Frequently Asked Questions About Managing Fatigue - RG 5.73 (NRC Guidance)/NEI 06-11 (Industry Guidance)
On this page:
- Alternative Methods
- Q1. Regulatory Guide (RG) 5.73, "Fatigue Management for Nuclear Power Plant Personnel," states that if a licensee chooses to implement 10 CFR Part 26, Subpart I, using a method that is different from one specified in RG 5.73, the NRC would review this methodology for acceptability. Does this require that a licensee submit to the NRC, for review, any methods that are not specified in RG 5.73?
- Covered Work
- Q2. We have a work group from the energy delivery part of the company that performs some work in our switchyard. They have unescorted access to the plant, but they only work here occasionally when needed. The rest of the time, they work out on the distribution system. If we consider them "covered workers" only when they are here, we would look back 9 days before they report to work. Then it might be several weeks before they're back again. If we take them in and out of covered worker status each time they work at the plant, would this be viewed as circumventing the MDO requirements?
Additionally, if we have to work someone overtime that would result in some future violation if they continue to work their same schedule, we would consider removing them from covered worker status and restricting their work activities rather than giving them paid time off. For example, if we had to hold an 8 hour shift worker over for an extra shift, they would only get 8 hours off before their next scheduled shift. If we removed them from covered worker status until after they had two days off and then returned them to covered worker status, would that be considered compliant with the rule?
- Q3. When a covered worker is performing activities in multiple work categories (for example, operating and maintaining), is it acceptable to leave them in the more restrictive work hour restriction categories? For example, a worker who performs fuel handling during an outage and also performs equipment tagouts performs activities under both operating and maintaining categories. It is acceptable that the worker is maintained on the more restrictive operating MDO?
- Maintenance
- Q4. What is the NRC interpretation of support activities like scaffold, crane ops, insulation R&R, non-engineered coatings relative to if they would agree they are not covered functions?
- Q5. Non-intrusive NDE is not considered covered work…help us understand NRC definition of non-intrusive.
- Transitions
- Q6. When transitioning out of a Planned Outage Schedule the output breakers close on a Tuesday at 2000. My shift cycles always start on a Sunday at 0000. My online requirements now apply, but I have less than a week until my cycle begins. In order to transition all workers onto their normal cycle on Sunday at 0000, I need to leave them on the same schedule they worked for the outage until Saturday at 1900. I would manage their hours to be less than the 54 hours required by the online rules for the 4-day period of time and ensure that a 34-hour break is scheduled to occur in the 9-day period around the transition date. In addition, all MDO requirements would be met for the outage and they would be met going forward from Sunday at 1900. Would this be an acceptable way to handle the transition? The Transitions out of an Outage are going to be the hardest to make. The Transitions will need to be planned very carefully especially when a worker is changing from a day shift to a night shift or night shift to day shift.
- Q7. When transitioning into a planned outage and I have a contractor/worker who has less than a week onsite coming into the outage. How should we manage the MDO requirements. There is less than a week onsite and, therefore, I don't believe I can call it a cycle. What I would like to do is to manage his hours within the 54-hour online average limit for that few days and look forward to ensure he gets the 34-hour break in the first 9 days and all other aspects of the rule will be met. I think this meets the intent of the rule. I would also ensure that he meets the Minimum Day Off (MDO) requirements going forward into the outage. Would this be an acceptable method to handle a contractor entering the site less than 6 days prior to output breakers being opened?
- Travel
- Work History
- Q9. For contractors arriving at a single site utility, what are the specific requirements for identifying past work history, documenting past work history or any other regulatory required evidence of work history?
Alternative Methods
Q1. Regulatory Guide (RG) 5.73, "Fatigue Management for Nuclear Power Plant Personnel," states that if a licensee chooses to implement 10 CFR Part 26, Subpart I, using a method that is different from one specified in RG 5.73, the NRC would review this methodology for acceptability. Does this require that a licensee submit to the NRC, for review, any methods that are not specified in RG 5.73?
Regulatory Guide (RG) 5.73 provides acceptable methods for licensees and applicants to implement the fatigue management requirements of 10 CFR Part 26, Subpart I. Licensees need not submit alternative implementation methods, prior to implementation, for NRC review. Audits or inspections may include reviews of licensees' specific implementation methods. Under "Use of Other Methods," page 14 of RG 5.73, includes the following paragraph:
Licensees and other entities subject to Subpart I of 10 CFR Part 26 may use methods other than those described in NEI 06-11, as clarified by the regulatory guide, to meet the requirements of the regulations in 10 CFR Part 26. The NRC will determine the acceptability of other methods on a case-by-case basis. Methods and solutions that differ from those set forth in this regulatory guide may be deemed acceptable if they are accompanied by a sufficient basis for the finding required for issuance or continuance of a permit or license by the Commission.
Covered Work
Q2. We have a work group from the energy delivery part of the company that performs some work in our switchyard. They have unescorted access to the plant, but they only work here occasionally when needed. The rest of the time, they work out on the distribution system. If we consider them "covered workers" only when they are here, we would look back 9 days before they report to work. Then it might be several weeks before they're back again. If we take them in and out of covered worker status each time they work at the plant, would this be viewed as circumventing the MDO requirements?
Additionally, if we have to work someone overtime that would result in some future violation if they continue to work their same schedule, we would consider removing them from covered worker status and restricting their work activities rather than giving them paid time off. For example, if we had to hold an 8 hour shift worker over for an extra shift, they would only get 8 hours off before their next scheduled shift. If we removed them from covered worker status until after they had two days off and then returned them to covered worker status, would that be considered compliant with the rule?
An individuals may work on safety-significant and non-safety-significant work in the same day, week or shift cycle. If the switchyard is a safety-significant SSC and the individual is badged to enter any of the licensee protected areas, he/she is considered to be a covered worker. When an individual is in covered status for any part of the shift cycle they are a covered worker for all proceeding time in that shift cycle. Refer to 10 CFR 26.205(b)(3).
After performing covered work it is permissible to be taken off of covered work for the remainder of a cycle and not be subject to work hour controls. If an individual is taken off of covered work and is also taken off of work hour controls then returning the individual to covered work would require a transition to covered work as described in NEI 06-11, Rev 1 as endorsed by RG 5.73.
Q3. When a covered worker is performing activities in multiple work categories (for example, operating and maintaining), is it acceptable to leave them in the more restrictive work hour restriction categories? For example, a worker who performs fuel handling during an outage and also performs equipment tagouts performs activities under both operating and maintaining categories. It is acceptable that the worker is maintained on the more restrictive operating MDO?
If an individual is performing work under multiple categories, the licensee must manage fatigue by having the individual adhere to the more restrictive work hour controls, as the minimum day off (MDO) requirements for the most restrictive category must be met. If there is a transition, for example, between covered groups or onto a covered group, please refer to Regulatory Guide (RG) 5.73 for guidance.
Maintenance
Q4. What is the NRC interpretation of support activities like scaffold, crane ops, insulation R&R, non-engineered coatings relative to if they would agree they are not covered functions?
Erecting scaffolding is not a covered duty. Crane operations will often be a covered duty, but may not be. Insulation repair or restoration may be a covered duty if performed on a safetysignificant SSC. Non-engineering coatings are a maintenance function and can be considered to be covered work, again when performed on a safety-significant SSC.
Q5. Non-intrusive NDE is not considered covered work…help us understand NRC definition of non-intrusive.
Predictive maintenance activities that do not result in a change of condition or state of a structure, system, or component (SSC) that a risk-informed evaluation process has shown to be significant to public health and safety may be excluded from covered maintenance activities. Examples of activities that may be excluded if they do not change the state or condition of these SSCs include, but are not limited to, nondestructive examination (NDE), such as thermography, vibration analysis, and data collection and analysis.
Transitions
Q6. When transitioning out of a Planned Outage Schedule the output breakers close on a Tuesday at 2000. My shift cycles always start on a Sunday at 0000. My online requirements now apply, but I have less than a week until my cycle begins. In order to transition all workers onto their normal cycle on Sunday at 0000, I need to leave them on the same schedule they worked for the outage until Saturday at 1900. I would manage their hours to be less than the 54 hours required by the online rules for the 4-day period of time and ensure that a 34-hour break is scheduled to occur in the 9-day period around the transition date. In addition, all MDO requirements would be met for the outage and they would be met going forward from Sunday at 1900. Would this be an acceptable way to handle the transition? The Transitions out of an Outage are going to be the hardest to make. The Transitions will need to be planned very carefully especially when a worker is changing from a day shift to a night shift or night shift to day shift.
There is no 54-hour limit for work hours related to 10 CFR Part 26, Subpart I. [There is a 54-hour review requirement in §26.205(e)(1)(i).] Although it is possible that certain schedules could be acceptable when using 54 hours as your criteria, we cannot blanketly accept the use of a 54-hour maximum, because various schedules can be envisioned that would exceed the work hour controls in §26.205.
It is important to reiterate that a 54-hour criterion would not ensure that an individual has an acceptable work schedule or hours worked.
When exiting from an outage that does not end exactly when your new shift schedule begins (from your example, Sunday at 0000), there are different ways to handle the few ""extra"" days. One way is to just add the extra days onto the beginning of the planned shift cycle. This will create an odd length schedule, for example, a 5-week and 4-day schedule, which is an acceptable shift cycle length under 10 CFR 26.205(d)(3).
Another way to handle coming out of the outage is to create a short cycle of, perhaps, 11 days. The short cycle could include the 4 extra days plus the next full week. This type of schedule allows you to account for the extra days, including MDO and allows you to start a full cycle at the end of the short cycle.
A third way to handle these extra days is to set up your cycle to start the day the outage ends and then roll the schedule (6 weeks perhaps) on a daily basis. When the rolling schedule meets up with the desired start of the fixed 6-week schedule, end the rolling schedule and begin the fixed.
Q7. When transitioning into a planned outage and I have a contractor/worker who has less than a week onsite coming into the outage. How should we manage the MDO requirements. There is less than a week onsite and, therefore, I don't believe I can call it a cycle. What I would like to do is to manage his hours within the 54-hour online average limit for that few days and look forward to ensure he gets the 34-hour break in the first 9 days and all other aspects of the rule will be met. I think this meets the intent of the rule. I would also ensure that he meets the Minimum Day Off (MDO) requirements going forward into the outage. Would this be an acceptable method to handle a contractor entering the site less than 6 days prior to output breakers being opened?
For the purposes of calculating work hour controls, Regulatory Guide 5.73 defines a shift cycle as being no shorter than 1 week and no longer than 6 weeks. Therefore, there are no MDO requirements for covered workers for periods less than 1 week in duration. You are correct to manage the individual's time so that all other aspects of work hour controls will be met, including transitions. If the individual is onsite for 1 week or longer, the MDO requirements apply. There is no basis to use a 54-hour average as a substitute for MDO.
Travel
Q8. Travel time
- Travel time that is required by the licensee is work performed for the licensee. This time should be counted as work hours. Travel is a non-covered duty and the time spent traveling should be included in the calculation of work hours (e.g., for determining the applicability of work hour controls and waiver requirements) as would any other noncovered duty.
- A normal daily commute is not considered to be work performed for the licensee and should not be included in the calculation of work hours
- Travel during a regularly scheduled work period is counted as would any other activity performed during that work period.
- Travel that starts during a work period and continues past the normal end of the work period is counted as an extension of the work period during which the travel was initiated.
- Travel that is started prior to a work period and continues into the normal start of the work period is counted as an extension of the work period.
- Licensees shall ensure that individuals have, at a minimum a 10-hour break between successive work periods. For travel that starts after the normally scheduled work period, the licensee should allow for the time spent traveling plus the required 10 hour break before the start of the next work period.
- When the inclusion of time spent traveling results in a violation of any work hour control the travel time can be considered to be non-covered duties and a transition back to covered work will be appropriate to manage fatigue. Guidance can be found in NEI 06-11, Revision 1, Section 7.3 "Transitioning Onto A Shift Or Between Covered Groups Or Into A Covered Group."
- Travel time that occurs outside of a normally scheduled work period may be considered incidental duties performed off-site. Specifically, a nominal 30 or fewer minutes of travel time need not be included in the calculation of work hours.
- When travel time exceeds a nominal 30 minutes, all time spent traveling should be counted as work hours
- Travel before the 10 hour break should be counted as part of the previous work period
- Travel after the 10 hour break should be counted as part of the subsequent work period
- Travel that occurs between 10-hr breaks and on a day when no other work period begins should be considered to be its own work period when calculating the minimum day off requirement.
- For travel that includes voluntary stopovers or diversions (e.g., leisure travel) the licensee should include, in the calculation of travel time, only the typical amount of time it would take to travel from the point of origin to the destination as if there were no stopovers or diversions.
Work History
Q9. For contractors arriving at a single site utility, what are the specific requirements for identifying past work history, documenting past work history or any other regulatory required evidence of work history?
Licensees must make reasonable efforts to verify that individuals performing covered work are fit for duty. Before an individual starts performing covered work the licensee should inquire of the individual if they have had the appropriate number of days off in the preceding seven-day period.
Licensee employees and contractor/vendor personnel may go from an outage at one site to an outage at another site. When a licensee employee or contractor/vendor performs covered work for a licensee during two or more unit outages or security system outages (or a combination thereof), and the interval(s) between successive outages is less than 9 days, the receiving licensee should determine that the individual has had a 34-hour break period within the 9 days that precede the day on which the individual begins working for the receiving licensee. In addition, when the individual begins work for the receiving licensee, the licensee should ensure that individual's hours worked did not and will not exceed the following limits:
- 16 work hours in any 24-hour period
- 26 work hours in any 48-hour period
- 72 work hours in any 7-day period
See the implementation guidance contained in Section 7.3 of NEI 06-11, Revision 1 as endorsed by RG 5.73.
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.