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ANSI/AWWA C501-92
(Revision of ANSI/AWWA C501-87)
AWWA STANDARD
FOR
CAST-IRON SLUICE GATES
Copyright (C) 1998 American Water Works Association, All Rights Reserved.
AWWA Standard
This document is an American Water Works Association (AWWA) standard. It is not a specification.
AWWA standards describe minimum requirements and do not contain all of the engineering and
administrative information normally contained in specifications. The AWWA standards usually con-
tain options that must be evaluated by the user of the standard. Until each optional feature is
specified by the user, the product or service is not fully defined. AWWA publication of a standard
does not constitute endorsement of any product or product type, nor does AWWA test, certify, or
approve any product. The use of AWWA standards is entirely voluntary. AWWA standards are
intended to represent a consensus of the water supply industry that the product described will
provide satisfactory service. When AWWA revises or withdraws this standard, an official notice of
action will be placed on the first page of the classified advertising section of Journal AWWA. The
action becomes effective on the first day of the month following the month of Journal AWWA publi-
cation of the official notice.
CAUTION NOTICE: The American National Standards Institute (ANSI) approval date on the front
cover of this standard indicates completion of the ANSI approval process. This American National
Standard may be revised or withdrawn at any time. ANSI procedures require that action be taken
to reaffirm, revise, or withdraw this standard no later than five years from the date of publication.
Purchasers of American National Standards may receive current information on all standards by
calling or writing the American National Standards Institute Inc., 11 West 42nd St., New York, NY
10036 (212) 642-4900.
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Copyright (C) 1998 American Water Works Association, All Rights Reserved.
Consumer Members
Producer Members
*Liaison, nonvoting
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Copyright (C) 1998 American Water Works Association, All Rights Reserved.
Contents
1 General 4 Fabrication
1.1 Scope................................................... 1 4.1 Workmanship..................................... 9
1.2 Definitions .......................................... 1 4.2 Shop Testing ...................................... 9
1.3 References .......................................... 1
1.4 Data to Be Furnished by the 5 Inspection and Shipment
Supplier ........................................... 3 5.1 Inspection ........................................... 9
1.5 Data to Be Furnished by the 5.2 Shipment .......................................... 10
Manufacturer .................................. 3
1.6 Affidavit of Compliance..................... 3 6 Installation and Field Testing
6.1 Hole Protection ................................ 10
2 Materials 6.2 Surface Protection ........................... 10
2.1 Physical and Chemical Properties ... 3 6.3 Thimble ............................................ 10
2.2 Tests ................................................... 3 6.4 Slide.................................................. 10
2.3 Materials ............................................ 4 6.5 Switch Setting ................................. 10
6.6 Lift-Mechanism Storage.................. 11
3 General Design 6.7 Cylinder............................................ 11
3.1 Frames................................................ 4 6.8 Field Leakage Test .......................... 11
3.2 Slides .................................................. 4
3.3 Seating Faces ..................................... 5 Appendix
3.4 Seals ................................................... 5
3.5 Guides................................................. 5 A Force Required to Actuate
3.6 Yoke .................................................... 6 Cast-Iron Sluice Gate ............... 12
3.7 Thrust Nut ......................................... 6
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Copyright (C) 1998 American Water Works Association, All Rights Reserved.
I. History of Standard. The original AWWA standard for sluice gates was
approved as tentative in June 1941. The tentative standard was revised and
approved in 1967 as AWWA Standard C501.
Revisions to AWWA C501 include the following:
*Persons in Canada, Mexico, and non-North American countries should contact the
appropriate authority having jurisdiction.
†American National Standards Institute Inc., 11 W. 42nd St., New York, NY 10036.
‡NSF International, 3475 Plymouth Rd., Ann Arbor, MI 48106.
§Both publications available from National Academy of Sciences, 2102 Constitution Ave.
N.W., Washington, DC 20418.
Copyright (C) 1998 American Water Works Association, All Rights Reserved.
Various certification organizations may be involved in certifying products in
accordance with ANSI/NSF 61. Individual states or local agencies have authority to
accept or accredit certification organizations within their jurisdiction. Accreditation
of certification organizations may vary from jurisdiction to jurisdiction.
Appendix A, “Toxicology Review and Evaluation Procedures,” to ANSI/NSF 61
does not stipulate a maximum allowable level (MAL) of a contaminant for sub-
stances not regulated by a USEPA final maximum contaminant level (MCL). The
MALs of an unspecified list of “unregulated contaminants” are based on toxicity
testing guidelines (noncarcinogens) and risk characterization methodology (carcino-
gens). Use of Appendix A procedures may not always be identical, depending on the
certifier.
AWWA C501-92 does not address additives requirements. Thus, users of this
standard should consult the appropriate state or local agency having jurisdiction in
order to
1. Determine additives requirements including applicable standards.
2. Determine the status of certifications by all parties offering to certify prod-
ucts for contact with, or treatment of, drinking water.
3. Determine current information on product certification.
III. Use of This Standard. When placing orders for sluice gates to be manu-
factured in accordance with this standard, the following data should be included in
the purchaser’s specifications:
1. Standard used—that is, AWWA C501-92, Standard for Cast-Iron Sluice
Gates.
2. Number of units required.
3. Size and type of closure—conventional or flush-bottom.
4. If an actuator stand is needed (Sec. 3.14).
5. Operating media and pressure (refer to ANSI/AWWA C540, Standard for
Power-Actuating Devices for Valves and Sluice Gates).
6. Any drawings and material specifications required of the supplier or of the
manufacturer (Sec. 1.4 and Sec. 1.5).
7. Affidavit of compliance (Sec. 1.6) if required.
8. If test records must be viewed (Sec. 2.2).
9. Acceptable materials (Sec. 2.3).
10. Design head measured from surface of water to centerline of gate, in feet
(metres), for the following:
a. Seating head.
b. Unseating head.
11. Operating head measured from surface of water to centerline of gate, in
feet (metres).
12. Length and shape of wall thimble (Sec. 3.10).
13. Rising stem or nonrising stem (Sec. 3.11).
14. Type of lift mechanism—manual, electric-motor-driven, or hydraulic-cylin-
der. If electric-motor-driven or hydraulic-cylinder, the purchaser should refer to
ANSI/AWWA C540.
15. Omission of stem covers (Sec. 3.14.5) if not required.
16. Leakage tests in the shop (Sec. 4.2.2) and in the field (Sec. 6.8) if required.
17. Inspection by purchaser if required (Sec. 5.1).
18. Definition of any special design and construction required for conditions
beyond the scope of this standard, such as throttling service or downward acting
gates, including intended operation frequency and duration.
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Copyright (C) 1998 American Water Works Association, All Rights Reserved.
ANSI/AWWA C501-92
(Revision of ANSI/AWWA C501-87)
SECTION 1: GENERAL
Sec. 1.1 Scope
This standard covers wall-thimble, vertically mounted, cast-iron sluice gates
designed for either seating head or unseating head, or both, in ordinary water-sup-
ply service. The cast-iron sluice gates have machined metal faces and machined
adjustable wedging devices. The cast-iron sluice gates may be used for square,
rectangular, or round openings. They may be of the conventional-closure or the
flush-bottom-closure type. This standard also covers manual sluice-gate actuator
mechanisms together with standard accessories. Other actuator mechanisms, includ-
ing electric or hydraulic mechanisms, are covered in ANSI/AWWA C540.
*American Iron and Steel Institute, 1000 16th St. N.W., Washington, DC 20036.
Copyright (C) 1998 American Water Works Association, All Rights Reserved.
2 AWWA C501-92
*American National Standards Institute Inc., 11 W. 42nd St., New York, NY 10036.
†American Society of Mechanical Engineers, 345 East 47th Ave., New York, NY 10017.
‡American Society for Testing and Materials, 1916 Race St., Philadelphia, PA 19103.
Copyright (C) 1998 American Water Works Association, All Rights Reserved.
SECTION 2: MATERIALS
All materials designated hereinafter, when used in sluice gates produced under
this standard, shall conform to the requirements of the standards designated for
each material listed. When reference is made to any AWWA, ANSI, ASTM, CDA, or
other standard, the latest revision of the standard shall apply.
*Copper Development Association, Greenwich Office Park 2, P.O. Box 1840, Greenwich, CT
06836-1840.
†Steel Structures Painting Council, 4400 5th Ave., Pittsburgh, PA 15213-2683.
Copyright (C) 1998 American Water Works Association, All Rights Reserved.
4 AWWA C501-92
Copyright (C) 1998 American Water Works Association, All Rights Reserved.
3.2.2 Design. The slide shall be designed for the maximum head indicated
with a minimum safety factor of 5 with regard to tensile, compressive, and shear
strength.
3.2.3 Fabrication. The slide shall have tongues on each side extending the full
length of the slide. The tongues shall be machined accurately on contact surfaces.
Surfaces of the slide that come into contact with the seat facings and wedges shall
be machined accurately. The maximum allowable clearance between the slide and
the slide guide shall be 1⁄16 in. (1.6 mm).
3.2.4 Thrust-nut pocket. A thrust-nut pocket shall be provided above the hori-
zontal centerline of the slide. The thrust-nut pocket shall be reinforced by ribs and
drained.
Copyright (C) 1998 American Water Works Association, All Rights Reserved.
6 AWWA C501-92
facings shall be attached securely to the guides at points where, in the closed posi-
tion, they will make full contact with the wedging surfaces on the slide.
3.5.4 Pads. The guides of self-contained gates shall be provided with pads for
mounting the yoke. The pads shall be machined to a plane perpendicular to the
movement of the gate slide.
Copyright (C) 1998 American Water Works Association, All Rights Reserved.
tapped to the same template used for its particular gate frame. A ring shall be cast
on the periphery of the wall thimble to form a water stop and anchor ring in the
concrete. The gate shall be attached to the wall thimble with bolts or studs as speci-
fied in Sec. 3.9.
3.10.3 Release of air. To permit entrapped air to escape as the thimble is be-
ing encased in concrete, holes shall be cast or drilled in each entrapment zone
formed by the reinforcing ribs, flanges, and water stops. The holes shall be 11⁄2 in.
(38 mm) in diameter and no more than 2 ft (600 mm) apart.
Sec. 3.11 Stems and Stem Couplings
3.11.1 Design. The operating stem shall be designed with tensile strength to
withstand the application of a 200-lb (890-N) effort on the crank or handwheel or a
250-ft⋅lb (334 N⋅m) effort on a wrench nut. The operating stem shall be designed for
a critical buckling compressive load assuming an 80-lb (356-N) effort on the crank or
handwheel or a 100-ft⋅lb (135-N⋅m) torque on a wrench nut. The critical buckling
load shall be determined by using the Euler Column formula,* where C = 2. Where
hydraulic-cylinder lifts are used, the stem design force shall not be less than 1.25
times the output thrust of the hydraulic cylinder with a pressure equal to the maxi-
mum working pressure of the hydraulic fluid supply. Where electric-motor-driven
lifts are used, the stem design force shall not be less than 1.25 times the output
thrust of the unit in the stalled-motor condition.
3.11.2 Threads. Stem threads shall be machine cut or rolled and of the square
or acme type. The number of threads per inch (millimetre) shall be such as to work
most effectively with the lift mechanism used. On rising-stem gates with manual
hoists, the top of the stem shall be provided with a stop collar.
3.11.3 Coupling. Where stems are furnished in more than one piece, the dif-
ferent sections shall be joined together by solid couplings. The couplings shall be
threaded and keyed or threaded and bolted and shall be of greater strength than the
stem.
3.11.4 Inverted gates. For all inverted-gate applications where the gate is low-
ered to open, a stop collar or other positive means shall be provided to prevent the
loss of the disk from the guides.
Sec. 3.12 Stem Guides
Bracket- and floor-mounted stem guides (including both the guide housing and
the bracket) shall be constructed so that when properly spaced they will hold the
stem in alignment and yet allow it enough play to permit easy operation. The inside
diameter of the guide shall not be greater than 1⁄8 in. (3 mm) larger than the outside
diameter of the stem. The guides shall be spaced according to the manufacturer’s
recommendations for each stem size. The length/radius of gyration ratio (l/r) shall
not be greater than 200. The guides shall be adjustable with regard to the bracket to
provide proper concentric alignment with the stem and shall be designed so that
alignment will be maintained after adjustment. The guides shall be lined, and provi-
sions shall be made to hold the lining in place. Brackets shall be attached to the
wall by anchor bolts sufficient to prevent twisting or sagging under load.
*Euler Column formula: P = Cπ2 EA (r ⁄ l)2, where P = axial load on stem, C defines end
restraint conditions, E = modulus of elasticity, l = length or span between supports, r =
radius of gyration, and A = area of stem.
Copyright (C) 1998 American Water Works Association, All Rights Reserved.
8 AWWA C501-92
Copyright (C) 1998 American Water Works Association, All Rights Reserved.
3.14.7 Dual operators. All gates having widths greater than twice their height
shall be provided with two lifting devices connected by a tandem shaft for simulta-
neous operation.
3.14.8 Surface preparation. Surfaces shall be prepared in accordance with
Sec. 3.13.1 and shall have a high-solids epoxy protective coating or equivalent
applied. Coating does not have to be suitable for potable water unless the actuator is
immersed.
SECTION 4: FABRICATION
Sec. 4.1 Workmanship
All parts in the sluice gate and accessories shall be machined accurately on
mating and bearing surfaces. All like parts, except for the bronze seating surfaces,
shall be interchangeable so that replacement parts can be furnished at any time and
attached in the field with a minimum of fitting, chipping, or remachining. All parts
shall conform to the design dimensions and shall be free from defects in material
and workmanship. All attaching bolt holes shall be drilled accurately to layout indi-
cated on the drawings.
4.1.1 Castings. All castings shall be clean, sound, and without defects that
could impair their function.
4.1.2 Seating finish. The seating facings shall be machined to a finish of
63 µin. (0.0016 mm) in conformance with ANSI/ASME B46.1. All mating surfaces,
such as guides-to-frame and frame-to-wall thimble, shall be machined flat.
Sec. 4.2 Shop Testing
4.2.1 Seat clearance check. Before final assembly, all seating and wedging sur-
faces shall be cleaned thoroughly of all foreign materials and final adjustments
made. With the gate fully closed, the clearance between seating faces shall be
checked with a 0.004-in. (0.102-mm) thickness gauge. If the thickness gauge can be
inserted between seating faces, the wedging devices shall be readjusted, or the gate
slide or gate frame, or both, shall be remachined until insertion is no longer possi-
ble. In the event of remachining, clearances shall be checked again as stated above.
4.2.2 Performance tests. After completion, all seating and wedging surfaces
shall be cleaned thoroughly of all foreign materials and final adjustments shall be
made. The sluice gate shall then be shop operated from the fully closed to the fully
open positions to verify that the assembly is workable. A shop leakage test, meeting
the requirements of Sec. 6.8, shall be made when specified in the purchaser’s
specifications.
NOTE: Shop leakage tests cannot be carried out for all types and sizes of gates.
Purchasers should consult the manufacturers involved before specifying such tests.
Copyright (C) 1998 American Water Works Association, All Rights Reserved.
10 AWWA C501-92
agent shall have access to all places of manufacture where materials are being pro-
duced or fabricated or where tests are being conducted, and they shall be accorded
full facilities for inspection and observation. Any sluice gate or part that does not
conform to the requirements of this standard shall be made satisfactory or shall be
rejected and replaced.
Copyright (C) 1998 American Water Works Association, All Rights Reserved.
recommendations. The gate shall then be operated through one complete cycle, open-
close-open or close-open-close.
Copyright (C) 1998 American Water Works Association, All Rights Reserved.
APPENDIX A
Force Required to Actuate Cast-Iron Sluice Gate
This appendix is for information only and is not a part of AWWA C501.
The maximum force required to actuate a sluice gate occurs during the unseat-
ing and raising of the weight of the slide. In the closing, or normally the downward
motion of the gate, the weight of the stem and slide act in the direction of motion
and reduce the force required.
The force required to actuate the slide is, in part, empirically determined. The
weight of the slide and stem, the head of water on the gate at the centerline of the
opening, and the friction of the slide against the seats and wedges are required to
calculate the force to open the gate. These factors are normally presented in the
following manner:
Where:
F = total maximum force required to open slide, in pounds (kilograms)
f = friction factor of slide against seat
A = area of gate opening, in square feet (square metres)
H = head of water at gate centerline, in feet (metres)
P1 = weight of slide, in pounds (kilograms)
P2 = weight of stem, in pounds (kilograms)
The friction factor f between the slide and the seats may be taken as 0.35. The
weight of the stem and slide should be obtained from the manufacturer of the gate.
It has not been general practice to reduce the weight of the slide or stem because of
the buoyant effect of the water.
The force required to overcome the frictional effect of the wedges is accounted
for by empirically assigning one half of the weight of the slide.
Once released from the wedges, the force becomes
Where:
F1 = total maximum force required for sustained effort on the actuator,
in pounds (kilograms)
P3 = 62.4 × H × a × c, in pounds
([metric] P3 = 1000 × H × a × c, in kilograms)
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Copyright (C) 1998 American Water Works Association, All Rights Reserved.
Where:
a = cross-sectional area of gate disk (gate width × bottom rib plan
dimension), square feet (square metres)
c = coefficient
P3 accounts for the aspiration downward force when the gate is slightly open.
It is significant only on large gates and higher heads. The coefficient varies with the
shape of the gate lip. Downward pull may be greater than the weight of the gate
and under some conditions it may be negative, indicating an uplift. The c coefficient
can range from less than 0 to more than 1.0. One manufacturer suggests a coeffi-
cient of 0.5 for bullnose shapes and 1.0 for standard bottoms.
The above forces are based on the use of a handwheel, crank, or electric-motor-
actuated gate where the lift nut turns around a threaded rising stem or where the
threaded stem turns inside a thrust nut on nonrising stem applications.
When cylinder actuators are employed, it is suggested that the total forces
calculated above are to be multiplied by a 1.3 safety factor when starting the gate
from closed to open.
Copyright (C) 1998 American Water Works Association, All Rights Reserved.
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