Surveillance (Follow Up) Process for NOM Certification Program

Surveillance or follow-up processes will be visually performed or proven by means of samples, measures, laboratory tests, or document reviews in order to evaluate product compliance in a given time. The goal of follow-up processes is to verify that granted UL marks are being used correctly and that products still comply with the safety and/or operation requirements specified by normative documents and scheme requirements under which such products have been evaluated. The legitimacy of a product certificate or dictum depends on surveillance (follow up) results.

Product surveillance or follow-up processes are performed by means of inspections that take place at least once a year-that is, in a scheduled or random manner-without any prior notice.

Scheduled visit are announced and demand your confirmation. Non-scheduled visit do not require any confirmation and will take place according to UL de México's calendar. In both cases, you will receive the corresponding notification before or at the moment such visits are to take place.

Surveillance visits are classified as follows:

Preliminary Inspection Visits: Scheduled visits that represent a product certification requirement under Certification Schemes II, VI, VII, VIII, and for Scheme III if a product dictum does not exist.
Routine Surveillance Visits (Inspections): Visits that usually are not scheduled in advance to verify whether products still comply with tests and specifications under which a certification or dictum was granted.

Non-scheduled visits take place three months after the corresponding notification is received (your confirmation is not required.) However, in some cases, these visits may take place after contact person is personally notified.

Extraordinary Visits: Visits that may or may not be scheduled in advance, depending on the case, to verify the implementation of corrective measures regarding non-compliances detected in previous visits. Such visits will only take place upon explicit request by you or certification area, or explicit request of competent departments and authorities.

Important considerations:

UL de México schedules surveillance visits within nine (9) months after certificates or dicta have been issued, thus covering all sites mentioned in the application form.
Preliminary inspection visits only apply to products covered by certifications or dicta under Schemes II, VI, VII, VIII, and Scheme III, if a product dictum does not exist.
Routine or extraordinary surveillance visits apply to products to which a certificate/dictum has already been issued by UL de México under Schemes I, II, III, and VI.
Regarding certified product lots (Scheme VII and VIII) and Scheme V certifications, surveillance visits will not be performed by UL de México, since these certificates are the responsibility of the Dirección General de Normas (General Directorate of Standards) and PROFECO, Procuraduría Federal del Consumidor (Consumer Affairs Bureau,) which will perform products follow-up or surveillance process at the respective point of sale to verify that products being sold comply with the category under which they were certified.
The Charge Notices UL issues correspond to charges due to extraordinary surveillance visits.
Prices indicated in charges notice must be paid within the deadline for the surveillance visit to take place according to UL de México's calendar. If payment is not made, UL de México will suspend the corresponding certificate or dictum.
Confirmation deadline for scheduled visits is of two (2) business days for Scheme II and III and three (3) business days for other Schemes from the day a notification is sent. If the requested confirmation is not received within the deadline, surveillance visit date and place will be considered accepted.
Upon receiving a scheduled surveillance visit notification and identifying scheduling conflicts, legal representatives and/or contact people must request, within the deadlines indicated above, that the Coordination schedule said visit. Visits can be scheduled two (2) consecutive times, at most. If surveillance visit cannot take place, related certificates or dicta will be cancelled.
Please keep in mind that client, manufacturer, owner, subordinates, and people in charge of industrial or commercial sites are responsible for allowing access and making the necessary facilities available so that UL personnel can perform a surveillance visit, as well as present the following document copies of product certificate(s) or files: application and checklist properly stamped by UL de México, original certificates or dicta, and current Service Agreement, as well as any other document related to certification and surveillance when such visit takes place.

If, during the visit, client does not have the aforementioned documents available, this is considered a non-compliance case.
The final deadline for test result reports regarding sampled products to be received (regardless of results) is of seventy-five (75) calendar days from the sampling date or surveillance visit, according to the case. If report results are negative, UL de México will notify, in writing, that the corresponding certificate has been suspended. Additionally, control samples (if applicable) must be submitted to testing at least five (5) business days after the date when notice was submitted. If the same results are found in control samples, certificate will be cancelled. Otherwise-for example, if the product does not show any signs of non-compliance-, certification will be validated by means of a Compliance Notice.
Selected samples must be sent to a laboratory that was subcontracted and/or validated by UL de México, which shall be accredited and approved according to the current legal frame.
If such is the case, detected non-compliances must be addressed within the deadline stated by the corresponding notice. If necessary, an extraordinary surveillance visit will take place to review the implementation and effectiveness of the corrective actions that were taken/performed.
Changes or modifications to product must be reported in writing to UL de México. UL will analyze such changes/modifications and, if needed, request additional product tests to evaluate whether they comply with safety and/or functionality requirements demanded by the corresponding standard. If changes that have not been previously notified are detected, UL de México will cancel the respective certificate.

Activities That Will Take Place During a Surveillance (Follow Up) Visit

Opening meeting: People participating in the surveillance visit are identified and the scope of visitation is explained;
Document review;
Quality System and Production Line Audit for Scheme II or III, if national/foreign manufacturer product dictum does not exist;
Product Sampling: Performed as strictly necessary for testing purposes, according to applicable standard. Samples are selected in pairs (except for Schemes VI, VII, and VII), since one of them will be considered a "control sample." Control samples will be used in case of concerns or controversy, or when test report results are negative. You must keep control samples during forty-five (45) calendar days. They will be made available to you once again as soon as UL de México issues a favorable response or the deadline expires and such control samples are not required any longer. If you decide not to handle a control sample and one is later required, you must request that UL de México make the corresponding surveillance visit for product sampling. Such request must be submitted to the Certification Coordination, in writing, in the format of your choice. UL de México will make the visit with the respective charge.
Reviewing product marks and mark usage (if applicable);
Closing meeting: Again, people participating in the surveillance will state their name and sign the paperwork. Observations will be made and/or detected non-compliances will be explained, according to the case. Inspector/Auditor will leave a copy of the "Product Surveillance Report" form for your reference.

Surveillance (Follow Up) Process

MOTIVES FOR SUSPENSION

UL de México will suspend a certificate when:

Non-compliances are detected and attributed to the client regarding any obligations stated in the Service Agreement and/or scheme requirements and normative document under which the product was evaluated.

Client will have sixty (60) calendar days to perform pertinent corrections and/or clarifications when a product demonstration is evaluated during a surveillance visit and non-compliances are detected regarding applicable product standards.

During this term, suspended certificates or certification marks shall not be used and UL de México will apply the necessary measures for the client to suspend their use. Once pertinent corrections and/or clarifications are made, UL de México will verify, during an extraordinary inspection visit, whether they were effectively implemented.

If non-compliances are not corrected according to the aforementioned terms, UL de México will cancel the respective certificate or dictum and issue a written notification terminating the Service Agreement, without detriment to applicable sanctions according to Ley Federal Sobre Metrología y Normalización (Federal Law on Metrology and Standardization), Federal Consumer Protection Law, and other applicable laws.

MOTIVES FOR CANCELLATION OR CERTIFICATION REMOVAL

UL de México will cancel or remove a certificate and/or dictum when:

Client does not implement the corrections requested by UL de México or a violation is detected a second consecutive time (if reoccurrence is present.)
Features and conditions established by the certificate and/or dictum are not complied with.
Changes are made to the product without prior notification to UL de México and/or before UL de México approval is received.
UL de México proves that granted certificates or dicta have been altered and/or forged.
An inspector/auditor is designated for a surveillance visit and such cannot take place because the company or address does not exist.
Upon client's explicit request, by means of a written notice issued thirty (30) calendar days in advance.
After an Ownership Extension is granted, some importers, distributors, or sellers misuse a granted certificate or dictum.
If certification marks are misused.