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Schemes

According to Mexican conformity assessment policies and procedures, Certification Schemes enforced to obtain a certificate or dictum are as follows. Choose the applicable scheme according to the type of product and your certification needs.

I.	Surveillance on periodical product samples Consists of mainly submitting an application and current product test results (up to 90 days after issuing date) with the corresponding technical and legal documentation. Certificate is subject to annual surveillance (follow-up) and remains valid for one year. Upon certificate owner's request, ownership extensions can be granted under this Scheme. Both the owner's and the party to which an extension is granted will be responsible. Ownership extensions are also subject to surveillance. Extensions shall remain valid for as long as the main certificate is valid.
II.	Surveillance on quality management system of production lines With this Scheme, you may obtain a 3-year certificate if the quality management system is certified under Code DL NACE (Sector 19 IAF) by an accredited systems body. In order to certify a product under this Scheme, UL must make a preliminary inspection visit to obtain the corresponding systems certification report and, if applicable, collect a product sample that will be taken to the laboratory for a required test results report. This service will only be performed if the proposed quote is approved by the client. Quote includes a preliminary inspection visit, product certification, routine surveillance visits, and a renewal surveillance visit.
III.	Product dictum for national or foreign manufacturers This Scheme applies to manufacturers whose products will be distributed, sold, or imported by more than one distributor, seller, or importer. Distributors, sellers, or importers may directly submit a certification request by means of a product dictum previously obtained by the manufacturer. Product dictum must be attached to a valid systems certification report as well as the original copy of a letter sent by the manufacturer stating that it holds the rights to the original product dictum. Certificates issued under this Scheme shall remain valid for as long as the product dictum used as the basis for certification is valid. Please keep in mind that product dictum expires in one year and will be subject to annual surveillance (follow-up.) To obtain a product dictum for certification purposes under this Scheme, national or foreign manufacturers must have a quality management system certified under Code DL NACE (Sector 19 IAF) by an accredited body and allow UL to make preliminary inspection visits in order to obtain the corresponding systems certification report and collect a product sample that will be taken to the laboratory for a required test results report. This service will only be performed if the proposed quote is approved by the client.
V.	Simplified NOM compliance certificate for border strips and border regions This Scheme only applies to companies located in fringe and border regions, as stated in the decree published by the Official Gazette on December 31,1998. UL will only grant Simplified NOM Certificates to border strips and regions. For such purposes, an application must be submitted with the current test results report (up to 6 months after issuing date) displaying the header "Dictamen de Laboratorio para Certificación NOM simplificado para Franja y Región Fronterizas" (Laboratory Test Report for Simplified NOM Certificate for Border Strips and Regions), and the corresponding technical and legal documentation. Certificates granted under this Scheme will remain valid for one year and will not be subject to UL surveillance since certification is granted by competent departments and PROFECO ("PROFECO" stands for Procuraduría Federal del Consumidor, the local Consumer Affairs Bureau).
VI.	Rebuilt products This Scheme applies to articles that have been reconstructed, renewed, or repaired and having defective or malfunctioning parts replaced by new ones and paid for by the public in general. In order to obtain a certification under this Scheme, submit an application with a test results report and applicable documents such as manuals indicating reconstruction processes to be approved by UL during an inspection visit. This certificate expires in one year and is subject to surveillance.
VII.	Used, second-hand, second-line or discontinued articles Second-hand articles (used items that are sold without undergoing reconstruction or renewal procedures), second-line articles (with manufacturing defects or damages), discontinued articles (not offered by the manufacturer in the current product line), or reconstructed articles (without applicable information on reconstructed products) must be certified under this Scheme. Certification is performed on product lots and, therefore, UL must perform a preliminary inspection to select the samples that will be evaluated by the laboratory. This certificate expires when the complete certified product is sold, imported or exported. This Scheme is not subject to surveillance.
VIII.	Non-compliant articles This certification applies to products that do not comply with the specifications established by the product manufacturer. Such specifications can be found in current national/international standards or those enforced by associations, companies and other organizations. In order to obtain this certificate, each product must be submitted to laboratory testing. This certificate expires when the complete certified product is sold, imported or exported. This Scheme is not subject to surveillance. If the standard demands that product samples be destroyed, UL shall comply with Standard NMX-Z-12. NMX-Z-12-2-1987, Table II-A, simple sample for normal inspection and acceptable quality level (NCA) of 0.010.

The table below shows the general steps of different certification Schemes (modalities) UL de México, S.A. de C.V. is accredited and approved to perform.

System Elements or Certification Schemes	SCHEMES (modalities)
	I	II	III	V	VI	VII	VIII
1. Selection (sampling):	X1			X
a. Preliminary inspection visit (audit)		X	X		X
b. Preliminary sampling performed by UL		X2	X2		X	X	X3
2. Determination (analysis and evaluation):	X	X	X	X	X	X	X
a. Document information analysis	X	X	X	X	X		X
b. Test result analysis and evaluation	X	X	X	X	X	X	X
3. Review (certification decision): certificate granting, maintenance, extension, suspension, or cancellation.	X	X	X	X	X	X	X
4. Granting Mark usage:
a. Certificate of compliance	X	X	X	X	X	X	X
b. Product dictum	X4		X5
5. Surveillance (follow-up)
a. Sample collection or inspection at the market, plant, or production line.	X	X	X		X
b. Quality system auditing with random samples or product inspection.		X	X
c. Production process evaluation					X
d. Extraordinary inspection visits due to detected non-compliances or complaints.	X	X	X	X	X	X	X
NOTES: 1. Sample selection will be directly performed by the client in case of first-time services. 2. Applicable only when the client requests that UL perform a sample collection during a preliminary inspection visit (audit) for Scheme II. In case of Scheme III, only applies to instances when manufacturers do not have the corresponding product dictum. 3. Applicable only when product standard includes sample destruction methods. 4. Applicable only in case of "highly specialized equipment" (item 1.2 of current NOM-019-SCFI standard.) 5. If client does not have a product dictum required by certification.

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