Frequently Asked Questions About Managing Fatigue - 10 CFR 26.201 - Applicability
On this page:
- Applicability
- Q1. Are contractors considered to be subject to Subpart I of Part 26 if they are doing work within the protected area?
- Covered Work
- Q2. We need to have outside contractors/vendors perform covered work on components in our switchyard, which is located outside our protected area. Could these contractor/vendor workers be escorted, instead of being required to meet the work hour controls? The allowance to use escorts seems to apply only to contractors working inside the protected area. The contractor/vendor switchyard workers are not badged for protected area access. They require access only to the owner-controlled area to work at the switchyard, and are not badged for protected area access.
- Fuel Handling
- Q3.
The industry considers the disassembly and reassembly of the reactor components during refueling a maintenance activity. Included within this activity are many actions such as: removal of the reactor head, unlatching control rods, removal of the upper internals, and removal of fuel followed by actions to restore each such as reloading of fuel. Additionally, the industry considers the activities related to fuel handling outside the reactor vessel such as: fuel insert shuffle, loading fuel into the spent fuel pool, receiving new fuel, loading spent fuel casks, and movement of spent fuel casks to be maintenance activities.
The definition of maintenance as provided in 10 CFR Part 26:
Maintenance means, for the purposes of § 26.4(a)(4), the following onsite maintenance activities: Modification, surveillance, post-maintenance testing, and corrective and preventive maintenance.
The disassembling of components, the reinstallation of components, the lifting of components, are all maintenance activities. Additionally, the definition includes implementation of modifications as a maintenance activity. The term core alteration (fuel loading or transfer) is synonymous with the term modification. The normal practice of the industry as described in SOER 96-2, Design and Operating Considerations for Reactor Cores, is to treat core redesign as a design modification. The fuel handling SRO would be directing the implementation of a design modification. The workers disassembling and reassembling the reactor vessel and components would be performing the maintenance activities to implement the design modification. Additionally, the redesign of the reactor core and the reconfiguration of the core to comply with the established core design have been historically classified as a modification for the purposes of applying 10 CFR 50.59. This topic was extensively discussed during the promulgation of the revised 50.59 rule in the late 1990's. NEI 96-07 Rev. 1, "Guidelines for 10 CFR 50.59 Implementation," as endorsed by Regulatory Guide 1.187, "Guidance for Implementation of 10 CFR 50.59, Changes, Tests, And Experiments," addressed this definition of "maintenance.
A simple application of the rule could be to apply the maintenance category of work hour restriction to all fuel handling personnel.
However, there are regulations other than Part 26 associated with fuel handling that require a licensed operator to directly supervise core alterations. In 10 CFR Part 50.54:
(m)(2)(iv) Each licensee shall have present, during alteration of the core of a nuclear power unit (including fuel loading or transfer), a person holding a senior operator license or a senior operator license limited to fuel handling to directly supervise the activity and, during this time, the licensee shall not assign other duties to this person.
Regulations provide specific exceptions that allow for manipulation of components that affect reactivity by workers other than licensed operators, 10 CFR Part 50 and 10 CFR Part 55:
§ 50.54 Conditions of licenses.
(h)(i) Except as provided in § 55.13 of this chapter, the licensee may not permit the manipulation of the controls of any facility by anyone who is not a licensed operator or senior operator as provided in part 55 of this chapter.
(j) Apparatus and mechanisms other than controls, the operation of which may affect the reactivity or power level of a reactor shall be manipulated only with the knowledge and consent of an operator or senior operator licensed pursuant to part 55 of this chapter present at the controls.
§ 55.4 Definitions.
Controls when used with respect to a nuclear reactor means apparatus and mechanisms the manipulation of which directly affects the reactivity or power level of the reactor.
§ 55.13 General exemptions.
(b) Under the direction and in the presence of a licensed senior operator, manipulates the controls of a facility to load or unload the fuel into, out of, or within the reactor vessel.
With several regulatory documents impacting the various fuel handling activities, a consistent categorization of the activities would be prudent. The industry recommends the following categories for the workers involved with fuel handling:
The Fuel Handling SRO that is required to directly supervise core alterations will be considered in the operating category for Part 26 due to the regulatory requirement to hold a SRO license.
The RO in the control room that is responsible for maintaining communication with the refueling crew and is responsible for monitoring for indication of reactivity changes will be considered in the operating category for Part 26 due to the regulatory requirement to hold an operating license.
The containment fuel handler that is moving or transferring fuel assemblies in the reactor core will be considered in the maintenance category for Part 26. The regulations in Part 50 and 55 have exceptions that allow this activity to be performed by workers other than licensed operators. The operation of cranes and the implementation of modifications are normally considered maintenance activities.
The worker operating the containment cranes for disassembly or assembly of reactor vessel components will be considered in the maintenance category for Part 26. The operation of cranes is normally considered a maintenance activity. Although, some of the activities can be considered core alterations, such as control rod unlatching in a PWR, regulations allow for these activities to be conducted by workers other than licensed operators.
The workers supporting disassembly or assembly of reactor vessel components will be considered in the maintenance category for Part 26. The operation of cranes is normally considered a maintenance activity. Although, some of the activities can be considered core alterations, such as control rod unlatching in a PWR, regulations allow for these activities to be conducted by workers other than licensed operators.
The worker moving fuel or shuffling fuel assembly inserts in the spent fuel pool will be considered in the maintenance category for Part 26. The operation of cranes is normally considered a maintenance activity. Additionally, these activities do not meet the definition of control as described in regulations as they do not directly impact core reactivity or power level.
The workers moving new fuel assemblies into storage locations outside the reactor vessel will be considered in the maintenance category for Part 26. The operation of cranes is normally considered a maintenance activity. Additionally, these activities do not meet the definition of control as described in regulations as they do not directly impact core reactivity or power level.
The workers moving spent fuel assemblies into storage casks for long tern storage will be considered in the maintenance category for Part 26. The operation of cranes is normally considered a maintenance activity. Additionally, these activities do not meet the definition of control as described in regulations as they do not directly impact core reactivity or power level.
The workers moving storage casks from the loading facility to a long term storage area will be considered in the maintenance category for Part 26. The operation of cranes is normally considered a maintenance activity. Additionally, these activities do not meet the definition of control as described in regulations as they do not directly impact core reactivity or power level.
Does the NRC staff agree with this consistent application of fuel handling activities to the work hour restriction categories described in 10 CFR Part 26?
Applicability
Q1. Are contractors considered to be subject to Subpart I of Part 26 if they are doing work within the protected area?
Whether the requirements of 10 CFR Part 26 are applicable to an individual depends on the types of access the licensee or other entity has granted to the individual, as well as the job duties the individual performs, rather than who employs the individual. Therefore, the circumstances in which contractors are subject to the requirements of Subpart I, are specified in §26.201, "Applicability." Contractors who have been granted unescorted access to the protected area and are performing the job duties listed in §§26.4(a)(1) through 26.4(a)(5) are subject to all of the requirements in Subpart I. If a contractor has been granted unescorted access to the protected area but is not performing covered job duties, the contractor is subject to the requirements of §§26.203 and 26.211. Contractors who are performing any job duties in protected areas under escort are not subject to the requirements of Subpart I. The table below is intended to illustrate the Subpart I requirements that apply to any individuals who have unescorted access to protected areas, regardless of the individuals' employer.
| Applicable Requirements |
Individual's Status
(Includes licensee employees, visiting licensee personnel from other sites,
contractors/vendors, others) |
Section Number
in Rule |
Section Title (and topics) |
Maintains
Unescorted
Access (UA),
No Covered
Job Duties |
Maintains UA,
Performs Covered Job
Duties |
Escorted
Access to PA &
Performs Any
Job Duties |
| 26.203 |
General (policy, procedures, including self-declarations, training) |
X |
X |
NA |
| 26.205 |
Work Hours (limits & rest breaks) |
NA |
X |
NA |
| 26.207 |
Waivers & Exceptions |
NA |
X |
NA |
| 26.209 |
Self-declarations (specific process for covered workers) |
NA |
X |
NA |
| 26.211 |
Fatigue Assessments |
X |
X |
NA |
Covered Work
Q2. We need to have outside contractors/vendors perform covered work on components in our switchyard, which is located outside our protected area. Could these contractor/vendor workers be escorted, instead of being required to meet the work hour controls? The allowance to use escorts seems to apply only to contractors working inside the protected area. The contractor/vendor switchyard workers are not badged for protected area access. They require access only to the owner-controlled area to work at the switchyard, and are not badged for protected area access.
As specified in 10 CFR 26.201, "Applicability," an individual who has not been granted unescorted access is not subject to the Subpart I work hour control requirements. Therefore, whether the individual in the switchyard is escorted, and where the individual performs covered work (inside or out of the protected area) are not relevant factors in this example.
Fuel Handling
Q3. The industry considers the disassembly and reassembly of the reactor components during refueling a maintenance activity. Included within this activity are many actions such as: removal of the reactor head, unlatching control rods, removal of the upper internals, and removal of fuel followed by actions to restore each such as reloading of fuel. Additionally, the industry considers the activities related to fuel handling outside the reactor vessel such as: fuel insert shuffle, loading fuel into the spent fuel pool, receiving new fuel, loading spent fuel casks, and movement of spent fuel casks to be maintenance activities.
The definition of maintenance as provided in 10 CFR Part 26:
Maintenance means, for the purposes of § 26.4(a)(4), the following onsite maintenance activities: Modification, surveillance, post-maintenance testing, and corrective and preventive maintenance.
The disassembling of components, the reinstallation of components, the lifting of components, are all maintenance activities. Additionally, the definition includes implementation of modifications as a maintenance activity. The term core alteration (fuel loading or transfer) is synonymous with the term modification. The normal practice of the industry as described in SOER 96-2, Design and Operating Considerations for Reactor Cores, is to treat core redesign as a design modification. The fuel handling SRO would be directing the implementation of a design modification. The workers disassembling and reassembling the reactor vessel and components would be performing the maintenance activities to implement the design modification. Additionally, the redesign of the reactor core and the reconfiguration of the core to comply with the established core design have been historically classified as a modification for the purposes of applying 10 CFR 50.59. This topic was extensively discussed during the promulgation of the revised 50.59 rule in the late 1990's. NEI 96-07 Rev. 1, "Guidelines for 10 CFR 50.59 Implementation," as endorsed by Regulatory Guide 1.187, "Guidance for Implementation of 10 CFR 50.59, Changes, Tests, And Experiments," addressed this definition of "maintenance.
A simple application of the rule could be to apply the maintenance category of work hour restriction to all fuel handling personnel.
However, there are regulations other than Part 26 associated with fuel handling that require a licensed operator to directly supervise core alterations. In 10 CFR Part 50.54:
(m)(2)(iv) Each licensee shall have present, during alteration of the core of a nuclear power unit (including fuel loading or transfer), a person holding a senior operator license or a senior operator license limited to fuel handling to directly supervise the activity and, during this time, the licensee shall not assign other duties to this person.
Regulations provide specific exceptions that allow for manipulation of components that affect reactivity by workers other than licensed operators, 10 CFR Part 50 and 10 CFR Part 55:
§ 50.54 Conditions of licenses.
(h)(i) Except as provided in § 55.13 of this chapter, the licensee may not permit the manipulation of the controls of any facility by anyone who is not a licensed operator or senior operator as provided in part 55 of this chapter.
(j) Apparatus and mechanisms other than controls, the operation of which may affect the reactivity or power level of a reactor shall be manipulated only with the knowledge and consent of an operator or senior operator licensed pursuant to part 55 of this chapter present at the controls.
§ 55.4 Definitions.
Controls when used with respect to a nuclear reactor means apparatus and mechanisms the manipulation of which directly affects the reactivity or power level of the reactor.
§ 55.13 General exemptions.
(b) Under the direction and in the presence of a licensed senior operator, manipulates the controls of a facility to load or unload the fuel into, out of, or within the reactor vessel.
With several regulatory documents impacting the various fuel handling activities, a consistent categorization of the activities would be prudent. The industry recommends the following categories for the workers involved with fuel handling:
The Fuel Handling SRO that is required to directly supervise core alterations will be considered in the operating category for Part 26 due to the regulatory requirement to hold a SRO license.
The RO in the control room that is responsible for maintaining communication with the refueling crew and is responsible for monitoring for indication of reactivity changes will be considered in the operating category for Part 26 due to the regulatory requirement to hold an operating license.
The containment fuel handler that is moving or transferring fuel assemblies in the reactor core will be considered in the maintenance category for Part 26. The regulations in Part 50 and 55 have exceptions that allow this activity to be performed by workers other than licensed operators. The operation of cranes and the implementation of modifications are normally considered maintenance activities.
The worker operating the containment cranes for disassembly or assembly of reactor vessel components will be considered in the maintenance category for Part 26. The operation of cranes is normally considered a maintenance activity. Although, some of the activities can be considered core alterations, such as control rod unlatching in a PWR, regulations allow for these activities to be conducted by workers other than licensed operators.
The workers supporting disassembly or assembly of reactor vessel components will be considered in the maintenance category for Part 26. The operation of cranes is normally considered a maintenance activity. Although, some of the activities can be considered core alterations, such as control rod unlatching in a PWR, regulations allow for these activities to be conducted by workers other than licensed operators.
The worker moving fuel or shuffling fuel assembly inserts in the spent fuel pool will be considered in the maintenance category for Part 26. The operation of cranes is normally considered a maintenance activity. Additionally, these activities do not meet the definition of control as described in regulations as they do not directly impact core reactivity or power level.
The workers moving new fuel assemblies into storage locations outside the reactor vessel will be considered in the maintenance category for Part 26. The operation of cranes is normally considered a maintenance activity. Additionally, these activities do not meet the definition of control as described in regulations as they do not directly impact core reactivity or power level.
The workers moving spent fuel assemblies into storage casks for long tern storage will be considered in the maintenance category for Part 26. The operation of cranes is normally considered a maintenance activity. Additionally, these activities do not meet the definition of control as described in regulations as they do not directly impact core reactivity or power level.
The workers moving storage casks from the loading facility to a long term storage area will be considered in the maintenance category for Part 26. The operation of cranes is normally considered a maintenance activity. Additionally, these activities do not meet the definition of control as described in regulations as they do not directly impact core reactivity or power level.
Does the NRC staff agree with this consistent application of fuel handling activities to the work hour restriction categories described in 10 CFR Part 26?
10 CFR Part 50.54 (m)(2)(iv) states that each licensee shall have present, during alteration of the core of a nuclear power unit (including fuel loading or transfer), a person holding a senior operator license or a senior operator license limited to fuel handling to directly supervise the activity and, during this time, the licensee shall not assign other duties to this person. The term loading fuel is further clarified in 10 CFR 55.13(b) "… load or unload the fuel into, out of, or within the reactor vessel."
Staff agrees that regulations support the position that the apparatus and mechanisms which are designed to change the reactivity or power level of the reactor clearly fall under the definition of "controls" and shall be manipulated only by a licensed operator or senior operator as specified in 10 CFR 50.54(i). Staff understands that 10 CFR 55.13(b) provides an exemption allowing an unlicensed individual to manipulate the controls to load or unload fuel into, out of, and within the reactor vessel when under the direction of a senior licensed operator.
Therefore, staff considers the handling of fuel in the reactor vessel and the transfer of fuel into, out of, and within the reactor vessel to be an operations function and individuals who perform or direct these functions should receive operations work hour controls.
Additionally, in support of handling fuel in the reactor vessel as being an operations function: 1) Moving fuel in the reactor vessel is a direct reactivity manipulation, 2) Technical Specifications require a direct line of communication with the control room reactor operator during fuel movement, 3) Operations is responsible for the overall evolution of moving fuel, and 4) The reactor operator must concur on every fuel movement and monitors reactivity instrumentation during all fuel moves.
Staff agrees that removal of the reactor head and removal of the upper internals, fuel insert shuffle, loading fuel into the spent fuel pool, receiving new fuel, loading spent fuel casks, and movement of spent fuel casks are not supported by current regulations to be operations functions, for the purposes of Part 26.
Staff supports that the apparatus and mechanisms which are not designed or intended to change the reactivity or power level of the reactor but may do so as a result of normal or abnormal operation, need not be manipulated by a licensed operator, but must be performed with knowledge and consent of an operator or senior operator licensed pursuant to Part 55 as specified in 10 CFR 50.54(j). As example, a change in reactor coolant temperature caused by an inadvertent cold water addition is not a reactivity control manipulation but an operating transient and/or accident to which the reactivity control systems must respond.
Therefore, operating controls to move fuel in the reactor, including fuel loading or transfer of fuel into, out of, or within the reactor vessel are considered to be operations functions performed by non-licensed individuals at the direction of a licensed individual. For the purposes of Part 26 Subpart I, these individuals should be subject to operations work hour controls. The SRO responsible for fuel movements, the LSRO and the RO involved with fuel movements are considered to be on operating hours because of the functions they perform, not necessarily because of the license they hold. All other functions not discussed in this response that are involved with moving fuel are not considered to be performing operations functions for the purpose of receiving work hour controls.
Note: The information herein is provided as a public service and solely for informational purposes and is not, nor should be deemed as, an official NRC position, opinion or guidance, or "a written interpretation by the General Counsel" under 10 CFR 26.7, on any matter to which the information may relate. The opinions, representations, positions, interpretations, guidance or recommendations which may be expressed by the NRC technical staff responding to your inquiry are solely the NRC technical staff's and do not necessarily represent the same for the NRC. Accordingly, the fact that the information was obtained through the NRC technical staff will not have a precedential effect in any legal or regulatory proceeding.