and

(2) A wall that is ready for the product

3. Installation Basics
 More than just “water management”
 “Square, Plumb, Level”
 Anchored
 Appropriate for the application and load

 Integrated

ALL are required to get ANY of the desired

performance…
4. Integrated
 Was is Integrated?
 Appropriate for the wall system planned
 Appropriate for the water management system
planned
 Successfully integrated with the wall structural
and water management systems

Remember: You must KNOW what water

management approach is planned BEFORE
trying to install the window…
Principles of Water Management
 Deflection
 Why we have shingles and siding…

 Drainage
 Why we have air spaces and drainage planes

 Drying
 Why we don’t want to trap moisture in walls

 Durability
 How long is this supposed to last?
Jim K’s list…
More on Water Management
 How much water do I have to manage?

 Then, TWO choices:

(1) DRAIN IT
(2) BLOCK IT

BOTH are tough to do right and well…

Choices depend on the window, wall, wind
and rain exposure, and risk tolerance…
“Drain It” Principles
 Gravity is our friend  Give the water a place
 And it’s the LAW! to go!

 Direct the Water!  “Be the raindrop”

 Down and out  Horizontal or vertical
furring?
 Many opportunities to
direct the water  How big is that crack?

 Must work with overall  Will the wind find this

wall water management hole?
plan and system

Don’t expect the window to work if

the wall doesn’t…
“Block It” Principles
 Submarine concept  Everything must be
“compatible”
 Small holes matter
 Gotta stick together

 Wall system must be:  For a long time

 Sealed  In a lot of conditions

 Hot Temperatures
 Continuous
 Cold Temperatures
 Robust  Rain, Snow, Sleet
 Dirt, Mud, Dust
 Impervious to water

And if you think you can DO this, I have a

bridge in Brooklyn I’m trying to sell…
Where Do We Go From Here?
 New Text on “Guiding Principles”

 Additional refinement to other Work

Tasks?
 Wall Standards
 Masonry, wood, etc.

 Supporting Standards
 Flashing, sealants, anchors, etc.
Organization Plan
G u i d in g P r i n c i p le s

W a ll T y p e S t d s . A p p li c a ti o n o f t h e G . P .s A n c i l la r y T o p i c s

S t d . f o r M a s o n r y W a l ls A n c h o rs

S t d . f o r F r a m e W a l ls S i l ls

S td . fo r M e ta l S tu d F r a m in g S e a la n ts

ETC. ETC.

From the Summer Interim Meeting

Revisions Underway
Guiding Principles
Suitability Product Selection, Intended Use, Air, Water,
Structural, Thermal, Wind Exposure, Code,
Climate, etc.

Preparation Wall basics, water management system to be

employed, labor training and skills, material
protection, etc.

Fundamentals Square, Plumb, Level, Anchored, Integrated –

each applied to the window and wall system
being employed

Integration Integration with the wall/roof water

management system planned, material
compatibility, construction scheduling, etc.
Other Standards Will Cover…
Wall Standards
Wood Frame
Structural basics, Water management basics,
window integration plan basics

Metal Frame
Structural basics, Water management basics,
window integration plan basics

SIPS
Structural basics, Water management basics,
window integration plan basics

Other
Structural basics, Water management basics,
window integration plan basics
Additional Work in Development
Supporting Standards
Flashing
Material basics, operational classes,
limitations of use, best practice, etc.

Sealants
Material basics, operational classes,
limitations of use, best practice, etc.

Anchoring
Material basics, operational classes,
limitations of use, best practice, etc.

Other
Material basics, operational classes,
limitations of use, best practice, etc.
Slightly Revised Org Chart
G u id in g P r in c ip le s
S u i t a b ili ty P r e p a r a tio n

F u n d a m e n t a ls I n te g r a tio n

W a ll T y p e S td s . A p p lic a t io n o f G P s A n c illa r y T o p ic s

M a s o n r y W a l ls W a te r M g m t A n c h o rs
D r a in a g e In s t.
B a r r ie r I n s t.

F r a m e W a l ls F la s h i n g I n t e g r a t i o n S i l ls

M e ta l S tu d I n s t a l l a t i o n D e t a i ls S e a la n ts

E tc . T e s tin g E tc .

E tc .
Water Management Standards?
“Drain It” Standard
Fundamentals of water drainage,
construction techniques that ensure
drainage, minimum air space
requirements, impediments to
draining, test methods to assess
drainage performance, inspection to
ensure drainage, durability issues,
flashing integration, sealant usage,
common problems, performance
risks, etc.
Is this “Application of the Guiding Principles”?
“Block It” Standard
Fundamentals of barrier systems,
construction techniques that ensure
barriers, minimum barrier
requirements, impediments to barrier
implementation, test methods to
assess barrier performance,
inspection to determine compliance,
durability issues, common problems,
performance risks, etc.
 Guiding Principles
Objectives, Suitability, Preparation, Fundamentals, Integration

Windows Walls GP Applications Ancillary

Types, materials, Structural, materials, General “How To” basics, for all Materials, best
Application
selection criteria, “Principles”, selection criteria,
best practice, applicationsbest practices,
and situations and options, risks,
practice, limitations,
performance etc. limitations, risks, etc. performance attributes risks, etc.
specification guidance, etc.
Flashing
Flanged Wood Frame Water Management Basics
Drain it basics Block it basics
Sealants
Non-flanged Metal Frame
Air Sealing Anchoring
Replacement Masonry Application
Components,
Types Types Objectives
Thermal Performance
Site Built SIPS OtherShimming
Standards
and Practices
Testing (lab, field) Testing
Other window Other wall and
types system types
Inspection Other supporting
stds.
Systems Integration
 Guiding Principles
Design Objectives, Suitability, Preparation, Fundamentals, Integration

Windows Walls GP Applications Ancillary

Types, materials, Structural, materials, General “How To” basics, for all Materials, best
selection criteria, best practice, applications and situations and practice, limitations,
performance etc. limitations, risks, etc. performance attributes risks, etc.

Flashing
Flanged Wood Frame Water Management Basics
Drain it basics Block it basics
Sealants
Non-flanged Metal Frame
Air Sealing
Anchoring
Replacement Masonry
Thermal Performance
Shimming
Site Built SIPS Testing (lab, field)

Other window Testing

Other wall and Inspection
types system types
Sequencing Other supporting
stds.
Systems Integration
DRAFT Standard Guideline for
Installation of Exterior Windows, Doors and Skylights

INTRODUCTION
This document defines the Guiding Principles for the installation of windows,
doors and skylights. It is intended to provide an overall picture of the
requirements and complexity associated with the successful integration of
these products into wall systems.

As a Guideline, it covers key issues that installers should consider when

selecting a window, door or skylight for a given application. It addresses
issues such as selecting products that are suitable for a particular
application, the types of wall and materials preparations that should be
considered when installing these products, guidance on installation basics
that are almost universally applicable for these products, and key issues of
proper integration – again, applicable to almost any wall system.

The elements of this Guideline have been developed by general consensus.

Where applicable, experimentation and testing have been conducted to
substantiate the recommendations. In the absence of testing, professional
judgment and the advice of subject matter experts have been relied upon.
(continued) This document is intended to work in concert with other ASTM
documents that are closely related to the many varied issues involved in
proper window, door and skylight installation. It will refer the user to
numerous other standards for topic-specific guidelines and additional
important considerations - such as wood frame wall considerations, flashing
material considerations, climate considerations, etc.

The Guideline also includes examples of the Guiding Principles in practice –

with specific recommendations to the designer or installer regarding
achieving on-site, installed performance equal to the expectations and
product performance claims. As such, rainwater management principles and
air sealing principles are discussed in some detail. (Note: Rainwater leakage
has been the leading reason for dissatisfaction of building owners with
performance of fenestration installations. For this reason, This Guideline
places greater emphasis on preventing or limiting rainwater leakage than on
any other single performance characteristic.)

The Guideline also offers guidance on quality assurance, on-site inspection,

testing and code compliance.