ASTM E699-16

Standard Specification for Agencies Involved in Testing, Quality Assurance, and Evaluating of Manufactured Building Components

SIGNIFICANCE AND USE
4.1 This specification provides basic criteria for evaluating the qualifications of agencies utilizing the ASTM test methods to test and evaluate manufactured building components. The existence of a formal accrediting authority such as a federal, state, municipal, or nongovernmental body is not necessary for the use of this specification. These criteria may be supplemented by more specific criteria for particular classes of testing, quality assurance, and evaluative agencies.  
4.2 The intent of this specification is to provide a “consensus-system” standardized basis for evaluating a testing, quality assurance, or evaluating agency with respect to its capability to provide the specific service(s) needed by the user without prejudice to the agency offering other services or being affiliated with other agencies or organizations. In those situations where a strict literal interpretation of the phrase “shall be made available,” as used in this specification, would be inordinately burdensome to an agency, it will generally be sufficient that the agency concerned has the information available for “on-site” review. This specification is not intended to be used by accredited agencies or personnel in the performance of Special Inspection services listed in the IBC Code or any other Code.  
4.3 The criteria of this specification are described in terms of the basic information necessary for an accrediting authority to evaluate the capability, with respect to objectivity, and competency of a testing, quality assurance, and evaluating agency regarding common characteristics pertaining to the organization, human resources, material resources, and quality systems employed by the agency in performing the services offered. Typically, accreditation of an agency involves the following three essential phases:  
4.3.1 Submittal, to an involved accrediting authority, of basic information in accordance with the criteria of this specification by an interested agency.  
4.3.2 Evaluation...
SCOPE
1.1 This specification defines the minimum requirements for agencies engaged in inspections and testing performance in accordance with ASTM standards for factory built building components and assemblies.  
1.2 The criteria in this specification are provided for assessing the competence of an agency to properly perform designation testing, quality assurance, and inspection.  
1.3 This specification does not cover Special Inspections or construction materials testing or inspection, or both. See Specification E329 for these items.  
1.4 The criteria presented herein are divided into three categories of endeavor, namely,
Part A—Standards and Criteria for Testing Agencies
Part B—Standards and Criteria for Quality Assurance Agencies
Part C—Standards and Criteria for Evaluating Agencies  
1.5 The fundamental purpose of this specification is to provide criteria for evaluating an agency as denoted in 1.4 either by a user of that service or by an accrediting authority.  
1.6 It is not the purpose of this specification to provide a basis for determining the quality of a product or service being evaluated.  
1.7 This specification is not intended for the evaluation of those activities normally associated with the production and sale of products and the like, such as a manufacturer's internal quality program. However, any organization may request or perform an evaluation of its own in-house facilities under this specification if it so desires.  
1.8 It is not the intent of this specification to be the basis for the determination of the type of agency to be selected by the user.  
1.9 This specification is used in conjunction with Specification E541 and Practice E651/E651M.  
1.10 The use of SI or inch – pound units, or combination of, will be the responsibility of the technical committees referred to in this standard.

General Information

• Status: Published
• Publication Date: 31-Jul-2016
• ICS: 91.060.01 - Elements of buildings in general
• Technical Committee: E36 - Accreditation & Certification
• Drafting Committee: E36.70 - Agencies Performing Construction Inspection, Testing and Special Inspection

Relations

• Replaces: ASTM E699-09 - Standard Practice for Evaluation of Agencies Involved in Testing, Quality Assurance, and Evaluating of Building Components
• Effective Date: 01-Aug-2016
• Refers: ASTM E329-23 - Standard Specification for Agencies Engaged in Construction Inspection, Testing, or Special Inspection
• Effective Date: 01-Nov-2023
• Refers: ASTM E329-18 - Standard Specification for Agencies Engaged in Construction Inspection, Testing, or Special Inspection
• Effective Date: 01-Jan-2018
• Refers: ASTM E329-14a - Standard Specification for Agencies Engaged in Construction Inspection, Testing, or Special Inspection
• Effective Date: 01-Jun-2014
• Refers: ASTM E329-14 - Standard Specification for Agencies Engaged in Construction Inspection, Testing, or Special Inspection
• Effective Date: 01-Mar-2014
• Refers: ASTM E329-13c - Standard Specification for Agencies Engaged in Construction Inspection, Testing, or Special Inspection
• Effective Date: 15-Dec-2013
• Refers: ASTM E329-13b - Standard Specification for Agencies Engaged in Construction Inspection, Testing, or Special Inspection
• Effective Date: 01-Oct-2013
• Refers: ASTM E329-13a - Standard Specification for Agencies Engaged in Construction Inspection, Testing, or Special Inspection
• Effective Date: 01-Jul-2013
• Refers: ASTM E329-13 - Standard Specification for Agencies Engaged in Construction Inspection, Testing, or Special Inspection
• Effective Date: 15-Jun-2013
• Refers: ASTM E329-11c - Standard Specification for Agencies Engaged in Construction Inspection, Testing, or Special Inspection
• Effective Date: 15-Dec-2011
• Refers: ASTM E329-11b - Standard Specification for Agencies Engaged in Construction Inspection, Testing, or Special Inspection
• Effective Date: 01-Aug-2011
• Refers: ASTM E329-11a - Standard Specification for Agencies Engaged in Construction Inspection, Testing, or Special Inspection
• Effective Date: 15-Jun-2011
• Refers: ASTM E329-11 - Standard Specification for Agencies Engaged in Construction Inspection, Special Inspection, or Testing Materials Used in Construction
• Effective Date: 15-Mar-2011
• Refers: ASTM E329-10 - Standard Specification for Agencies Engaged in Construction Inspection, Special Inspection, or Testing Materials Used in Construction
• Effective Date: 15-Dec-2010
• Refers: ASTM E329-09 - Standard Specification for Agencies Engaged in Construction Inspection and/or Testing
• Effective Date: 01-Nov-2009

Overview

ASTM E699-16 is the Standard Specification for Agencies Involved in Testing, Quality Assurance, and Evaluating of Manufactured Building Components. Developed by ASTM International, this specification establishes the minimum requirements for agencies engaged in inspection, testing, and quality assurance in accordance with ASTM standards for factory-built building components and assemblies. It is designed to provide users and accrediting bodies with consistent criteria to objectively assess an agency’s qualifications and competence. Notably, a formal accrediting authority is not mandatory for applying this specification.

Key Topics

• Agency Qualifications: Outlines essential criteria for organizations performing testing, quality assurance, or evaluation of manufactured building products. Criteria cover organization structure, human resources, material resources, and quality systems.
• Categories of Agencies:
  • Testing Agencies - Responsible for conducting required ASTM test methods and documenting compliance or deviations.
  • Quality Assurance Agencies - Oversee and audit manufacturer’s quality programs, develop procedural guides, and administer quality assurance programs.
  • Evaluating Agencies - Analyze test data, assess standards compliance, and prepare conclusive evaluation reports.
• Accreditation Process: Specifies the process for agency qualification, including information submission, evaluation, and on-site verification.
• Competence Assessment: The specification details methods for assessing objectivity, technical skill, and avoidance of conflicts of interest.

Applications

• Manufactured Building Components: Ensures agencies responsible for the testing and evaluation of prefabricated or factory-built components and assemblies meet a recognized standard of competence.
• Third-Party Verification: Offers owners, manufacturers, and regulators a tool for selecting qualified, impartial agencies for product evaluation, supplier audits, and compliance assessments.
• Consumer Protection: Enhances reliability and safety in the built environment by promoting valid and objective testing and quality assurance.
• Documentation and Reporting: Promotes effective, standardized record-keeping, traceability, and reporting, facilitating transparency and accountability in building product compliance.
• Training and Personnel Requirements: Establishes baseline qualifications, experience, and certification standards for key agency personnel such as administrators, supervisors, and technicians.

Related Standards

• ASTM E329 - Specification for Agencies Engaged in Construction Inspection, Testing, or Special Inspection (focused on materials at the construction site).
• ASTM E541 - Specification for Agencies Engaged in System Analysis and Compliance Assurance for Manufactured Building.
• ASTM E651/E651M - Practice for Evaluating Capabilities of Agencies Involved in System Analysis and Compliance Assurance.
• Not for Special Inspections: ASTM E699-16 does not apply to special inspection services as listed in the International Building Code (IBC) or similar codes.

Practical Value

• Consistent Evaluation: Provides a standardized, consensus-based framework for evaluating agencies, whether for a client’s due diligence or for accreditation.
• Objective, Fact-based Assessments: Encourages use of evidence-based evaluation, reduces bias, and promotes best practices in testing and quality assurance.
• Flexible Use: Can be adopted by users, accrediting bodies, and even agencies seeking self-assessment and improvement.
• Market Confidence: By following ASTM E699-16, agencies can demonstrate their competency, increase stakeholder trust, and meet regulatory or market demands.

Keywords: ASTM E699-16, building component testing, quality assurance, evaluation agencies, manufactured building, agency accreditation, construction standards, third-party inspection, compliance verification

Standards Content (Sample)

This international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for the
Development of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.
Designation: E699 −16 An American National Standard
Standard Specification for
Agencies Involved in Testing, Quality Assurance, and
Evaluating of Manufactured Building Components
This standard is issued under the fixed designation E699; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
1. Scope 1.9 This specification is used in conjunction with Specifi-
cation E541 and Practice E651/E651M.
1.1 Thisspecificationdefinestheminimumrequirementsfor
agencies engaged in inspections and testing performance in 1.10 The use of SI or inch – pound units, or combination of,
will be the responsibility of the technical committees referred
accordance with ASTM standards for factory built building
components and assemblies. to in this standard.
1.2 The criteria in this specification are provided for assess-
2. Referenced Documents
ing the competence of an agency to properly perform designa-
2.1 ASTM Standards:
tion testing, quality assurance, and inspection.
E329 Specification for Agencies Engaged in Construction
1.3 This specification does not cover Special Inspections or
Inspection, Testing, or Special Inspection
construction materials testing or inspection, or both. See
E541 Specification for Agencies Engaged in System Analy-
Specification E329 for these items.
sis and ComplianceAssurance for Manufactured Building
E651/E651M Practice for Evaluating Capabilities of Agen-
1.4 The criteria presented herein are divided into three
categories of endeavor, namely, cies Involved in System Analysis and Compliance Assur-
ance for Manufactured Building
Part A—Standards and Criteria for Testing Agencies
Part B—Standards and Criteria for QualityAssuranceAgen-
3. Terminology
cies
3.1 Definitions:
Part C—Standards and Criteria for Evaluating Agencies
3.1.1 accrediting authority—aformalbody(oranindividual
1.5 The fundamental purpose of this specification is to
user) that evaluates the capability of an agency in certain
provide criteria for evaluating an agency as denoted in 1.4
specific fields of activity.
either by a user of that service or by an accrediting authority.
3.1.2 affıliate—as used in this specification, a corporate or
1.6 It is not the purpose of this specification to provide a
organizational entity that has a management or an ownership
basis for determining the quality of a product or service being
relationship, or both, with the agency being evaluated. It does
evaluated.
not refer to a contractual relationship between organizations,
1.7 This specification is not intended for the evaluation of
nor does it include the membership of a trade or similar
those activities normally associated with the production and
association, or to the companies represented by such member-
sale of products and the like, such as a manufacturer’s internal
ship.
quality program. However, any organization may request or
3.1.3 agency—an organization or part of an organization,
perform an evaluation of its own in-house facilities under this
engaged in the activities of testing, quality assurance, or
specification if it so desires.
evaluating test results.
1.8 It is not the intent of this specification to be the basis for
3.1.4 certification—the process by which recognition is
the determination of the type of agency to be selected by the
obtained from an appropriate party that a product meets certain
user.
specified requirements. Prototype or production models, or
both, of the product(s) will have been tested and inspected to
check that they do meet the requirements. Quality assurance
programs are used to ensure that the product(s) continue to
This specification is under the jurisdiction of ASTM Committee E36 on
Accreditation & Certification and is the direct responsibility of Subcommittee
E36.70 on Agencies Performing Construction Inspection, Testing and Special
Inspection. For referenced ASTM standards, visit the ASTM website, www.astm.org, or
Current edition approved Aug. 1, 2016. Published August 2016. Originally contact ASTM Customer Service at [e-mail]. For Annual Book of ASTM
approved in 1979. Last previous edition approved in 2009 as E699 – 09. DOI: Standards volume information, refer to the standard’s Document Summary page on
10.1520/E0699-16. the ASTM website.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
E699 − 16
comply with the specified requirements. Satisfactory tests, to test and evaluate manufactured building components. The
inspections, and quality assurance are for the basis for certifi- existence of a formal accrediting authority such as a federal,
cation. Certification may be evidenced by labeling of the state, municipal, or nongovernmental body is not necessary for
product. the use of this specification. These criteria may be supple-
mented by more specific criteria for particular classes of
3.1.5 criteria—common characteristics pertaining to
testing, quality assurance, and evaluative agencies.
organization, human resources, material resources, and quality
systems which provide a basis for evaluating agencies as to
4.2 The intent of this specification is to provide a
their capability to objectively and competently provide the
“consensus-system”standardizedbasisforevaluatingatesting,
specific service(s) needed by the user.
quality assurance, or evaluating agency with respect to its
3.1.6 evaluating—the function of obtaining data developed capability to provide the specific service(s) needed by the user
by a testing agency, and utilizing such data to perform withoutprejudicetotheagencyofferingotherservicesorbeing
calculations, determine suitability, project results, or otherwise affiliated with other agencies or organizations. In those situa-
draw conclusions resulting from an analysis of these data. tions where a strict literal interpretation of the phrase “shall be
made available,” as used in this specification, would be
3.1.7 human resources—those elements of support and ca-
inordinately burdensome to an agency, it will generally be
pability that are provided by humans using their mental and
sufficient that the agency concerned has the information
physical capabilities.
available for “on-site” review. This specification is not in-
3.1.8 inspection—the process of measuring, examining,
tended to be used by accredited agencies or personnel in the
testing, gaging, or making other determinations with respect to
performance of Special Inspection services listed in the IBC
materials, products, services, or environments.
Code or any other Code.
3.1.9 material resources—the instrumentalities,
4.3 The criteria of this specification are described in terms
documentation, environments, structures, etc., needed to aug-
of the basic information necessary for an accrediting authority
ment the elements of support and capability provided by
to evaluate the capability, with respect to objectivity, and
humans. (See human resources.)
competency of a testing, quality assurance, and evaluating
3.1.10 organization component—a portion of an organiza-
agency regarding common characteristics pertaining to the
tion with specific tasks and activities that constitute a part of
organization, human resources, material resources, and quality
the total effort and accomplishments of the organization.
systems employed by the agency in performing the services
3.1.11 quality—the totality of features and characteristics of
offered. Typically, accreditation of an agency involves the
a material, product, service, system, or environment that bear
following three essential phases:
on its capability to satisfy a specified need(s).
4.3.1 Submittal, to an involved accrediting authority, of
3.1.12 quality assurance—a planned system of activities
basic information in accordance with the criteria of this
whose purpose is to provide assurance that the overall quality
specification by an interested agency.
controlprogram(seequalitycontrol)isinfactbeingeffectively
4.3.2 Evaluation of the agency-submitted information by
implemented. This system involves a continuing evaluation of
the involved accrediting authority.
the adequacy and effectiveness of the overall quality control
4.3.3 Verification, “on-site,” of the agency-submitted infor-
programwithaviewtohavingcorrectiveactioninitiatedwhere
mation by the representative(s) of the involved accrediting
necessary. For a specific material, product, service, etc., this
authority.
involves verification, audits, and evaluations of the quality
4.4 Although three categories are presented, an agency may
factors that affect the specification, production, inspection, and
provide one or any combination of these categories for which
use of the material product, service, system, or environment.
it can qualify. An agency requesting qualification under more
3.1.13 qualitycontrol—aplannedsystemofactivitieswhose
thanonecategorymustsatisfythecriteriaforeachcategoryfor
purpose is to provide a level of quality that meets the needs of
which acceptability is desired.
users; also, the use of such a system. The objective of quality
4.5 The criteria set forth herein represent areas upon which
control is to provide an overall system integrating the quality
agreement can be reached. There may be other areas to be
factors of several related steps including: the proper specifica-
given consideration which may be of importance to the user.
tionforwhatiswanted;productiontomeetthefullintentofthe
The user should include such other areas as a part of its own
specification; inspection to determine whether the resulting
criteria.
material, product, service, etc., is in accord with the specifica-
tion; and review of usage to determine necessary revisions of
4.6 This specification represents minimum criteria neces-
the specification.
sary to perform, monitor, or evaluate the test results of those
3.1.14 testing—the determination, by technical means, of
standards promulgated by ASTM Committee E06.
theproperties,performance,orelementsofmaterials,products,
4.7 It is anticipated that the ultimate user of this specifica-
services, systems, or environments, which may involve appli-
tion will have the expertise necessary to exercise good judg-
cation of established scientific principles and procedures.
ment in the areas of human resources, physical resources, and
4. Significance and Use quality systems of the agency being evaluated.
4.1 This specification provides basic criteria for evaluating
NOTE 1—For example, when judging the qualifications of the various
the qualifications of agencies utilizing theASTM test methods individuals in a particular agency, related factors or alternative resources
E699 − 16
(such as mechanical, electrical, or electronic equipment used to aid,
This may be demonstrated in the form of charts that depict the
control, or monitor the work of the personnel) should be considered when
relevant groups and their relationship.
assessingtheoverallqualificationsofsuchindividuals.Thejobexperience
5.1.5.1 This description shall be inclusive of all the loca-
and the reliability of the individual should also be considered in the
tions that are to be used for performing the services listed in
judgment, where applicable.
5.1.4 including the functions being performed at each location.
4.8 When assessing the organization and the resources of a
The accreditation of an agency includes the accreditation of all
particular agency, the judgment should take into account only
locations of the agency performing services or support func-
those factors or resources specifically related to the technologi-
tions for which accreditation is being sought. All information
cal area being served by the agency in terms of the specific
required by this specification shall be supplied for each
evaluation, and only as necessary to form an adequate judg-
location.
ment in relation to the evaluation. Conversely, those techno-
5.1.6 A brief resume of all full-time managerial and super-
logicalareasservedbyaparticularagencythatarenotrequired
visory employees used to perform the services for which
to be evaluated in a specific instance should not be impugned
accreditation is being sought. Where part-time employees,
through the lack of such evaluation. The absence of evaluation
contractors, consultants, etc., are utilized in any capacity for
or the denial of accreditation by any one party should not
these services, their relationship to the agency shall be stated.
prejudice future evaluations by other parties because small
5.1.7 A statement determining the managerial or financial
differences in needs can influence the judgement of users. The
relationship, or both, between the agency, its owners, its
use of this specification does not abrogate the right to “due
management, its directors, and the users of the services to be
process” necessary to all assessments under this specification.
performed.
The right of rebuttal to any conclusions drawn during an
accreditation procedure shall be extended to the agency.
PART A—STANDARDS AND CRITERIA FOR
TESTING AGENCIES
4.9 Each act of evaluation should be viewed as a “one-to-
one” judgment and should not be construed as being a
6. General
universal judgment by others interested in the agency’s ser-
6.1 The testing agency is responsible for the performance of
vices. In order to ensure proper interpretation of each act of
the applicable tests with the objective of ascertaining that the
evaluation, the purpose of the evaluation and the evaluation
manufacturer’s product complies with the testing requirements
area shall be clearly specified in any report of an evaluation
of the applicable standard or specifications. An understanding
made pursuant to this specification.
of the requirements of each individual test method to be used
5. Organization of the Agency
is a necessity. It is essential that the test agency has a copy of
each applicable test method available, in its entirety, before
5.1 The following information shall be made available by
undertaking the test program.
the agency:
5.1.1 A description of the organization including: 6.2 The test agency shall prepare and submit a report in
5.1.1.1 The complete legal name and address of the main
compliance with the requirements of the test method. This test
office. report shall stipulate that the tests were performed in accor-
5.1.1.2 Thenamesandpositionsoftheprincipalofficersand
dancewithallrequirementsofthetestmethodwhensuchisthe
directors. case. In those cases where a deviation is made from the test
5.1.1.3 The agency’s principal ownership, its managerial
method requirements, each such deviation shall be enumerated
structure, and its principal members. in the test report separately so that proper evaluation of the test
5.1.1.4 All relevant internal organizational components in- results can take the deviations into account.
cluding their locations and their primary functions.
6.3 The function of a test agency encompasses only the
5.1.1.5 All relevant organizational affiliates of the agency,
performance of the tests required, the reporting of the results,
and the principal officers of the affiliates and directors of the
and a statement of compliance to the particular function under
affiliates, where applicable.
consideration. Evaluation of the test results is the function of
5.1.1.6 External organizations and organizational compo-
the evaluating agency, the criteria for accreditation for which
nents and their functions that are utilized for significant
are set forth in Part C of this specification.
supporting technical services.
6.4 Where the test agency performs several testing proce-
5.1.1.7 A brief history of the agency, including its relation-
dures encompassing changes in the manufacturer’s product,
ship with its organizational components, affiliations, and other
leading to improved or acceptable results, each such change
supporting information, to ensure that any and all possible
and its effect shall be reported in a supplement to the test
conflicts of interest may be judged from the standpoint of the
report, in order to allow the evaluating agency and quality
user.
assurance agency to properly appreciate and incorporate this
5.1.2 Ageneral description of the geographical area served.
knowledge into their functions.
5.1.3 A general description of the types of users of the
services. 6.5 The test agency shall be capable of providing the
5.1.4 A listing of the relevant technical services offered. following elements:
5.1.5 A functional description of the agency’s organiza- 6.5.1 An organization identifying the person(s) responsible
tional structure for the services listed in 5.1.4 including for the overall operation of the test agency and for the
operational departments, support departments, and services. supervision of the test program.
E699 − 16
6.5.2 A record of calibrations performed. 7.3.3 Experience:
6.5.3 A suitable method for storing records and test results. 7.3.3.1 One year cumulative responsibility for technical
project planning and management and
6.6 The test agency shall demonstrate the following capa-
7.3.3.2 Four years of actual or supervisory exposure in
bilities:
testing or use of test methods for the product or similar
6.6.1 The agency shall have a definite program for training
products involved.
new testing personnel and supervision of all testing personnel.
7.3.3.3 Active participation in developing test methods or
6.6.2 The agency shall conduct training programs for all
standards for the product or similar products is desirable.
testing personnel to ensure uniform application of the test
methods and improving existing techniques.
8. Test Agency Representative in Direct Charge of
6.6.3 If feasible, the agency shall participate in round-robin
Testing Program
evaluations, when required by the accreditor.
8.1 Task:
6.6.4 The agency shall maintain records to allow verifica-
8.1.1 Supervision—Provide first-hand review of the perfor-
tion of test reports.
mance of test agency technicians in their work.
6.7 Criteria—The test agency shall provide documentation
8.1.2 Resolve Problems—Resolve nonroutine testing prob-
toestablishthatisproceduresmeetthestandardin6.1,6.2,6.3,
lems presented by technicians or others.
6.4, 6.5, and 6.6.
8.1.3 Procedure Implementation—Implement administra-
tive and operational procedures, such as training procedures,
7. Test Agency Representative in Responsible Charge
test procedures, etc., as delegated by the test agency represen-
7.1 Task—To provide those services required of the person
tative in responsible charge.
in responsible charge of the test functions, including the
8.2 General Requirements:
following:
8.2.1 General Knowledge—Detailed knowledge of appli-
7.1.1 Project Liaison—Represent the test agency in all
cable standards.
relationships with the manufacturer, the quality assurance
8.2.2 Supervisor Ability—Ability to select and motivate
agency, the evaluating agency, or such other agencies having
technicians to perform as required, and to provide a proper
an interest in the test results.
balance between efficient utilization of personnel and assur-
7.1.2 Scheduling of Testing Activities—Prepare and monitor
ance of quality.
the complete management plan for testing activities, keeping
8.2.3 Personnel and Physical Plant Evaluation—Ability to
them on schedule and performing effectively.
review activities and performance of testing operations for the
7.1.3 Training—Establish and evaluate training programs
purpose of ensuring the quality of the tests performed.
appropriate to the performance of the specific job tasks of the
testing staff and to maintain the technical co
...

This document is not an ASTM standard and is intended only to provide the user of an ASTM standard an indication of what changes have been made to the previous version. Because
it may not be technically possible to adequately depict all changes accurately, ASTM recommends that users consult prior editions as appropriate. In all cases only the current version
of the standard as published by ASTM is to be considered the official document.
Designation: E699 − 09 E699 − 16 An American National Standard
Standard PracticeSpecification for
Evaluation of Agencies Involved in Testing, Quality
Assurance, and Evaluating of Manufactured Building
Components
This standard is issued under the fixed designation E699; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
1. Scope
1.1 This practice provides a guide for the information to be obtained and provides specific recommended criteria for evaluating
the capabilities of an agency to conduct inspections and tests and to report on tests performed specification defines the minimum
requirements for agencies engaged in inspections and testing performance in accordance with ASTM standards primarily on for
factory built building components and assemblies.
1.2 The criteria in this practice describe the basic information used in judging the capability specification are provided for
assessing the competence of an agency to perform its intended functions objectively and competently as well as to disclose possible
conflicts of interest judged from the standpoint of the user of this practice. Testing, approval, and certification of a company’s own
products and services by its own testing agency does not necessarily constitute a conflict of interest.properly perform designation
testing, quality assurance, and inspection.
1.3 This specification does not cover Special Inspections or construction materials testing or inspection, or both. See
Specification E329 for these items.
1.4 The criteria presented herein are divided into three categories of endeavor, namely,
Part A—Standards and Criteria for Testing Agencies
Part B—Standards and Criteria for Quality Assurance Agencies
Part C—Standards and Criteria for Evaluating Agencies
1.5 The fundamental purpose of this practicespecification is to provide criteria for evaluating an agency as denoted in 1.31.4
either by a user of that service or by an accrediting authority.
1.6 It is not the purpose of this practicespecification to provide a basis for determining the quality of a product or service being
evaluated.
1.7 This practicespecification is not intended for the evaluation of those activities normally associated with the production and
sale of products and the like, such as a manufacturer’s internal quality program. However, any organization may request or perform
an evaluation of its own in-house facilities under this practicespecification if it so desires.
1.8 It is not the intent of this practicespecification to be the basis for the determination of the type of agency to be selected by
the user.
1.9 This practice can be specification is used in conjunction with Specification E541 and Practice E651/E651M.
1.9 Specification E329 specifies minimum requirements for agencies testing and/or inspecting materials used in construction
and which are primarily assembled on the jobsite.
1.10 The use of SI or inch – pound units, or combination of, will be the responsibility of the technical committees referred to
in this standard.
This practicespecification is under the jurisdiction of ASTM Committee E36 on Accreditation & Certification and is the direct responsibility of Subcommittee E36.70
on Agencies Performing Construction Inspection, Testing and Special Inspection.
Current edition approved Jan. 1, 2009Aug. 1, 2016. Published February 2009August 2016. Originally approved in 1979. Discontinued September 1995 and reinstated in
1999 as E699 – 99.Last previous edition approved in 20082009 as E699 – 03 (2008).E699 – 09. DOI: 10.1520/E0699-09.10.1520/E0699-16.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
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2. Referenced Documents
2.1 ASTM Standards:
E329 Specification for Agencies Engaged in Construction Inspection, Testing, or Special Inspection
E541 Specification for Agencies Engaged in System Analysis and Compliance Assurance for Manufactured Building
E651/E651M Practice for Evaluating Capabilities of Agencies Involved in System Analysis and Compliance Assurance for
Manufactured Building
3. Terminology
3.1 Definitions:
3.1.1 accrediting authority—a formal body (or an individual user) that evaluates the capability of an agency in certain specific
fields of activity.
3.1.2 affıliate—as used in this practice,specification, a corporate or organizational entity that has a management or an ownership
relationship, or both, with the agency being evaluated. It does not refer to a contractual relationship between organizations, nor
does it include the membership of a trade or similar association, or to the companies represented by such membership.
3.1.3 agency—an organization or part of an organization, engaged in the activities of testing, quality assurance, or evaluating
test results.
3.1.4 certification—the process by which recognition is obtained from an appropriate party that a product meets certain specified
requirements. Prototype or production models, or both, of the product(s) will have been tested and inspected to check that they
do meet the requirements. Quality assurance programs are used to ensure that the product(s) continue to comply with the specified
requirements. Satisfactory tests, inspections, and quality assurance are for the basis for certification. Certification may be evidenced
by labeling of the product.
3.1.5 criteria—common characteristics pertaining to organization, human resources, material resources, and quality systems
which provide a basis for evaluating agencies as to their capability to objectively and competently provide the specific service(s)
needed by the user.
3.1.6 evaluating—the function of obtaining data developed by a testing agency, and utilizing such data to perform calculations,
determine suitability, project results, or otherwise draw conclusions resulting from an analysis of these data.
3.1.7 human resources—those elements of support and capability that are provided by humans using their mental and physical
capabilities.
3.1.8 inspection—the process of measuring, examining, testing, gaging, or making other determinations with respect to
materials, products, services, or environments.
3.1.9 material resources—the instrumentalities, documentation, environments, structures, etc., needed to augment the elements
of support and capability provided by humans. (see(See human resources.)
3.1.10 organization component—a portion of an organization with specific tasks and activities that constitute a part of the total
effort and accomplishments of the organization.
3.1.11 quality—the totality of features and characteristics of a material, product, service, system, or environment that bear on
its capability to satisfy a specified need(s).
3.1.12 quality assurance—a planned system of activities whose purpose is to provide assurance that the overall quality control
program (see quality control) is in fact being effectively implemented. This system involves a continuing evaluation of the
adequacy and effectiveness of the overall quality control program with a view to having corrective action initiated where necessary.
For a specific material, product, service, etc., this involves verification, audits, and evaluations of the quality factors that affect the
specification, production, inspection, and use of the material product, service, system, or environment.
3.1.13 quality control—a planned system of activities whose purpose is to provide a level of quality that meets the needs of
users; also, the use of such a system. The objective of quality control is to provide an overall system integrating the quality factors
of several related steps including: the proper specification for what is wanted; production to meet the full intent of the specification;
inspection to determine whether the resulting material, product, service, etc., is in accord with the specification; and review of
usage to determine necessary revisions of the specification.
3.1.14 testing—the determination, by technical means, of the properties, performance, or elements of materials, products,
services, systems, or environments, which may involve application of established scientific principles and procedures.
4. Significance and Use
4.1 This practicespecification provides basic criteria for evaluating the qualifications of agencies utilizing the test methods
promulgated by ASTM in Section 4, Construction, of the Annual Book of ASTM Standards. ASTM test methods to test and
For referenced ASTM standards, visit the ASTM website, www.astm.org, or contact ASTM Customer Service at [e-mail]. For Annual Book of ASTM Standards
volume information, refer to the standard’s Document Summary page on the ASTM website.
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evaluate manufactured building components. The existence of a formal accrediting authority such as a federal, state, municipal,
or nongovernmental body is not necessary for the use of this practice.specification. These criteria may be supplemented by more
specific criteria for particular classes of testing, quality assurance, and evaluative agencies. Specification E329 can be used for
on-site construction projects.
4.2 The intent of this practicespecification is to provide a “consensus-system” standardized basis for evaluating a testing, quality
assurance, or evaluating agency with respect to its capability to provide the specific service(s) needed by the user without prejudice
to the agency offering other services or being affiliated with other agencies or organizations. In those situations where a strict literal
interpretation of the phrase “shall be made available,” as used in this practice,specification, would be inordinately burdensome to
an agency, it will generally be sufficient that the agency concerned has the information available for “on-site” review. This
specification is not intended to be used by accredited agencies or personnel in the performance of Special Inspection services listed
in the IBC Code or any other Code.
4.3 The criteria of this practicespecification are described in terms of the basic information necessary for an accrediting
authority to evaluate the capability, with respect to objectivity, and competency of a testing, quality assurance, and evaluating
agency regarding common characteristics pertaining to the organization, human resources, material resources, and quality systems
employed by the agency in performing the services offered. Typically, accreditation of an agency involves the following three
essential phases:
4.3.1 Submittal, to an involved accrediting authority, of basic information in accordance with the criteria of this practicespeci-
fication by an interested agency.
4.3.2 Evaluation of the agency-submitted information by the involved accrediting authority.
4.3.3 Verification, “on-site,” of the agency-submitted information by the representative(s) of the involved accrediting authority.
4.4 Although three categories are presented, an agency may provide one or any combination of these categories for which it
can qualify. An agency requesting qualification under more than one category must satisfy the criteria for each category for which
acceptability is desired.
4.5 The criteria set forth herein represent areas upon which agreement can be reached. There may be other areas to be given
consideration which may be of importance to the user. The user should include such other areas as a part of its own criteria.
4.6 This practicespecification represents minimum criteria necessary to perform, monitor, or evaluate the test results of those
standards promulgated by ASTM Committee E06.
4.7 It is anticipated that the ultimate user of this practicespecification will have the expertise necessary to exercise good
judgment in the areas of human resources, physical resources, and quality systems of the agency being evaluated.
NOTE 1—For example, when judging the qualifications of the various individuals in a particular agency, related factors or alternative resources (such
as mechanical, electrical, or electronic equipment used to aid, control, or monitor the work of the personnel) should be considered when assessing the
overall qualifications of such individuals. The job experience and the reliability of the individual should also be considered in the judgment, where
applicable.
4.8 When assessing the organization and the resources of a particular agency, the judgment should take into account only those
factors or resources specifically related to the technological area being served by the agency in terms of the specific evaluation,
and only as necessary to form an adequate judgment in relation to the evaluation. Conversely, those technological areas served by
a particular agency that are not required to be evaluated in a specific instance should not be impugned through the lack of such
evaluation. The absence of evaluation or the denial of accreditation by any one party should not prejudice future evaluations by
other parties because small differences in needs can influence the judgement of users. The use of this practicespecification does
not abrogate the right to “due process” necessary to all assessments under this practice.specification. The right of rebuttal to any
conclusions drawn during an accreditation procedure shall be extended to the agency.
4.9 Each act of evaluation should be viewed as a “one-to-one” judgment and should not be construed as being a universal
judgment by others interested in the agency’s services. In order to ensure proper interpretation of each act of evaluation, the
purpose of the evaluation and the evaluation area shall be clearly specified in any report of an evaluation made pursuant to this
practice.specification.
5. Organization of the Agency
5.1 The following information shall be made available by the agency:
5.1.1 A description of the organization including:
5.1.1.1 The complete legal name and address of the main office.
5.1.1.2 The names and positions of the principal officers and directors.
5.1.1.3 The agency’s principal ownership, its managerial structure, and its principal members.
5.1.1.4 All relevant internal organizational components including their locations and their primary functions.
5.1.1.5 All relevant organizational affiliates of the agency, and the principal officers of the affiliates and directors of the affiliates,
where applicable.
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5.1.1.6 External organizations and organizational components and their functions that are utilized for significant supporting
technical services.
5.1.1.7 A brief history of the agency, including its relationship with its organizational components, affiliations, and other
supporting information.information, to ensure that any and all possible conflicts of interest may be judged from the standpoint of
the user.
5.1.2 A general description of the geographical area served.
5.1.3 A general description of the types of users of the services.
5.1.4 A listing of the relevant technical services offered.
5.1.5 A functional description of the agency’s organizational structure for the services listed in 5.1.4 including operational
departments, support departments, and services. This may be demonstrated in the form of charts that depict the relevant groups
and their relationship.
5.1.5.1 This description shall be inclusive of all the locations that are to be used for performing the services listed in 5.1.4
including the functions being performed at each location. The accreditation of an agency includes the accreditation of all locations
of the agency performing services or support functions for which accreditation is being sought. All information required by this
practicespecification shall be supplied for each location.
5.1.6 A brief resume of all full-time managerial and supervisory employees used to perform the services for which accreditation
is being sought. Where part-time employees, contractors, consultants, etc., are utilized in any capacity for these services, their
relationship to the agency shall be stated.
5.1.7 A statement determining the managerial or financial relationship, or both, between the agency, its owners, its management,
its directors, and the users of the services to be performed.
PART A—STANDARDS AND CRITERIA FOR TESTING AGENCIES
6. General
6.1 The testing agency is responsible for the performance of the applicable tests with the objective of ascertaining that the
manufacturer’s product complies with the testing requirements of the applicable standard or specifications. An understanding of
the requirements of each individual test method to be used is a necessity. It is essential that the test agency has a copy of each
applicable test method available, in its entirety, before undertaking the test program.
6.2 The test agency shall prepare and submit a report in compliance with the requirements of the test method. This test report
shall stipulate that the tests were performed in accordance with all requirements of the test method when such is the case. In those
cases where a deviation is made from the test method requirements, each such deviation shall be enumerated in the test report
separately so that proper evaluation of the test results can take the deviations into account.
6.3 The function of a test agency encompasses only the performance of the tests required, the reporting of the results, and a
statement of compliance to the particular function under consideration. Evaluation of the test results is the function of the
evaluating agency, the criteria for accreditation for which are set forth in Part C of this practice.specification.
6.4 Where the test agency performs several testing procedures encompassing changes in the manufacturer’s product, leading to
improved or acceptable results, each such change and its effect shall be reported in a supplement to the test report, in order to allow
the evaluating agency and quality assurance agency to properly appreciate and incorporate this knowledge into their functions.
6.5 The test agency shall be capable of providing the following elements:
6.5.1 An organization identifying the person(s) responsible for the overall operation of the test agency and for the supervision
of the test program.
6.5.2 A record of calibrations performed.
6.5.3 A suitable method for storing records and test results.
6.6 The test agency shall demonstrate the following capabilities:
6.6.1 The agency shall have a definite program for training new testing personnel and supervision of all testing personnel.
6.6.2 The agency shall conduct training programs for all testing personnel to ensure uniform application of the test methods and
improving existing techniques.
6.6.3 If feasible, the agency shall participate in round-robin evaluations, when required by the accreditor.
6.6.4 The agency shall maintain records to allow verification of test reports.
6.7 Criteria—The test agency shall provide documentation to establish that is procedures meet the standard in 6.1, 6.2, 6.3, 6.4,
6.5, and 6.6.
7. Test Agency Representative in Responsible Charge
7.1 Task—To provide those services required of the person in responsible charge of the test functions, including the following:
7.1.1 Project Liaison—Represent the test agency in all relationships with the manufacturer, the quality assurance agency, the
evaluating agency, or such other agencies having an interest in the test results.
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7.1.2 Scheduling of Testing Activities—Prepare and monitor the complete management plan for testing activities, keeping them
on schedule and performing effectively.
7.1.3 Training—Establish and evaluate training programs appropriate to the performance of the specific job tasks of the testing
staff and to maintain the technical competence of the staff.
7.1.4 Administrative Support—Provide for effective clerical and administrative support for testing agency activities.
7.1.5 Work Review—Establish that all testing agency personnel have access to the test methods. Observe that test procedures
are followed explicitly. Determine that the results are accurately reported. Validate the test reports.
7.2 General Requirements:
7.2.1 General Expertise—General knowledge and experience of the test methods and requirements.
7.2.2 Knowledge of the Testing Function—Understanding of the testing agency function and the relationship t
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