Window and Door Rough Openings

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Climate

ENERGY STAR Version 3, (Rev. 07)

Thermal Enclosure Checklist, Air Sealing. Cracks in the building envelope fully sealed. Rough opening around windows & exterior doors sealed with caulk or foam. In Climate Zones 1 through 3, a continuous stucco cladding system sealed to windows and doors is permitted to be used in lieu of sealing rough openings with caulk or foam.

climate zone map

International Energy Conservation Code (IECC) Climate Regions

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Description

Window and door rough openings are essentially big holes in the building envelope, and while these holes get filled with window and door units, the gaps between the units and the framing rough openings can be major sites for uncontrolled air leakage in a home (DOE 2000). However, by sealing these rough opening gaps, this air leakage can be significantly reduced. A study conducted at Oak Ridge National Laboratory’s Buildings Technology Center on window air sealing showed that windows with 3/4-inch rough-in gaps had an equivalent leakage area of 28.2 cm2/ m2. When the gap was sealed from the interior side of the wall, the equivalent leakage area was cut to 0.5 cm2/m2 (Baechler et al. 2010).

Sealing the gaps between window and door units and the framing rough openings requires care and precision. Unlike other parts of the air barrier on exterior walls, which have layers of redundancy, the seal around a window and door unit stands on its own: usually only a single closure separates the indoor air from the outdoors (BSC 2009).

Window and Door Sealing Materials

Too often, an attempt to seal around a window or door unit is made by stuffing the gap with fiberglass insulation. However, fiberglass is not an air barrier; air can readily seep through the insulation fibers. Instead, the gap should be filled with one or more of the following materials (DOE 2000): 

  • Backer rod comes in both open- and closed-cell varieties. Only closed-cell products (usually made of polyethylene foam) should be used for sealing window and door rough openings, as open-cell foams can absorb and hold moisture. Closed-cell backer rod is typically stocked at hardware stores in 1/4 to 1-1/2-inch-diameters, and sold by the foot from a reel. Larger diameter backer rod (up to 4 inches) is also available in 6- or 7-foot lengths. Always use backer rod that is wider than the gap, so it can be pressed firmly into the gap and create a tight seal.

    Closed-Cell Backer Rod for Air Sealing Window and Door Rough Openings

    Figure 1 - Closed-Cell Backer Rod for Air Sealing Window and Door Rough Openings  Reference

  • Caulk can be used to seal smaller gaps less than 1/2 inch wide. Caulk has the advantage of providing a more positive seal in irregular gaps, and when applied carefully, can create a tight seal around the shims used to install window and door units. For best results, use a silicone or polyurethane sealant that will shrink less than acrylic products when fully cured (Jackson 1997).
  • Nonexpanding foam can be used to quickly and effectively seal the gap between the wall framing and window or door unit. It is important to use a nonexpanding product specially formulated for use as a window or door sealant. Ordinary expanding foam can swell with enough force to distort the jambs, and cause problems with operating the windows and doors. Use of ordinary expanding foam will often void window and door warranties.

    Application of window and door nonexpanding foam sealant

    Figure 2 - Application of Window and Door Nonexpanding Foam Sealant. Although nonexpanding foam can quickly and effectively seal gaps between the jamb and the wall framing, only use nonexpanding foam sealants that are designed specifically for windows and doors.  Reference

Air Sealing Window and Door Rough Openings

Air sealing window and door rough openings is typically done by the insulation contractor, but in some cases it may be done by the window and door installer or by the finish carpenter prior to installing window and door trim.

With the window or door unit permanently installed in the rough opening, air seal the opening as follows: 

  1. Trim back the shims securing the window or door unit to the wall framing. If possible, try to cut these back behind the interior face of the wall and jambs, so that sealant can be applied over the shims for a tighter seal.
  2. Apply the sealant toward the interior edge of the window or door unit. Using this approach, the gap to the exterior can drain freely and will be pressure equalized with the exterior, which limits the potential for an air pressure difference to force water into the joint (BSC 2009).
    • With backer rod: Press the backer rod into the gap between the wall framing and the window or door unit. Use a flat bar to push it in. Apply even pressure; don't force it in, or the tool will tear the backer rod. Push the backer rod to an even depth. If caulk will be applied over it, take care to create an even surface that will provide a uniform substrate for the caulk.
    • With caulk: If the gap is less than 1/2 inch wide, apply caulk over the backer rod for a tighter seal. Caulk should always be applied against backer rod, not just squeezed into the gap.  Tool the bead against the backer rod. This will create an hour-glass shape (see Figure 3 below), which allows the sealant to expand and contract over time without cracking. Without the backer rod, the bead of caulk would be too thick and would be prone to cracking when it cures, and it would be resistant to flexing with movements in the building materials of the wall system as they change dimension with seasonal changes in temperature and humidity.

      Caulk Applied Against the Backer Rod to Seal a Window Rough Opening

      Figure 3 - Caulk Applied Against the Backer Rod to Seal a Window Rough Opening. When tooled, a bead of caulk (light blue) should have an hour-glass shape when applied against backer rod (dark blue). This profile allows the caulk to expand and contract over time without cracking.  Reference

    • With nonexpanding foam, wear gloves when applying spray foam; the foam has an especially aggressive bond that will adhere to skin. Insert the spray nozzle about half an inch into the gap between the wall framing and the window or door unit. Keep the spray nozzle moving at a steady speed while applying the foam: Too slow and the foam will fill too much of the cavity; too fast will result in gaps in the bead.
  3. With all types of sealant materials, pay close attention near the shims that hold the unit in the rough opening. It is important that the sealant fit tightly around these obstacles in the sealant path.

Ensuring Success

Visual Inspection

Visually inspect the seals between the window rough openings and the window and door units prior to installing interior finish materials. The seal from caulk or nonexpanding foam should be uniform without any visible gaps.

Blower Door Testing with Smoke Pencil Diagnostics

Blower door testing, conducted as part of whole-house energy performance testing, may help indicate whether windows have been successfully sealed. With the blower door pressurizing the house, use a smoke pencil to check for air around windows. A smoke trail moving away from the smoke pencil into the wall around the window or door unit indicates a leak that should be sealed.

Scope

Rough opening around windows and exterior doors sealed with caulk or foam

Air Sealing

Rough opening around windows and exterior doors sealed with caulk or foam.

  1. Install backer rod or low-expansion foam in openings around windows and doors.
  2. Fibrous insulation is not an air barrier and cannot be used for sealing gaps.
  3. Avoid using typical expansion foam as it might interfere with the functioning of the window or door.

ENERGY STAR Notes:

In Climate Zones 1 through 3, a continuous stucco cladding system sealed to windows and doors is permitted to be used in lieu of sealing rough openings with caulk or foam.

Training

Right and Wrong Images

Presentations

None Available

CAD Images

None Available

Compliance

ENERGY STAR Version 3, (Rev. 07)

Thermal Enclosure Checklist, Air Sealing. Cracks in the building envelope fully sealed. Rough opening around windows & exterior doors sealed with caulk or foam. In Climate Zones 1 through 3, a continuous stucco cladding system sealed to windows and doors is permitted to be used in lieu of sealing rough openings with caulk or foam

DOE Challenge Home

Exhibit 1: Mandatory Requirements. Certified under ENERGY STAR Qualified Homes Version 3

AAMA/WDMA/CSA 101/I.S.2/A440-08 NAFS

North American Fenestration Standard/Specification for Windows, Doors, and Skylights.  Available from AAMA.  This is a voluntary standard/specification that covers requirements for the following components for new construction and retrofits: single and dual windows, single and dual side-hinged door systems, sliding doors, tubular daylighting devices, and unit skylights

ANSI/BHMA A156.22-2012

Door Gasketing and Edge Seal Systems. Available from ANSI. This standard sets performance and installation of gasketing systems applied to doors and/or frames.  It includes definitions, general information, and tests

ASTM E-2112-07

Standard Practice for Installation of Exterior Windows, Doors and Skylights. Available from ASTM. The standard covers fenestration product installation from pre-installation through post-installation procedures in new and existing construction

2009 IECC

Table 402.4.2 Air Barrier and Insulation Inspection Component Criteria, Windows and doors: Seal space between window/door jambs and framing.*

2009 IRC

Table N1102.4.2 Air Barrier and Insulation Inspection, Windows and doors: Seal space between window/door jambs and framing.*

2012 IECC

Table R402.4.1.1 Air Barrier and Insulation Installation, Windows, skylights and doors: Seal space between window/door jambs and framing and skylights and framing.*

2012 IRC

Table N11402.4.1.1 Air Barrier and Insulation Installation, Windows, skylights and doors: Seal space between window/door jambs and framing and skylights and framing.*

*Due to copyright restrictions, exact code text is not provided.  For specific code text, refer to the applicable code.

More Info.

Case Studies

None Available

References and Resources*

  1. Author(s): BSC
    Organization(s): BSC
    Publication Date: May 2009

    Brochure about air sealing windows.

  2. Author(s): Jackson
    Organization(s): Journal of Light Construction
    Publication Date: October 1997

    Document providing guidance about choosing the correct caulk for a project.

  3. Author(s): DOE
    Organization(s): DOE
    Publication Date: June 2013

    Standard requirements for DOE's Challenge Home national program certification.

  4. Author(s): American National Standards Institute
    Organization(s): American National Standards Institute
    Publication Date: January 2012

    Standard establishing requirements for the performance and installation of gasketing systems including intumescents applied to, or mortised to doors, frames or both.

  5. Author(s): EPA
    Organization(s): EPA
    Publication Date: June 2013

    Standard document containing the rater checklists and national program requirements for ENERGY STAR Certified Homes, Version 3 (Rev. 7).

  6. Author(s): American Architectural Manufacturers Association
    Organization(s): American Architectural Manufacturers Association
    Publication Date: May 2008

    Standard covering requirements for single and dual windows, single and dual side-hinged door systems, sliding doors, tubular daylighting devices, and unit skylights for new construction and replacement applications.

  7. Author(s): Baechler, Gilbride, Cole, Williamson, Love, Hefty
    Organization(s): PNNL, ORNL
    Publication Date: April 2010

    Report identifying steps to seal unwanted air leaks while ensuring healthy levels of ventilation and avoiding sources of indoor air pollution.

  8. Author(s): American Society for Testing and Materials
    Organization(s): American Society for Testing and Materials
    Publication Date: January 2007

    Standard covering the installation of fenestration products in new and existing construction.

  9. Author(s): Southface Energy Institute, ORNL
    Organization(s): DOE
    Publication Date: November 1999

    Brochure with information for homeowners about the benefits of air sealing.

  10. Author(s): EPA
    Organization(s): EPA
    Publication Date: October 2011

    Guide describing details that serve as a visual reference for each of the line items in the Thermal Enclosure System Rater Checklist.

Last Updated: 08/15/2013

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