Hello Carl,
 
I am not sure what type of product you are dealing with, but I believe the
following to be generally true.
 
1) Since the UL Mark will not appear on the product which is modified, you are
most likely not violating any agreements with UL by modifying it.

2a)  Yes you can build products prior to UL approval.  Once approval is
attained on a representative unit, then these products may be marked per UL's
authorization.  Please note: if a design change is required for UL approval of
the representative sample, the instruments on the manufacturing floor will
have to be modified prior to application of the UL Mark on the product. 
 
2b)  Yes a manufacturer can build and send a product without applying the UL
mark if the customer is willing to accept it.  Customer requirements and local
legislation may prevent the customer from installing or operating the
instrument, so the customer needs to decide whether or not he/she can accept
the shipment.  
 
Compliance with UL standards is mostly a customer or market driven
requirement.  It is not legally mandated that producers apply the UL mark. 
Most legislation I have come across is more along the lines of a city
ordinance that requires UL or other NRTL marks on items installed in public
facilities.  Many stores and businesses have their own internal requirements
for equipment purchased. 
 
 
Sincerely,
 
Tanya
 
On 4/10/06, Richards, Carl < [email protected]> wrote: 

Dear Group,

I am attempting to understand the limitations of shipping UL approved
hardware under the following circumstances: 

1. A modification made to an approved product without notification to UL
of the change; and with the intent of not applying the UL mark when
shipping the product

2. A manufacturer certified to perform their own UL compliance subject 
to verification by UL, can the manufacturer build systems while waiting
for final approvals; and would it be possible for the manufacturer to
build and ship such a product without applying the UL mark?

I hasten to add, this is a hypothetical and educational question! 

Best Regards

Carl


Carl Richards,
Regulatory Compliance Manager,
Aspect Software
2, The Square
Stockley Park, Uxbridge, UB11 1AD,
United Kingdom


+44 (0)208 589 1461 Office 
+44 (0)870 460 1950 Fax
+44 (0)7875 27 1461  Mobile
www.aspect.com

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