[Federal Register Volume 65, Number 115 (Wednesday, June 14, 2000)]
[Proposed Rules]
[Pages 37318-37321]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-14697]


=======================================================================
-----------------------------------------------------------------------

CONSUMER PRODUCT SAFETY COMMISSION

16 CFR Part 1211


Safety Standard for Automatic Residential Garage Door Operators

AGENCY: Consumer Product Safety Commission.

ACTION: Notice of proposed rulemaking.

-----------------------------------------------------------------------

SUMMARY: The Consumer Product Safety Commission is proposing to amend 
regulations on the Safety Standard for Automatic Residential Garage 
Door Operators to reflect changes made by Underwriters Laboratories, 
Inc. in its standard UL 325.

DATES: The Office of the Secretary must receive comments by August 28, 
2000.

ADDRESSES: Comments may be mailed to the Office of the Secretary, 
Consumer Product Safety Commission, Washington, DC 20207 or delivered 
to the Office of the Secretary, Consumer Product Safety Commission, 
Room 502, 4330 East-West Highway, Bethesda, Maryland 20814-4408, 
telephone (301) 504-0800. Comments may also be filed by telefacsimile 
to (301) 504-0127 or e-mailed to [email protected].

FOR FURTHER INFORMATION CONTACT: John Murphy, Directorate for 
Engineering Sciences, Consumer Product Safety Commission, Washington, 
DC 20207, telephone 301-504-0494.

SUPPLEMENTARY INFORMATION: The Commission issued part 1211 on December 
21, 1992 to minimize the risk of entrapment by residential garage door 
openers. As mandated by section 203 of Public Law 101-608, subpart A of 
part 1211 codifies garage door operator entrapment provisions of 
Underwriter Laboratories, Inc. (``UL'') standard UL 325, third edition, 
``Door, Drapery, Louver and Window Operators and Systems.'' 
Subparagraph (c) of section 203 of Pub. L. 101-608 also required the 
Commission to incorporate into part 1211 any revisions that UL proposed 
to the entrapment protection requirements of UL 325, unless the 
Commission notified UL that the revision does not carry out the 
purposes of Pub. L. 101-608.
    UL proposed revisions to UL 325 on June 30, 1998 and made them 
final on September 18, 1998. The Commission determined that the 
entrapment related revisions do carry out the purposes of Public Law 
101-608. This proposed rule would incorporate into subpart A of part 
1211 those revisions that relate to entrapment by residential automatic 
garage door operators. It would also correct a few typographical errors 
in part 1211.
    The changes to the UL standard allow for advances in the state of 
the art in garage door safety. Some new garage door operators have an 
inherent entrapment protection system that can continuously monitor the 
position of the door. The UL revisions add requirements for this type 
of system. Some new garage door operators have an inherent secondary 
door sensor that is independent of the primary entrapment protection 
system. The UL revisions add requirements for this type of new system. 
Finally, the UL standard adds some new and revised provisions 
concerning instructions and field installed labels. The proposed rule 
would incorporate these changes into the CPSC mandatory standard.
    Pursuant to section 605(b) of the Regulatory Flexibility Act, 5 
U.S.C. 605(b), the Commission certifies that this rule will not have a 
significant impact on a substantial number of small entities. Most of 
the changes are editorial and minor. The substantive changes only 
affect the few companies that are developing the new type of garage 
door operators discussed above. Moreover, UL has already made these 
changes to its UL 325 standard which is widely followed by the 
industry. The Commission also certifies that this rule will have no 
environmental impact. The Commission's regulations state that safety 
standards for products normally have little or no potential for 
affecting the human environment. 16 CFR 1021.5(c)(1). Nothing in this 
proposed rule alters that expectation.
    Public Law 101-608 contains a preemption provision. It states: 
``those provisions of laws of States or political subdivisions which 
relate to the labeling of automatic residential garage door openers and 
those provisions which do not provide at least the equivalent degree of 
protection from the risk of injury associated with automatic 
residential garage door openers as the consumer product safety rule'' 
are subject to preemption under 15 U.S.C. 2075. Pub. L. 101-608, 
section 203(f).

List of Subjects in 16 CFR Part 1211

    Consumer protection, Imports, Labeling, Reporting and recordkeeping 
requirements.

    Accordingly, 16 CFR part 1211 is proposed to be amended as follows:

PART 1211--SAFETY STANDARDS FOR AUTOMATIC RESIDENTIAL GARAGE DOOR 
OPENERS

    1. The authority citation for part 1211 is revised to read as 
follows:

    Authority: Sec. 203 of Pub. L. 101-608, 104 Stat. 3110; 15 
U.S.C. 2063 and 2065.

    2. In Sec. 1211.2(c) remove the word ``1993'' and add, in its place 
``1999''.
    3. In the first sentence of Sec. 1211.3 remove the words ``as given 
in these requirements'' and ``an equivalent'' and add the word ``a'' 
between the words ``by'' and ``value''.
    4. Section 1211.4 is amended as follows:
    a. In Sec. 1211.4(c) remove the words ``1st ed., dated July 19, 
1991'' and add, in their place ``second edition, dated June 23, 1995''.
    b. In Sec. 1211.4(c) add ``5'' before ``U.S.C.''.
    5. Section 1211.5 is amended as follows:

[[Page 37319]]

    a. In Sec. 1211.5(a) and (b)(3) remove the words ``1st ed., dated 
July 19, 1991'' and add, in their place ``second edition, dated June 
23, 1995''.
    b. Revise paragraphs (a)(1), (a)(6), and (a)(7); and add a new 
paragraph (a)(9) to read as follows:


Sec. 1211.5  General testing parameters.

    (a) * * *
    (1) With regard to electrical supervision of critical components, 
an operator being inoperative with respect to downward movement of the 
door meets the criteria for trouble indication.
* * * * *
    (6) When a Computational Investigation is conducted, 
p shall not be greater than 6 failures/10\6\ hours 
for the entire system. For external secondary entrapment protection 
devices that are sold separately,  shall not be greater than 0 
failures/10\6\ hours. For internal secondary entrapment protection 
devices whether or not they are sold separately, p 
shall not be greater than 0 failures/10\6\ hours. The operational test 
is conducted for 14 days. An external secondary entrapment protection 
device that is sold separately, and that has a p 
greater than 0 failures/10\6\ hours meets the intent of the requirement 
when for the combination of the operator and the specified external 
secondary entrapment protection device p does not 
exceed 6 failures/10\6\ hours. See Sec. 1211.15(i) and (k).
    (7) When the Demonstrated Method Test is conducted, the multiplier 
is to be based on the continuous usage level, and a minimum of 24 units 
for a minimum of 24 hours per unit are to be tested.
    (8) * * *
    (9) For the Electrical Fast Transient Burst Test, test level 3 is 
to be used for residential garage door operators.
* * * * *
    6. Section 1211.6 is amended by revising paragraphs (a), (b) 
introductory text, (b)(1)(ii), (b)(1)(iii), (b)(2), adding a new 
paragraph (b)(3), revising paragraphs (c) and (d), and removing 
paragraph (e) to read as follows:


Sec. 1211.6  General entrapment protection requirements.

    (a) A residential garage door operator system shall be provided 
with primary inherent entrapment protection that complies with the 
requirements as specified in Sec. 1211.7.
    (b) In addition to the primary inherent entrapment protection as 
required by paragraph (a) of this section, a residential garage door 
operator shall comply with one of the following:
    (1) * * *
    (i) * * *
    (ii) Reverse direction and open the door to the upmost position 
when constant pressure on a control is removed prior to operator 
reaching its lower limit, and
    (iii) Limit a portable transmitter, when supplied, to function only 
to cause the operator to open the door;
    (2) Shall be provided with a means for connection of an external 
secondary entrapment protection device as described in Sec. 1211.8, 
1211.10, and 1211.11; or
    (3) Shall be provided with an inherent secondary entrapment 
protection device as described in Sec. 1211.8, 1211.10, and 1211.12.
    (c) A mechanical switch or a relay used in an entrapment protection 
circuit of an operator shall withstand 100,000 cycles of operation 
controlling a load no less severe (voltage, current, power factor, 
inrush and similar ratings) than it controls in the operator, and shall 
function normally upon completion of the test.
    (d) In the event malfunction of a switch or relay (open or short) 
described in paragraph (c) of this section results in loss of any 
entrapment protection required by Secs. 1211.7(a), 1211.7(f), or 
1211.8(a), the door operator shall become inoperative at the end of the 
opening or closing operation, the door operator shall move the door to, 
and stay within, 1 foot (305 mm) of the uppermost position.
    7. Revise Sec. 1211.7 to read as follows:


Sec. 1211.7  Inherent entrapment protection requirements.

    (a) Other than the first 1 foot (305mm) of travel as measured over 
the path of the moving door, both with and without any external 
entrapment protection device functional, the operator of a downward 
moving residential garage door shall initiate reversal of the door 
within 2 seconds of contact with the obstruction as specified in 
paragraph (b) of this section. After reversing the door, the operator 
shall return the door to, and stop at, the full upmost position, unless 
an inherent entrapment circuit senses a second obstruction or a control 
is actuated to stop the door during the upward travel. Compliance shall 
be determined in accordance with paragraphs (b) through (i) of this 
section.
    (b) A solid object is to be placed on the floor of the test 
installation and at various heights under the edge of the door and 
located in line with the driving point of the operator. When tested on 
the floor, the object shall be 1 inch (25.4 mm) high. In the test 
installation, the bottom edge of the door under the driving force of 
the operator is to be against the floor when the door is fully closed. 
For operators other than those attached to the door, the solid object 
is to be located at points at the center, and within 1 foot of each end 
of the door.
    (c) An operator is to be tested for compliance with paragraph (a) 
of this section for 50 open-and-close cycles of operation while the 
operator is connected to the type of residential garage door with which 
it is intended to be used or with the doors specified in paragraph (e) 
of this section. For an operator having a force adjustment on the 
operator, the force is to be adjusted to the maximum setting or at the 
setting that represents the most severe operating condition. Any 
accessories having an effect on the intended operation of entrapment 
protection functions that are intended for use with the operator, are 
to be attached and the test is to be repeated for one additional cycle.
    (d) For an operator that is to be adjusted (limit and force) 
according to instructions supplied with the operator, the operator is 
to be tested for 10 additional obstruction cycles using the solid 
object described in paragraph (b) of this section at the maximum 
setting or at the setting that represents the most severe operating 
condition.
    (e) For an operator that is intended to be used with more than one 
type of door, one sample of the operator is to be tested on a sectional 
door with a curved track and one sample is to be tested on a one-piece 
door with jamb hardware and no track. For an operator that is not 
intended for use on either or both types of doors, a one-piece door 
with track hardware or a one-piece door with pivot hardware shall be 
used for the tests. For an operator that is intended for use with a 
specifically dedicated door or doors, a representative door or doors 
shall be used for the tests. See the marking requirements at 
Sec. 1211.16.
    (f) An operator, using an inherent entrapment protection system 
that monitors the actual position of the door, shall initiate reversal 
of the door and shall return the door to, and stop the door at, the 
full upmost position in the event the inherent door operating 
``profile'' of the door differs from the originally set parameters. The 
entrapment protection system shall monitor the position of the door at 
increments not greater than 1 inch (25.4 mm). The door operator is not 
required to return the door to, and stop the door at, the full upmost 
position when an inherent entrapment circuit senses an obstruction or a 
control is actuated to stop the door during the upward travel.

[[Page 37320]]

    (g) An operator, using an inherent entrapment protection system 
that does not monitor the actual position of the door, shall initiate 
reversal of the door and shall return the door to and stop the door at 
the full upmost position, when the lower limiting device is not 
actuated in 30 seconds or less following the initiation of the close 
cycle. The door operator is not required to return the door to and stop 
at the full upmost position when an inherent entrapment circuit senses 
an obstruction or a control is actuated to stop the door during the 
upward travel. When the door is stopped manually during its descent, 
the 30 seconds shall be measured from the resumption of the close 
cycle.
    (h) To determine compliance with paragraph (f) or (g) of this 
section, an operator is to be subjected to 10 open-and-close cycles of 
operation while connected to the door or doors specified in paragraphs 
(c) and (e) of this section. The cycles are not required to be 
consecutive. Motor cooling-off periods during the test meet the intent 
of the requirement. The means supplied to comply with the requirement 
in paragraph (a) of this section and Sec. 1211.8(a) are to be defeated 
during the test. An obstructing object is to be used so that the door 
is not capable of activating a lower limiting device.
    (i) During the closing cycle, the system providing compliance with 
paragraphs (a) and (f) or paragraphs (a) and (g) of this section shall 
function regardless of a short-or open-circuit anywhere in any low-
voltage external wiring, any external entrapment devices, or any other 
external component.
    8. Section 1211.8 is revised to read as follows:


Sec. 1211.8  Secondary entrapment protection requirements.

    (a) A secondary entrapment protection device supplied with, or as 
an accessory to, an operator shall consist of:
    (1) An external photoelectric sensor that when activated results in 
an operator that is closing a door to reverse direction of the door and 
the sensor prevents an operator from closing an open door,
    (2) An external edge sensor installed on the edge of the door that, 
when activated results in an operator that is closing a door to reverse 
direction of the door and the sensor prevents an operator from closing 
an open door,
    (3) An inherent door sensor independent of the system used to 
comply with Sec. 1211.7 that, when activated, results in an operator 
that is closing a door to reverse direction of the door and the sensor 
prevents an operator from closing an open door, or
    (4) Any other external or internal device that provides entrapment 
protection equivalent to paragraphs (a)(1), (a)(2), or (a)(3) of this 
section.
    (b) With respect to paragraph (a) of this section, the operator 
shall monitor for the presence and correct operation of the device, 
including the wiring to it, at least once during each close cycle. In 
the event the device is not present or a fault condition occurs which 
precludes the sensing of an obstruction, including an open or short 
circuit in the wiring that connects an external entrapment protection 
device to the operator and device's supply source, the operator shall 
be constructed such that:
    (1) A closing door shall open and an open door shall not close more 
than 1 foot (305 mm) below the upmost position, or
    (2) The operator shall function as required by Sec. 1211.6(b)(1).
    (c) An external entrapment protection device shall comply with the 
applicable requirements in Secs. 1211.10, 1211.11 and 1211.12.
    (d) An inherent secondary entrapment protection device shall comply 
with the applicable requirements in Sec. 1211.13. Software used in an 
inherent entrapment protection device shall comply with UL 1998 
Standard for Safety-Related Software, First Edition, January 4, 1994. 
This incorporation by reference was approved by the Director of the 
Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. 
Copies may be obtained from Underwriters Laboratories, Inc., 333 
Pfingsten Road, Northbrook, IL 60062-2096. Copies may be inspected at 
the Consumer Product Safety Commission, Office of the Secretary, 4330 
East West Highway, Bethesda, Maryland or at the Office of the Federal 
Register, 800 North Capitol Street, NW., suite 700, Washington, D.C.
    9. Section 1211.9 is amended by revising paragraph (a), 
redesignating paragraphs (b) and (c) as paragraphs (c) and (d) 
respectively, and adding a new paragraph (b) to read as follows:


Sec. 1211.9  Additional entrapment protection requirements.

    (a) A means to manually detach the door operator from the door 
shall be supplied. The gripping surface (handle) shall be colored red 
and shall be easily distinguishable from the rest of the operator. It 
shall be capable of being adjusted to a height of 6 feet (1.8 m) above 
the garage floor when the operator is installed according to the 
instructions specified in Sec. 1211.14(a)(2). The means shall be 
constructed so that a hand firmly gripping it and applying a maximum of 
50 pounds (223 N) of force shall detach the operator with the door 
obstructed in the down position. The obstructing object, as described 
in Sec. 1211.7(b), is to be located in several different positions. A 
marking with instructions for detaching the operator shall be provided 
as required by Sec. 1211.15(i).
    (b) A means to manually detach the door operator from the door is 
not required for a door operator that is not directly attached to the 
door and that controls movement of the door so that:
    (1) The door is capable of being moved open from any position other 
than the last (closing) 2 inches (50.8 mm) of travel, and
    (2) The door is capable of being moved to the 2-inch point from any 
position between closed and the 2-inch point.
* * * * *
    10. Section 1211.10 is amended as follows:
    a. In the first sentence of paragraph (a)(3), after the word 
``minimum'' add the words ``and maximum''; at the beginning of the 
second sentence add the words ``For doors,'' and revise the word ``If'' 
to read ``if''.
    b. In the first sentence of paragraph (c)(2) revise the phrase ``An 
external entrapment protection device is'' to read ``External 
entrapment protection devices are''.
    c. In paragraphs (d) and (e)(2), remove the words ``3rd ed., dated 
July 1, 1991'' and add, in their place ``4th ed., dated December 27, 
1995''.
    d. In paragraph (d), second sentence, insert ``5 `` before 
``U.S.C''
    e. In paragraph (e)(1), second sentence, remove the words ``After 
being subjected to this'' and add, in their place the words ``As a 
result of the''.
    f. In paragraph (e)(1)(ii), add at the end thereof and before the 
period the words ``or, if dislodged after the test, is capable of being 
restored to its original condition''.
    11. Section 1211.12 is amended in paragraph (c)(2), first sentence, 
by removing the words ``3rd ed., dated July 1, 1991'' and adding in 
their place ``4th ed., dated December 27, 1995'' and in the second 
sentence, by inserting ``5'' before ``U.S.C.''
    12. Redesignate sections 1211.13 through 1211.16 as sections 
1211.14 through 1211.17, respectively, and add a new section 1211.13 to 
read as follows:

[[Page 37321]]

Sec. 1211.13  Inherent force activated secondary door sensors.

    (a) Normal operation test. (1) A force activated door sensor of a 
door system installed according to the installation instructions shall 
actuate when the door applies a 15 pound (66.7 N) or less force in the 
down or closing direction and when the door applies a 25 pound (111.2 
N) or less force in the up or opening direction. For a force activated 
door sensor intended to be used in an operator intended for use only on 
a sectional door, the force is to be applied by the door against the 
longitudinal edge of a 1\7/8\ (47.6 mm) diameter cylinder placed across 
the door so that the axis is perpendicular to the plane of the door. 
See Figure 6 of this part. The weight of the door is to be equal to the 
maximum weight rating of the operator.
    (2) The test described in paragraph (a)(1) of this section is to be 
repeated and measurements made at various representative points across 
the width and height of the door. The cycles are not required to be 
consecutive. Continuous operation of the motor without cooling is not 
required. For this test, a door sensor system and associated components 
shall withstand a total of 9 cycles of mechanical operation without 
failure with the force applied as follows:
    (i) At the center at points one, three, and five feet from the 
floor,
    (ii) Within 1 foot of the end of the door, at points one, three, 
and five feet from the floor,
    (iii) Within 1 foot of the other end of the door at points one, 
three, and five feet from the floor.
    (b) Adjustment of door weight. (1) With the door at the point and 
at the weight determined by the tests of paragraphs (a)(2) and (b)(2) 
of this section to be the most severe, the door sensor and associated 
components shall withstand 50 cycles of operation without failure.
    (2) At the point determined by the test in paragraphs (a)(1) and 
(a)(2) of this section to be the most severe, weight is to be added to 
the door in 5.0 pound (2.26 Kg) increments and the test repeated until 
a total of 15.0 pounds (66.72 N) has been added to the door. Before 
performing each test cycle, the door is to be cycled 2 times to update 
the profile. Similarly, starting from normal weight plus 15.0 pounds, 
the test is to be repeated by subtracting weight in 5.0 pound 
increments until a total of 15.0 pounds has been subtracted from the 
door.
    13. Redesignated section 1211.14 is amended as follows:
    a. In paragraph (a)(4), third sentence, remove the word ``that'' 
and add in its place ``than''.
    b. In paragraph (b)(1) remove the initial word ``If'' (in paragraph 
4 of the installation instructions) and add, in its place ``Where''; 
remove the word ``Mount'' and add, in its place ``For products 
requiring an emergency release, mount''.
    c. In paragraph (b)(2), in the second sentence of paragraph 4 of 
the safety instructions, remove the number ``1'' and add in its place 
the number ``1\1/2\''.
    d. In paragraph (b)(2) before the initial word ``If'' (in paragraph 
5 of the safety instructions), add ``For products requiring an 
emergency release,'' and revise the word ``If'' to read ``if''.
    14. Redesignated section 1211.15 is amended as follows:
    a. In paragraph (g)(1) remove the words ``A child may become'' and 
add, in their place ``There is a risk of a child becoming''.
    b. In paragraph (g)(2)(iv) remove the first word ``If'' and add, in 
its place ``In the event''.
    c. In paragraph (g)(2)(iv) add a second sentence to read ``For 
products not having an emergency release use instead 'In the event a 
person is trapped under the door, push the control button'''.
    d. In paragraph (g)(3)(i) in the second sentence, remove the word 
``If'' and add it its place ``In the event''.
    e. In paragraph (i) remove the initial word ``A'' and add, in its 
place ``Except for door operators complying with Sec. 1211.9(b), a''.

    Dated: June 6, 2000.
Sadye E. Dunn,
Secretary, Consumer Product Safety Commission.
[FR Doc. 00-14697 Filed 6-13-00; 8:45 am]
BILLING CODE 6335-01-P