The following process is used for Reviews of Certification Requirement Changes for equipment and components associated with UL’s 62368-1 standard and the legacy standards it is replacing (herein referred to as “AV/ICT Sector Review Process”). Reviews of Certification Requirement Changes were previously known as Industry File Reviews.
Publication and Effective Dates
When published, a new UL Standard, edition, or amendment to an existing edition will be assigned the following dates for review purposes:
- Date of Publication (DOP): Date on which the Standard is published.
- Effective Date: Date on which previous editions or amendments of the Standard are no longer available for UL certification of new products. As of this date, all certifications of new products (i.e., new product designs not previously certified by UL) will be based on the new version of the Standard.
If a Review of Certification Requirement Changes is announced as associated with a published requirement or set of requirements, the Effective Date for those requirements is the date the requirement or set of requirements, goes into effect for both new product submittals and existing certified products. Typically, a Review of Certification Requirement Changes is required only when a new requirement or set of requirements are driven by significant safety-related field incidents, common safety design deficiencies, or is regulatory-driven by significant new national regulations. (See below for further description.)
Reviews of Certification Requirement Changes
Reviews of Certification Requirement Changes are not automatically conducted under the AV/ICT Sector Review Process unless a new requirement or set of requirements are driven by significant safety-related field incidents, common safety design deficiencies, or are regulatory-driven by significant new national regulations. Therefore, in most cases existing certifications of unmodified products remain active indefinitely until further announcement.
UL will determine the need for a Review of Certification Requirement Changes based on a review of the origin and the history of the new requirement, or requirements, including consultation with this industry segment if warranted. The actual Effective Date associated with a Review of Certification Requirement Changes will be established based on the severity of the potential hazard(s) that the new requirement(s) address(es) and the length of time it will take for manufacturers to be able to implement new design changes.
A Review of Certification Requirement Changes generally will include the following elements:
- All new and existing UL Certified products will be required to comply with the new requirement(s).
- The Review of Certification Requirement Changes will consist of a review only of those parts/features of a product that are affected by the new requirement(s). In most cases it will not be mandatory that the entire product be reviewed to the entire latest Standard (although in some situations an Applicant may request this).
- The Review of Certification Requirement Changes will be established and conducted in accordance with established UL Certification Requirement Changes processes.
General Effective Date Considerations
For requirements not associated with a Review of Certification Requirement Changes, when significant changes are made to the basic design and function of an existing certified product as of a new Effective Date, the parts/features of the product that have been changed will be evaluated to the latest set of published requirements at the time the change request is made by the Applicant. For such situations, generally application of the new or revised requirements only applies to those parts/features of a product that are changed. It is not mandatory that the entire product be reviewed to the entire latest Standard (although in some situations an Applicant may request this).
For example, if a product was originally certified to UL 62368-1 Ed. No. X, but Amendment Y to Ed. No. X is subsequently issued with a new Effective Date, a product certified to the Ed. No. X would be subject to Amendment Y if significant changes were made to the product as of the Effective Date.
For purposes of the AV/ICT Sector Review Process, a significant change is one that results in a new technology and/or feature involving safety critical components being added to or incorporated into the product. An alternate component generally would not be considered a significant change.
Examples of significant changes include: addition of new features (such as wireless power transfer), new range of voltage ratings, alternate methods of connection to the mains supply, new installation environments (such as outdoor use), and similar changes. Adding an alternate power supply manufacturer would not be considered a significant change.
Other Certification Reviews
UL may determine the need to consolidate product categories, encourage manufacturers to update their UL Certifications, or take other actions toward establishing greater consistency and management efficiency for the involved industry sector. These activities may be small or large in scope and informal or formal. To avoid confusion, they will not be formally designated as Reviews of Certification Requirement Changes.
For certification process status for UL’s Family of Marks other than UL and C-UL, the license and/or certificate provided at the time the product was certified should be consulted.