Safety Standard for Automatic Residential Garage Door Operators, 20224-20245 [2016-07552]

Agencies

• Consumer Product Safety Commission

[Federal Register Volume 81, Number 67 (Thursday, April 7, 2016)]
[Rules and Regulations]
[Pages 20224-20245]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-07552]


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CONSUMER PRODUCT SAFETY COMMISSION

16 CFR Part 1211

[Docket No. CPSC-2015-0025]


Safety Standard for Automatic Residential Garage Door Operators

AGENCY: U.S. Consumer Product Safety Commission.

ACTION: Final rule.

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SUMMARY: The Consumer Product Safety Commission (``Commission'' or 
``CPSC'') is issuing a final rule amending the regulations for the 
Safety Standard for Automatic Residential Garage Door Operators to 
reflect changes made by Underwriters Laboratories, Inc. (``UL''), in 
the entrapment protection provisions in UL's standard UL 325, Sixth 
Edition, ``Standard for Safety for Door, Drapery, Gate, Louver, and 
Window Operators and Systems.''

DATES: The rule is effective on May 9, 2016. The incorporations by 
reference of the publications listed in this rule are approved by the 
Director of the Federal Register as of May 9, 2016.

FOR FURTHER INFORMATION CONTACT: Troy W. Whitfield, Lead Compliance 
Officer, Office of Compliance, Consumer Product Safety Commission, 4330 
East West Highway, Bethesda, MD 20814-4408; Telephone (301) 504-7548 or 
email: twhitfield@cpsc.gov.

SUPPLEMENTARY INFORMATION: 

A. Background

    The Commission has regulations for residential garage door 
operators (``GDOs'') to protect consumers from the risk of entrapment. 
16 CFR part 1211. The Commission first issued the GDO standard in 1991, 
at the direction of the Consumer Product Safety Improvement Act of 1990 
(``Improvement Act''), Public Law 101-608. Section 203 of the 
Improvement Act mandated that the entrapment protection requirements of 
the 1988 version of UL's 325, Third Edition, ``Standard for Safety for 
Door, Drapery, Gate, Louver, and Window Operators and Systems,'' be 
considered a consumer product safety rule under the Consumer Product 
Safety Act. Section 203(c) of the Improvement Act established 
procedures for the Commission to revise the Commission's GDO standard. 
When UL revises the entrapment protection requirements of UL 325, UL 
must notify the Commission of the revision, and that revision ``shall 
be incorporated in the consumer product safety rule . . . unless, 
within 30 days of such notice, the Commission notifies [UL] that the 
Commission has determined that such revision does not carry out the 
purposes of subsection (b)'' [of section 203 of the Improvement Act 
which mandated the UL 325 entrapment protection requirements 
initially]. As provided in the Improvement Act, several times in the 
past, after UL has notified the Commission of changes to UL 325's 
entrapment protection requirements, the Commission has revised the GDO 
standard to reflect the UL updates.
    The Commission last updated 16 CFR part 1211 in 2007 to reflect 
changes made to the entrapment protection provisions of UL 325 up to 
that time that previously had not been reflected in the regulation.
    On September 2, 2015, the Commission published a notice of proposed 
rulemaking (``NPR''), proposing to update 16 CFR part 1211 to reflect 
recent changes made by UL to the entrapment protection requirements of 
UL 325. (See 80 FR 53036). After publication of the NPR, UL released an 
update to UL 325 (UL 325, Sixth Edition, February 24, 2016 Revision). 
The February 24, 2016 revisions to the UL 325 Sixth Edition are related 
to the entrapment protection provisions for residential GDOs and are 
minor and editorial in nature. The February 24, 2016 revisions were 
made by UL to improve the clarity of the standard and describe test 
conditions better. The final rule has been revised to incorporate these 
editorial changes, as described in Section C of the preamble, so that 
the rule is consistent with the most recent version of UL 325.

B. Responses to Comments

    Three comments were submitted on the NPR. Two commenters express 
support for the proposed rule and acknowledge the rule's safety 
benefits.
    Comment: One commenter expresses concern about the public 
availability and accessibility of documents that are incorporated by 
reference, by either congressional mandate or through rulemaking. The 
commenter asserts that it is unclear which version of UL 325 is 
mandatory law. The commenter also describes the difficulties 
encountered attempting to purchase UL 325, an attempt to request the 
standard under FOIA, as well as difficulty accessing UL 325 in 
government reading rooms or libraries. The commenter also asserts that 
the Fifth Edition of UL 325 is the current binding law, until the 
proposed rule is finalized.
    The commenter also notes that the NPR proposed incorporating by 
reference five voluntary standards that are contained in UL 325. The 
commenter asserts that it is unclear

[[Page 20225]]

what version of UL 99, UL 1998, and UL 746C the Commission proposed to 
incorporate by reference in the NPR. The commenter notes that the UL 
link in the NPR for the proposed incorporation by reference for the 
voluntary standard ANSI/DASMA 102-2004 is inoperative. The commenter 
further states that the DASMA Web site has a new version ANSI/DASMA 
201-2011 on their Web site, and ANSI/DASMA 102-2004 is no longer 
available. The commenter asserts there is no reason to incorporate 
ANSI/DASMA 102-2004 because it is not readily available on the DASMA or 
CPSC Web site.
    The commenter contends that it is crucial that these five voluntary 
standards be made freely available. The commenter notes that the law 
must be available for all to read because ignorance of the law is no 
excuse.
    Response: The commenter misunderstands the mandatory safety 
standard for automatic residential GDOs. The NPR did not propose 
incorporating by reference any part of UL 325, nor has any previous 
rulemaking under 16 CFR part 1211 incorporated by reference any part of 
UL 325. Therefore, no version of the voluntary standard UL 325 is 
currently mandatory, nor has it been mandatory in the past. Rather, 
using appropriate rulemaking procedures, the Commission has based the 
current and previous mandatory requirements of CPSC's safety standard 
for automatic residential GDOs in 16 CFR part 1211 on the entrapment 
protection provisions of UL 325. The NPR proposed revisions to 16 CFR 
part 1211 based upon revisions made to UL 325, but the NPR does not 
incorporate by reference any of the provisions of UL 325. All the 
requirements in the proposed rule are codified or incorporated in 16 
CFR part 1211. Therefore, purchase of, or access, to any version UL 325 
is not necessary to determine the legal requirements for automatic 
residential GDOs; all of the requirements for GDOs are stated in 16 CFR 
part 1211, which is publicly available in the Code of Federal 
Regulations (``CFR'').
    As correctly noted by the commenter, the Office of the Federal 
Register (``OFR'') requires reference to a specific version of a 
voluntary standard for the standard to be incorporated by reference in 
the CFR. The preamble and the codified text of the NPR clearly 
indicated what version of UL 99, UL 1998, and UL 746C was being 
proposed for incorporation by reference. (See 80 FR at 53039).
    Regarding the incorporation by reference of the ANSI/DASMA 102-2004 
voluntary standard in the NPR, the commenter is correct that the link 
on the DASMA Web site currently is inoperative. After publication of 
the NPR in the Federal Register, DASMA removed the ANSI/DASMA 102-2004 
voluntary standard from its Web site and replaced it with the more 
recent version, ANSI/DASMA 102-2011. DASMA gave no indication on its 
Web site when the NPR was published that the standard was being updated 
with a newer version. As noted by the commenter, the revisions in ANSI/
DASMA 102-2011 are not substantive in nature. Due to the public 
availability and the editorial nature of the changes reflected in ANSI/
DASMA 102-2011, the final rule incorporates by reference ANSI/DASMA 
102-2011, in lieu of the proposed incorporation of ANSI/DASMA 102-2004 
in the NPR. The 2011 version of the ANSI/DASMA standard is available on 
DASMA's Web site.
    Regarding the commenter's assertions about the incorporation by 
reference of five voluntary standards in the NPR, the OFR recently 
updated 1 CFR part 51, the regulation governing incorporation by 
reference in the CFR. (Final Rule, 79 FR 66267, November 7, 2014). 
Responding to comments regarding accessibility, the OFR noted that the 
final rule for incorporation by reference balanced the standards' 
reasonable availability with U.S. copyright law, U.S. international 
trade obligations, and agencies' ability to substantively regulate 
under their authorizing statutes. The OFR noted that to achieve this 
balance, the incorporation by reference rule requires that agencies 
discuss how incorporated materials were made publicly available to the 
parties, where those materials are located, and provide a summary of 
those materials in the preambles of rulemaking documents. (See 79 FR at 
66270). The preamble to the NPR for the safety standard for automatic 
residential garage door operators provided that information. (See 80 FR 
53036, 53039). The OFR noted in the preamble to the final rule 
regarding incorporation by reference and the cost of standards: ``while 
these materials may not be as easily accessible as the commenter would 
like, . . . they are described in the regulatory text in sufficient 
detail so that a member of the public can identify the standard IBR'd 
into the regulation.'' (79 FR at 66272). The Commission has met the 
requirements for 1 CFR part 51 regarding incorporation by reference.

C. Description of the Final Rule

    The final rule revises subpart A of the GDO standard and creates a 
new subpart D to consolidate all of the incorporations by reference in 
the rule. The final rule does not change the certification (subpart B) 
or recordkeeping (subpart C) provisions of the GDO standard. The text 
of the final rule is nearly identical to the NPR, with the few 
exceptions described below. As explained in the NPR, the Commission is 
revising several sections of the existing regulation. In addition, the 
rule adds three new sections (Sec. Sec.  1211.14 (unattended operation 
requirements), 1211.15 (vertically moving combination rigid one-piece 
overhead residential garage door and operator system) and 1211.40 
(consolidating all of the incorporations by reference in one place).
    Changes to the rule reflect changes that UL made to the entrapment 
protection provisions of UL 325. UL added requirements for certain 
types of GDOs that were not previously covered by the GDO standard. 
Most of the revisions to the GDO standard involve adding requirements 
for these types of GDOs and making changes related to these provisions. 
In addition, UL added requirements for unattended operation of GDOs and 
for wireless control and communications. Finally, UL made several 
editorial changes throughout the standard to provide better 
descriptions of the appropriate requirements and test conditions. UL 
also revised dimensional tolerances on test fixtures so that the 
fixtures can be manufactured using generally available machine tools. 
As discussed in more detail below, the Commission is incorporating 
these changes into the Commission's GDO standard at 16 CFR part 1211.
    GDOs that Open Horizontally. Because UL added requirements for GDOs 
that open horizontally, the rule is revised to differentiate between 
requirements for horizontal- and vertical-opening GDOs (Sec.  
1211.6(d)). Entrapment protection requirements are similar for 
vertically and horizontally opening GDOs. UL added and clarified test 
requirements to address entrapment protection for either vertical or 
horizontal movement. In addition, UL clarified wording throughout the 
standard, such as replacing ``downward movement'' with ``closing 
movement,'' and adding ``vertically'' or ``horizontally'' moving, where 
appropriate. Additionally, UL clarified secondary entrapment protection 
requirements for vertically and horizontally opening GDOs. The final 
rule incorporates these changes (Sec.  1211.8).
    Combination Sectional Overhead GDOs. UL added requirements for 
combination sectional overhead GDOs, which are a door and operator 
combination, in which the door and

[[Page 20226]]

hardware are an integral part of the operator, and in which the 
operator does not exert a driving force on the door in the closing 
direction. The final rule incorporates these changes (Sec.  1211.6(c)). 
Under UL's revised provisions, this type of GDO must comply with the 
common requirements for GDOs; plus, they must comply with the 
requirements found in the American National Standard/Door and Access 
Systems Manufacturers ANSI/DASMA 102-2011, Specifications for Sectional 
Doors, 2011 revision, dated May 19, 2011, which the rule incorporates 
by reference (Sec.  1211.6(c)). As noted in response to a comment in 
Section B of the preamble, the Commission is incorporating ANSI/DASMA 
102-2011 instead of ANSI/DASMA 102-2004 as proposed in the NPR because 
ANSI/DASMA 102-2011 is the most recent version of the standard and the 
one publically available on the DASMA Web site. ANSI/DASMA 102-2011 
does not differ from ANSI/DASMA 102-2004 substantively because the 
changes are merely editorial in nature.
    ANSI/DASMA 102-2011 provides requirements for installation/
operation, maintenance, durability, and identification of GDO systems 
with the name and address of the door system manufacturer, loads, in 
addition to general requirements. This ANSI/DASMA standard is available 
from ANSI/DASMA, or the standard may be examined at the offices of the 
Federal Register.
    Additionally, the revised UL standard requires that the 
instructions for combination sectional overhead GDOs must specify: (1) 
The operator by manufacturer and model; (2) the doors by manufacturer, 
model, and maximum and minimum door width and height required for 
compliance to the entrapment protection requirements; (3) the hardware 
required to meet the entrapment protection requirements (Sec.  
1211.16(a)(13)); and (4) how to properly counterbalance the door 
((Sec.  1211.16(a)(14)). Finally, combination sectional overhead GDOs 
must be provided with permanent labels that contain specific warnings 
(Sec.  1211.17(k)) and markings (Sec.  1211.17 (m)). The rule includes 
these requirements in the sections indicated.
    Unattended Operation of GDOs. UL added requirements for unattended 
operation of GDOs, which is permitted if additional safety features are 
provided. The final rule includes these requirements (new Sec.  
1211.14). Under UL's revised provisions, unattended operation is 
allowable only if proper installation instructions and markings are 
provided. Unattended GDOs must require one or more intentional actions 
to function and must require an audible and visual alarm that must 
signal for 5 seconds before door movement. Unattended operation is not 
permitted on one-piece or swinging garage doors. The word ``bulb'' is 
changed to ``light'' to address newer technologies that may use LEDs 
that may not be considered ``bulbs'' and clarifies that the visual or 
audio alarm during unattended operation does not require monitoring.
    Combination Rigid One-Piece Overhead GDOs. UL added requirements 
for combination rigid one-piece overhead GDOs, which are a door and 
operator combination in which the door is constructed of one rigid 
piece. The final rule includes these requirements (new Sec.  1211.15). 
Under UL's revised provisions, this type of GDO must comply with the 
common requirements for GDOs; plus, the speed of the door edge during 
movement must not exceed 6 inches per second. This type of GDO also 
must provide two additional independent secondary entrapment-protection 
devices, including a minimum of two sensors. Additionally, these GDOs 
must provide a means of mechanically detaching both door operators from 
the door and must have an interlock to de-energize the operator when 
detached. Finally, the installation instructions for combination rigid 
one-piece GDOs must specify attachment points for installation. The 
rule includes these requirements for instructions (Sec.  
1211.16(b)(2)(13)).
    Wireless Control and Communication. UL added requirements for 
wireless control (Sec. Sec.  1211.8(d) and 1211.10(f)), including 
additional tests for battery operation (Sec.  1211.10(g)) and wireless 
communication (Sec.  1211.10(h)). The rule includes these requirements 
at the sections indicated.
    Photoelectric Sensors. UL added requirements for alternate sources 
of light for the photoelectric sensor ambient light test. The rule 
includes these requirements (Sec.  1211.11(e)(2)). The current test 
method specifies a specific DXC-RFL-2 flood lamp, which is becoming 
difficult to obtain in the marketplace. Instead, the requirement 
specifies the minimum required wattage (500W) and maximum color 
temperature (3600K) of the light, to allow for available light sources 
without affecting the test results.
    UL added a new test method for GDOs that use an array of 
``vertical'' photoelectric sensors as a non-contact external entrapment 
protection device. The rule includes this new test method (Sec.  
1211.11 (d)(4) and new paragraph (f)). The new method verifies that the 
``vertical'' sensors function properly.
    Clarifications. UL made several clarifications throughout the 
standard to improve clarity and describe test conditions better. The 
rule includes these clarifications:
     Electronic instructions (Sec.  1211.16(a)(10)) may be 
provided on alternate sources, such as CD-ROM, USB flash drive, or 
company Web site.
     For GDOs for one-piece doors that have an unattended 
operation function, certain markings are not required if the GDO 
automatically senses door operation (Sec. Sec.  1211.16(b)(1)(ii), 
1211.17(h), and 1211.18(m)),
     The requirements for UL markings for voltage, frequency, 
and input are clarified (Sec.  1211.18(b)(3) and (4)).
     UL marking requirements for risk of entrapment on GDOs 
that have user adjustments (Sec.  1211.18(i)) shall be located where 
visible to the user when making adjustments.
     Requirements for the external entrapment protection device 
(i.e., photoelectric sensor and edge sensor) test criteria (Sec.  
1211.10(b), (c), and (e) and Sec.  1211.11(d)(4)) are clarified, and 
the requirements for determining whether the system is operating 
normally before and after each test are made consistent throughout the 
standard.
     The requirements for the switch or relay used in the 
entrapment protection circuit (Sec.  1211.6(f)) are clarified by 
stating that the switch or relay must be capable of operating at a 
minimum cycling of 100,000 cycles, as intended in the GDO without 
failing, and that when/if failure does occur in actual use (at any 
cycle count), failure shall result in preventing further operation of 
the door.
    As mentioned above, the rule reflects a few minor and editorial 
changes in UL 325, Sixth Edition, February 24, 2016 Revision. In 
addition, the final rule is adding a new subpart D to consolidate the 
incorporations by reference in the proposed rule in one location. The 
rule reflects the revisions below:
     Update the incorporation by reference in Sec.  1211.6(c) 
from ANSI/DASMA 102-2004 to the more recent and available ANSI/DASMA 
102-2011 voluntary standard.
     Add a new subpart D titled Incorporation by Reference, 
with a new Sec.  1211.40 that centralizes the IBR paragraphs from the 
NPR in one location.
     Add a new cross reference in Sec.  1211.8 (f) to Sec.  
1211.6(b)(3).
     Revise Sec.  1211.16 (b)(1)(i)(3) to add the word ``pull'' 
before rope, and add two commas.
     Revise Sec.  1211.16 (b)(1)(i)(6) to insert ``above 
floors, landings, steps, or any

[[Page 20227]]

other adjacent walking surface'' between the words ``feet'' and ``so.''
     Revise Sec.  1211.16 (b)(1)(i)(9) by striking the proposed 
language and replacing with ``For products having a manual release, 
instruct the end user on the operation of the manual release.''
     Create a new Sec.  1211.16 (b)(1)(i)(10), and insert the 
language from proposed Sec.  1211.16 (b)(1)(i)(9) in the new Sec.  
1211.16 (b)(1)(i)(10).

D. Incorporation by Reference

    As noted above, a new subpart D titled Incorporation by Reference, 
with a new Sec.  1211.40 that centralizes the IBR paragraphs from the 
NPR in one location is being added to the final rule. In addition, the 
rule updates the existing incorporations by reference in the mandatory 
rule to the most recent version of the appropriate voluntary standard, 
as follows:
     NFPA 70 (The standard addresses the installation of 
electrical conductors, equipment, and raceways; signaling and 
communications conductors, equipment, and raceways; and optical fiber 
cables and raceways in commercial, residential, and industrial 
occupancies.)(Sec. Sec.  1211.2(c) and 1211.40(c));
     UL 991 (The requirements apply to controls that employ 
solid-state devices and are intended for specified safety-related 
protective functions.)(Sec. Sec.  1211.4(c), 1211.5(c) and 
1211.40(d)(2));
     UL 1998 (These requirements apply to non-networked 
embedded microprocessor software whose failure is capable of resulting 
in a risk of fire, electric shock, or injury to persons.)(Sec. Sec.  
1211.8(f) and 1211.40(d)(3)); and
     UL 746C (These requirements cover parts made of polymeric 
materials that are used in electrical equipment and describe the 
various test procedures and their use in the testing of such parts and 
equipment.)(Sec. Sec.  1211.10(d) and (e), 1211.12(c)(2), and 
1211.40(d)(1)).
    In addition, Sec. Sec.  1211.6(c) and 1211.40(b) of the final rule 
adds a new incorporation by reference for ANSI/DASMA 102-2011. The NPR 
proposed incorporating ANSI/DASMA 102-2004 in Sec.  1211.6(c) of the 
rule, but since publication of the NPR, DASMA has released a more 
recent version of the standard ANSI/DASMA 102-2011, dated May 19, 2011, 
on its Web site. The Commission is incorporating ANSI/DASMA 102-2011 
instead of the ANSI/DASMA 102-2004 as proposed in the NPR because it is 
the most recent version of the standard and the one available on the 
DASMA Web site.
    The OFR has regulations concerning incorporation by reference. 1 
CFR part 51. The OFR revised these regulations to require that, for a 
final rule, agencies must discuss in the preamble, the ways that the 
materials the agency incorporates by reference are reasonably available 
to interested persons and how interested parties can obtain the 
materials. In addition, the preamble to the final rule must summarize 
the material. 1 CFR 51.5(a).
    In accordance with the OFR's requirements, this section and section 
C of this preamble summarize the provisions of the voluntary standards 
that the rule incorporates by reference:
     Specifications for Sectional Doors, ANSI/DASMA 102-2011, 
dated May 19, 2011. ANSI/DASMA 102-2011 is copyrighted. Copies may be 
obtained from the Door and Access Systems Manufacturers' Association, 
International, 1300 Sumner Avenue, Cleveland, OH 44115-2851, telephone 
(216) 241-7333, or online at: https://www.dasma.com/PDF/Publications/Standards/ANSIDASMA102_2011.pdf.
     National Electrical Code, NFPA 70, 2014 edition, effective 
August 21, 2013. NFPA 70 is copyrighted. Copies may be obtained from 
the National Fire Protection Association, 1 Batterymarch Park, Quincy, 
MA 02269-9101, https://www.nfpa.org/; Telephone: (800) 344-3555.
     Standard for Safety for Tests for Safety-Related Controls 
Employing Solid-State Devices, UL 991, Third Edition, dated October 22, 
2004.
     Standard for Safety for Software in Programmable 
Components, UL 1998, Third Edition, dated December 18, 2013.
     Standard for Safety for Polymeric Materials--Use in 
Electrical Equipment Evaluations, UL 746C, Sixth Edition, dated 
September 10, 2004.
    The UL standards listed above are copyrighted. The UL standards may 
be obtained from UL, 151 Eastern Avenue, Bensenville, IL 60106, 
Telephone: 1-888-853-3503 or online at: https://ulstandards.ul.com/. One 
may also inspect a copy of all of the above-referenced standards at 
CPSC's Office of the Secretary, U.S. Consumer Product Safety 
Commission, Room 820, 4330 East West Highway, Bethesda, MD 20814, 
Telephone: (301) 504-7923.

E. Effective Date

    The NPR proposed a 30-day effective date from the date of 
publication of the final rule in the Federal Register because the 
requirements for residential GDOs in UL 325, Sixth Edition are 
currently in effect. No comments were received regarding the effective 
date. Therefore, the effective date for the rule is May 9, 2016.

F. Regulatory Flexibility Act

    The Regulatory Flexibility Act (``RFA'') generally requires that 
agencies review proposed and final rules for the rules' potential 
economic impact on small entities, including small businesses, and 
prepare regulatory flexibility analyses. 5 U.S.C. 603 and 604. The 
Commission certified that this rule will not have a significant impact 
on a substantial number of small entities pursuant to section 605(b) of 
the RFA, 5 U.S.C. 605(b) in the NPR. 80 FR 53036, 53039. The Commission 
did not receive any comments that questioned or challenged this 
certification, nor has CPSC staff received any other information that 
would require a change or revision to the Commission's previous 
analysis of the impact of the rule on small entities. Therefore, the 
certification of no significant impact on a substantial number of small 
entities is still appropriate.

G. Environmental Considerations

    The Commission's regulations provide a categorical exclusion for 
Commission rules from any requirement to prepare an environmental 
assessment or an environmental impact statement because the rules 
``have little or no potential for affecting the human environment.'' 16 
CFR 1021.5(c)(2). This rule falls within the categorical exclusion, so 
no environmental assessment or environmental impact statement is 
required. 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 rule alters that 
expectation.

H. Preemption

    The Improvement Act contains a preemption provision that 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. Public Law 101-608, 
section 203(f).

List of Subjects in 16 CFR Part 1211

    Consumer protection, Imports, Incorporation by reference, Labeling, 
Reporting and recordkeeping requirements.


[[Page 20228]]


    For the reasons set forth in the preamble, the Commission amends 16 
CFR part 1211 as follows:

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

0
1. The authority citation for part 1211 continues to read as follows:

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

Subpart A--[Amended]

0
2. Amend Sec.  1211.2 by revising paragraph (c) to read as follows:


Sec.  1211.2  Definition.

* * * * *
    (c) Is intended to be employed in ordinary locations in accordance 
with NFPA 70 (incorporated by reference, see Sec.  1211.32).

0
3. Amend Sec.  1211.4 by revising paragraph (c) to read as follows:


Sec.  1211.4  General requirements for protection against risk of 
injury.

* * * * *
    (c) An electronic or solid-state circuit that performs a back-up, 
limiting, or other function intended to reduce the risk of fire, 
electric shock, or injury to persons, including entrapment protection 
circuits, shall comply with the requirements in UL 991 (incorporated by 
reference, see Sec.  1211.40), including environmental and stress tests 
appropriate to the intended usage of the end-product.

0
4. Amend Sec.  1211.5 by revising paragraphs (a)(1) and (6), (b) 
introductory text, and (b)(3) 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 closing movement of the 
door meets the criteria for trouble indication.
* * * * *
    (6) When a Computational Investigation is conducted, 
[lambda]p shall not be greater than 6 failures/10\6\ hours 
for the entire system. For external secondary entrapment protection 
devices or systems that are sold separately, [lambda]p shall 
not be greater than 0 failures/10\6\ hours. For internal secondary 
entrapment protection devices or systems whether or not they are sold 
separately, [lambda]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 or system that is sold 
separately, and that has a [lambda]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 or system [lambda]p does not 
exceed 6 failures/10\6\ hours. See Sec.  1211.18(j) through (l).
* * * * *
    (b) In the evaluation of entrapment protection circuits used in 
residential garage door operators, the critical condition flow chart 
shown in Figure 1 to subpart A shall be used:
* * * * *
    (3) During the Power Cycling Safety for Tests in accordance with UL 
991 (incorporated by reference, see Sec.  1211.40).

0
5. Revise Sec.  1211.6 to read as follows:


Sec.  1211.6  General entrapment protection requirements.

    (a) A residential garage door operator system shall be provided 
with inherent primary entrapment protection that complies with the 
requirements as specified in Sec.  1211.7.
    (b) In addition to the inherent primary entrapment protection as 
required by paragraph (a) of this section, a vertically moving 
residential garage door operator shall comply with one of the 
following:
    (1) Shall be constructed to:
    (i) Require constant pressure on a control intended to be installed 
and activated within line of sight of the door to lower the door;
    (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. Sec.  
1211.8, 1211.10, and 1211.11; or
    (3)(i) Shall be provided with an inherent secondary entrapment 
protection device as described in Sec. Sec.  1211.8(a), 1211.8(c), 
1211.8(f), 1211.10, and 1211.12 and is:
    (A) A combination sectional overhead garage door operator system as 
described in Sec.  1211.6(c); and
    (B) For use only with vertically moving garage doors.
    (ii) With respect to Sec.  1211.6(b)(3)(i)(A), trolley-driven 
operators do not meet the definition of a combination sectional 
overhead garage door operator system.
    (c) In the case of a vertically moving combination sectional 
overhead garage door operator system, the door shall comply with the 
requirements in ANSI/DASMA 102 (incorporated by reference, see Sec.  
1211.40).
    (d) In addition to the inherent primary entrapment protection as 
required by Sec.  1211.6(a), a horizontally sliding residential garage 
door operator shall comply with one of the following:
    (1) Shall be constructed to:
    (i) Require constant pressure on a control to close the door;
    (ii) Reverse direction and open the door a minimum of 2 in (50.8 
mm) when constant pressure on a control is removed prior to operator 
reaching its position limit; and
    (iii) Stop the door if a second obstruction is detected in the 
reverse direction.
    (2) Shall be provided with a means for connection of an external 
secondary entrapment protection device for each leading edge as 
described in Sec.  1211.8.
    (e) 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.
    (f) In addition to complying with paragraph (e) of this section, in 
the event of a 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 Sec. Sec.  1211.7(a), 1211.7(b)(7), 
1211.7(c)(7), 1211.8(a), or 1211.8(b), 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.

0
6. Revise Sec.  1211.7 to read as follows:


Sec.  1211.7  Inherent primary entrapment protection requirements.

    (a) General requirements. A vertically moving residential garage 
door operator system shall be supplied with inherent primary entrapment 
protection that complies with the requirements as specified in 
paragraph (b) of this section. A horizontally sliding residential 
garage door operator system shall be supplied with inherent primary 
entrapment protection that complies with the requirements as specified 
in paragraph (c) of this section.
    (b) Inherent primary entrapment protection, vertically moving 
doors. (1)(i) For a vertically moving residential garage door operator 
system, other than for the first 1 foot (305mm) of door travel from the 
full upmost position both with and without any secondary

[[Page 20229]]

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 
subparagraph (b)(3) of this section. After reversing the door, the 
operator shall return the door to, and stop at, the full upmost 
position. Compliance shall be determined in accordance with paragraphs 
(b)(3) through (10) of this section.
    (ii) The door operator is not required to return the door to, and 
stop the door at, the full upmost position when the operator senses a 
second obstruction during the upward travel.
    (iii) The door operator is not required to return the door to, and 
stop the door at, the full upmost position when a control is actuated 
to stop the door during the upward travel--but the door can not be 
moved downward until the operator reverses the door a minimum of 2 
inches (50.8 mm).
    (2) The test shall be performed on a representative operating 
system installed in accordance with the manufacturer's installation 
instructions with the operator exerting a 25-lbf (111.21-N) pull or its 
rated pull, whichever is greater.
    (3)(i) 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.
    (ii) For operators other than those attached to the door, a solid 
object is not required to be located in line with the driving point of 
the operator. The solid object is to be located at points at the 
center, and within 1 foot of each end of the door.
    (iii) To test operators for compliance with requirements in 
paragraphs (b)(1)(iii), (b)(7)(iii), and (b)(8)(iii) of this section 
and Sec.  1211.13(c), a solid rectangular object measuring 4 inches 
(102 mm) high by 6 inches (152 mm) wide by a minimum of 6 inches (152 
mm)long is to be placed on the floor of the test installation to 
provide a 4-inch (102 mm) high obstruction when operated from a 
partially open position.
    (4) An operator is to be tested for compliance with paragraph 
(b)(1) 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 (b)(6) 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.
    (5) 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)(3) of this section at the maximum 
setting or at the setting that represents the most severe operating 
condition.
    (6) 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.  
1211.18.
    (7)(i) An operator, employing an inherent entrapment protection 
system that measures or 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 measure or monitor 
the position of the door at increments not greater than 1 inch (25.4 
mm).
    (ii) 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 during the upward travel.
    (iii) The door operator is not required to return the door to, and 
stop the door at, the full upmost position when a control is actuated 
to stop the door during the upward travel--but the door can not be 
moved downward until the operator reverses the door a minimum of 2 
inches (50.8 mm).
    (8)(i) An operator, using an inherent entrapment protection system 
that does not measure or 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.
    (ii) 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 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.
    (iii) The door operator is not required to return the door to, and 
stop the door at, the full upmost position when a control is actuated 
to stop the door during the upward travel--but the door can not be 
moved downward until the operator reverses the door a minimum of 2 
inches (50.8 mm). When the door is stopped manually during its descent, 
the 30 seconds shall be measured from the resumption of the close 
cycle.
    (9) To determine compliance with paragraph (b)(7) or (8) 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 
(b)(4) and (6) 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 (b)(1) of this section and Sec.  1211.8(a) or (b) 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.
    (10) During the closing cycle referred to in paragraph (b)(9) of 
this section, the system providing compliance with paragraphs (b)(1) 
and (7) of this section or paragraphs (b)(1) and (8) 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.
    (c) Inherent primary entrapment protection, horizontally sliding 
doors. (1)(i) For a horizontally sliding residential garage door 
operator system, other than for the first 1 foot (305mm) of door travel 
from the full closed position both with and without any external 
entrapment protection device functional, the operator of a closing 
residential garage door shall initiate reversal of the door within 2 
seconds of contact with the obstruction as specified in paragraph 
(c)(3) of this section. After reversing the door, the operator shall 
open the door a minimum of 2 inches (50.8 mm) from the edge of the 
obstruction. Compliance shall be determined in accordance with

[[Page 20230]]

paragraphs (c)(2) through (10) of this section.
    (ii) The door operator is not required to open the door a minimum 2 
inches (50.8 mm) when the operator senses a second obstruction during 
the closing direction of travel.
    (iii) The door operator is not required to open the door a minimum 
2 inches (50.8 mm) when a control is actuated to stop the door during 
movement towards the open position--but the door can not be moved 
towards the open position until the operator reverses the door a 
minimum of 2 inches (50.8 mm).
    (2) The test shall be performed on a representative operating 
system installed in accordance with the manufacturer's installation 
instructions with the operator exerting a 25-lbf (111.21-N) pull or its 
rated pull, whichever is greater.
    (3)(i) A solid object is to be placed on the floor of the test 
installation and rigidly supported within the bottom track and then 
repeated with the solid object placed on the floor and rigidly 
supported external to the track. The test shall then be repeated with 
the solid object rigidly supported at heights of 1 ft (305 mm), 3 ft 
(914 mm), 5 ft (1524 mm), and within 1 ft (305 mm) of the top edge. The 
object shall be 1 inch (25.4 mm) in width.
    (ii) For operators other than those attached to the door, a solid 
object is not required to be located in line with the driving point of 
the operator. The solid object is to be located at points at the center 
and within 1 ft of each end of the door opening.
    (iii) To test operators for compliance with paragraphs (c)(1)(iii), 
(c)(7)(iii), and (c)(8)(iii) of this section, and Sec.  1211.13(c), a 
solid rectangular object measuring 4 inches (102 mm) high by 6 inches 
(152 mm) wide by a minimum of 6 in (152 mm) long is to be placed on the 
floor of the test installation to provide a 4 in (102 mm) high 
obstruction when operated from a partially open position with the test 
repeated with the bottom edge of the obstruction rigidly supported at 
heights of 1 ft (305 mm), 3ft (914 mm), 5ft (1524 mm), and within 1 ft 
(305 mm) of the top edge.
    (4) An operator is to be tested for compliance with paragraph 
(c)(1) 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 (c)(6) 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.
    (5) 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 (c)(3) of this section at the maximum 
setting or at the setting that represents the most severe operating 
condition.
    (6) 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 of these 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 in Sec.  
1211.18.
    (7)(i) An operator, employing an inherent entrapment protection 
control that measures or 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 fully closed position in the event the inherent 
door operation ``profile'' of the door differs from the originally set 
parameters. The system shall measure or monitor the position of the 
door at increments not greater than 1 inch (25.4 mm).
    (ii) The door operator is not required to open the door a minimum 2 
inches (50.8 mm) when an inherent entrapment circuit senses an 
obstruction during the reversing travel.
    (iii) The door operator is not required to open the door a minimum 
2 inches (50.8 mm) when a control is actuated to stop the door during 
the opening direction--but the door can not be moved in the closing 
direction until the operator reverses the door a minimum of 2 inches 
(50.8 mm).
    (8)(i) An operator, using an inherent entrapment protection system 
that does not measure or monitor the actual position of the door, shall 
initiate reversal of the door and shall open the door a minimum 2 
inches (50.8 mm) when the closed position limit device is not actuated 
within 30 seconds or less following the initiation of the close cycle.
    (ii) The door operator is not required to open the door a minimum 2 
inches (50.8 mm) when an inherent entrapment circuit senses an 
obstruction during the reversing travel.
    (iii) The door operator is not required to open the door a minimum 
2 inches (50.8 mm) when a control is actuated to stop the door during 
the opening direction--but the door can not be moved in the closing 
direction until the operator has reversed the door a minimum of 2 
inches (50.8 mm). When the door is stopped manually during its closing, 
the 30 seconds shall be measured from the resumption of the close 
cycle.
    (9) To determine compliance with paragraph (c)(7) or (8) 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)(4) and (6) 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 paragraph (c)(1) 
of this section and Sec.  1211.8(b) are to be inoperative or defeated 
during the test. An obstructing object is to be used so that the door 
is not capable of activating a position limiting device.
    (10) During the closing cycle referred to in paragraph (c)(9) of 
this section, the system providing compliance with paragraphs (c)(1) 
and (7) of this section or paragraphs (c)(1) and (8) 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.

0
7. Revise Sec.  1211.8 to read as follows:


Sec.  1211.8  Secondary entrapment protection requirements.

    (a)(1) For a vertically moving door operator, a secondary 
entrapment protection device supplied with, or as an accessory to, an 
operator shall consist of:
    (i) An external photoelectric sensor that when activated results in 
an operator that is closing a door to reverse direction of the door, 
returns the door to, and stops the door at the fully open position, and 
the sensor prevents an operator from closing an open door,
    (ii) 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, returns the door to, and stops the door 
at the fully open position, and the sensor prevents an operator from 
closing an open door,
    (iii) An inherent door sensor independent of the system used to

[[Page 20231]]

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
    (iv) Any other external or internal device that provides entrapment 
protection equivalent to paragraph (a)(1)(i), (ii), or (iii) of this 
section.
    (2) The door operator is not required to return the door to, and 
stop the door at, the fully open position when an inherent entrapment 
circuit senses an obstruction during the opening travel.
    (3) The door operator is not required to return the door to, and 
stop the door at, the fully open position when a control is actuated to 
stop the door during the opening travel--but the door cannot be moved 
towards the closing direction until the operator has reversed the door 
a minimum of 2 inches (50.8 mm).
    (b) For horizontal sliding garage door operators, 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 or opening a door to reverse direction 
of the door for a minimum of 2 inches (50.8 mm); or
    (2) An external edge sensor installed on the edge of the door that, 
when activated, results in an operator that is closing or opening a 
door to reverse direction of the door for a minimum of 2 inches (50.8 
mm).
    (c) With respect to paragraphs (a) and (b) of this section, the 
operator shall monitor for the presence and correct operation of the 
device at least once during each close cycle. Should the device not be 
present or a fault condition occurs which precludes the sensing of an 
obstruction, including an interruption of the wireless signal to the 
wireless device or 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) For a vertically moving door, the closing door shall open and 
an open door shall not close more than 1 foot (305 mm) below the upmost 
position;
    (2) For a horizontally sliding door, the door shall not move in the 
opening or closing direction; or
    (3) The operator shall function as required by Sec.  1211.6(b)(1).
    (d) An external entrapment protection device or system, when 
employing a wireless control, shall comply with paragraph (e) of this 
section when installed at its farthest distance from the operator as 
recommended in the installation instructions.
    (e) An external entrapment protection device shall comply with the 
applicable requirements in Sec. Sec.  1211.10, 1211.11, and 1211.12.
    (f) An inherent secondary entrapment protection device described in 
Sec.  1211.6(b)(3) shall comply with the applicable requirements in 
Sec.  1211.13. Software used in an inherent entrapment protection 
device shall comply with UL 1998 (incorporated by reference, see Sec.  
1211.40).

0
8. Amend Sec.  1211.9 by revising paragraphs (a), (b)(2), and (c) 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.  1211.16(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)(3)(i), is to be located in several different 
positions. A marking with instructions for detaching the operator shall 
be provided as required by Sec.  1211.17(a), (b), and (j), as 
applicable.
    (b) * * *
    (2) The door is capable of being moved to the 2-inch (50.8-mm) 
point from any position between closed and the 2-inch (50.8-mm) point.
    (c) Actuation of a control that initiates movement of a door shall 
stop and may reverse the door on the closing cycle. On the opening 
cycle, actuation of a control shall stop the door but not reverse it.
* * * * *

0
9. Revise Sec.  1211.10 to read as follows:


Sec.  1211.10  Requirements for all entrapment protection devices.

    (a) General requirements. (1) An external entrapment protection 
device shall perform its intended function when tested in accordance 
with paragraphs (a)(2) through (4) of this section.
    (2) The device is to be installed in the intended manner and its 
terminals connected to circuits of the door operator as indicated by 
the installation instructions.
    (3) The device is to be installed and tested at minimum and maximum 
heights and widths representative of recommended ranges specified in 
the installation instructions. For doors, if not specified, devices are 
to be tested on a minimum 7 foot (2.1 m) wide door and maximum 20 foot 
(6.1 m) wide door.
    (4) If powered by a separate source of power, the power-input 
supply terminals are to be connected to supply circuits of rated 
voltage and frequency.
    (5) An external entrapment protection device requiring alignment, 
such as a photoelectric sensor, shall be provided with a means, such as 
a visual indicator, to show proper alignment and operation of the 
device.
    (b) Current protection test. (1) There shall be no damage to the 
entrapment protection circuitry if low voltage field-wiring terminals 
or leads are shortened or miswired to adjacent terminals.
    (2) To determine compliance with paragraph (b)(1) of this section, 
an external entrapment protection device is to be connected to a door 
operator or other source of power in the intended manner, after which 
all connections to low voltage terminals or leads are to be reversed as 
pairs, reversed individually, or connected to any low voltage lead or 
adjacent terminal.
    (3) After restoring the connections in the intended manner:
    (i) A photoelectric sensor shall comply with the Normal Operation 
tests per Sec.  1211.11(a) through (c); and
    (ii) An edge sensor shall comply with the Normal Operation test, 
per Sec.  1211.12(a).
    (c) Splash test. (1) An external entrapment protection device 
intended to be installed inside a garage 3 feet or less above the floor 
shall withstand a water exposure as described in paragraph (c)(2) of 
this section without resulting in a risk of electric shock and shall 
function as intended, per paragraph (c)(3) of this section. After 
exposure, the external surface of the device may be dried before 
determining its functionality.
    (2) External entrapment protection devices are to be indirectly 
sprayed using a hose having the free end fitted with a nozzle as 
illustrated in Figure 2 to subpart A and connected to a water supply 
capable of maintaining a flow rate of 5 gallons (19 liters) per minute 
as measured at the outlet orifice of the nozzle. The water from the 
hose is to be played, from all sides and at any angle against the floor 
under the device in such a manner most likely to cause water to splash 
the enclosure of electric components. However, the nozzle is not to be 
brought closer than 10 feet (3.05

[[Page 20232]]

m) horizontally to the device. The water is to be sprayed for 1 minute.
    (3) After drying the external surface of the device:
    (i) A photoelectric sensor shall comply with the Normal Operation 
Tests per Sec.  1211.11(a) through (c); and
    (ii) An edge sensor shall comply with the Normal Operation Test, 
per Sec.  1211.12(a).
    (iii) There shall be no water on uninsulated live parts of a line 
voltage circuit.
    (d) Ultraviolet light exposure test. A polymeric material used as a 
functional part of a device that is exposed to outdoor weather 
conditions shall comply with the Ultraviolet Light Exposure Test 
described in UL 746C (incorporated by reference, see Sec.  1211.40).
    (e) Resistance to impact test. (1) An external entrapment 
protection device employing a polymeric or elastomeric material as a 
functional part shall be subjected to the impact test specified in 
paragraph (e)(2) of this section. As a result of the test:
    (i) There shall be no cracking or breaking of the part; and
    (ii) The part shall operate as intended, per paragraph (e)(4) of 
this section, or, if dislodged after the test, is capable of being 
restored to its original condition.
    (2) Samples of the external entrapment protection device are to be 
subjected to the Resistance to Impact Test described in UL 746C 
(incorporated by reference, see Sec.  1211.40). The external entrapment 
protection device is to be subjected to 5 foot-pound (6.8 J) impacts. 
Three samples are to be tested, each sample being subjected to three 
impacts at different points.
    (3) In lieu of conducting the room temperature test described in 
paragraph (e)(2) of this section, each of three samples of a device 
exposed to outdoor weather when the door is the closed position are to 
be cooled to a temperature of minus 31.0  3.6[emsp14][deg]F 
(minus 35.0  2.0 [deg]C) and maintained at this temperature 
for 3 hours. Three samples of a device employed inside the garage are 
to be cooled to a temperature of 32.0[emsp14][deg]F (0.0 [deg]C) and 
maintained at this temperature for 3 hours. While the sample is still 
cold, the samples are to be subjected to the impact test described in 
paragraph (e)(1) of this section.
    (4) To determine compliance with paragraph (e)(1)(ii) of this 
section:
    (i) A photoelectric sensor shall comply with the Normal Operation 
tests per Sec.  1211.11(a) through (c); and
    (ii) An edge sensor shall comply with the Normal Operation Test, 
per Sec.  1211.12(a).
    (f) External entrapment protection devices with wireless control--
(1) Initial test set-up. (i) For a wireless device intended to be 
powered by a non-rechargeable battery, a fully charged battery shall be 
installed per the instructions or markings on the product. See Sec.  
1211.16 (a)(7).
    (ii) An entrapment protection device or system employing a wireless 
control, or separately supplied for, shall be installed per the 
manufacturer's instructions.
    (2) Radiated immunity test. (i) An external entrapment protection 
device when employing wireless control shall operate as specified in 
Sec.  1211.8(a) through (e) as applicable; or is rendered inoperative 
(any case in which the operator will not complete a full cycle, open 
and close, of travel) when tested in accordance with paragraph 
(f)(2)(ii) of this section.
    (ii) Compliance to paragraph (f)(2)(i) of this section is verified 
by simulating an obstruction during the period of the electric field 
strength test of Sec.  1211.4(c).
    (g) Battery test for wireless devices. (1) An external entrapment 
protection device when employing a battery powered wireless control 
shall operate as specified in Sec.  1211.8(a) through (e) as 
applicable; or is rendered inoperative (any case in which the operator 
will not complete a full cycle, open and close, of travel) when tested 
in accordance with paragraph (g)(2) of this section.
    (2) Compliance with paragraph (g)(1) of this section shall be 
verified with battery charge at the following levels:
    (i) Fully charged; and
    (ii) Discharged per the manufacturer's recommendations to the 
wireless device's lowest operational voltage.
    (3) An external entrapment protection device employing a battery 
powered wireless device operating under conditions with a fully 
discharged battery or when the battery is discharged sufficiently to 
cause the device or system to render the moving door inoperative, shall 
be considered a single point fault for complying with Sec. Sec.  
1211.5(b) and 1211.8(c).
    (h) Ambient light test for wireless device with IR communication. 
(1) An external entrapment protection device, when employing an IR 
communication shall operate as specified in Sec.  1211.8(a) through (e) 
as applicable; or is rendered inoperative (any case in which the 
operator will not complete a full cycle, open and close, of travel) 
when subjected to ambient light impinging at an angle of 15 to 20 
degrees from the axis of the beam when tested in accordance with 
paragraph (h)(2) of this section.
    (2) An external entrapment protection device when employing an IR 
communication shall be set up at maximum range per paragraph (h)(1) of 
this section. The ambient light test described in Sec.  1211.11(e)(2) 
shall be conducted with the light source impinging on each IR receiver, 
one at a time that is part of the wireless control system between the 
external entrapment protection device and the operator.

0
10. Revise Sec.  1211.11 to read as follows:


Sec.  1211.11  Requirements for photoelectric sensors.

    (a) Normal operation test. When installed as described in Sec.  
1211.10(a)(1) through (4), a photoelectric sensor of a vertically 
moving door shall sense an obstruction as described in paragraph (c) of 
this section that is to be placed on the floor at three points over the 
width of the door opening, at distances of 1 foot (305 mm) from each 
end and the midpoint.
    (b) Normal operation test--Horizontally moving door. When installed 
as described in Sec.  1211.10(a)(1) through (4), a photoelectric sensor 
of a horizontally moving door shall be tested per paragraph (c) of this 
section that is to be placed on a level surface within the path of the 
moving door. The sensor is to be tested with the obstruction at a total 
of five different locations over the height of the door or gate 
opening. The locations shall include distances 1 in (25.4 mm) from each 
end, 1 ft (305 mm) from each end, and the midpoint.
    (c) Normal operation test--Obstruction. The obstruction noted in 
paragraphs (a) and (b) of this section shall consist of a white 
vertical surface 6 inches (152 mm) high by 12 inches (305 mm) long. The 
obstruction is to be centered in the opening perpendicular to the plane 
of the door when in the closed position. See Figure 3 to subpart A.
    (d) Sensitivity test. (1) When installed as described in Sec.  
1211.10(a)(1) through (4), a photoelectric sensor shall sense the 
presence of a moving object when tested according to paragraph (d)(2) 
of this section.
    (2) The moving object is to consist of a 1 \7/8\ inch (47.6 mm) 
diameter cylindrical rod, 34\1/2\ inches (876 mm) long, with the axis 
point being 34 inches (864 mm) from the end. The axis point is to be 
fixed at a point centered directly above the beam of the photoelectric 
sensor 36 inches (914 mm) above the floor. The photoelectric sensor is 
to be mounted at the highest position as recommended by the 
manufacturer. The rod is to be swung as a pendulum through the 
photoelectric sensor's beam

[[Page 20233]]

from a position 45 degrees from the plane of the door when in the 
closed position. See Figure 4 to subpart A.
    (3) The test described in paragraph (d)(2) of this section is to be 
conducted at three points over the width of the door opening, at 
distances of 1 foot (305 mm) from each end and the midpoint.
    (4) When the test fixture of Figure 4 to subpart A, prior to 
conduct of the test, interferes with the photoelectric sensor detection 
zone, the tests per paragraphs (d)(1) through (4) of this section may 
be conducted instead per paragraph (f)(4) of this section.
    (e) Ambient light test. (1) A photoelectric sensor shall operate as 
specified in Sec.  1211.8(a) and (c) when subjected to ambient light 
impinging at an angle of 15 to 20 degrees from the axis of the beam 
when tested according to paragraph (e)(2) of this section and, if 
appropriate, paragraph (e)(3) of this section.
    (2) To determine compliance with paragraph (e)(1) of this section, 
a 500 watt incandescent or equivalent minimum rated, 3600K or lower 
color rated flood lamp is to be energized from a 120-volt, 60-hertz 
source. The lamp is to be positioned 5 feet from the front of the 
receiver and aimed directly at the sensor at an angle of 15 to 20 
degrees from the axis of the beam. See Figure 5 to subpart A.
    (3) If the photoelectric sensor uses a reflector, this test is to 
be repeated with the lamp aimed at the reflector.
    (4) During the test conditions described in paragraphs (e)(2) and 
(e)(3) of this section, a photoelectric sensor shall comply with the 
normal operation test requirements described in paragraph (a) of this 
section, and
    (i) A photoelectric sensor shall comply with sensitivity test 
requirements described in paragraph (d) of this section, and
    (ii) An edge sensor shall comply with the normal operation test 
requirements described in Sec.  1211.12.
    (f) Photoelectric sensor vertical arrays (1) A vertical array shall 
be tested as required by paragraphs (a) through (e) of this section, 
except as noted in paragraphs (f)(2) through (5) of this section.
    (2) The array shall comply with the Normal Operation tests 
specified in paragraphs (a) through (c) of this section, with the solid 
obstruction placed on the floor. In addition, the obstruction shall be 
placed at various locations over the height of the light curtain array 
in accordance with the light curtain coverage area per the 
manufacturer's instructions.
    (3) In conducting the tests specified in paragraphs (a) through (c) 
of this section, when the product includes a blanking function whereby 
the light array is located directly in-line with the path of the door 
travel, and the door system is intended to detect any obstruction other 
than one in the ``next'' successive position that the door is 
programmed to travel, the obstruction is placed at any location other 
than the next successive door position expected by the system.
    (4) The array shall comply with the Sensitivity Test specified in 
paragraph (d) of this section, except that the edge of the pendulum 
nearest to the array is to be located 2 in. (50.8 mm) from one side of 
the plane of the array, rather than directly above one photoelectric 
sensor pair. For vertical arrays, this test need only be conducted with 
the test pendulum at the vertical height indicated in paragraph (d)(2) 
of this section.
    (5) When conducting the Ambient Light Test specified in paragraph 
(e) of this section, the position of the light source shall be aligned 
per paragraph (e)(2) of this section based on the axis of the lowest 
beam or detection zone. This arrangement shall be used to determine 
compliance with the requirements specified in paragraph (f)(2) of this 
section (with the obstruction at the floor level) and paragraph (f)(4) 
of this section, which are the only conditions for which the ambient 
light is required to be applied.

0
11. Amend Sec.  1211.12 by revising paragraphs (a)(1), (c)(1) and (2), 
and (d) to read as follows:


Sec.  1211.12  Requirements for edge sensors.

    (a) * * *
    (1) When installed on a representative residential door edge, an 
edge sensor shall actuate upon the application of a 15 pounds (66.7 N) 
or less force in the direction of the application. For an edge sensor 
intended to be used on a sectional door, the force is to be applied by 
the longitudinal edge of a 1\7/8\ inch (47.6 mm) diameter cylinder 
placed across the switch so that the axis is perpendicular to the plane 
of the door. For an edge sensor intended to be used on a one piece 
door, the force is to be applied so that the axis is at an angle 30 
degrees from the direction perpendicular to the plane of the door. See 
Figure 6 to subpart A.
* * * * *
    (c) * * *
    (1) An elastomeric material used as a functional part of an edge 
sensor shall function as intended when subjected to:
    (i) Accelerated Aging Test of Gaskets, stated in paragraph (c)(3) 
of this section,
    (ii) Compliance to the Standard for Gaskets and Seals, UL 157, 
fulfills this requirement (see paragraph (c)(2) of this section for UL 
contact information); and
    (iii) Puncture Resistance Test, stated in paragraph (d) of this 
section.
    (2) An elastomeric material used for a functional part that is 
exposed to outdoor weather conditions when the door is in the closed 
position shall have physical properties as specified in the Table to 
subpart A after being conditioned in accordance with the Ultraviolet 
Light Exposure Test described in UL 746C (incorporated by reference, 
see Sec.  1211.40).
* * * * *
    (d) Puncture resistance test. (1) After being subjected to the 
tests described in paragraph (d)(2) or (3) of this section, an 
elastomeric material that is a functional part of an edge sensor shall:
    (i) Not be damaged in a manner that would adversely affect the 
intended operation of the edge sensor, and
    (ii) Maintain enclosure integrity if it serves to reduce the 
likelihood of contamination of electrical contacts.
    (2) For a vertically moving door, a sample of the edge sensor is to 
be installed in the intended manner on a representative door edge. The 
probe described in Figure 7 to subpart A is to be applied with a 20 
pound-force (89N) to any point on the sensor that is 3 inches (76 mm) 
or less above the floor is to be applied in the direction specified in 
the Edge Sensor Normal Operation Test, Figure 6 to subpart A. The test 
is to be repeated on three locations on each surface of the sensor 
being tested.
    (3) For horizontally sliding doors, sample of the edge sensor is to 
be installed in the intended manner on a representative door edge. The 
probe described in Figure 7 to subpart A is to be applied with a 20 lbf 
(89 N) to any point on the sensor when the door is within 3 in (76 mm) 
of its fully open position and within 3 in (76 mm) of any stationary 
wall. For each type of door, the force is to be applied in the 
direction specified in the Edge Sensor Normal Operation Test, Figure 6 
to subpart A. The test is to be repeated on three locations on each 
surface of the sensor being tested.

0
13. Revise Sec.  1211.13 to read as follows:


Sec.  1211.13  Inherent force activated secondary door sensors.

    (a) General. (1) A force activated door sensor of a door system 
installed according to the installation instructions shall actuate in 
accordance with paragraphs (b) through (f) of this section, which are 
to be conducted in sequence on a single system sample,

[[Page 20234]]

except for the separate test sequences of paragraph (a)(2) of this 
section.
    (2) The system shall actuate with the maximum and minimum 
specifications of the door, operator, and hardware.
    (3) Tests conducted per paragraphs (b) through (f) of this section 
shall be performed with the force exerted by a drive adjusted to its 
highest value if the force can be adjusted by the user during use or 
user maintenance.
    (4) The test cylinder referred to in paragraph (b)(7) of this 
section shall be a 1\7/8\ in (47.6 mm) diameter cylinder placed under 
the door so that the axis is perpendicular to the plane of the door. 
See Figure 6 to subpart A.
    (5) The measuring device referred to in paragraph (b)(1) of this 
section shall:
    (i) Have an accuracy of +/-1%;
    (ii) Have a rise and fall time not exceeding 5 ms;
    (iii) Have the equivalence of a spring constant of 2855 lb/in +/-
285 lb/in (500 N/mm, +/-50 N/mm);
    (iv) Be placed on a rigid, level surface; and
    (v) Have a rigid plate with a diameter of 3.1 in (80 mm).
    (vi) See paragraph (a)(6) of this section for test equipment 
alternatives for force measurements at 1 ft (305 mm) or greater for the 
tests conducted per paragraphs (b) and (d) of this section.
    (6) With regard to the alternative test equipment referred to in 
paragraph (a)(5)(vi) of this section, the test device described in 
paragraph (b)(5) of this section for force measurements at 1 foot (305 
mm) or greater shall be:
    (i) A spring constant means such as specified in paragraph (a)(5) 
of this section;
    (ii) A gravity based weight displacing means that suspends a weight 
off its supporting surface upon exceeding 15 lbf (67 N) such as the 
example shown in figures 8 through 10 of this subpart if the equipment 
described in paragraph (a)(5) of this section is applied before the 
tests specified in paragraph (c) of this section and after the tests 
specified in paragraph (d) of this section at the 1 ft (305 mm) height 
specified in paragraph (b)(6) of this section; or
    (iii) The equivalent requirements of paragraphs (a)(6)(i) or (ii) 
of this section.
    (7) The cycles specified in paragraph (d) of this section are not 
required to be consecutive. Continuous operation of the motor without 
cooling is not required.
    (b) Closing force test. (1) The door shall stop and reverse within 
2 seconds after contacting the obstruction. The door shall apply the 
following forces at the locations noted in paragraph (b)(2) of this 
section:
    (i) 90 lbf (400 N) or less average during the first 0.75 seconds 
after 15 lbf (67 N) is exceeded from initial impact; and
    (ii) 15 lbf (67 N) or less from 0.75 seconds after 15 lbf (67 N) is 
exceeded from initial impact until the door reverses.
    (2) The test referred to in paragraph (b)(1) of this section shall 
be conducted at the following test height and locations along the edge 
of the door:
    (i) The center point, at a height of 2 in (50.8) from the floor;
    (ii) Within 1 ft (305 mm) of the end of the door, at a height of 2 
in (50.8) from the floor; and
    (iii) Within 1 ft (305 mm) of the other end of the door, at a 
height of 2 in (50.8) from the floor.
    (3) The maximum force specified in paragraph (b)(1) of this section 
shall be tested by the door applying a force against the longitudinal 
edge of the test cylinder described in paragraph (a)(4) of this 
section.
    (4) The equipment used to measure force for the test described in 
paragraph (b)(1) of this section shall be in accordance with the 
requirements of paragraph (a)(5) of this section.
    (5) The door shall stop and reverse within 2 seconds after 
contacting the obstruction. The door shall apply a load of 15 lbf (67 
N) or less in the closing direction along the path of door travel at 
the locations noted in paragraph (b)(6) of this section.
    (6) The test described in paragraph (b)(5) of this section shall be 
conducted at the following points along the edge of the door:
    (i) At the center at heights of 1 ft, 3 ft, and 5 ft (305 mm, 914 
mm and 1.52 m) from the floor;
    (ii) Within 1 ft (305 mm) of the end of the door, at heights of 1 
ft, 3 ft, and 5 ft from the floor; and
    (iii) Within 1 ft of the other end of the door at heights of 1 ft, 
3 ft, and 5 ft from the floor.
    (7) The maximum force described in paragraph (b)(5) of this section 
shall be tested by the door applying a force against the longitudinal 
edge of the test cylinder as described in paragraph (a)(4) of this 
section.
    (8) The equipment used to measure forces for the test described in 
paragraph (b)(1) of this section shall be in accordance with the 
requirements of paragraph (a)(5) or (6) of this section.
    (c) Opening force test. (1) The door shall stop within 2 seconds 
after a weight of 44 lb (20 kg) is applied to the door.
    (2) The test described in paragraph (c)(1) of this section shall be 
conducted with the door starting from the fully closed position and at 
heights of approximately 1 ft, 3 ft, and 5 ft (305 mm, 914 mm and 1.52 
m) from the floor.
    (3) Test weight(s) shall be applied to sections of the door that 
are vertical in the initial stopped position for each test height prior 
to operator activation.
    (d) Fifty cycle test. (1) With the door(s) at the test point(s) 
determined by the tests described in paragraphs (b) and (c) of this 
section to be most severe with respect to both reversal time and force, 
the door system shall function as intended after 50 cycles of 
operation. After the last cycle, the system shall complete one 
additional cycle of opening the door to its fully open condition and 
closing the door to its fully closed position.
    (2) The tests described in paragraphs (b) and (c) of this section 
shall be repeated upon completion of cycling test.
    (e) Adjustment of door weight. At the point determined by the test 
described in paragraph (b)(5) 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 tests of paragraphs (b) and (c) of this section are to be 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 tests described in paragraphs (b) and (c) of this section 
are to be repeated by subtracting weight in 5.0 pound increments until 
a total of 15.0 pounds has been subtracted from the door.
    (f) Obstruction test. For a door traveling in the downward 
direction, when an inherent secondary entrapment protection device 
senses an obstruction and initiates a reversal, any control activation 
shall not move the door downward until the operator reverses the door a 
minimum of 2 inches (50.8 mm). The test is to be performed as described 
in Sec.  1211.7(b)(3)(iii). The system may be initially manually re-
profiled for the purpose of this test.


Sec. Sec.  1211.14 through 1211.17   [Redesignated as Sec. Sec.  
1211.16 through 1211.19]

0
13. Redesignate Sec. Sec.  1211.14 through 1211.17 as Sec. Sec.  
1211.16 through 1211.19 respectively.

0
14. Add new Sec.  1211.14 to read as follows:


Sec.  1211.14  Unattended operation requirements.

    (a) General requirements. (1) A residential garage door operator or 
system may permit unattended operation to close a garage door, provided 
the operator system complies with the additional requirements of 
paragraphs (b) through (e) of this section.

[[Page 20235]]

    (2) Unattended operation shall not be permitted on one-piece garage 
doors or swinging garage doors. An operator intended for use with both 
sectional doors and one-piece or swinging doors that have an unattended 
operation close feature shall identify that the unattended operation 
closing feature is only permitted to be enabled when installed with a 
sectional door by complying with:
    (i) The installation instructions stated in Sec.  
1211.16(b)(1)(ii);
    (ii) The markings specified in Sec.  1211.17(h); and
    (iii) The carton markings specified in Sec.  1211.18(m) when the 
carton references the unattended operation close feature.
    (b) Operator system. The operator system shall require one or more 
intentional actions to enable unattended operation, such as setting a 
power head switch or wall-control switch. For an accessory requiring 
installation and set-up in order to enable unattended operation, the 
installation and set-up may be considered satisfying this requirement.
    (c) Alarm signal. (1) The operator system shall provide an audible 
and visual alarm signal.
    (2) The alarm shall signal for a minimum of 5 seconds before any 
unattended closing door movement.
    (3) The audible signal shall be heard within the confines of a 
garage. The audio alarm signals for the alarm specified in paragraph 
(c)(1) of this section shall be generated by devices such as bells, 
horns, sirens, or buzzers. The signal shall have a frequency in the 
range of 700 to 3400 Hz, either a cycle of the sound level pulsations 
of 4 to 5 per second or one continuous tone, a sound level at least 45 
dB 10 ft (305 cm) in front of the device over the voltage range of 
operation.
    (4) The visual alarm signal described in paragraph (c)(1) of this 
section shall be visible within the confines of a garage using a 
flashing light of at least 40 watt incandescent or 360 lumens.
    (d) Controls. (1) During the pre-motion signaling period defined in 
paragraph (c)(2) of this section, activation of any user door control 
(e.g., wall control, wireless remote, keypad) shall prevent the pending 
unattended door movement. Door movement resulting from activation of a 
user door control is not prohibited.
    (2) Upon activation of a user door control during unattended door 
movement, the door shall stop, and may reverse the door on the closing 
cycle. On the opening cycle, activation of a user door control shall 
stop the door but not reverse it.
    (3) If an unattended door travelling in the closing direction is 
stopped and reversed by an entrapment protection device, the operator 
system shall be permitted one additional unattended operation attempt 
to close the door.
    (4) After two attempts per paragraph (d)(3) of this section, the 
operator system shall suspend unattended operation. The operator system 
shall require a renewed, intended input, via user door control (e.g., 
wall control wireless remote, keypad) other than the unattended 
activation device, prior to re-enabling unattended operation.
    (e) Entrapment protection. For a moving door, entrapment protection 
shall comply with Sec. Sec.  1211.7 and 1211.8.

0
15. Add new Sec.  1211.15 to read as follows:


Sec.  1211.15  Vertically moving combination rigid one-piece overhead 
residential garage door and operator system.

    (a) A vertically moving combination rigid one-piece overhead 
residential garage door and operator system shall comply with the 
applicable residential garage door operator requirements in this 
standard and shall additionally comply with the following:
    (1) The speed of the door edge during the opening or closing motion 
shall not exceed 6 in (152 mm) per second.
    (2) The system shall be supplied with two additional independent 
secondary entrapment protection devices complying with Secondary 
Entrapment Protection, Sec.  1211.8. When photoelectric sensors are 
used, a minimum of two sensors in addition to a third secondary device 
shall be supplied. The instructions shall state that one photoelectric 
sensor shall be positioned to comply with Sec.  1211.11 and the 
other(s) shall be positioned on the left and right sides of the door to 
detect solid objects that would be within the space where the door 
moves as it opens or closes.
    (3) A means to manually detach both door operators from the door 
shall be provided. For systems where the mechanical drive is located on 
a wall adjacent to the door, the manual detachment means is not 
required to comply with Sec.  1211.9(a). Instead, the manual detachment 
means shall be located 5 ft (1.52 m) above the floor, shall not require 
a torque of more than 5 ft-lb (6.78 N-m) to initiate disconnection when 
the door is obstructed, and shall be clearly marked with operating 
instructions adjacent to the mechanism. The gripping surface (handle) 
shall be colored red and shall be distinguishable from the rest of the 
operator. The marking which includes instructions for detaching the 
operator shall be provided in accordance with Sec.  1211.17(a), (b), 
and (j) as applicable.
    (4) A means (interlock) shall be supplied to de-energize the 
operator whenever the operator is manually detached from the door.
    (5) A means (interlock) shall be supplied to de-energize the 
operator whenever an operable window or access (service) door that is 
mounted in the garage door is opened perpendicular to the surface of 
the garage door.
    (6) The door shall not move outward from the exterior wall surface 
during the opening or closing cycle.
    (7) The moving parts of the door or door system (mounting hardware, 
track assembly, and components that make up the door) shall be guarded.
    (8) A horizontal track assembly, including installation hardware, 
shall support a dead load equal to the door weight when the door is in 
the horizontal position.
    (9) Instructions for the installation of operable windows and 
access (service) doors and the interlocks specified in paragraph (a)(5) 
of this section shall be supplied with the operator.
    (b) [Reserved]

0
16. Revise newly redesignated Sec.  1211.16 to read as follows:


Sec.  1211.16  Instruction manual.

    (a) General. (1) A residential garage door operator shall be 
provided with an instruction manual. The instruction manual shall give 
complete instructions for the installation, operation, and user 
maintenance of the operator.
    (2) Instructions that clearly detail installation and adjustment 
procedures required to effect proper operation of the safety means 
provided shall be provided with each door operator.
    (3) A residential garage door or door operator shall be provided 
with complete and specific instructions for the correct adjustment of 
the control mechanism and the need for periodic checking and, if 
needed, adjustment of the control mechanism so as to maintain 
satisfactory operation of the door.
    (4) The instruction manual shall include the important instructions 
specified in paragraphs (b)(1) and (2) of this section. All required 
text shall be legible and contrast with the background. Upper case 
letters of required text shall be no less than \5/64\ inch (2.0 mm) 
high and lower case letters shall be no less than \1/16\ inch (1.6 mm) 
high. Heading such as ``Important Installation Instructions,'' 
``Important Safety Instructions,'' ``Save These Instructions'' and the 
words ``Warning--To reduce the risk of severe injury or death to 
persons:'' shall be in letters no less than \3/16\ inch (4.8 mm) high.

[[Page 20236]]

    (5) The instructions listed in paragraphs (b)(1) and (2) of this 
section shall be in the exact words specified or shall be in equally 
definitive terminology to those specified. No substitutes shall be used 
for the word ``Warning.'' The items may be numbered. The first and last 
items specified in paragraph (b)(2) of this section shall be first and 
last respectively. Other important and precautionary items considered 
appropriate by the manufacturer may be inserted.
    (6) The instructions listed in paragraph (b)(1) of this section 
shall be located immediately prior to the installation instructions. 
The instructions listed in paragraph (b)(2) of this section shall be 
located immediately prior to user operation and maintenance 
instructions. In each case, the instructions shall be separate in 
format from other detailed instructions related to installation, 
operation and maintenance of the operator. All instructions, except 
installation instructions, shall be a permanent part of the manual(s).
    (7) For an operator or system provided with an external entrapment 
protection device requiring a non-rechargeable battery, instructions 
shall be provided with the operator and/or the device for:
    (i) The rating, size, number, and type of battery(s) to be used; 
and
    (ii) The proper insertion, polarity, orientation, and replacement 
of the battery(s).
    (8) For an operator or system provided with an external entrapment 
protection device or system utilizing wireless control, instructions 
shall be provided with the operator and/or the device for:
    (i) The proper method of configuring and initializing the wireless 
communication link between device and operator;
    (ii) The proper orientation, antenna positioning, and mounting 
location with regard to maintaining communication link between device 
and operator;
    (iii) The maximum range at which the wireless device will operate; 
and
    (iv) The proper location of the device where the transmission of 
the signals are not obstructed or impeded by building structures, 
natural landscaping or similar obstruction.
    (9) When provided with a detachable supply cord, the operator 
instructions shall contain complete details concerning proper selection 
of the power supply cord replacement.
    (10) The installation, operation, and maintenance instructions may 
be provided in electronic read-only media format only, such as CD-ROM, 
USB flash drive, or company Web site, if the following instructions are 
additionally provided with the operator in an instruction sheet, 
manual, booklet, or similar printed material:
    (i) Residential garage doors and door operators, instructions of 
this section, as applicable.
    (ii) [Reserved]
    (11) The printed instruction material referenced in this section 
shall contain detailed instructions of how to obtain a printed copy of 
the material contained in electronic format.
    (12) All printed instruction material referenced in this section 
shall also be provided in the electronic read-only media format.
    (13) Instructions of a combination sectional overhead garage door 
operator system shall specify:
    (i) The operator by manufacturer and model;
    (ii) The door(s) by manufacturer(s), model(s), and maximum and 
minimum door width and height required for compliance to Sec.  
1211.6(a) and (c); and
    (iii) Hardware required for compliance to Sec.  1211.6(a) and (c).
    (14) Installation and maintenance instructions of a combination 
sectional overhead garage door operator system shall indicate how to 
properly counter-balance the door.
    (b) Specific required instructions for residential garage door 
operators and systems.
    (1)(i) The Installation Instructions shall include the following 
instructions:

Important Installation Instructions

    Warning--To reduce the risk of severe injury or death:
    1. Read and follow all Installation Instructions.
    2. Install only a properly balanced garage door. An improperly 
balanced door could cause severe injury. Have a qualified service 
person make repairs to cables, spring assemblies and other hardware 
before installing opener.
    3. Remove all pull ropes and remove, or make inoperative, all 
locks connected to the garage door before installing opener.
    4. Where possible, install door opener 7 feet or more above the 
floor. For products requiring an emergency release, mount the 
emergency release within reach, but at least 6 feet above the floor 
and avoiding contact with vehicles to avoid accidental release.
    5. Do not connect opener to source of power until instructed to 
do so.
    6. Locate control button: (a) Within sight of door, (b) at a 
minimum height of 5 feet above floors, landings, steps, or any other 
adjacent walking surface so small children cannot reach it, and (c) 
away from all moving parts of the door.
    7. Install Entrapment Warning Label next to the control button 
in a prominent location. Install the Emergency Release Marking. 
Attach the marking on or next to the emergency release.
    8. After installing opener, the door must reverse when it 
contacts a 1\1/2\ inch high object (or a 2 by 4 board laid flat) on 
the floor.
    9. For products having a manual release, instruct the end user 
on the operation of the manual release.
    10. For horizontally sliding doors, Item 2 shall be replaced 
with ``Have a qualified service person make repairs and hardware 
adjustments before installing the opener.''

    (ii) In accordance with Sec.  1211.14(a)(2), the installation 
instructions in paragraph (b)(1) of this section for a residential 
garage door operator intended for use with both sectional and one-piece 
door that has an unattended operation close feature shall comply with 
paragraph (b)(1) of this section and include:

    ``WARNING: To reduce the risk of injury to persons--Only enable 
[+] feature when installed with a sectional door,'' where + is the 
unattended operation function.

    (iii) Exception: For operators that automatically sense one piece 
door operation, the warning in paragraph (b)(1)(ii) of this section is 
not required.
    (iv) For residential garage door operators that do not have 
permanent connection of the wiring system, the installation 
instructions shall include the following or equivalent text: ``This 
operator not equipped for permanent wiring. Contact licensed 
electrician to install a suitable receptacle if one is not available.''
    (2) The User Instructions shall include the following instructions:

IMPORTANT SAFETY INSTRUCTIONS

    Warning--To reduce the risk of severe injury or death:
    1. READ AND FOLLOW ALL INSTRUCTIONS.
    2. Never let children operate, or play with door controls. Keep 
the remote control away from children.
    3. Always keep the moving door in sight and away from people and 
objects until it is completely closed. No one should cross the path 
of the moving door.
    4. NEVER GO UNDER A STOPPED PARTIALLY OPEN DOOR.
    5. Test door opener monthly. The garage door MUST reverse on 
contact with a 1\1/2\ inch object (or a 2 by 4 board laid flat) on 
the floor. After adjusting either the force or the limit of travel, 
retest the door opener. Failure to adjust the opener properly may 
cause severe injury or death.
    6. For products requiring an emergency release, if possible, use 
the emergency release only when the door is closed. Use caution when 
using this release with the door open. Weak or broken springs may 
allow the door to fall rapidly, causing injury or death.
    7. KEEP GARAGE DOOR PROPERLY BALANCE. See user's manual. An 
improperly balanced door could cause severe injury or death. Have a 
qualified service person make repairs to cables, spring assemblies 
and other hardware.

[[Page 20237]]

    8. For operator systems equipped with an unattended operation 
feature, the following statement shall be included: ``This operator 
system is equipped with an unattended operation feature. The door 
could move unexpectedly. NO ONE SHOULD CROSS THE PATH OF THE MOVING 
DOOR.''
    9. SAVE THESE INSTRUCTIONS.
    10. For horizontally moving doors, Item 4 shall be replaced with 
``NEVER GO THROUGH A STOPPED, PARTIALLY OPEN DOOR''.
    11. For horizontally moving doors, Item 6 is not required.
    12. For horizontally moving doors, Item 7 shall be replaced with 
``Have a qualified service person make repairs and hardware 
adjustments before installing the opener.''
    13. The installation instructions provided with a combination 
rigid one-piece overhead residential garage door and operator system 
shall specify the locations where attachments to the horizontal 
track shall be made for the purpose of supporting the track.


0
17. Amend newly redesignated Sec.  1211.17 by:
0
a. Adding paragraph (g)(2)(v);
0
b. Redesignating paragraphs (h) and (i) as paragraphs (i) and (j) 
respectively;
0
c. Adding new paragraph (h); and
0
d. Adding paragraphs (k) through (m).
    The revisions and additions read as follows:


Sec.  1211.17  Field-installed labels.

* * * * *
    (g) * * *
    (2) * * *
    (v) For products equipped with an unattended operation feature, the 
instructions shall include the following: ``This operator system is 
equipped with an unattended operation feature. The door could move 
unexpectedly.''
* * * * *
    (h)(1) In accordance with Sec.  1211.14(a)(2), the instructions of 
a residential garage door operator intended for use with both sectional 
doors and either one-piece or swinging doors and are provided with an 
unattended operation feature shall comply with paragraph (g) of this 
section and include the following under the avoidance statements of 
paragraph (g)(2) of this section:
    ``Only enable [+] feature when installed with a sectional door.'', 
or equivalent, where + is the unattended operation closing function.
    (2) For operators that automatically sense one piece door 
operation, this warning is not required.
* * * * *
    (k) Both the operator and the door that comprise a combination 
sectional overhead garage door operator system shall be provided with 
permanent labels. The labels shall contain the following statement or 
the equivalent: ``WARNING: THIS OPERATOR AND DOOR FUNCTION AS A SYSTEM. 
IF EITHER THE DOOR OR THE HARDWARE MUST BE REPLACED, THE REPLACEMENT 
DOOR OR HARDWARE MUST BE IDENTICAL TO THE ORIGINAL EQUIPMENT WITH 
RESPECT TO MANUFACTURER AND MODEL TO MAINTAIN THE SAFETY OF THE SYSTEM. 
SEE INSTRUCTION MANUAL.'' The marking shall be visible to the user 
after installation without the need to remove any covers.
    (l) A label specified in paragraph (m) of this section when 
intended to be affixed during installation shall:
    (1) Be provided with the operator or door assembly; and
    (2) Have installation instructions of how and where to install the 
label so that it is visible to the user after installation.
    (m) The operator of a combination sectional overhead garage door 
operator system shall be provided with a permanent marking that 
contains the following statement or the equivalent: ``NO USER 
SERVICEABLE PARTS INSIDE.''

0
18. Amend newly redesignated Sec.  1211.18 by:
0
a. Revising paragraphs (b)(3) and (c);
0
b. Redesignating paragraphs (f) through (k) as paragraphs (g) through 
(l);
0
c. Adding new paragraph (f);
0
d. Revise newly redesignated paragraphs (i), (j), and (k); and
0
e. Adding paragraphs (m) and (n).
    The revisions and additions read as follows:


Sec.  1211.18  UL marking requirements.

* * * * *
    (b) * * *
    (3) The voltage, frequency, and input in amperes, VA, or watts. The 
ampere or VA rating shall be included unless the full-load power factor 
is 80 percent or more, or, for a cord-connected appliance, unless the 
rating is 50 W or less. The number of phases shall be indicated when an 
appliance is for use on a polyphase circuit; and
* * * * *
    (c) The date code repetition cycle shall not be less than 20 years.
* * * * *
    (f) Exception No 3: The input in amperes or watts may be shown as 
part of the motor nameplate, if the appliance employs a single motor, 
the nameplate is readily visible after the appliance has been 
installed.
* * * * *
    (i) For products with user adjustments, a residential garage door 
operator shall be marked with the word ``WARNING'' and the following or 
equivalent, ``Risk of entrapment. After adjusting either the force or 
limits of travel adjustments, insure that the door reverses on a 1\1/2\ 
inch (or a 2 by 4 board laid flat) high obstruction on the floor.'' 
This marking shall be located where visible to the user when making the 
adjustments.
    (j) For a separately supplied accessory, including external 
entrapment protection device, the instructions, packaging, or marking 
on the product shall indicate the accessory manufacturer's name and or 
model number and the type of appliance or appliances with which it is 
intended to be used--such as a residential garage door operator. 
Additionally, installation instructions, accompanying specifications 
sheet, or packaging of the accessory shall identify the appliance or 
appliances with which it is intended to be used by specifying the 
manufacturer's name and catalog or model number or by any other 
positive means to serve the identification purpose.
    (k) An appliance provided with terminals or connectors for 
connection of a separately supplied accessory, such as an external 
entrapment protection device or system, shall be marked to identify the 
accessory intended to be connected to the terminals or connectors. The 
accessory identification shall be by manufacturer's name and catalog or 
model number or other means to allow for the identification of 
accessories intended for use with the appliance.
* * * * *
    (m)(1) In accordance with Sec.  1211.14(a)(2), a residential garage 
door operator intended for use with both sectional and one-piece or 
swinging door that has an unattended operation close feature indicating 
the function in the carton markings shall include the following carton 
marking:

    ``WARNING: To reduce the risk of injury to persons--Only enable 
[+] feature when installed with sectional door,'' where + is the 
unattended operation closing function.

    (2) Exception: For operators that automatically sense one piece 
door operation, this warning is not required.
    (n) A residential garage door operator is not required to be 
provided with permanent wiring systems when marked with the following 
or equivalent text: ``This operator not equipped for permanent wiring. 
Contact licensed electrician to install a suitable receptacle if one is 
not available.'' This marking is to be placed adjacent to the power 
cord entry.

[[Page 20238]]


0
19. Amend newly redesignated Sec.  1211.19 by revising paragraph (b) to 
read as follows:


Sec.  1211.19  Statutory labeling requirement.

* * * * *
    (b) The display of the UL logo or listing mark, and compliance with 
the date marking requirements stated in Sec.  1211.18 of this subpart, 
on both the container and the system, shall satisfy the requirements of 
this subpart.

0
20. Add figures 1 through 10 to subpart A and the table to subpart A to 
the end of subpart A to part 1211 to read as follows:

BILLING CODE 6355-01-P
[GRAPHIC] [TIFF OMITTED] TR07AP16.031


[[Page 20239]]


[GRAPHIC] [TIFF OMITTED] TR07AP16.032


[[Page 20240]]


[GRAPHIC] [TIFF OMITTED] TR07AP16.033


[[Page 20241]]


[GRAPHIC] [TIFF OMITTED] TR07AP16.034


[[Page 20242]]


[GRAPHIC] [TIFF OMITTED] TR07AP16.035


[[Page 20243]]


[GRAPHIC] [TIFF OMITTED] TR07AP16.036


[[Page 20244]]


[GRAPHIC] [TIFF OMITTED] TR07AP16.037


[[Page 20245]]


[GRAPHIC] [TIFF OMITTED] TR07AP16.038


0
21. Add subpart D, consisting of Sec.  1211.40, to read as follows:

Subpart D--Incorporation by Reference


Sec.  1211.40  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 
U.S.C. 552(a) and 1 CFR part 51. All approved material is available for 
inspection at Consumer Product Safety Commission, Office of the 
Secretary, 4330 East-West Highway, Bethesda, MD 20814, telephone 302-
504-7923 and is available from the sources listed below. It is also 
available for inspection at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030 or go to https://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
    (b) Door and Access Systems Manufacturers' Association, 
International (DASMA), 1300 Sumner Avenue, Cleveland, OH 44115-2851, 
Telephone: (216) 241-7333, https://www.dasma.com/dasma-pages/D-AS-standards.asp.
    (1) ANSI/DASMA 102, Specifications for Sectional Doors, 2011 
revision, dated May 19, 2011, into Sec.  1211.6(c).
    (2) [Reserved].
    (c) National Fire Prevention Association (NFPA), 1 Batterymarch 
Park, Quincy, MA 02269-9101, Telephone: (800) 344-3555, https://www.nfpa.org/.
    (1) NFPA 70, National Electrical Code, 2014 edition, effective 
August 21, 2013, into Sec.  1211.2(c).
    (2) [Reserved].
    (d) UL, formerly Underwriters Laboratories, International, 151 
Eastern Avenue, Bensenville, IL 60106, Telephone: 1-888-853-3503, 
https://ulstandards.ul.com/.
    (1) UL 746C, Standard for Safety: Polymeric Materials--Use in 
Electrical Equipment Evaluations, Sixth Edition, dated September 10, 
2004, into Sec. Sec.  1211.10(d) and (e) and 1211.12(c).
    (2) UL 991, Standard for Safety: Tests for Safety-Related Controls 
Employing Solid-State Devices, Third Edition, dated October 22, 2004, 
into Sec. Sec.  1211.4(c) and 1211.5(b)(3).
    (3) UL 1998, Standard for Safety: Software in Programmable 
Components, Third Edition, December 18, 2013, into Sec.  1211.8(f).

    Dated: March 30, 2016.
Todd A. Stevenson,
Secretary, Consumer Product Safety Commission.
[FR Doc. 2016-07552 Filed 4-6-16; 8:45 am]
BILLING CODE 6355-01-C