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ICC EVALUATION SERVICE, LLC,

RULES OF PROCEDURE FOR EVALUATION REPORTS

1.0 PURPOSE model codes, and ICC-ES acceptance criteria when these
apply. The data shall also include details of the applicant’s
These rules set forth procedures governing ICC
quality control program in sufficient detail to verify that the
Evaluation Service, LLC (ICC-ES), issuance, maintenance
manufacturer’s quality system ensures the manufactured
and renewal of evaluation reports on building materials and
product will not change from the product described in the
products, methods of construction, prefabricated building
original qualifying data. Fees noted in the ICC-ES fee
components, and prefabricated buildings.
schedule must be submitted with applications.
ICC-ES evaluation reports assist those enforcing model
An application may be filed only by the entity having rights
codes in determining whether a given subject complies with
to the materials, products, or methods of construction on
those codes. An evaluation report is not to be construed as
which an evaluation report is sought. The applicant must
representing a judgment about aesthetics or any other
have legal rights to all evidence and data.
attributes not specifically addressed in the report, nor as an
endorsement or recommendation for use of the subject of An application for a new evaluation report is considered
the report. Approval for use is the prerogative and valid for the life of the evaluation report.
responsibility of the Code Official; ICC-ES does not intend
to assume, nor can ICC-ES assume, that prerogative and Evaluation reports may be revised when requested by the
report holder, or when revision is required by the applicable
responsibility.
acceptance criteria or upon prior notice by ICC-ES. When
2.0 BASIS OF EVALUATION revision is required, ICC-ES will provide prior notice and will
Evaluation of data is based on one or more of the include the date by which the report must be reissued.
published editions of the following model codes Whether revision is requested by the report holder or
required by ICC-ES, an application must be filed for each
• International Codes revision.
• National Codes Where products to be covered in an evaluation report
include a proprietary component (a specific material that is
• Standard Codes manufactured by a party, other than the ICC-ES report
• Uniform Codes applicant, that is referenced by name in the evaluation
report; or a material that forms part of a fabricated assembly
• Other codes as designated by the ICC-ES president produced by the ICC-ES report applicant), rights to use the
Additionally, evaluation of data will be based on applicable applicable data are required in accordance with the ICC-ES
ICC-ES acceptance criteria. Policy on Proprietary Components. In some cases, per the
Policy on Proprietary Components, the manufacturer of the
Where the provisions of the applicable codes prohibit a proprietary component may be required to obtain an
particular material, product, or method of construction, ICC- evaluation report before ICC-ES will issue a report which
ES will not consider development of a new evaluation report names the proprietary component in its text.
and will so advise the applicant. When this occurs with
regard to an existing evaluation report, the report holder will Any manufacturer or distributor other than the applicant
be advised that the existing evaluation report cannot be that is to be listed in the evaluation report may be included
reissued. as an additional listee upon submission of additional-listee
forms and payment of required fees by the applicant. The
An evaluation report advising of compliance with only the applicant shall furnish ICC-ES with the name and address
International Residential Code for One- and Two-Family of each listee and shall notify ICC-ES when to add or delete
Dwellings® (IRC) can be issued if it is specified in the report a listee. Data must be submitted to verify the acceptability
that the subject of the report has been evaluated for use of each listee.
only in one- and two-family dwellings.
The report holder may authorize the issuing of a separate
3.0 APPLICATIONS evaluation report under the name of a distributor (also
Applications for new reports and for revisions to existing known as a private label applicant). A separate evaluation
reports shall be filed on forms provided for those purposes. report application prepared by the private label applicant
Applications shall be accompanied by one complete set of and a completed Application for Private Label Listing
plans, details, calculations, and other supporting data which Evaluation Report form shall be submitted. The private label
fully describe the subject of the application and substantiate evaluation report shall be inextricably linked to the master
its performance as being in compliance with the applicable report holder’s report (also referred to as the master report).

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Any relevant information in the master report, whether in report can be issued. See Section 9.0 of these rules for
conjunction with first issuance of the report or in subsequent information concerning inspections.
revisions, shall be included in the private label report. The
4.7 ICC-ES may require the applicant to conduct
private label report shall have the same renewal date as the
further tests and/or provide additional information
master report. An application for revision of the private label
report shall be made when revisions relevant to the private considered relevant to the evaluation.
label report are made to the master report. 4.8 Additional listings necessitate submission of
Applications for new evaluation reports that are held for information the same as set forth above as applicable to the
more than 30 days without receipt of the basic fee or report holder.
supporting documentation may be closed out, unless such 5.0 ISSUANCE OF AN EVALUATION REPORT
term is extended by the ICC-ES president or his designated
representative. ICC-ES will review the data submitted; establish a scope
of work; work with the applicant to develop new or revised
4.0 DATA TO BE SUBMITTED IN SUPPORT OF acceptance criteria (when this is necessary); request any
EVALUATION REPORTS additional information necessary to evaluate the product in
4.1 Applications for new reports and for revisions to accordance with the scope of work; prepare a draft report;
existing reports shall be submitted with information as noted secure applicant review; and prepare a final report for
in Section 3.0 of these rules. Where data consists of approval by the applicant and ICC-ES, provided ICC-ES
calculations, plans, and specifications developed through requirements, as communicated in staff letters, have been
the practice of architecture or engineering, the documents met.
containing such data shall be sealed by a registered design The applicant will be notified when the evaluation report is
professional. made available to the public through the ICC-ES web site.
4.2 Where data consists of reports of laboratory tests, See Section 13.0 of these rules for permitted uses of
such tests shall be performed at the expense of the evaluation reports.
applicant by a testing laboratory complying with ISO/IEC
6.0 FEES
Standard 17025. Testing laboratories must be accredited
by an accreditation body that is a signatory to the 6.1 General:
International Laboratory Accreditation Cooperation Mutual
Recognition Arrangement (ILAC MRA). The scope of the 6.1.1 ICC-ES application and renewal fees are
laboratory’s accreditation shall include the type of testing nonrefundable unless a refund is authorized by the
that is to be reported to ICC-ES. president or his designated representative. Each item
covered in the report, as determined by ICC-ES, has a fee
Reports from nonaccredited laboratories may be accepted as set forth in the fee schedule. All fees shall be paid in U.S.
by ICC-ES for the processing of a specific evaluation report funds drawn from a U.S. bank.
upon submission of evidence (including evidence from an
on-site assessment conducted by an authorized ICC-ES 6.1.2 Where products covered by an evaluation report
representative) that the laboratory is an independent, are distributed or manufactured by other companies and the
qualified laboratory conforming to applicable sections of products are labeled with the evaluation report number or
ISO/IEC Standard 17025 for the work in question. otherwise represented as covered by the evaluation report,
such other companies’ names shall appear on the
4.3 In addition to the data noted in Sections 4.1 and evaluation report as listees, and a fee will be charged for
4.2, applications for prefabricated building components and each listee as set forth in the fee schedule.
prefabricated buildings must be supported by plans and
specifications that include all facets of the construction, 6.1.3 Where products to be covered in an evaluation
differentiating between field- and factory-installed items. report include proprietary components, item and listee fees,
The data must include, when applicable, detailed plans on per the ICC-ES fee schedule, may be applicable. In some
wiring, plumbing, and mechanical systems, including cases, per the ICC-ES Policy on Proprietary Components,
equipment lists as well as schematics. the manufacturer of the proprietary component may be
required to obtain an evaluation report before ICC-ES can
4.4 Applicants shall submit detailed quality issue a report which names the proprietary component in its
documentation, meeting ICC-ES requirements, for the text.
product or building system and the manufacturer’s plant.
Revisions to the quality documentation must be submitted 6.1.4 The basic fee covers the dissemination and
to and approved by ICC-ES in conjunction with changes to maintenance of one page of a report via the ICC-ES web
the evaluation report content. site, and compliance under one code. Fees for individual
items, and additional pages, codes, etc., will be assessed
4.5 Whenever required, factory inspections shall be as set forth in the ICC-ES fee schedule.
performed by ICC-ES representatives. Any third-party
agency representing ICC-ES for purposes of inspections 6.1.5 When an applicant submits test reports from a
must have a contract with ICC-ES, and must be accredited nonaccredited laboratory, fees for reviewing the
by a signatory to the ILAC MRA as complying with ISO/IEC qualifications and independence of the laboratory (including
Standard 17020. Costs associated with inspections shall the costs of an on-site assessment by IAS or an authorized
be borne by the applicant. ICC-ES representative) shall be applicable as set forth in
the ICC-ES fee schedule.
4.6 The facilities designated to manufacture the
products covered in the report must be inspected before the 6.1.6 The fees for private label evaluation reports shall
be as set forth in the fee schedule.

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6.2 New Report Application: provisions when required by the code or the applicable ICC-
ES acceptance criteria. The ICC-ES mark of conformity
6.2.1 Each new report application shall be accompanied
(mark), when used, shall be applied only to materials or
by the basic fee set forth in the most recent ICC-ES fee
products which comply with the current evaluation report.
schedule. Upon completion of the evaluation, the applicant
will be invoiced for any additional fees (page costs, All prefabricated buildings and components shall be
additional listees, individual items, inspections, etc.) beyond identified with the ICC-ES mark, and the name and address
the basic fee, with the additional fees to be determined of the manufacturer. Additionally, for prefabricated buildings
using the then-current ICC-ES fee schedule. and similar structures, the identification shall be serialized
6.2.2 The new evaluation report shall be valid for one to correspond with plant inspection records and to note
essential characteristics of the structure (such as design
year from the date of issue.
loadings, or wiring, plumbing or building limitations), and the
6.2.3 Applications under consideration for more than code official shall be provided with a certificate of
three years without the issuance of an evaluation report are conformance. The certificate shall be signed by a
subject to additional fees or to closure, as determined by representative of the manufacturer, and shall certify that the
the president or his designated representative. building has been constructed and inspected in accordance
6.3 Renewing Evaluation Reports: with the terms of the evaluation report.

Each year, a fee, as set forth in the fee schedule, will be Products, prefabricated buildings and components, and
assessed to renew the evaluation report for one or two similar items that have been evaluated only for
years, as determined by the report holder. Notice will be conformance with the IRC, as permitted in Section 2.0, shall
sent to the report holder a minimum of 60 days in advance also be labeled “For Use in One- and Two-Family Dwellings
of the renewal date. Payment must be received on or Only,” as outlined in the evaluation report.
before the renewal date. Electronic labeling may be used in lieu of the ICC-ES mark
6.4 Revising Evaluation Reports: of conformity. Examples of electronic labeling are the ICC-
ES web address (www.icc-es.org); specific URL related to
6.4.1 The report holder may request revision of a report the report; or the ICC-ES machine-readable code placed on
at any time after it is issued. An application and fee shall be the aforementioned items.
submitted. The basic revision fee is nonrefundable unless
a refund is authorized by the president or his designated The ICC-ES report number may be placed on the product
representative. described in the evaluation report, or on the product’s
packaging or installation instructions.
6.4.2 An application for revision, and appropriate fees,
must be filed when the report needs revision to comply with 9.0 INSPECTIONS OF MANUFACTURERS, AND
a newer edition of the codes or an acceptance criteria. EXPENSE REIMBURSEMENT
7.0 NOTIFICATION TO ICC-ES, AND REQUIRED As a condition of an ICC-ES evaluation report, the applicant
CHANGES TO REPORTS grants the ICC-ES staff, or authorized representatives of
ICC-ES, the right to conduct inspections of the
Report holders must notify ICC-ES prior to modifying manufacturing facility and to collect samples, to verify
products covered by evaluation reports (modifications compliance with the evaluation report and applicable ICC-
would include, for example, significant changes in the ES Rules of Procedure and Acceptance Criteria 10, as may
formulation, the manufacturing process, or the quality be amended from time to time.
control program), or when a significant change occurs
regarding the report holder (such as a company name For initial applications, and applications where new
change, change of address, change of ownership, change products or new manufacturing facilities are being added to
in legal status, or addition/deletion of a listee). When there an existing report, evaluation reports will be issued only
are changes affecting the product or the report holder, and after an ICC-ES representative has performed a qualifying
when deemed necessary by ICC-ES, the report holder must inspection of the facilities designated to manufacture
discontinue use of the report, with reference to the product products under the report. The purpose of the inspection is
in question, until the report holder has applied for and to determine whether the manufacturer’s quality system has
secured a report revision. been successfully implemented, and provides assurance
that, after the report is issued, the manufactured product will
When there is a change in the conditions under which a not change from the product described in the evaluation
report was originally issued (e.g., a change in code report.
requirements, acceptance criteria and/or ICC-ES rules or
policy) that affects the report, the report holder will be In addition to the qualifying inspection, either ongoing
notified. follow-up or annual inspections are required. The
inspections are intended to verify the effectiveness of the
8.0 PRODUCT IDENTIFICATION
quality system and continued compliance with the
Products shall be identified as specified in the applicable evaluation report, and are subject to fees as provided in the
ICC-ES evaluation report. At a minimum, the method of ICC-ES fee schedule.
identification shall include the report holder’s name and the
Where applicable acceptance criteria require more than
product name (if any). The report holder’s registered
four inspections per year at the manufacturing facilities,
trademark or registered logo is permitted in lieu of the report
there shall be at least one inspection annually that involves
holder’s name when a facsimile of the registered trademark
reporting on a form specifically provided by ICC-ES for
or registered logo is included in the evaluation report. The
purposes of verifying the effective implementation of the
evaluation report may require additional identification

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quality system. This activity is subject to fees as provided 11.3 Notwithstanding anything in these rules to the
in the ICC-ES fee schedule. contrary, any evaluation report or additional listing may be
suspended by action of the ICC-ES Board of Managers for
When an ICC-ES representative is required to witness such period or periods as the Board determines, without
tests, conduct field investigations or investigate complaints notice or a hearing, for the following reason: failure of the
related to an evaluation report, all relevant travel expenses product, material, method of construction or equipment to
and time shall be reimbursed by the applicant. Expenses for perform properly or conform with the specifications upon
testing related to investigations by the ICC-ES staff or for which the evaluation report was based, either condition
maintaining ongoing quality control compliance shall also presenting a threat to public safety or property.
be reimbursed by the applicant.
12.0 PROPRIETARY DATA
10.0 REVOCATION OR MODIFICATION WITH RIGHT
TO A HEARING. Data in any evaluation report file or application file is
considered proprietary. The data is only disclosed
10.1 Any evaluation report, and the authorization to use externally by ICC-ES upon written consent of the applicant
the report number and the ICC-ES mark, or the ICC-ES- or, with notice to the applicant, pursuant to a subpoena
machine-readable code, may be revoked or modified for issued by a court or other governmental agency of
cause. “Cause” shall include: repeated failure of the competent jurisdiction. Proprietary data may also be
material, method of construction or equipment to conform disclosed internally to an Evaluation Committee member; a
with the specifications upon which the evaluation report was staff member of ICC-ES, or an authorized representative of
based; repeated failure of the material, method of ICC-ES having a legitimate interest therein; any member of
construction or equipment to perform properly although the ICC-ES Board of Managers. Additionally, upon the
meeting the specifications upon which the evaluation report written consent of the applicant, any Governmental Member
was originally based; failure to comply with any condition to of ICC may be granted access in the interest of public safety
the issuance of the evaluation report; any misstatement, or preservation of property as it relates to enforcement of
whether intentionally or unintentionally made, in the building laws.
application or in any data submitted in support thereof; From time to time, ICC-ES records and files are audited
failure to comply with any provision of the application form; on a random basis to establish conformance with
failure to pass any test required by ICC-ES; failure to international accreditation and conformity assessment
comply with new, existing, or revised acceptance criteria; or standards. It is understood that, by executing an evaluation
any other grounds considered as adequate cause in the report application, report holders grant ICC-ES the authority
judgment of ICC-ES. to allow such access.
10.2 Before ICC-ES revokes or modifies any evaluation 13.0 PERMITTED USE OF EVALUATION REPORTS
report, the report holder shall be given reasonable notice AND THE ICC-ES NAME, MARK OF CONFORMITY AND
and an opportunity to file an appeal pursuant to the ICC-ES REPORT NUMBER
Rules of Procedure for Appeals Concerning Evaluation
Reports. 13.1 Report holders must comply with these Rules of
Procedure in their use of the ICC-ES name, mark, ICC-ES
11.0 REVOCATION/CANCELLATION/SUSPENSION machine-readable code, their ICC-ES evaluation report
WITHOUT RIGHT TO A HEARING number, the evaluation report itself, and any
communications associated with the evaluation report. If it
11.1 An evaluation report may be canceled upon ICC- is determined that identification is being applied to materials
ES’s receiving a written request to do so from the report or products that do not comply with the current evaluation
holder. A file for a new evaluation report may be closed report, applied before authorization or applied after a report
upon receipt of a written request from the applicant. has been closed, ICC-ES will immediately disseminate a
11.2 Notwithstanding anything in these rules to the notice of violation of the ICC-ES Rules of Procedure and
contrary, any evaluation report or additional listing may be take any and all actions necessary to secure compliance.
suspended for a period not to exceed 90 days, revoked, or 13.2 No listee shall use the ICC-ES mark or evaluation
canceled by the ICC-ES president or his designated report number until authorized by ICC-ES.
representative, without notice or a hearing, for any of the
following reasons: required fees having not been received 13.3 The then-current evaluation report, as available on
by ICC-ES within 30 days from the date of mailing by ICC- the ICC-ES web site, may be reproduced in its entirety by
ES of a written demand for payment; failure of the report the report holder in the report holder’s literature,
holder or listee to maintain a current quality control advertising, or promotional materials. No reference to ICC-
program; failure to perform any test, or furnish any material ES, the evaluation report, the ICC-ES mark, or the ICC-ES
or data, required by ICC-ES within the specified time limit, machine-readable code shall be included with such
unless extended by the ICC-ES president or his designated reproduction in a manner which could be misleading.
representative; receipt of information that the product has 13.4 In lieu of reproducing the entire evaluation report
been modified in violation of Section 7.0 of these rules; in specifications, literature, advertising, or promotional
denial of ICC-ES access to manufacturing facilities for materials, the report holder may use references and
purposes of inspecting and evaluating quality control statements such as: “See ICC-ES Evaluation Report
procedures; or failure to comply with any rule for No. _____ (insert current number) at www.icc-es.org”;
maintaining evaluation reports as adopted or amended from and/or the ICC-ES machine-readable code. It is the report
time to time by ICC-ES. holder’s responsibility not to misrepresent the evaluation
report in any way, and not to use the report in such a
manner as to bring ICC-ES into disrepute; and to secure

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ICC-ES approval in advance whenever there is a question 13.5.4 It is the responsibility of the ICC-ES mark and ICC-
about the use of the ICC-ES name and/or ICC-ES ES machine-readable code user not to misrepresent in any
evaluation report. Report holders are expressly prohibited way the status, conditions, or terms of the relevant ICC-ES
from using the ICC-ES name, mark, ICC-ES machine- evaluation report. It is also the user’s responsibility to
readable code, or report number to claim or imply product secure ICC-ES approval in advance whenever there is a
recognition beyond what is specified in the evaluation question about how the ICC-ES mark and ICC-ES machine-
report. Report holders are also expressly prohibited from readable code, and/or name is to be used.
using, in advertising, promotional, and informational
13.6 The above does not excuse compliance with any
materials, any language that would likely mislead the public
ICC-ES requirement as a condition of securing or
about their evaluation reports. ICC-ES reserves to itself the
maintaining an evaluation report requiring identification,
right to interpret what would constitute misleading
reference to standards or inspection, or other information to
language.
be affixed to or labeled upon products.
13.5 The following provisions govern the use of the
13.7 Violation of these rules, regarding the use of the
ICC-ES mark and ICC-ES machine-readable code on
ICC-ES name and mark, ICC-ES machine-readable code,
products and in advertising, promotional, and informational
reports and report numbers, as determined by ICC-ES,
materials:
must cease immediately upon notification of the violator by
13.5.1 Use of the ICC-ES mark and ICC-ES machine- ICC-ES. Failure to respond to the notification may lead to
readable code is prohibited in any manner and in any media suspension or revocation of the report under these rules.
without authorization from ICC-ES. Use of or reference to ICC-ES also reserves the right to note violations in the
any evaluation report after cancellation is also prohibited. public notices and publications of ICC-ES and its parent
company, ICC, and on the ICC-ES web site.
13.5.2 The ICC-ES mark and ICC-ES machine-readable
code may be used only on or in connection with products, 14.0 COMPLAINT PROCEDURE
components, methods, and materials that are covered in
All complaints related to an evaluation report should be
currently valid evaluation reports. Use of the mark and ICC-
submitted in writing to the attention of the ICC-ES Quality
ES machine-readable code is not a replacement or
System Director, accompanied by a filing fee of $5,000. The
substitute for product identification provisions in the
report holder will be notified of the complaint and, if a
relevant evaluation report. In no circumstances may the
response is needed to address the complaint, ICC-ES will
mark and ICC-ES machine-readable code be used to imply
so inform the report holder. After notice, the report holder
ICC-ES approval of aesthetics or any other attributes not
will have 30 calendar days in which to respond, or the
specifically addressed in the report.
evaluation report in question will be subject to cancellation.
13.5.3 The ICC-ES mark and ICC-ES machine-readable
15.0 APPEALS
code may not be altered in any way, although it may be
enlarged or reduced. Black is the basic color of the ICC-ES For details on appeals, see the ICC-ES Rules of
mark and the ICC-ES machine-readable code. Other colors Procedure for Appeals Concerning Evaluation Reports.■
may be used only when authorized in writing by ICC-ES.

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