Investigation Guideline

Investigation Guideline
Product: Automatic Gate Operators
Appendix #: 116
Date amended: September 2004
I. Introduction
A. Background Information
CPSC staff worked to improve the voluntary standard that applies to sliding and swinging gate
operators. That standard is Underwriters Laboratory standard “The Standard for Door, Drapery, Gate,
Louver, and Window Operators and Systems” (UL325). The standard was revised on September 18,
1998 and took effect on March 1, 2000. The standard requires primary and secondary entrapment
protection on residential and general access gates. Primary entrapment protection requires a gate to
reverse within 2 seconds of sensing an obstruction when opening or closing. The secondary entrapment
protection requires an electric eye or edge sensor to monitor the path of the gate for obstructions.

B. Product Descriptions
A gate operator is a device that automatically opens and closes barriers across openings in fences
and other perimeters. The hazard created by automatic gates is that both children and adults can be
entrapped and severely injured or killed. Automatic or security gates can be found around residences,
apartment buildings, condominiums, public parking lots, commercial establishments, and high-security
areas. Automatic gate operators can also be used in pedestrian and vehicular openings.

C. Specific Items of Interest
In addition to automatic residential gate related incidents, there will be cases involving security
gates at apartments, condominiums, public parking lots, commercial establishments, and various other
security areas.

D. Headquarters Contacts
Natalie Marcy, EHHA (301)504-7329
John Murphy, ESME (301)504-7541

II. Instructions for Collecting Specific Information
INVESTIGATOR: (1) Confirm with the owner (for single residence) or with the building/garage manager
(for residential complex, apartment, condominium, etc.) that the gate is an
automatic/electric gate and also that the product is available before conducting an
on-site investigation.
(2) If the gate is NOT an automatic gate, do an abbreviated telephone investigation.

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(3) If the product is NOT available or the respondent does not want an on-site
investigation, do a TELEPHONE INTERVIEW using the DATA RECORD
SHEET as a guideline.
(4) If the automatic gate is available and the owner or building/garage manager agrees
to an on-site visit, do an on-site investigation. Please use the DATA RECORD
SHEET to record specific information and also collect other information as
described in this guideline.
(5) Warning: An automatic gate can start moving at any time. If possible, while
working near the gate, have the owner cut off power to the gate and keep clear of
moving parts.

A. Synopsis
A general description of the sequence of events, the type of gate and operator mechanism, and the
conditions existing at the time of the accident are necessary to determine the major hazard patterns and
the risk of injury associated with the automatic gate.

B. Description of Incident Environment
Characterize weather conditions at the time of the accident, including lighting and ground
conditions.

C. Description of Interaction between Injured Person(s) and Product
Determine the accident sequence and the exact position where the gate contacted the victim (chest,
back, neck, etc.) and the dimensions of the body part(s) affected. Stipulate who was operating the gate,
if it was not the victim.
Indicate the victim’s age, sex, height, weight, clothing, competence reducing factors (e.g., impaired
vision, physical handicaps, medication, alcohol use, etc.) and knowledge of product. Note the victim’s
activity prior to the incident (if a child, whether the victim was playing with other children, supervised
by an adult, etc.).

D. Description of Product
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Determine the manufacturer and age of the unit or installation date and by whom it was
installed (mechanic, homeowner, etc.). If the gate is labeled as to what class it is (I, II, III, or
IV), record the type.
Describe the location and principles of operation of the gate operator components.
Obtain, in detail, the operating history of the automatic gate.
Determine how recently the operator mechanism was checked/observed to be functioning
correctly.
Describe any previous problems with gate operation. Use pictures and sketches if appropriate.
Describe any maintenance, adjustments, and/or repair. Determine who made them (mechanic,
installer, owner, etc.), when made, and operation of gate after change.
If the gate is a sliding type, obtain the measurements of the gate height, width, gap between
bottom of gate and ground, gap between gate and fence, and spacing of gate surface and fence
behind the gate (see Diagram 1 in Part IV).
If the gate is a swinging type, obtain the gate height, overall opening width, leaf width, gap
between leaves, and distance between stationary object, when open (see Diagram 2 in Part IV).

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Visually examine the gate system including the gate hardware and gate operator. Look for signs of
loose or broken attachments, bending or buckling, binding, or similar signs of damage, misalignment or
other problems. Report presence or absence of such conditions. DO NOT PERFORM AN
OPERATIONAL CHECK OF THE GATE. Please ask the owner of the gate to open and close the
gate. Record the time it takes to open and the time it takes to close.
Inspect the gate operator mechanism, owner manual or other available material for the UL label.
Report presence or absence of the label. Photograph label and transcribe information on the label.
Inspect the gate operator mechanism and manual for information on the manufacturer, make,
model, serial number, and similar data. Photograph and transcribe this identifying information.
Inspect the gateway for any signs of settlement, heaving or similar displacement from original
condition. Inquire about gate owner’s knowledge of any such displacement, when it occurred and/or
whether any corrective action was taken.

III. Photographs/ Diagrams of Incident Scene
Photograph the accident scent showing, close-up, operator mechanis m, switches and controls, and
presence of the safety labeling. Important measurements are listed below.
Warning: An automatic gate can start moving at any time. If possible, while working near an
automatic gate, have owner cut off power to the gate and keep clear of moving parts.

A. Sliding Gates
Diagram 1: Sliding Gate

a.

Gate height: The vertical distance from pavement to the top of the gate. If the gate has
ornamental fixtures along top, measure to the lowest portion that would be available for a
person to climb over the gate.

b.

Gate width: The largest horizontal opening with the gate open.

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c.

Gap between bottom of gate and the ground: The opening available for someone to
slide under the gate.

d.

Gap between gate and fence: The size of the opening at the trailing edge of the gate
between the fence and the gate. An opening large enough for a young child to slip through
can be hazardous.

e.

Spacing of gate surface and fence between gate : The material that composes the gate
surface should not have openings that allow one to place a hand or foot through the gate.
If the gate is similar to a picket fence, report the picket spacing. If the gate is made of
chain link, the maximum dimension of the spaces in the chain link material should be
reported. Some gates may have a protective mesh over the gate and fence near the gate.
Please indicate if a protective mesh is present.

B. Swinging Gates
Diagram 2: Swinging Gate

a.

Gate height: Same as with the sliding gate.

b.

Overall opening width: Same as with the sliding gate.

c.

Leaf width: Horizontal distance from hinge side to leading edge of gate.

d.

Gap between leaves: Distance between leaves when gate is closed.

e.

Distance between open gate and any stationary object: Measure distance between gate
and wall, other fence, or post. This area could create an entrapment hazard.

f.

Spacing between pickets.

g.

Gap between bottom of gate and pavement.

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IV. Obtaining samples and documents related to the investigation
The gate measurements, photographs/diagrams, and any investigations by the police, coroner,
manufacturer, installer, law firm, insurance company, or engineering firm are to be appended to the
investigation report.
Obtain copies of the operating and installation instructions and repair history (if any) that are
available and append them to the investigation report.
If necessary, these documents could be sent as an addendum to the report.

(DATA RECORD SHEET – Attached)

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DATA RECORD SHEET
Investigation Guideline
PRODUCT: Automatic Gates
TASK NUMBER __________________________ INCIDENT DATE ___________________________

PRODUCT QUESTIONS
1.

At the time of the accident, was the gate all the way open, all the way closed, or in the process of
opening or closing?
______ All the way open
______ All the way closed
______ Opening
______ Closing
______ Don’t know

2.

What type of area did the gate open into- a single residence, a residential complex, an apartment or
condominium, a hotel, a shopping center, a factory, an office building, or something else?
______ A single residence
______ A residential complex (serving 4 families or more)
______ An apartment or condominium
______ A hotel
______ A shopping center
______ A factory
______ An office building
______ Something else -> Specify: ___________________________
______ Don’t know

3.

What type of gate is it? A sliding gate, a swinging gate, or some other type?
______ Sliding gate
______ Swinging gate
______ Other -> Specify: ________________________ (skip to Q. 6)
______ Don’t know

4.

Is there protective mesh over the gate?
______ Yes
______ No (skip to Q. 6)
______ Don’t know

5.

a. If the gate is a sliding type, does the gate operate on rollers?
______ Yes
______ No
______ Don’t know

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b. Are the rollers covered by something such as a shield or a guard?
______ Yes
______ No
______ Don’t know
6.

Record the amount of time it takes to open and close the gate.
Time to open __________________________________________
Time to close __________________________________________

7.

Take measurements of the gate:
All Gates:
__________________ Height
__________________ Overall opening width
__________________ Gap between gate and pavement
__________________ Spacing between pickets (if the gate is constructed with pickets)
(Investigator: Include the additional dimensions, listed below, for the applicable type of
gate.)
Sliding Gates:
__________________ Size of the mesh
__________________ Gap between the gate and fence
Swinging Gates:
__________________ Leaf width
__________________ Gap between leaves when closed
__________________ Distance between open gate and any stationary object

8.

About how old is the gate?
____________ Months
____________ Years
____________ Don’t know

9.

Is the gate made of metal, wood, or something else?
______ Metal
______ Wood
______ Something else (Specify: __________________)
______ Don’t know

10. Was the gate used for automobiles and trucks?
______Yes
______ No (Specify: __________________)
______ Don’t know
11. Was there a separate pedestrian gate near the incident gate?
______ Yes
______ No
______ Don’t know

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12. Were the gate and the opener installed at the same time?
______ Yes, when were they installed?
____________Months
____________ Years
____________ Don’t know
______ No (Specify: __________________)
______ Don’t know
13. Who installed the gate and/or the gate opener?
______ Owner
______ Someone else (Specify: ________________________)
______ Don’t know
14. What are the brand name, manufacturer, model and/or serial number of the gate opener?
Brand name: ______________________________________________________
Manufacturer: ______________________________________________________
Model and/or Serial Number: __________________________________________
______ Don’t know
15. What is the name of the manufacturer of the gate?
Manufacturer ______________________________________________________
______ Don’t know
16. Does the gate opener have on it a label with the letters “UL”?
______ Yes
______ No
______ Don’t know
17. Is the gate labeled with what class (required by standard after 2000) it belongs to?
______ Class I (Residential)
______ Class II (Commercial/General Access)
______ Class III (Industrial/Limited Access)
______ Class IV (Restricted Access)
______ No “class” label, is a vehicular gate
______ No “class” label, is not a vehicular gate
18. What else does the label say? ______________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________

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19. How old is the opener?
____________ Months
____________ Years
____________ Don’t know
20. Were there any safety devices such as an automatic reversing mechanism, a clutch, electric eyes,
and/or an edge sensor(s) on the gate opener?
______ Yes, what type of safety device is on the gate operator?
______ Reversing Mechanism
______ Clutch
______ Electric Eye
______ Edge Sensor
______ Other (Specify: ________________________)
______ No
______ Don’t know
21. When was the opener last adjusted and/or tested?
____________ Month
____________ Year
____________ Don’t know
22. Are there any signs of damage on the gate? (loose or broken attachments, bending or buckling,
binding, misalignment, etc.)
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
23. Were there any warning labels on the gate and/or the gate opener?
______ Yes (Specify: ________________________)
______ No
______ Don’t know
24. Photograph all labels on gate and operator.

VICTIM QUESTIONS
25. Age ____________
26. Sex ____________
27. Height ____________

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28. Weight ____________
29. Clothing worn at time of incident __________________________________________________
______________________________________________________________________________
30. Did the victim have any competence reducing factors?
______ Impaired vision
______ Physical handicaps, specify: ________________________
______ Medication, specify: ________________________
______ Alcohol use
______ Other, specify: ________________________
______ None
______ Don’t know
31. Victim’s knowledge of the product (prior experience)
______________________________________________________________________________
32. Victim’s activity prior to the incident (if a child, whether the victim was playing with other
children, supervised by an adult, etc.) ________________________________________________
______________________________________________________________________________

ENVIRONMENT QUESTIONS
33. Weather conditions at the time of the accident ____________________________________
_________________________________________________________________________
34. Lighting conditions at the time of the accident ____________________________________
_________________________________________________________________________
35. Ground conditions at the time of the accident ____________________________________
_________________________________________________________________________

36. If we had any further questions, may we call the respondent back?
______ Yes
______ No (Thank the respondent and conclude the interview)
______ Don’t know
37. When is a good time to reach him/her?
Weekday:
______ Morning
______ Afternoon
______ Evening
Weekend:
______ Morning
______ Afternoon
______ Evening