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Valve Handbook
The Concise
Valve Handbook
Actuation, Maintenance, and
Safety Relief
Volume II
Michael A. Crabtree
10 9 8 7 6 5 4 3 2 1
Keywords
List of Figures xv
List of Tables xxiii
Foreword xxv
Volume I
1 Basic Principles 1
1.1 The Final Control Element as Part of the Control Loop 2
1.2 Basic Theory 3
1.3 Equation of Continuity 3
1.4 Bernoulli’s Equation 5
1.5 Choked Flow 8
1.6 Pressure Recovery 9
1.7 Turndown Ratio and Rangeability 11
1.8 Velocity Profiles 12
1.9 Reynolds Number 13
1.10 Flashing and Cavitation 14
1.11 Flashing 15
1.12 Cavitation 16
1.13 Leakage Classification 18
1.14 Isolation Valve Leakage Classification 21
2 Liquid Valve Sizing 23
2.1 Practical Considerations 23
2.2 Application of Formulae 24
2.3 Sizing Example 1 27
x • Contents
4.25 Ball Valve 75
4.26 Trunnion Ball Valve 77
4.27 Characterized Ball Segment Valve 81
4.28 Butterfly Valve 82
4.29 Plug Valve 84
4.30 Eccentric Plug Valve 86
4.31 Check Valves 88
4.32 Valve Sizes and Pipe Schedules 88
4.33 Material Selection 90
4.34 Corrosion 90
4.35 Erosion 94
4.36 End Connections 94
4.37 Screwed End Connections 94
4.38 Flanged End Connections 95
4.39 Hub End Body 96
4.40 Welded End Connections 96
4.41 Lap Joint Flange 98
4.42 Flangeless Connections 99
4.43 Grayloc® Connector 100
5 Valve Trim and Characterization 103
5.1 Inherent Characteristics 103
5.2 Linear Inherent Flow Characteristic 103
5.3 Equal Percentage Inherent Flow Characteristic 104
5.4 Quick Opening Inherent Flow Characteristic 104
5.5 Modified Percentage Inherent Flow Characteristic 105
5.6 Characteristic Profiling 105
5.7 Installed Characteristics 105
5.8 Cavitation Control 108
5.9 Reducing Cavitation 110
5.10 Eliminating Cavitation 112
5.11 Noise Sources 113
5.12 Mechanical Noise 115
5.13 Hydrodynamic Noise 116
xii • Contents
Volume II
7 Valve Actuators and Positioners 141
7.1 Pneumatic Control 141
7.2 Flapper–Nozzle Assembly 141
7.3 I/P Converter 142
7.4 Diaphragm Actuators 144
7.5 Springless Diaphragm 145
7.6 Advantages and Disadvantages of Diaphragm Actuators 147
7.7 Cylinder Actuators 147
7.8 Spool Block 149
7.9 Electro-Hydraulic Actuation 149
7.10 Electric Actuation 150
7.11 Torque Limiting 152
7.12 Hammer-Blow Mechanism 153
7.13 Solenoid Valve 153
7.14 Digital Actuators 155
7.15 Transfer Mechanisms 157
7.16 Valve Positioners 161
7.17 Positioner Guidelines 163
Contents • xiii
Figure 7.26. In the scotch yoke mechanism, the end torques are
twice as high as the run torque (the torque in a
mid-position).161
Figure 7.27. Basic principle of operation of a pneumatic positioner. 162
Figure 8.1. Deadband as a result of mechanical play within
a gear-train. 168
Figure 8.2. An illustration of hysteretic error. 168
Figure 8.3. Hysteresis: A combination of deadband and
hysteretic error. 168
Figure 8.4. Determining the effects of hysteresis/deadband as a
result of an input change of two steps up, three down
and one up (courtesy Michael Brown Control
Engineering).169
Figure 8.5. The effects of stick-slip, without hysteresis and
deadband (courtesy Michael Brown Control
Engineering).170
Figure 8.6. As the PD increases in regular step, the PV increases
in a series of steps that gradually become smaller,
showing a marked non-linearity that is typical of an
oversized valve. 171
Figure 8.7. Testing connections for a complete pneumatically
operated final control assembly. 172
Figure 8.8. Negative hysteresis: one of the effects of an
undersized actuator (courtesy Michael Brown
Control Engineering). 173
Figure 8.9. Plotting the ‘valve signature’ plot with the actuator
pressure plotted on the y-axis and the travel plotted
along the x-axis. The separation between the opening
(red) and closing (blue) lines is the result of the
friction band (courtesy Fisher-Emerson). 174
Figure 8.10. The packing friction is approximately twice that of
the previous example. Typically, this might be due to
errantly over-tightening the packing, resulting in the
excessive friction (courtesy Fisher–Emerson). 175
Figure 8.11. An example of a valve signature showing several
revealed faults (courtesy Fisher–Emerson). 176
Figure 8.12. Opening torque characteristics of a typical wedge gate
valve in which the valve position (travel) is plotted on
the x-axis and the torque demand is plotted on the
y-axis (courtesy Rotork). 177
xviii • List of Figures
Unit Conversions
In any flow control loop, a primary sensing flow device is used to produce
a signal, which ultimately controls a valve: either to open or close, in an
ON/OFF mode, or to provide proportional control. The actuator, therefore,
is that part of the final control element that moves the control valve—
either in a linear manner (for the control of a globe valve) or in a rotary
manner (for control of butterfly or ball valves).
An actuator may be powered electrically, pneumatically, or hydrau-
lically. However, despite the trend away from pneumatically controlled
instrumentation and toward electronics, the actuator still remains predom-
inantly pneumatic.
7.1 Pneumatic Control
7.2 Flapper–Nozzle Assembly
At the heart of most pneumatic process control systems lies the flapper–
nozzle assembly (Figure 7.1)—a device that converts a small physical
142 • The Concise Valve Handbook
Supply
pressure
Flapper Pressure
reducing
restriction
Output
pressure
Nozzle
b a
7.3 I/P Converter
2.0
1.8
1.6
1.4
Pressure (bar)
1.2
1.0
0.8
0.6
0.4
0.2
0
a b
Displacement (µm)
Permanent magnet
4 – 20 mA
Coil
Nozzle Flapper
Spring diaphragm
a magnetic field that interacts with the permanent magnet field. The
diaphragm, thus, deflects by an amount proportional to the control signal
current, to produce a change in the flapper–nozzle gap.
The fully packaged I/P converter (Figure 7.4) comprises the flapper/
nozzle assembly together with a downstream volume booster that acts as a
pilot-operated regulation device.
144 • The Concise Valve Handbook
Permanent magnet
Coil
4 – 20 mA
Spring diaphragm
Exhaust to
Flapper atmosphere
Nozzle Diaphragm
Pilot air
Exhaust to
atmosphere
Control diaphragm
The supply air is applied to the lower chamber of the volume booster
where a certain amount, determined by the position of the control dia-
phragm, flows to the output.
When the flapper moves closer to the nozzle, the dynamic back-
pressure increases until it corresponds to the input pressure and pushes
both the diaphragm and the control diaphragm downward, causing the
output pressure to increase until a new state of equilibrium is reached in
the diaphragm chambers.
When the output pressure decreases, the diaphragm moves upward,
allowing the output pressure to vent until the forces on the diaphragms are
balanced again.
7.4 Diaphragm Actuators
The diaphragm actuator is the most widely used pneumatic actuator for
proportional control. As shown in Figure 7.5, the variable operating air
is applied to one side of a flexible diaphragm. In this form, the lower
chamber is vented to atmosphere and the operating air, thus, moves the
diaphragm downward, against the force of the ‘ranging’ spring.
It is important, at this point, to consider the effect of air pressure fail-
ure. Since the plug stem needs to move upward to open the valve and
increase the flow, the direct-actuating diaphragm would be closing the
valve against the range spring pressure—and the pressures acting on the
plug of the valve. Thus, in the event of air pressure failure, the valve would
go to a fully open position—fail-open.
Valve Actuators and Positioners • 145
Diaphragm Spring
Spring
flange
Actuator
stem
Travel indicator
plate
OPEN
7.5 Springless Diaphragm
In the springless diaphragm actuator (Figure 7.7), the control air is applied
differentially to both sides of the diaphragm. This arrangement allows a
much higher actuating force to be applied, for emergency on/off control,
since one side can be bled, and there is no restraining opposition, other
than the valve itself.
The springless diaphragm may also be used for proportional control
with the signal air pressure fed to one side of the diaphragm and a separate
regulated supply fed to the other side.
146 • The Concise Valve Handbook
Spring
Diaphragm
Travel stop
Control
air input
Actuator
stem
Travel indicator
plate
OPEN
Air
Air
Diaphragm
OPEN
7.7 Cylinder Actuators
The cylinder or piston-type actuator (Figure 7.8) makes use of a cast cyl-
inder much better able to withstand high pressures than the diaphragm
type (up to 1 MPa) and may be hydraulically or pneumatically operated.
To generate a thrust of 84 kN (as in the previous example), the piston
area must only be 840 cm2—almost half the diameter. Figure 7.9 shows a
size comparison between a diaphragm actuator (left) and cylinder actuator
(right) mounted on two comparable valves.
Although many cylinder actuators are spring-opposed, they are gen-
erally used either in a differential mode or make use of a constant load air
cushion restraint.
148 • The Concise Valve Handbook
Control
input
Piston
Spring
Cylinder
Air Neoprene
cushion boot
Yoke Travel
indicator
7.8 Spool Block
In the springless piston-type actuator, in which the air must be applied dif-
ferentially, the pneumatic amplifier often takes the form a spool assembly
(Figure 7.10). Movement of the spindle switches the incoming air supply
to either one or other side of the actuator, while at the same time, simulta-
neously exhausting air from the opposite side. The spindle, which moves
inside the spool block, must be virtually frictionless to ensure that the
spindle will move for small changes in the input signal.
7.9 Electro-Hydraulic Actuation
Spool block
Spindle
Supply top
of actuator
Exhaust
top of
actuator
Supply
bottom of
Exhaust actuator
bottom of
actuator
High pressure
oil input
Pivot
Deflection
coils
Swinging
needle jet
Pick-up
block
Outlet
A B
state, the high-pressure oil impinges in the center of the pick-up block and
the outlet oil pressure from A and B is equal.
Using electronic control, the jet may be deflected to the left or right
to increase the flow into either of the output pick-ups A or B. Such a dif-
ferential output would, therefore, result in movement of the piston-type
actuator, with position feedback ensuring that the needle is returned to its
central quiescent position when the valve stem reaches its demanded posi-
tion. The main drawback of this design is that, due to the pressure losses
within the swinging jet itself, the full power of the hydraulic pressure is
not realized at the actuator. Although this problem may be overcome by
using a hydraulic servo, this serves to increase the cost further, a cost that
is already higher than pneumatically operated diaphragm actuators.
7.10 Electric Actuation
(MOV)) where an electric motor drives the valve stem through a worm
gear assembly (Figure 7.12). Voltage requirements are generally in the
range 110/230 V AC and 24 V AC or 24 V DC.
One of the fundamental requirements of any actuator/valve combina-
tion is that it should be non-reversing. The motor should drive the valve
and the forces on a butterfly valve, for example, must not feed back and
drive the motor. Traditionally, this non-reversing characteristic has been
accomplished using a simple worm gear system in which a worm drive on
the motor shaft drives a worm gear.
In this arrangement, the wheel cannot drive back through the worm as
long as the worm crosses the wheel at an acute angle (less than 45°). Such
gearing also provides a speed reduction of as much as 100:1—with a cor-
responding increase in torque—providing a reasonably compact solution
for even large valves.
Despite these advantages, electric actuators suffer from a number of
drawbacks that preclude their use in all, but a few applications.
One of the most serious limitations of an electric actuator is the speed
of valve movement, which can be as low as 4 s/mm, and generally rules
out their use for modulating control.
Another serious a drawback is that MOVs generally have a ‘fail-in-
place,’ rather than a ‘failsafe’ action. For this reason, most are equipped
with a mechanically operated hand-wheel that allows the valve to be
manually operated to its open or closed position in the event of power
Worm
gear drive
Motor
7.11 Torque Limiting
The basic role of the actuator is to move the valve to either a mechanically
limited end position or an intermediate position. At the same time, so as
not to overload the valve, the actuator must avoid producing any excess
torque either during the travel or at the end positions. Thus, an important
consideration in the design in any actuator is to ensure that the torque
drive is discontinued when the valve reaches its end limits (fully opened
or fully closed).
Many designs of electrical actuator accomplish this by limit switches.
However, if faced with the possibility of a limit switch failure, precau-
tions must be taken to ensure that, when an end limit is reached and the
torque starts to rise, that it does not increase to a point where the valve is
damaged.
In order not to overload the valve, the actuator must avoid producing
any excess torque either during the travel or at the end positions.
In one method, the worm drive is free to move longitudinally on a
spline and is held in its central position by means of pre-loaded torque
springs (Figure 7.13). If now, while the drive is running the valve should
reach its end position (or become jammed), then the tangential force on the
driven wheel will rise considerably. This rise in torque displaces the worm
gear axially on its shaft against the pressure of the holding springs. This
movement is detected by means of a lever that operates the torque switch.
Valve Actuators and Positioners • 153
Worm gear
(a) (b)
7.12 Hammer-Blow Mechanism
Often, rotary valves that are seldom operated become jammed or sticky
and are difficult to open or close. In many cases, this problem may be
overcome by the application of a quick, focused blow (similar to that of
a hammer striking an anvil). One method of applying such a controlled
blow, used by Auma Riester GmbH & Co. is shown in Figure 7.14.
The worm wheel and output shaft are connected via a dog coupling
with backlash. When the direction of rotation is reversed, the backlash first
has to be covered and the motor can run up to its nominal output speed
without load before the valve is unseated (hammer blow).
7.13 Solenoid Valve
Driven shaft
Driven plate
Driven shaft
Driven plate
‘Backlash’ slot
in driven plate
Normally Normally
open closed
Normally Normally
open closed
Figure 7.16. A three-way solenoid valve might be used to switch air from
one side of an actuator diaphragm to the other (a) de-energized position
(b) energized position.
7.14 Digital Actuators
Digital type actuators are centered around the stepping motor, which is,
essentially, a DC motor in which the output shaft can be made to move
in a series of discrete angular steps. This is achieved through a spe-
cial motor design combined with an electronic drive circuit that applies
156 • The Concise Valve Handbook
5-tooth pole
piece
Stator
winding
50-tooth rotor
lamination
stack
7.15 Transfer Mechanisms
Pistons
Pinion driven
anticlockwise
(a) Air in
Air out
Pinion driven
clockwise
(b)
7.15.2 Double Crank
Figure 7.21 shows how a rocker plate is attached rigidly to the drive
shaft and an arm connects the piston shaft to the rocker plate. This arm
rotates to take up the lateral movement of the rocker plate pivot joint as
the shaft rotates.
Major advantages are that the run torque (i.e., the torque in a mid-
position) is higher than the end torque (Figure 7.22).
Valve Actuators and Positioners • 159
800
700
600
Torque (N.m)
500
400
300
200
100
10 20 30 40 50 60 70 80 90
Shaft angle (°)
Figure 7.22. In the double-crank mechanism, the run torque ( the torque
in a mid-position) is higher than the end torque.
7.15.3 Scotch Yoke
With this design (Figure 7.23), a pin is assembled through the piston shaft
and a slot is machined in the rocker arm to take up the relative lateral
movement of the rocker arm and the piston shaft as the arm rotates.
While this design does not appear to differ significantly from the
double-crank mechanism, the characteristic is surprisingly different.
The reason is that, in the end positions (Figure 7.24), the pin acts like
a wedge in the slot, which in those positions is at approximately 45° to the
piston shaft. Since there can be no force on the rocker arm in the direction
of the slot, the force produced by the piston must be opposed by a force
perpendicular to the slot. The vertical component of the reaction must be
the same as the piston force, and so, the reaction force must equal F/cos
45 when the rocker arm is at 45° to the piston shaft. Note that there must
also be a reaction in the bearings equal to F.
If the horizontal distance between the center line of the piston shaft
and the center line of the drive shaft is M, then the moment arm that the
above force works on is M/cos 45° (Figure 7.25).
Thus, the torque produced at the end position is:
(F/cos 45°) . (M/cos 45°) = 2 FM
This means that, in theory, this type of actua-
tor transfer mechanism produces twice the torque
at the end (Figure 7.26) than it does in the center
position.
The high-end torque characteristic of the
scotch yoke is ideal for on–off duties for ball
and butterfly valves where the greatest torque is
required to seat and unseat the ball or disc. This
usually results in a smaller unit than any of the
other mechanisms. In addition, large actuators of
this design are possible.
A major disadvantage is that the run torques
are low compared with the end torque, and so,
this type of actuator is not suitable for modu-
Figure 7.23. Scotch
lating control. In addition, more wear can be yoke transfer mech-
expected on the piston shaft bushes due to the anism (courtesy
high side thrusts. Mitech).
Valve Actuators and Positioners • 161
Piston center
Piston line
Pin
F Drive shaft
Pin St center line
Ef
F op
fe
ns
ct
ce
iv
o nt
cti
el
Sl er
ea
en
45° ot (M
gt
R ax /c
h
is os
at
en
F/cos 45° 45
d
°)
45° Pivot Pivot
Effective length in
center (M)
Figure 7.24. Vector diagrams
showing reaction force on the Figure 7.25. Vector diagrams
rocker arm. showing moment of the reaction
force.
600
Torque (N.m)
500
400
300
200
100
10 20 30 40 50 60 70 80 90
Shaft angle (°)
Figure 7.26. In the scotch yoke mechanism, the end torques are twice as
high as the run torque (the torque in a mid-position).
7.16 Valve Positioners
Control
diaphragm
Control input
Actuator
diaphragm
Proportioning bellows
Nozzle
Restriction
Flapper Supply
Feedback
cam
7.17 Positioner Guidelines
7.17.2 Digital Positioners
• Automatic calibration
Digital positioners can perform remote and automatic zero and
span calibration in a few minutes—a task that can take a few hours
with non-digital positioners.
• Characterization
The output signal can be characterized to match the system to
achieve a linear process with constant gain. The main advantage
over cam linearization is that it is performed on the output signal,
not the feedback from the valve stem.
• Digital noise filtering
While filters should be applied carefully, where appropriate, a dig-
ital filter time constant can be applied to minimize the effects of
excessive process noise. Users should remember filters add to pro-
cess response times. Applying a filter will likely require retuning
the control loop.
• Alarm generation
Users can assign positioner-based alarms, such as valve travel devi-
ation from the input signal, travel beyond a certain point, and oth-
ers. These alarms can be displayed on operator graphics.
• Maintenance-related data
Digital positioners can track valve reversal and total stem travel
data that can be correlated with time and actual maintenance events
to improve predictive maintenance forecasting.
Valve Actuators and Positioners • 165