3902 Engl 2012 111 PDF

Corrected version 2013/10/16
Safety Standards
of the
Nuclear Safety Standards Commission (KTA)
KTA 3902 (2012-11)

Design of Lifting Equipment in Nuclear Power Plants
(Auslegung von Hebezeugen in Kernkraftwerken)
Previous versions of this Safety Standard

were issued 1975-11, 1978-06, 1983-11,
1992-06 and 1999-06
If there is any doubt regarding the information contained in this translation, the German wording shall apply.
Editor:
KTA-Geschaeftsstelle c/o Bundesamt fuer Strahlenschutz (BfS)
Willy-Brandt-Strasse 5 38226 Salzgitter Germany
Telephone +49-30-18-333-1621 Telefax +49-30-18-333-1625
KTA SAFETY STANDARD

2012-11
Design of Lifting Equipment in Nuclear Power Plants
KTA 3902
CONTENTS
Fundamentals .............................................................. 5
1
Scope.................................................................... 5
Definitions ............................................................. 5
7.3 Lateral transport drives ........................................15

7.4 Load-attachment and load suspending
devices ................................................................15
7.5 Electrical equipment ............................................16
General provisions ................................................ 5
4 Special provisions ................................................. 5

4.1 Elevators in containment vessels .......................... 5
4.2 Cranes, winches, trolleys and load suspending
devices with additional requirements .................... 5
4.3 Cranes, winches, trolleys and load suspending
devices with increased requirements .................... 5
4.4 Refueling machines for light water reactors .......... 6
4.5 External events ..................................................... 6
4.6 Ambient conditions................................................ 6
4.7 Ergonomics requirements ..................................... 6
5
5.1
5.2
5.3
Elevators in containment vessels .......................... 6

General requirements............................................ 6
Personnel elevators and freight elevators ............. 6
Elevator shaft ........................................................ 6
Additional requirements for cranes, winches,

trolleys and load-attachment and load
suspending devices............................................... 8
Load support structures......................................... 8
Hoists .................................................................... 8
Lateral transport drives........................................ 10
Load-attachment and load suspending
devices ................................................................ 10
Electrical equipment............................................ 11
6.1
6.2
6.3
6.4
6.5
7
Increased requirements for cranes, winches,

trolleys and load-attachment and load
suspending devices............................................. 14
7.1 Load support structures....................................... 14
7.2 Hoists .................................................................. 14
8.1
8.2
8.3
8.4
8.5
Requirements for refueling machines for light

water reactors......................................................16
Load support structures .......................................16
Hoists...................................................................17
Lateral transport drives ........................................18
Load-attachment and load suspending
devices ................................................................18
Electrical equipment ............................................19
Annex A: Examples for classification of lifting

equipment..................................................20
Annex B: Load cases and analytical proofs for
lifting equipment ........................................22
Annex C: Stress-number diagram for the analysis
of cyclic loading and endurance limit of
the materials S235 and S355 to
DIN EN 10025-2 ........................................38
Annex D: General stress analysis and stressnumber diagrams for the analytical
proof of cyclic operation and endurance
limit of the steels 1.4541, 1.4306 and
1.4571 to DIN EN 10088-2 or
DIN EN 10088-3 ........................................44
Annex E: Required Performance Levels to DIN
EN ISO 13849-1 for function of safetyrelated parts of control systems.................51
Annex F: Regulations and literature referred to in
this Safety Standard ..................................59
Literature: ..................................................................62
Annex G: Changes with respect to the edition
1999-06 and explanations (informative) ....63
PLEASE NOTE: Only the original German version of this safety standard represents the joint resolution of the
50-member Nuclear Safety Standards Commission (Kerntechnischer Ausschuss, KTA). The German version was
made public in Bundesanzeiger (BAnz) of January, 23th, 2013. Copies may be ordered through the Wolters Kluwer
Deutschland GmbH, Postfach 2352, 56513 Neuwied, Germany (Telefax +49 (0) 2631 801-2223, E-Mail:
[email protected]).
All questions regarding this English translation should please be directed to:
KTA-Geschaeftsstelle c/o BfS, Willy-Brandt-Strasse 5, 38226 Salzgitter, Germany
KTA 3201.4 Page 4
Comments by the editor:

Taking into account the meaning and usage of auxiliary verbs in the German language, in this translation the following agreements are effective:
shall
indicates a mandatory requirement,
shall basically
is used in the case of mandatory requirements to which specific exceptions (and only
those!) are permitted. It is a requirement of the KTA that these exceptions - other than
those in the case of shall normally - are specified in the text of the safety standard,
shall normally
indicates a requirement to which exceptions are allowed. However, the exceptions used,
shall be substantiated during the licensing procedure,
should
indicates a recommendation or an example of good practice,
may
indicates an acceptable or permissible method within the scope of this safety standard.
KTA 3902 Page 5
Fundamentals
(1) The Safety Standards of the Nuclear Safety Standards
Commission (KTA) have the task of specifying those safety
related requirements which shall be met with regard to precautions to be taken in accordance with the state of science and
technology against damage arising from the construction and
operation of the facility (Sec. 7 para 2 subpara 3 Atomic Energy Act -AtG -) in order to attain the protection goals specified
in the Atomic Energy Act and the Radiological Protection Ordinance (StrlSchV) and which are further detailed in the
Safety Criteria for Nuclear Power Plants and in the Incident
Guidelines.
(2) Based on the Safety Criteria for Nuclear Power Plants
issued by the Federal Minister of the Interior, this safety standard specifies the design criteria for lifting equipment. Additionally, lifting equipment shall be erected and operated in
accordance with the valid federal and state safety regulations
as well as with the regulations of the official accident insurance institutions.
(3) Regarding the danger potential, the design shall be
based on
a) additional requirements or
b) increased requirements
for lifting equipment which exceed the general provisions,
as well as
c) requirements for elevators in reactor containments and
d) requirements for refuelling machines
as specified in this safety standard in detail.
(4) General requirements regarding quality assurance are
specified in Safety Standard KTA 1401.
(5) The requirements for inspection, testing and operation,
including specific requirements for quality assurance, are laid
down in KTA 3903.
Scope
This safety standard applies to the design of elevators,

cranes, winches, trolleys, load suspending devices and refueling machines of light water reactors, collectively called lifting
equipment in the following, in as far as they are used in nuclear
power plants and meet the special provisions of Section 4.
Definitions
(1) Maximum operational load

The maximum operational load is the load which is moved
with the lifting equipment during specified normal operation.
(2) Refueling machines for light water reactors
A refueling machine for light water reactors is that equipment
which is directly used to charge the reactor core with fuel
assemblies or control rods (e.g. shim or shutdown rods), or to
discharge these from the core.
(3) Lifting capacity
The lifting capacity is the sum of maximum erection load or
maximum operational load and the dead weights of the components to take up the load to be handled, e.g. bottom block,
lifting beam, and the weight of the load carrying means, e.g. of
the rope.
(4) Load suspending device
Load suspending devices are load carrying means, load carrying attachment and load attachment riggings. They are defined in DIN 15003.
(5) Load shifting

Load shifting is an event where due to failure of one component within the double drive mechanism chain or due to failure
of a redundant component of the rope drive within a drive
chain with safety brake an additional load is applied on the
lifting equipment.
(6) Machine parts
Machine parts are axles, shafts, bolts, tie rods and similar
components.
(7) Maximum erection load
The maximum erection load is the maximum load which may
be moved by the lifting equipment during the erection phase
until commencement of licensed nuclear operation.
General provisions
(1) Lifting equipment shall be erected in accordance with the

valid general safety regulations, especially the federal and
state work protection regulations and the regulations of the
official accident insurance institutions.
(2) Lifting equipment shall at least comply with the generally
accepted engineering standards.
4
4.1
Special provisions
Elevators in containment vessels
Elevators in containment vessels shall, in addition to the general provisions of Section 3, comply with the requirements of
Section 5 if their specified normal use extends to the transportation of persons.
4.2
Cranes, winches, trolleys and load suspending devices

with additional requirements
(1) If, in the course of transportation of nuclear fuel, other

radioactive substances, radioactive components or other
loads, a failure of the lifting equipment is expected to lead
a) to the immediate danger of a release of radioactivity with a
subsequent radioactive exposure of persons in the plant
subjected to an effective dose by inner exposure exceeding 1 mSv or to an external exposure exceeding 5 mSv
or
b) to a loss of reactor coolant which cannot be isolated, or to
a detrimental effect on, and going beyond the redundancy
of, the safety equipment which is necessary to shut down
the reactor at any time, to maintain the reactor in the shutdown condition or to remove residual heat, and no dangers
as per Section 4.3 need be expected.
then, in order to provide adequate protection against damage,
the cranes, winches, trolleys and load suspending devices
shall meet the additional requirements of Sec. 6 exceeding the
requirements of the general provisions of Sec. 3.
(2) The classification of lifting equipment with regard to additional requirements shall be specified within the nuclear licensing and supervisory procedure. Examples for this classification
and for the procedural steps of classification are given in Annex A.
4.3
Cranes, winches, trolleys and load suspending devices

with increased requirements
(1) If, in the course of transportation of nuclear fuel, other

radioactive substances, radioactive components or other
loads, a failure of the lifting equipment is expected to lead
a) to a criticality accident
KTA 3902 Page 6
or
b) to the danger of a release of radioactivity where the maximum allowable discharge into the atmosphere may be exceeded as laid down in the license or the radioactive exposure of individual persons of the population in the nuclear
power plant environment may exceed the limit values of
the Radiological Protection Ordinance (StrlSchV)
then, in order to provide adequate protection against damage,
the cranes, winches, trolleys and load suspending devices
shall meet the increased requirements of Sec. 7 exceeding the
requirements of the general provisions of Sec. 3.
(2) The classification of lifting equipment with regard to increased requirements shall be specified within the nuclear
licensing and supervisory procedure. Examples for this classification and for the procedural steps of classification are given
in Annex A.
4.4
Refueling machines for light water reactors
Refueling machines for light water reactors shall, in addition to

the general provisions of Sec. 3, meet the requirements of
Sec. 8.
4.5
External events (EVA)
(1) An analytical proof of the adequate protection of lifting

equipment against external events is required provided such
requirement also exists for the building.
(2) Exceptions are permitted if it is demonstrated that no
effects and damage resulting from the lifting equipment can
affect the functional capability of any plant component that is
designed against external events.
(3) The adequacy of the protection against external events
shall be analytically proven for the lifting equipment without
load.
(4) If the lifting equipment is designed for a definite parking
position, then the analytical proof is only required for this position.
(5) KTA 2201.4 and the verification of strength to KTA
3205.1, Section 7 applies to the analytical proof for all external
events.
4.6
Ambient conditions
(1) Ambient conditions, e.g., pressure, temperature, medium,

radiological exposure, shall be considered in the design.
(2) The possibility for decontamination, e.g. of the load support structures, shall be considered in the structural design.
4.7
Ergonomics requirements
Lifting equipment to Sections 4.2 to 4.4 shall satisfy the design

principles DIN EN 894-1 leading e.g. to the following requirements:
a) Load suspending devices and their detachable individual

items shall be constructed or identified such that confusion
of items is excluded.
b) The command, control and monitoring devices as well as
identification markings, actuating, connecting and safety
elements shall be designed such that
ba) they are compatible both with the usual expectations
and the current practice (conformity of expectation),
bb) the operating personnel is able to safely perform and
monitor the handling processes at any time.
c) Signals and indications shall be handled to comply with
their safety-relevant priority.
d) The safe handling as well as safe attachment and detachment of loads shall be supported by technical measures.
Table 4-1 shows typical examples. The technical measures
shall be supplemented by administrative measures as regards
the organisation of transports as per KTA 3903, Section 9.2.
5
5.1
Elevators in containment vessels

General requirements
Elevators shall meet the requirements of the European Lift

Directive 95/16/EC and be provided with a safety level to
DIN EN 81-1.
5.2
Personnel elevators and freight elevators
Personnel elevators and freight elevators shall be

a) connected to a emergency power supply,
b) connected to the alarm system of the nuclear power plant,
c) connected to the intercommunication system such that it is
possible to communicate from the cabin with the pertinent
permanently manned location,
d) equipped with a specially marked easy-to-open emergency
exit.
5.3
Elevator shaft
The elevator shaft shall be

a) equipped with pressure-equalization openings to all rooms
accessible from the elevator shaft; the elevator cage or the
pressure-equalization openings shall be designed against
raised external pressure such that they can withstand the
dangers in accordance with Sec. 4.3 (1) b),
b) equipped with devices for an emergency exit from which
each elevator-shaft door is easily accessible,
c) equipped with elevator-shaft doors which can be easily
unlocked from the inside,
d) designed such that the escape route can be easily recognized, and
e) equipped with emergency lighting connected to a continuous emergency power supply.
Requirement
Specified normal
use of lifting equipment
Lifting equipment/component
Method (selection)
Cranes, refueling machines

Structural design
Lifting beams, hangers, rod
assembly (capable of being
Visual control
extended, adapted, assembled), load attachment riggings, load attachment points Structural design
Visual control of load
Load control, ease

of running
By control techniques
Visual control of travel
way
Load attachment
and detachment to
meet the requirements
Visual control
Cranes, refueling machines,
lifting beams, hangers, load
attachment points
Structural design
Maintenance of
travel areas
Exact positioning,
avoidance of erroneous positioning,
faulty set down/loading
Cranes
Visual control
Refueling machines
Visual control
Precautions against Control desk of lifting equipStructural design

maloperation
ment
Items of equipment/auxiliary means (selection)
Design
Lockable control system

Use clearly discernible colours
Plates shall be permanently and easily readable
Nameplates, other identification, markings
1)
Orientation arrows, KKS , component number
Colour coding of connections
Unmistakable design
e.g. assigned bajonet joints
Load indication on control desk and large display

unit
Additional variably controllable overload protection
during operation
Use of wireless control
Under water: camera, searchlight
Adaptation of overload protection device to the load

Non-glare screen easily readable by at least 2 persons
form their work position
Recognizable (even under water), component-specific
design
Unambiguous indication of interlock condition (even in
case of an interlock under water)
Non-glare screen easily readable by at least 2 persons
form their work position.
Indication of interlocked condition (by colour, mechanical)

Under water: camera, searchlight
Interlocking e.g. provided by:
- spring-loaded teeth,
- bolt with guiding sleeve and connecting member,
- spring-loaded safety retainer,
Travel limits, operational travel interlocks
Electrically: travel limiter
Marking/positioning aids (camera, laser measurement)
Indication of position
Visualisation system
Automatic operation
Simple actuating elements
Safety against unintentional operation
Actuating elements conforming to expectancy
Consistent indication for at least 2 persons
Interlocking under load always effective

Consistent design principle (bolts always guided in
same direction)
Load-dependent travel limiter with indication of state at
control points
Easy insight view and unambiguous
e.g. x-y coordinates
Insight view by 2 persons possible
Monitoring via inventory management
Anatomically adapted
e.g. shrouded pushbutton
e.g. lever activated backwards means lifting, lever activated forward means lowering
Unambiguous assignment of actuating direction and control state

Spatial separation/arrangement of operating elements according to function
Power plant identification system, alternatively also plant identification system (AKZ)
Table 4-1:
Examples for ergonomic design of lifting equipment to Sections 4.2 to 4.4 and use of auxiliary means
KTA 3902 Page 7
Fault signal
1)
KTA 3902 Page 8
Additional requirements for cranes, winches, trolleys

and load-attachment and load suspending devices
Load support structures
6.1
This Section applies to the load support structures of cranes,

trolley and winch frames.
6.1.1
Design
(1) The following data shall be specified for dimensioning the

load support structures:
a) erection loads including the corresponding load cycles
over the intended deployment duration,
b) operational loads including the corresponding load cycles
c) loads from external events in accordance with Sec. 4.5,
d) ambient conditions in accordance with Sec. 4.6.
(2) The load support structures shall be classified with respect to
a) the maximum erection load: lifting class H1 and loading
level group B2 in accordance with DIN 15018-1.
b) the maximum operational load: lifting class H3 and loading
level group B3 in accordance with DIN 15018-1.
(3) Where a live load factor less than that resulting from (2)
is to be used, the maximum dynamic load factor occurring
during one load cycle shall be determined by means of calculation or experimentally in each individual case. As regards the
determination of the live load factor this dynamic load factor
shall be multiplied by a safety factor of 1.12.
6.1.2
Analytic proofs
(1) The analytic proofs shall be performed in accordance

with Annex B, Sec. B 1.1.
(2) An analysis for cyclic operation need not be carried out if
it can be demonstrated that the number of stress cycles is
below 2104. The number of stress cycles shall be determined
in accordance with Annex B, Sec. B 1.2.1.2.
(3) In the case of connections made with pre-tensioned bolts
to be re-assembled upon disassembly, the following applies in
addition to (2):
a) Where an analysis for cyclic operation is to be carried out
as per (2), the stress cycles resulting from disassembly
and re-assembly operations shall be taken into account in
the analysis.
b) Where no analysis for cyclic operation is required as per
subcl. (2) and a maximum of 10 disassembly and reassembly operations is carried out, an analysis for cyclic
operation may be waived.
c) Where more than 10 disassembly and re-assembly operations are carried out, an analysis for cyclic operation shall
be carried out independently of the requirements of subcl.
(2). In this case, both the stress cycles from operational
loadings and from disassembly and re-assembly operations shall be taken into account.
6.1.3
(1)
Design and structural requirements

The design shall be based on DIN 15018-2.
(3) Hollow spaces in load support structures of lifting equipment inside the containment shall be equipped with pressure
equalization openings for the case of raised external pressure
or shall be dimensioned to withstand these pressure conditions.
Hoists
6.2
This Section applies to drive mechanisms and rope drives.

Drive mechanisms
6.2.1
This Section applies to transmissions, series transmissions,

series electric hoists, couplings and brakes.
6.2.1.1
Design
(1) The following data shall be specified for the design of

drive mechanisms:
a) erection loads including the pertinent load cycles over the
intended deployment duration,
b) operational loads including the pertinent load cycles over
the intended deployment duration,
c) dead load of the load carrying attachment and load carrying means,
d) special loads, e.g. loads from the acceptance test, from
in-service inspections, from test runs of the transmission,
from actuation of the brakes, including the corresponding
load cycles over the intended deployment duration,
Note:
When using systems to ascertain the braking effect without test
load for in-service inspection, see also KTA 3903, Annex D
Section D 3.1.
e) running time of the hoist under erection load, operational

load and dead load as well as pertinent average hoisting
speed and average travel path,
f) ambient conditions in accordance with Sec. 4.6.
(2) The dimensioning of series-produced components like
brakes, brake discs, couplings, shall be based on the design
data to be determined in accordance with the corresponding
forms of KTA 3903, Annex C.
(3) The roller bearings shall be dimensioned on the basis of
the calculation principles of the roller bearing manufacturer.
Dynamic loads may be subjected to cubic averaging methods
which shall be based on a probability of failure of 3 % to be
taken with a1 = 0.44. The maximum test load shall be considered to be the static (continuous) load.
6.2.1.2
Analytic proofs
The analytic proofs shall be performed in accordance with

Annex B Sec. B 1.2.
6.2.1.3
6.2.1.3.1

General
(1) Hoists shall be equipped with an overload protection

device which shall be adjusted to 1.1 times the maximum
operational load. The tolerance of the response level shall not
exceed 5 %.
Note:
Requirements for the structural design of rails, rail connections,
track bedding and rail fasteners are also contained in VDI 3576.
(2) Hoists shall be equipped with a meter for counting the

running hours or the load collectives. A meter for monitoring
the load collectives is required if the analytic proofs are based
on a load collective.
(2) Dynamically loaded welds shall meet the requirements of

level B to DIN EN ISO 5817. Welds primarily subject to static
loadings shall satisfy the requirements of quality level C of DIN
EN ISO 5817.
Note:
It is presumed that the parameters counted with the load collective
meter are adjusted to or transferrable to the assumptions of the
design by analysis.
KTA 3902 Page 9
When using a meter that only counts the running time during
which the drive mechanism is in motion, 50 % of the indicated
time shall be considered full-load hours. When using a meter
for load collectives, all loads greater than 10 % of the maximum operational load shall be recorded.
(3) If the weight of the load carrying means amounts to more
than 30 % of the maximum operational load, then the entire
running time of the drive mechanism shall be recorded.
(4)
a) in the case of non-crowned teeth, is at least 60 % of the

useable face width in counterdirection to the deformation
tendency under load
and
b) in the case of longitudinally crowned teeth, is at least 40 %
of the useable face width beginning about at the centre of
the tooth face and running in counterdirection to the deformation tendency under load.
Grey-cast iron bearing housings are not permitted.

6.2.1.3.3
6.2.1.3.2
Transmissions
(1) Shaft-hub linkages with flat, hollow, sunk, tangent and

gib-head keys are not allowed.
(2) Shaft hub connections with press fit assembly are permitted for series-production hoist transmissions and seriesproduction electric hoists with rope if they are designed and
constructed to the state-of-the-art.
(3) The offset between two fitting keys shall be at least
120. The value of the bearing length of the key used in the
analysis shall not exceed 1.2 times the shaft diameter.
(4) The design and construction of transmission gears shall
meet the following requirements:
a) When calculating the load carrying capacity in accordance
with DIN 3990-11, the limits of application and requirements of this DIN standard shall be taken into account.
b) When calculating the load carrying capacity to the method
of Niemann [2] in accordance with Annex B the following
requirements ba) to bg) shall be taken into account.
ba) The ratio of useable face width to pitch circle diameter,
b/dw1 shall be smaller than or equal to 1.2 for the case
of a rigid pinion shaft supported at both ends.
bb) Longitudinal crowning and profile reduction are permitted provided they stay within the size of tooth deformation.
bc) In case of a floating support of the transmission gears
or of their support on the load support structure or if
the requirement under ba) cannot be met, the width
factor shall be determined by measurement or by a
correspondingly accurate numerical analysis.
This numerical analysis shall take into account any deformation and relocation that are essential with regard
to load distribution over the gear width. Furthermore,
the numerical analysis shall consider any fabrication
deviations and corrections with their true sign.
bd) The normal modulus mn for gears of transmissions
shall normally be equal to or greater than 1/25 of the
useable face width, b. In the case of the transmission
support on the load support structure or of a floating
support of the pinions, the normal modulus mn shall be
larger than b/25.
be) No grinding recess is allowed on the side of the tooth.
bf) In the case of ground teeth, protuberance profiles shall
be used or the grinding shall be carried out down to
the bottom of the tooth with a rounded-off tool head.
bg) Sufficient lubrication shall be ensured. It shall be ensured that the lubrication has an adequate viscosity at
the operating temperature.
(5) Grey-cast iron transmission casings are not allowed
except for series-produced electric hoists. The welds of welded transmissions casings shall satisfy the requirements of
quality level C of DIN EN ISO 5817.
(6) The transmission quality shall be chosen such that at
zero load the tooth bearing
Brakes
(1) Two brakes (operational brake and auxiliary brake) shall

be located on the drive side upstream of the output transmission which shall act independently of each other.
(2) The brakes shall satisfy the requirements of DIN
15434-1. The required braking torque of each brake shall be
designed for the maximum operational load.
(3) It shall be ensured that upon standstill of the drive
mechanisms, the maximum operational load is held alone by
the operational or the auxiliary brake and that the maximum
erection load is held by the operational and the auxiliary
brake, and in both cases with a 2-fold safety. The brakes shall
be capable of withstanding the thermal and dynamic operational conditions.
(4) If the operational brake fails, the auxiliary brake shall be
capable of safely absorbing the increased energy of the system resulting from the failure condition.
(5) Where the drive is of the non-converter type, the auxiliary
brake shall engage during any operational braking after a
certain time delay with respect to the operational brake. The
delay time shall be fixed such that during operational braking
at full lowering speed and maximum operational load the auxiliary brake engages at the latest when the lowering speed has
reached a residual value of 5 %.
6.2.2
Rope drives
The Section applies to ropes, rope pulleys, rope drums, rope

end terminations and rope drum hinge connections.
6.2.2.1
Design
(1) The rope drives shall be classified in accordance with

DIN 15020-1, in which case the larger of the resulting rope
diameters shall be used:
a) for the maximum erection load at least drive mechanism
group 1Bm to DIN 15020-1. If the ratio of rope minimum
breaking strength to static rope traction force is at least
3.5, and if ropes are used whose individual strands have a
2
nominal strength up to 1960 N/mm , the design may be
based on drive mechanism group 1Em.
b) for the maximum operational load at least drive mechanism group 2m for dangerous transports.
(2) The dimensioning of rope pulleys and sockets shall be
based on the design data to be determined in accordance with
the corresponding forms of KTA 3903, Annex C.
(3) The diameter of the rope drums, rope pulleys and compensating pulleys shall be dimensioned at least in accordance
with drive mechanism group 2m to DIN 15020-1.
(4) The rope end terminations shall be dimensioned in accordance with DIN 15020-1.
(5) The rope drum wall thickness shall be calculated using
the maximum prevalent dynamic force Smax from the load collective of operational conditions in accordance with Annex B,
Sec. B 1.2.1.1(2) a) through c). Stress peaks which occur
KTA 3902 Page 10
rarely and for only very short periods of time need not be considered since they affect only a fraction of one rope wrap.
(6) Rope drum hinge connections shall be dimensioned on
the basis of the load collective of operational conditions in
accordance with Annex B, Sec. B 1.2.1.1(2) a) through c) and
shall be analyzed in accordance with the design principles of
the manufacturer.
(7) The rope clips shall be dimensioned in accordance with
SEB 666211 Suppl. Sheet 1, taking the structural circumstances into account.
6.3.3
(1) Lateral transport drives shall be equipped with wheelfracture supports.

(2)
DIN 15085 applies to the wheels.

Load carrying attachment and load suspending devices
6.4
This Section applies to load carrying means, load carrying

attachments and load attachment riggings.
Load carrying means
6.4.1
6.2.2.2
Analytical proofs
The analytical proofs shall be performed in accordance with

Annex B, Sec. B 1.2.4.
6.2.2.3
(1) Grey-cast iron rope pulleys and rope compensating pulleys are only allowed if they are series-produced and are protected against mechanical damage.
(2) The wire rope ends may be fastened as follows:
a) metal socketing in accordance with DIN EN 13411-4.
b) ferrules to DIN EN 13411-3 provided the ropes have steel
cores,
c) asymmetrical clamps with a clamping angle of about 14, a
clamping length equal to 5 times the rope diameter and a
bending radius at the rope key equal to 1.5 times the rope
diameter. The rope key shall be marked with the rope diameter. The clamp shall have a breaking strength of at
least 85 % of the minimum breaking strength of the rope.
d) clamping plates for fastening rope ends on the drum in
accordance with Sec. 6.4 DIN 15020-1.
(3) The number of wraps assumed during design, but at
least two safety windings of rope shall remain on the drum
when the load hook is in its lowest position.
(4) Rope drums shall be of the single-layer winding type
only. The orderly winding of the rope shall be monitored or be
ensured by structural design measures (e.g. rope guide rings).
(5) The welds of welded rope drums shall satisfy the requirements of quality level B of DIN EN ISO 5817.
6.3
Lateral transport drives
This Section applies to the wheel bearings and wheels, wheel

axles and shafts.
6.3.1
Design
The following data shall be specified for the dimensioning of

lateral transport drives:
a) running time classification in accordance with Table 5 of
the DIN calculation principles for drive mechanisms in lifting equipment [7],
b) standard load collective in accordance with Table 6 of the
DIN calculation principles for drive mechanisms in lifting
equipment [7],
c) running time of the drive motor (in terms of 1 h) in accordance with Table 4 of DIN 15070,
d) ambient conditions corresponding to Sec. 4.6.
This Section applies to jigs and fixtures permanently connected to the lifting equipment for the purpose of attaching
load carrying attachment, load attachment riggings, or carrying
loads (e.g. hooks, hook mountings, grabs, lifting beams,
hangers) as well as top and bottom blocks and the mountings
for compensation pulleys and rope end terminations.
6.4.1.1
(1) The hooks shall be classified in accordance with

DIN 15400 as follows:
a) for the maximum erection load at least classified in drive
mechanism group 1Bm,
b) for the maximum operational load at least classified in
drive mechanism group 2m.
(2) Stainless steel hooks shall be classified with additional
consideration given to the material characteristics.
(3) The design of load carrying means as load support structures shall be in accordance with the requirements of
Sec. 6.1.1 and the design of load carrying means as machine
parts in accordance with Sec. 6.2.1.1.
(4) If bolted connections to DIN EN ISO 898-1 and DIN EN
ISO 898-2 or DIN EN ISO 3506-1 and DIN EN ISO 3506-2
subject to additional tensional loading are used, then the determined bolt load shall be increased by a factor of 1.12 both
in the general analytical proof of stresses and the analysis for
cyclic operation or endurance limit.
6.4.1.2
Analytical proofs

Annex B Sec. B 1.3.
Analytical proofs
(1) The analytical proofs shall be performed in accordance

with Annex B, Sec. B 1.4.
(2) An analysis for cyclic operation or endurance strength is
only required
a) for structural steel components to DIN 15018-1 as of a
number of stress cycles N exceeding 2 104
b) for non-rotating mechanical parts and other components at
more than 6,000 stress cycles.
Note:
Other components refer, inter alia, to components where a
stress evaluation on the basis of nominal stresses is not purposeful.
This requirement shall likewise apply if austenitic steels are

used.
(3) In addition to (2) the requirements of clause 6.1.2 (3)
apply in case of joints with pre-tensioned bolts which, after
disassembly, have to be re-assembled again.
6.4.1.3
6.3.2
Design
(1) The load shall be attached in a positive-locking way only.

Structural safeguarding measures shall be taken against unintentional detachment of the load. The connections and indi-
KTA 3902 Page 11
vidual items shall be designed such that they cannot be detached unintentionally. The safeguarding devices shall be
designed and arranged so that such unintentional changes of
their positions are excluded where their safety functions are
ensured only to a limited extent or are completely cancelled.
(2) For the protection against damage the following requirements shall be met:
a) Hydraulic, pneumatic and electric lines shall be laid such
that damage due to operational equipment movement is
avoided.
b) where the load-carrying capacity can be adversely affected
by wear, corrosion or other damaging influences it shall be
ensured that the respective condition can be checked.
c) Firmly sheathed individual parts shall be protected against
corrosion.
d) Movable sheathing shall be designed or arranged such that
it is possible to uncover parts requiring an examination.
Load carrying attachments
6.4.2
This Section applies to jigs and fixtures not belonging to the

lifting equipment, which can be connected to the load carrying
means of the lifting equipment for the purpose of attaching the
load, e.g. hooks, hook mountings, lifting beams, hangers and
grabs.
(4) Only chains to DIN EN 818-2 and with an inside width

b1 = 1.3 d are permitted.
(5) DIN EN 1677-1, DIN EN 1677-2, DIN EN 1677-3, and
DIN EN 1677-4 shall apply to the components of load attachment rigging.
(6) Chain attachment elements and connection parts shall
be designed to be irremovable from the hanger and end links.
(7) The elements connecting the rope slings and chain
slings to the load attachment points shall be designed to be
unambiguously identifiable, where confusion of elements may
lead to an unacceptable condition.
(8) Any surface treatment procedure used on chain slings
shall be such that no damage occurs to the base material (e.g.
hydrogen inclusion).
Load attachment rigging
6.4.3
6.4.3.1
(1)
This Section applies to rope slings and chain slings.
(2) Load attachment rigging shall be clearly assigned to

fixed transport operations and shall only be used for operations they are assigned to.
6.4.3.2
6.4.2.1
Design
(1) The design of load carrying attachments as load support

structures shall be in accordance with the requirements of
Sec. 6.1.1 and the design of load carrying attachments as
machine parts in accordance with Sec. 6.2.1.1.
(2)
Sec. 6.4.1.1 applies to hooks.
(3) The lifting capacity of

a) rope slings to DIN EN 13414-1 and DIN EN 13414-2,
b) chain slings to DIN EN 818-4,
c) components for load attachment riggings to DIN EN 16771, DIN EN 1677-2, DIN EN 1677-3, and DIN EN 1677-4,
d) shackles to DIN EN 13889
respectively, as a fixed component part of load carrying attachments may be utilized to reach not more than 50 % of the
values specified in these standards. A live load factor need not
be taken into account.
subject to additional tensional loading are used, then the determined bolt load shall be increased by a factor of 1.12 both
in the general analytical proof of stresses and the analysis for
cyclic operation or endurance limit.
6.4.2.2
Analytical proofs
The requirements of Sec. 6.4.1.2 shall be met.

6.4.2.3
(1)
The requirements of Sec. 6.4.1.3 shall be met.
(2) The use of rope slings and chain slings as fixed component parts of load carrying attachments is permitted provided
they meet the requirements of DIN EN 13414-1 and DIN EN
13414-2 as well as DIN EN 818-4, respectively, and if both are
designed without sheaving and with defined load transmission
points.
(3)
Fibre ropes and woven bands are not permitted.
General
Design
The lifting capacity of

a) rope slings to DIN EN 13414-1 and DIN EN 13414-2,
b) chain slings to DIN EN 818-4,
c) components for load attachment riggings to DIN EN 16771, DIN EN 1677-2, DIN EN 1677-3, and DIN EN 1677-4,
d) shackles to DIN EN 13889
may be utilized to reach not more than 50 % of the values
specified in these standards. A live load factor need not be
taken into account.
6.4.3.3
(1) Only rope slings to DIN EN 13414-1 and DIN EN 13414-2

and chain slings that meet the requirements of DIN EN 818-4
as well as components for load attachment riggings to DIN EN
1677-1, DIN EN 1677-2, DIN EN 1677-3, and DIN EN 1677-4
are permitted.
(2) Rope slings and chain slings are permitted only if both
are designed without sheaving and with defined load transmission points.
(3)
The requirements specified in Section 6.4.1.3 shall be met.
(4) The requirements specified in para 6.4.2.3 (3) through

(8) shall be taken into account.
6.5
6.5.1
Electrical equipment
General
(1) Safety functions shall be provided which, in case of inadmissible operating conditions or inadmissible excess of
limitations (travel, speed and loads, or a combination thereof),
shall effect shutdown of the pertinent drives and prevent
drives from starting up. The shutdown of a drive shall include
the release of the required brakes.
(2) The control system shall be subdivided into an operational control system and a safety-related control system. The
latter shall be independent of the operational control such that
in case of specified normal operation, malfunction or failure of
the operational control system, the function of the safety-
KTA 3902 Page 12
related control system remains effective. In such case, the

following shall be satisfied:
a) Functions required for lifting equipment operation, which
do not monitor the occurrence of inadmissible operating
conditions or inadmissible excess of limitations e.g. travelling control command shall be part of the operational control system.
b) The safety-related control system shall monitor the observance of all safety-relevant limit values of lifting equipment
and, in the case of inadmissible operating conditions or inadmissible excess of limitations, shall transfer the lifting
equipment to safe condition. Functions classified into Performance Levels c, d and e to Annex E, shall be part of
the safety-related control system.
c) Where software-based safety-related control systems are
used, software shall be used the development and establishment of which satisfies the requirements of DIN EN
62138, Section 6.
(3) When realizing the functions required for safe operation
of lifting equipment to KTA 3902, Section 4.2, the requirements of DIN EN ISO 13849-1 shall basically be met, in which
case the Performance Levels shall be determined to Annex E, Section E 1 (deviating from the method laid down in
DIN EN ISO 13849-1 Section 4.3). Table E-1 assigns Performance Levels to the respective typical functions. Deviations
from the Performance Level laid down in Table E-1 shall be
justified in each individual case.
In lieu of the Performance Levels laid down in Table E-1 to
DIN EN ISO 13849-1, the Safety Integrity Levels (SIL) defined
in the standard series DIN EN 61508 may be used, in which
case the requirements as per SIL 2 to DIN EN 61508 are
deemed to be equivalent to the requirements as per Performance Level d to DIN EN ISO 13849-1 and the requirements
as per SIL 3 are deemed to be equivalent to the requirements
as per Performance Level e.
(4) Safety-related functions of Performance Level c to e
to DIN EN ISO 13849-1 shall be effective independently of the
operational control functions. Faults in operational control
functions shall not render these safety-related functions ineffective. Safety-related functions of Performance Level d shall
be effective at least in category 3 and safety-related functions
of Performance Level e in category 4 to DIN EN ISO 13849-1.
The reaction times of all safety-related functions shall be sufficiently short to fulfil the respective safety task.
(5) When planning, designing and executing the safetyrelated functions of Performance Levels c to e to DIN EN
ISO 13849-1 the requirements contained in DIN IEC 61513 for
functions of category B shall be met.
(6) For all limiting and interlocking functions required by this
safety standard positively opening control switches operating
to the closed-circuit current principle or another technique
shall be used to obtain equivalent safety like in the case of
positively opening control switches.
(7) Closed working cabins and operating cabins in cranes
inside the controlled area shall be connected to the alarm
system and the safety illumination system of the nuclear
power plant such that alarms are perceived and escape routes
are discernible.
(8) Measures shall be taken to make possible the unambiguous identification of the current version of hardware and
software utilized for functions classified into Performance
Levels c, d and e to Annex E.
(9) Measures shall be taken to ensure that the in-service
functional tests in accordance with KTA 3903 can be performed without manipulation of the electrical equipment (e.g.
loosening of wire connections, removal of equipment parts). In
this case, it shall be ensured that the entire signal path can be
covered by the in-service functional tests.
Testing equipment shall be provided with an access-enable

program so that it can be activated by authorized personnel
only.
Where testing equipment not provided with automatic return is
used, its activation shall be annunciated by a signal. Deactivated testing equipment shall not have any influence on
the safety-related functions of Performance Levels c through
e to DIN EN ISO 13849-1 even in the case of fault.
For the in-service tests of safety travel limiters of hoists and
lateral transport drives a release device shall be provided
which, when activated, makes it possible for the crane operator, upon release of the travel limiter, to leave the travel way in
opposite direction of movement at creep speed. The release
device for leaving the safety travel limiter shall be of the locking-type and be provided with automatic return (e.g. keyoperated pushbutton) and be positioned such that a second
person (within the sense of the 4-eyes principle) can be employed to operate the release device.
6.5.2
Requirements for the electrical equipment
(1) It shall be possible to activate the crane switch only if it

has been released by means of a key-operated switch or a
similarily safeguarded switching device.
(2) The three-phase current supply shall be equipped with a
phase-sequence relais and a phase conductor monitor. Where
these monitoring devices respond, it shall not be possible to
switch in the crane switch, and where the lifting equipment is
operating, the crane switch shall switch off. The response of
these monitoring devices shall initiate an alarm signal at the
control points.
(3) The response of overcurrent protective devices shall
switch off only the pertinent motor branch circuit, unless several motors are available for the same function which must be
switched off simultaneously. The coils of hoist motors shall be
equipped with sensors for monitoring the temperature. The
response of overcurrent protective devices shall trigger an
alarm signal at the control points.
(4) The actuation of the overload protection shall interrupt
the hoist movement and trigger an alarm signal at the control
points. Upon acknowledgement of the alarm signal lowering
shall be possible.
The overload protection shall be set at 1.1 times the maximum
operational load.
The response tolerance shall not exceed 5 %.
For the putting of lifting equipment into operation the switching
threshold shall be adapted to the swinging behaviour when
lifting the load.
(5) The hoists shall be equipped with a meter for monitoring
the running time or the load collective in accordance with
Sec. 6.2.1.3.1. Measures shall be taken to prevent data loss
(e.g. by redundant data storage, storage on fail-safe medium
or regular data saving).
(6) It must be possible to actuate the hoist brakes individually and independently of each other; the brakes shall be connected to all phases. In the case of non-converter operated
drives, the auxiliary brake in accordance with para. 6.2.1.3.3
(5) shall engage after a certain time delay after the operational
brake.
A warning shall be triggered at the control points if the brake
lining thickness of the operational brake is less than the minimum thickness and if the operational or the auxiliary brake do
not open or close (activity of the brake thruster). In case of
electromagnetic compact brakes it is permitted to derive the
indication that the brake does not open or close from one
switch only. Sliding rotor motors with integrated brakes are
KTA 3902 Page 13
exempted from the requirement regarding a non-opening or

non-closing alarm.
Note:
load for in-service inspection, see also KTA 3903, Annex D, Section D 3.1.
(7) If non-converter drives are used, the lateral transport

drives and hoists shall have at least one creep speed aside
from the nominal speed. Accelerations and decelerations shall
be kept low when changing speed.
(8) In the case of converter drives, monitoring shall be required such that the lifting equipment is stopped at zero position of the control system and maintained at standstill and that,
at activation of the control system, movement is in the right
direction
(9) In the case of electrically driven load carrying attachments respective position indications shall be provided at the
control points (e.g. grab opened, grab closed). It shall be ensured by means of electrical interlock that the control command for detachment of an attached load (e.g. control signal
Open grab cannot be released unintentionally or at positions
which are not permitted as regards safety.
(10) Where the orderly winding up of the rope on the drum
cannot be ensured by structural measures, monitoring is required. Where monitoring shows an inadmissible deviation, a
standstill shall be effected and an alarm signal be released at
the control points.
6.5.3
Limiting functions
(1) To limit the crane and trolley movement as well as the

lifting and lowering movement, operational travel limiters in
accordance with Table E-1 shall be provided. Additional safety
travel limiters shall be provided in accordance with Table E-1.
a) for lateral transport drives where no mechanical travel way
end limiters are provided,
b) for hoists at the top and bottom end of hoist travel way.
(2) Where electronic travel way measuring systems are
used, the adjustment function (preset) of these systems shall
be released by technical measures (e.g. key-operated
switches). Redundant travel way measuring systems shall be
designed and arranged such that a simultaneous mechanically
caused failure of the transmitters is excluded.
(3) Where the operational travel limiter responds, its slowing-down path shall be dimensioned such that drive standstill
is effected prior to reaching the safety travel limiter position.
Upon response of the operational travel limiter, movement in
the respective opposite direction shall be possible.
(4) As long as the safety travel limiter is actuated, no movement of the lateral transport drive or hoist shall be possible.
For in-service inspections measures shall be taken to make
movement in opposite direction possible upon running into the
safety travel limiter. The response of the safety travel limiter
shall trigger an alarm signal at the control points.
(5) It shall be ensured by technical measures that mechanical travel limiters and safety travel limiters can only be approached with the allowable speed. Measures to limit and
monitor the allowable speed at the lateral transport drive and
hoist end positions are not required if
a) for lateral transport drives
aa) the mechanical travel way end limiter is designed for
the nominal speed
or
ab) the slowing-down path provided for at response of the
safety travel limiter is dimensioned such that the me-
chanical travel limiter is not approached or only at the

allowable speed,
b) for hoists the slowing-down path provided for at response
of the safety travel limiter is adequately dimensioned.
(6) If, for safety reasons, the lifting and lateral movements
need be partially or entirely restricted (e.g. movements above
the fuel pool), this shall be ensured by a respective interlock
function. The activation of the interlock shall trigger an alarm
at the control points.
6.5.4
6.5.4.1
Control and alarm systems

Control system
(1) An interlock shall be provided to ensure that no drives

are started up when activating lifting equipment (even in the
case of an activated control device).
(2) In the case of drives with specific speed levels, the
speed controls for the hoists and lateral transport drives shall
be designed such that the maximum speed can only be set by
passing through the individual speed levels starting at zero.
The individual speed levels shall be displayed at the controls.
(3) The controls shall be designed not to be self-locking.
Mechanical controls shall be designed to self-reset into normal
position. This is not required if a release switch in the control
mechanism initiates the resetting procedure electronically.
(4) At the controls, the direction of movement shall be clearly
discernible and identical to the markings on the lifting equipment or building.
(5) All control points shall be equipped with an "emergencyoff" switch for all-pole disconnection which turns off all drives.
This switch shall remain operative even at inactivated control
points. The emergency-off function shall be designed to DIN
EN 60204-32 in stop category 0 or stop category 1. Where
stop category 1 is used, the delayed safe shut-off (less than
0.5 seconds) shall be initiated independently of the drive
standstill reached.
(6) For transport operations to KTA 3903, Sec. 9.2 (10) a
switch-off device, e.g. an additional emergency-off switch shall
be provided for all-pole disconnection of drives by the supervising person. The position of this switch-off device shall make
a sufficient overview on the respective work area possible.
(7) Where several control points are available, they shall be
interlocked such that the lifting equipment is controllable from
only one point.
(8) Wireless controls shall meet the requirements of DIN EN
60204-32, Sec 9.2.7.
6.5.4.2
Signalling systems
(1) The signalling systems shall differentiate between report

signals, e.g. operational conditions or interlocks, warning signals, e.g. changes or imminent changes of operational conditions, and alarm signals effecting switching off.
(2) The report signals shall be optically displayed, warning
and alarm signals both as optical and as acoustic signals.
(3) It shall be possible to test the optical displays and sound
generators by actuating a test button.
(4) Optical displays shall remain actuated until the corresponding condition has been eliminated. When warning signals and alarm signals have been acknowledged, the optical
displays shall change from blinking to continuous light and the
acoustic signal shall be muted. Any subsequent warning or
alarm signal shall reactivate the acoustic signal.
KTA 3902 Page 14
7
7.1
Increased requirements for cranes, winches, trolleys

and load suspending devices
This Section applies to the support structures of cranes, trolleys and winch frames.
7.1.1
Design

a) erection loads including the corresponding load cycles
b) operational loads including the corresponding load cycles
c) loads from external events in accordance with Sec. 4.5,
d) ambient conditions in accordance with Sec. 4.6.
Hoists
7.2

Drive mechanisms
7.2.1

series electric hoists, couplings and brakes.
7.2.1.1
Design

drive mechanisms:
a) erection loads including the pertinent load cycles over the
intended deployment duration,
b) operational loads including the pertinent load cycles over
c) dead load of the load carrying attachments and load carrying means,
(2) The load support structures shall be classified with respect to

a) the maximum erection load: lifting class H1 and loading
level group B2 to DIN 15018-1.
b) the maximum operational load: lifting class H4 and loading
level group B4 to DIN 15018-1.
d) special loads, e.g. loads from the acceptance test, from inservice inspections, from test runs of the transmission,
during one operational load cycle shall be determined by
means of calculation or experimentally in each individual case.
As regards the determination of the live load factor this dynamic load factor shall be multiplied by a safety factor of 1.25.
e) running time of the hoist under erection load, operational

load and dead load as well as pertinent average hoisting
speed and average travel path,
(4) The loading resulting from shifting load shall be considered a special load case in accordance with DIN 15018-1 for
the load support structure.
f) running time for which a lifting equipment with double drive

mechanism chain shall be designed to manipulate the load
after failure of one drive mechanism chain.
Note:
load for in-service inspection, see also KTA 3903, Annex D,
Section D 3.1.
g) ambient conditions in accordance with Sec. 4.6.

7.1.2
Analytical proofs

with Annex B Sec. B 2.1.
(2) An analysis for cyclic operation need not be carried out, if
in accordance with Annex B Sec. B 1.2.1.2.
to be re-assembled upon disassembly the following applies in
addition to (2):
the analysis.
7.1.3
The requirements of Section 6.1.3 shall be met.
(2) When dimensioning the hoists with a double drive

mechanism chain, both drive mechanism chains shall be considered as mutually carrying the load under consideration of
para 1 f). This does not apply to the brakes.
(3) The safety brake shall be designed for the maximum
operational load with due consideration of the maximum possible failure load in the drive mechanism chain. The design
moment shall be at least 1.4 times the static load moment.
The braking distance of the safety brake for maximum possible failure load shall, basically, not exceed three times the
braking distance of the operational brake. The acceptability of
larger braking distances shall be demonstrated for each individual case.
Note:
The braking distance of the operational brake is understood to be
the entire distance travelled from the moment of actuating the
brakes by an "emergency-off" to total arrest of motion. The braking distance of the safety brake is understood to be the entire distance travelled from the moment of failure to total arrest of motion.

KTA 3902 Page 15
7.2.1.2
Analytical proofs

Annex B Sec. B 2.2.
7.2.1.3
7.2.1.3.1
(1)

General
Section 6.2.1.3 applies to hoists.
(2) In addition, hoists shall be equipped with a double drive

mechanism chain or with a single drive mechanism chain with
a safety brake.
(3) In the case of hoists with a double drive mechanism
chain, redundancy is required for all mechanical components
in the load path including the brakes, except for hooks and the
load support structures of the top and bottom blocks.
(4) It shall be possible even during non-stationary operation
to define the static condition of both drive mechanism chains.
(5) In the case of a single drive mechanism chain with safety
brake, redundancy is required for the ropes and rope pulleys.
(6) The failure of a component within a double drive mechanism chain or within a single drive mechanism chain with
safety brake shall initiate shutdown of the drive mechanism.
(7) If systems and auxiliary media (liquids, gases) are installed to take up or dampen a load shifting pulse, this system
shall be monitored (e.g. pressure, filling level). Any impermissible deviation shall initiate shutdown of the drive mechanisms.
(8) In case of hoists for handling
a) fuel elements, rod cluster control elements and core instrumentation lances in pressurised water reactors,
b) fuel elements, control rods and fuel channels in boiling
water reactors,
c) enclosures of core internals
the loads arising at the load attaching points of these core
components due to load shifting shall be limited.
The design shall ensure that the loads arising from load shifting do not lead to more unfavourable loadings at the load
attaching points than those arising from the dead weight of the
core component, multiplied by a load intensification factor of 4.
7.2.1.3.2
Transmissions
Sec. 6.2.1.3.2 applies to the transmissions.

7.2.1.3.3
(1)
Brakes
Sec. 6.2.1.3.3 applies to brakes.
(2) In case of a break of the shaft or transmission, the safety

brake shall engage on the rope drum or at the end of the drive
mechanism chain. It shall be possible to safely set down the
load by means of devices or operational measures.
Rope drives
7.2.2
This Section applies to ropes, rope pulleys, rope drums, rope

end terminations and the rope drum hinge connection.
7.2.2.1
(1)
Design
Sec. 6.2.2.1 applies to the design of rope drives.
(2) If the maximum operational load is applied in consideration of the dynamic loading upon component failure in a rope
drive, then the rope diameter shall be such that after a com-
ponent failure in one rope drive a minimum safety against

failure of 2.5 with respect to the rope minimum breaking
strength is demonstrated in the other load-carrying rope drive.
(3) The design forces and moments for the rope drum hinge
connections shall be increased by 20 %.
7.2.2.2
Analytical proofs

Annex B Sec. B 2.2.4.
7.2.2.3
(1)
Section 6.2.2.3 applies to rope drives.
(2) In addition, in case of a single drive mechanism chain

with a safety brake each rope drum shall be equipped with a
support bearing that is designed such that the safety brake
remains effective in the case of a break in the shaft or transmission and that the load can be safely set down in the case
of a failure of a drum bearing or break of the drum trunnion.
7.3

axles and shafts.
7.3.1
Design
Sec. 6.3.1 applies to the design of lateral transport drives.

7.3.2
Analytical proofs

Annex B Sec. B 1.3.
7.3.3
Sec. 6.3.3 applies to the design and structural requirements of

lateral support drives.
7.4
Load-attachment and load suspending devices
This Section applies to load carrying means, load carrying

attachments and load attachment riggings.
7.4.1
Load carrying means
This Section applies to jigs and fixtures permanently connected to the lifting equipment for the purpose of attaching
load carrying attachments, load attachment riggings, or carrying loads (e.g. hooks, hook mountings, grabs, lifting beams,
hangers as well as top and bottom blocks and the mountings
for compensation pulleys and rope end terminations.
7.4.1.1
Design
(1) The hooks shall be classified with respect to the drive

mechanism groups in accordance with Sec. 6.4.1.1 (1) and
(2), however, with respect to the operational load at least in
drive mechanism group 3m.
(2) The design of load carrying means as load support structures shall be in accordance with the requirements of
Sec. 7.1.1 and the design of load carrying means as machine
parts in accordance with Sec. 7.2.1.1.
(3) In the case of non-redundant load carrying means 1.25
times the live load factor shall be used in the analysis. Para. 1
applies to the hook.
KTA 3902 Page 16
subject to additional tensional loading are used, then the required number of bolts shall be doubled or the determined bolt
load shall be increased by a factor of 1.5 both in the general
analytical proof of stresses and the analysis for cyclic operation or endurance limit. These requirements need not be met if
bolts to KTA 3903, Annex A, materials test sheet WPB 3.17
are used.
7.4.1.2
Analytical proofs

only required
b) for non-rotating mechanical parts and other components of
load attaching points at more than 6,000 stress cycles.
Note:

used.
(3) In addition to (2) the requirements of clause 7.1.2 (3)
apply in case of joints with pre-tensioned bolts which, after
disassembly, have to be re-assembled again.
7.4.1.3
The requirements of Sec. 6.4.1.3 apply.

Load carrying attachments
7.4.2
This Section applies to jigs and fixtures not belonging to the

lifting equipment, which can be connected to the load carrying
means of the lifting equipment for the purpose of attaching the
load, e.g. hooks, hook mountings, lifting beams, hangers and
grabs.
7.4.2.1
Design
(1) The design of load carrying attachments as load support

structures shall be in accordance with the requirements of
Sec. 7.1.1 and the design of load carrying attachments as
machine parts in accordance with Sec. 7.2.1.1.
(2)
Sec. 7.4.1.1 applies to hooks.
(3) In the case of non-redundant load carrying attachments

1.25 times the live load factor shall be used in the analysis.
(4) The requirements of Sec. 6.4.2.1 (3) and of 7.4.1.1 (4)
apply.
7.4.2.2
Analytical proofs

7.4.2.3
Load attachment rigging
The requirements of Sec. 6.4.3. apply.

7.5
In addition to Section 6.5, the following applies:

a) The loss of one outer conductor of the hoist motor or drive
converter power supply shall automatically lead to an allphase switch-off of the hoist motor. The loss of one outer
conductor shall trigger an alarm signal at the control points.
b) In the case of hoists with a single drive mechanism chain a
monitoring device shall be provided to engage the safety
brake in case of damage caused by break of the shaft or
transmission. Where, in case of failure of this function, an
event beyond the accident planning reference levels of
49 of the Radiation Protection Ordinance is to be assumed and where the function is provided by means of
software-based systems, monitoring of hoists with a maximum operational load greater than 5 t shall be ensured by
two independent and varying devices (for examples see
Figures E-2 and E-4). In this case, one of the monitoring
devices shall detect the break of the shaft or transmission
by continuous comparison of rotational movement of the
drive motor and the rope drum. The engagement of the
safety brake at hoist movement shall be recorded by a meter. The non-disengaging of the safety brake shall be monitored.
c) The reinstation to operation after failure of a component in
one drive mechanism chain shall only be possible by
means of a key switch in the electrical operation room.
d) Where, in case of failure of the safety travel limiter at the
hoist gear travel end, an event beyond the accident planning reference levels of 49 of the Radiation Protection
Ordinance is to be assumed and where the function is to
be provided by means of software-based systems, switching-off in case of excess of the allowable speed and of the
safety travel limiter shall be effected by two independent
and varying devices (for examples see Figures E-1, E-3
and E-4).
e) The failure of a component in a double drive mechanism
chain or in a drive mechanism chain with safety brake shall
lead to a shutdown of the drive mechanism and shall trigger an alarm signal at the control points.
f) If systems and auxiliary media (liquids, gases) are provided to take up or dampen a load shifting pulse, this system shall be monitored (e.g. pressure, filling level). Any
impermissible deviation shall initiate arrest of motion and
shall trigger an alarm signal at the control points.
g) A continuous load indicator shall be provided at the control
points.
h) If for certain transports a limitation of the load in the partload area of the maximum operational load is required, it
shall be ensured in addition to the overload protection as
per 6.5.2 (4) that further limit values for overload can be
adjusted.

7.4.3
13849-1 shall basically be met, in which case the Performance

Levels shall be determined to Annex E, Section E 1 (deviating
from the method laid down in DIN EN ISO 13849-1, Section
4.3). Table E-1 assigns Performance Levels to the respective
typical functions. Deviations from the Performance Level laid
down in Table E-1 shall be justified in each individual case.
8
8.1
This Section applies to the load support structures of cranes

and trolleys.
The requirements of Sec. 6.5 shall be met. When realizing the

functions required for safe operation of lifting equipment to
KTA 3902, Section 4.3 the requirements of DIN EN ISO
Requirements for refueling machines for light water

reactors
8.1.1
Design

KTA 3902 Page 17
a) operational loads including the pertinent load cycles over

b) loads from external events in accordance with Sec. 4.5,
c) ambient conditions in accordance with Sec. 4.6.
(2) The load support structures shall be classified with respect to the maximum erection load in lifting class H4 and
loading level group B4 in accordance with DIN 15018-1.
during one operational load cycle shall be determined by
means of calculation or experimentally in each individual case.
As regards the determination of the live load factor this dynamic load factor shall be multiplied by a safety factor of 1.25.
(4) The loadings resulting from load shifting shall be considered a special load case in accordance with DIN 15018-1 for
the load support structure.
Analytical proofs
8.1.2

(2) An analysis for cyclic operation need not be carried out, if
in accordance with Annex B, Sec. B 1.2.1.2.
to be re-assembled upon disassembly the following applies in
addition to (2):
the analysis.
8.1.3
(1)
The requirements of Sec. 6.1.3 apply.
(2) The refueling machines shall be constructed such that

corresponding compensation measures counteract the deflection of the bridge girders in order to make vertical lifting possible during insertion and removal of fuel assemblies.
b) dead load of the load-attachment and load suspending

devices,
c) special loads, e.g. loads from the acceptance test, from inservice inspections, from test runs of the transmission,
Note:
load for in-service inspection, see also KTA 3903, Annex D,
Section D 3.1.
d) running time of the hoist under operational load and dead

load as well as pertinent average hoisting speed and average travel paths,
e) running time for which a lifting equipment with double drive
mechanism chain shall be designed to manipulate the load
after failure of one drive mechanism chains.
f) ambient conditions in accordance with Sec. 4.6.
(2) When dimensioning the hoists with a double drive
mechanism chain, both drive mechanism chains shall be considered as mutually carrying the load under consideration of
para. (1) e). This does not apply to the brakes.
(3) The safety brake shall be designed for the maximum
operational load with due consideration of the maximum possible failure load in the drive mechanism chain. The design
moment shall be at least 1.4 times the static load moment.
The braking distance of the safety brake for maximum possible failure load shall basically not exceed three times the braking distance of the operational brake. The acceptability for
larger braking distances shall be demonstrated for each individual case.
Note:
The braking distance of the operational brake is understood to be
the entire distance travelled from the moment of actuating the
brakes by an "emergency-off" to total arrest of motion. The braking distance of the safety brake is understood to be the entire distance travelled from the moment of failure to total arrest of motion.

8.2.1.2

Annex B Sec. B 2.2.
8.2.1.3
8.2
Hoists

8.2.1
Drive mechanisms

couplings and brakes.
8.2.1.1
Design

drive mechanisms:
a) operational loads including the pertinent load cycles over
Analytical proofs
8.2.1.3.1
(1)

General
Section 6.2.1.3 applies to hoists.
(2) In addition, hoists shall be equipped with a double drive

mechanism chain or with a single drive mechanism chain with
a safety brake.
(3) In the case of hoists with a double drive mechanism
chain, redundancy is required for all mechanical components
in the load path including the brakes except for the grab and
load guides.
(4) It shall be possible even during non-stationary operation
to define the static condition of both drive mechanism chains.
(5) In the case of a single drive mechanism chain with safety
brake, redundancy is required for the ropes and rope pulleys.
KTA 3902 Page 18
(6) The failure of a component within a double drive mechanism chain or within a single drive mechanism chain with
safety brake shall initiate shutdown of the drive mechanism.
8.2.2.3
(7) Slack rope monitoring shall be carried out and equipment

for a continuous measurement of the load be provided.
(2) In addition, each rope drum shall be equipped with a

support bearing that is designed such that the safety brake
remains effective in the case of a break in the shaft or transmission or that the load can be safely set down in the case of
a failure of a drum bearing or break of the drum trunnion.
(8) It must be possible to set down the fuel assembly in a

safe position, even in the case of power failure or failure of a
component in the drive mechanism.
(9) The movements of all manually operated parts, with the
exception of the emergency drives, shall be limited in a reliable way.
(10) If systems and auxiliary media (liquids, gases) are installed to take up or dampen a load shifting pulse, this system
shall be monitored (e.g. pressure, filling level). Any impermissible deviation shall initiate arrest of motion.
(11) In case of hoists for handling
a) fuel elements, rod cluster control elements and core instrumentation lances in pressurised water reactors,
b) fuel elements, control rods and fuel channels in boiling
water reactors,
c) enclosures of core internals
the loads arising at the load attaching points of these core
components due to load shifting shall be limited.
The design shall ensure that the loads arising from load shifting do not lead to more unfavourable loadings at the load
attaching points than those arising from the dead weight of the
core component, multiplied by a load intensification factor of 4.
8.2.1.3.2
Transmissions
Section 6.2.1.3.2 applies to the transmissions.

8.2.1.3.3
(1)
Brakes
Section 6.2.1.3.3 applies to brakes.
(2) In the case of a break of the shaft or transmission, the

safety brake shall engage on the rope drum or at the end of
the drive mechanism chain. It shall be possible to safely set
down the load by means of devices or operational measures.
Rope drives
8.2.2
This Section applies to ropes, rope pulleys, rope drums, rope

end terminations and the rope drum hinge connection.
8.2.2.1
(1)
8.3
Section 6.2.2.3 applies to rope drives.

axles and shafts.
8.3.1
Design
Sec. 6.3.1 applies to the design of lateral transport drives.

8.3.2
Analytical proofs

Annex B Sec. B 1.3.
8.3.3
Section 6.3.3 applies to the design and structural requirements of lateral support drives.
8.4
Load-attachment and load suspending devices
This Section applies to grabs and load guides of refueling

machines, e.g. telescoping mast and guide tube.
8.4.1
Design
(1) The design of load guides as load support structures

shall be in accordance with the requirements of Sec. 8.1 and
the design of grabs in accordance with Sec. 8.2.
(2) In the case of non-redundant hoisting gear 1.25 times the
live load factor shall used in the analysis.
subject to additional tensional loading are used, then the required number of bolts shall be doubled or the determined bolt
load shall be increased by a factor of 1.5 both in the general
analytical proof of stresses and the analysis for cyclic operation or endurance limit. These requirements need not be met if
bolts to KTA 3903, Annex A, materials test sheet WPB 3.17
are used.
Design
Section 6.2.2.1 applies to the design of rope drives.
(2) In addition to Sec. 6.2.2.1, if the maximum operational

load is applied in consideration of the dynamic loading upon
component failure in a rope drive, then the rope diameter shall
be such that after a component failure in one rope drive a
minimum safety against failure of 2.5 with respect to the rope
minimum breaking strength is demonstrated in the other loadcarrying rope drive.
(3) The design forces and moments for the rope drum hinge
connections shall be increased by 20 %.
8.2.2.2
(1)
Analytical proofs

Annex B Sec. B 2.2.4.
8.4.2
Analytical proofs

only required
b) for non-rotating mechanical parts and other components of
load attaching points at more than 6,000 stress cycles.
Note:

used.
KTA 3902 Page 19
8.4.3
(1)

The load shall be attached in a positive-locking way only.
(2) The grabs shall be interlocked in two independent ways

against unintentional opening and opening in locations that
are non-permissible for safety reasons. This also applies in
the case of complete or partial power failure (electricity, hydraulics, pneumatics).
(3) It must be possible to set down the fuel assembly in a
safe position, even in the case of a power failure.
8.5
The requirements of Sec. 6.5 and 7.5 shall be met, however

the realization of the safety functions as per sub-clause 7.5 b)
or 7.5 d) is not required by means of two different systems.
When realizing the functions required for safe operation of
lifting equipment to KTA 3902, Section 4.4, the requirements
of DIN EN ISO 13849-1 shall basically be met, in which case
the Performance Levels shall be determined to Annex E, Section E 1 (deviating from the method laid down in
DIN EN ISO 13849-1 Section 4.3). Table E-1 assigns Performance Levels to the respective typical functions. Deviations
from the Performance Level laid down in Table E-1 shall be
justified in each individual case.
In addition to the requirements of Sec. 6.5 and 7.5, the following applies:
a) The end positions "open" and "closed" of the grabs and all
related interlocks shall be optically displayed at the control
points. No movement of the hoist shall be possible before
any of the two end positions is reached.
b) It shall not be possible to actuate the switch for the power
supply to the refueling machine unless this actuation has
been released, either by means of a key-operated switch
or similarly safe switching means from the reactor control
room or from a location comparable from a safety point of
view. Communication shall be possible between this location and all control points, either directly or through an intercommunication system connected to a continuous power
supply. The action of taking back the clearance may not
trigger turning-off of the power supply switch; it shall, however, prevent a reactivation of the power supply switch after it has been turned off.
c) The position of the fuel assembly grabs shall be displayed

with all coordinates.
d) The continuous load measurement device on the control
console shall be equipped with a display of the actual load
attached to the rope. For certain assigned loads, e.g. fuel
assemblies or control rods, specifically assigned limit values depending on the type of operation shall automatically
be activated in the case of overload or underload and
switch off the hoist.
e) The response of any limit load monitor and the response of
the slack-rope monitor shall trigger an alarm signal at the
control points.
f) Lateral movements shall be interlocked such that they are
only possible if the grab has reached the allowable altitude
permitted for the respective operation.
g) In order to limit the lateral movements to the travel area permitted with regard to safety which is defined by the contour
of the reactor and fuel pool areas as well as by fixed internals, an independent safety travel limiter shall be provided
in addition to the operational travel limiter to Sec. 6.5.3 (1).
h) If parts of the refueling machine can be moved both manually and by motors, turning on of the motor drive is not allowed and shall be made impossible as long as a manual
movement can be performed.
i) In the case of hoists with telescope mast the correct sequence of mast sections during extension and retraction of
the telescope mast shall be monitored. In the case of
hoists with double grab the correct sequence during extension and retraction of the movable parts (centering bell,
fuel assembly grabs, control rod grabs) shall be monitored.
In case of failure the hoist shall be switched off.
j) The setting down of a transported load (e.g. fuel element)
on an already occupied position in the fuel pool or reactor
core shall be prevented by an interlock.
k) The electrical interlock to Sec. 6.5.2 (9) shall be designed
such that the control command for the detachment of the
load can only be executed at simultaneous release of two
independent criteria (e.g. hoisting height and load).
l) It shall be ensured by interlocking that, when passing over
the BWR flooding compensator or the PWR reactor vessel
cavity seal, no lifting or lowering movement of the main
hoist is possible.
KTA 3902 Page 20
Annex A
Examples for classification of lifting equipment
A 1 Examples for classification of lifting equipment in

Pressurized Water Reactor plants
Serial
number
Lifting equipment
Additional Increased
requirerequirements in
ments in
accordance accordance
with
with
Sec. 4.2
Sec. 4.3
Reactor building crane

except for maintenance
hoist
Semi-gantry crane
Walking crane inside the

reactor building
Crane in new fuel storage
Auxiliary hoist on the

refueling machine
Lifting beam for radiation

protection slabs above
the reactor pool and setdown pool
Lifting beam for the irradiated fuel shipping cask
Lifting beam for the shipping cask for fresh UO2

fuel assemblies
Lifting beam for the metallic contamination protection shroud
Lifting beam for reactor

pressure vessel internals:
- upper core structure
- lower core structure
Lifting beam for refueling
slot gates
13
Lifting beam for the stud

tensioner of the reactor
pressure vessel cover
Auxiliary hoist on the

refueling machine
Winch for handling irradiated fuel assemblies in

the storage pool
X
X
X
Lifting beam for the

cover of the reactor
pressure vessel and
containment and for the
flooding compensator
Lifting beam for radiation

protection slabs of the
reactor pool and setdown pool
Lifting beam for refueling

slot gates
Lifting beam for steam

separator and steam
dryer
10
X
11
X
X
Additional Increased
requirerequirements in
ments in
accordance accordance
with
with
Sec. 4.2
Sec. 4.3
Reactor building crane

except for maintenance
hoist
Crane in new fuel storage
Lifting equipment
12
Serial
number
11
Examples for classification of lifting equipment in

Boiling Water Reactor plants
Lifting beam for the

cover of the reactor
pressure vessel
10
A2
12
Lifting beam for the irradiated fuel shipping cask

inside the reactor building
Lifting beam for the shipping cask for fresh UO2

fuel assemblies inside
the reactor building
Lifting beam for the metallic contamination protection shroud
Lifting beam for the stud

tensioner of the reactor
pressure vessel cover
A 3 Examples for procedural steps of classifying lifting equipment to KTA 3902

Classification
Component mass
Handling in/over
open RPV
> 200 kg
(RPV fuel assemblyloaded)
yes
1)
Have additional measures been taken by

which, in case of lifting equipment failure,
damage to fuel assembly or other damage that
may lead to a criticality accident, can be safely
excluded?
no
yes
KTA 3902
Section 4.3
"Increased requirements"
no
Component mass
> 80 kg
Handling within the plant building
Handling in/over
fuel pool
Handling in vicinity
of fuel assembly
storage pool
1)
no
yes
no
no
Restricted lifting
equipment travel
way or lifting height
(< 1,2 m)
ye
s
1)
In case of lifting equipment failure, max.

allowable release to atmosphere less
than permitted by nuclear licence and
radiation exposure to individual persons
below limit values of Radiation Protection
Ordinance
KTA 3902
Section 4.2
"Additional requirements"
no
yes
no
yes
Radiological exposure
per person due to lifting
equipment failure
Handling in other
areas within plant
buildings
- external < 5 mSv

- internal < 1 mSv
Is release of radioactive
substances to be assumed due to
failure of lifting equipment?
2)
2)
yes
Can impairment of safetyrelevant components and a nonisolatable LOCA leak be

excluded ?
yes
KTA 3902
Section 3
"General provisions"
no
Handling on plant area

(outside plant buildings,
but within NPP
boundary fence)
1) The numerical values are based on experience and are guide values only. Lifting equipment shall be classified in due consideration of the actual conditions (inter alia location of use, component geometry)
within the nuclear licensing and supervisory procedure.

dure.
KTA 3902 Page 21
2) Lifting equipment shall be classified in due consideration of the actual conditions (inter alia location of use, frequency and duration of transport operations) within the nuclear licensing and supervisory proce-
KTA 3902 Page 22
Annex B
Load cases and analytical proofs for lifting equipment
B1
B 1.1
B 1.2
B 1.3
B 1.4
Load cases and analytical proofs for cranes, winches, trolleys as well as loadsuspending devices under Sec. 6
Hoists
Load suspending devices
B2
B 2.1
B 2.2
B 2.3
B 2.4
Load cases and analytical proofs for cranes, winches, trolleys as well as load suspending devices under Sec. 7 and for
refueling machines under Sec. 8
Hoists
Load suspending devices
B3
Analytical proof using the finite element method
B4
Nomenclature and physical quantities
B 1 Load cases and analytical proofs for cranes,

winches, trolleys as well as load suspending devices
under Sec. 6
B 1.1 Load support structures
B 1.1.1 Erection loads and operational loads
(1) The erection loads and operational loads shall be calculated in accordance with DIN 15018-1. For components of load
support structures made of the austenitic steels 1.4541,
1.4306 and 1.4571 to DIN EN 10088-2 or DIN EN 10088-3 the
allowable stresses shall be taken from Section D 1.
(2) Where the operating conditions are exactly known, e.g.
the actually occurring loadings and stress cycles, the analysis
for cyclic loading for a single-step or multi-step load collective
on the basis of a stress-number diagram may be performed to
Annex C for the steels S235 and S355, or on the basis of a
stress-number diagram be performed to Section D 2 for the
austenitic steels 1.4541, 1.4306 and 1.4571.
The analytical proof based on a multi-step stress-number
diagram shall be performed in due consideration of a damageequivalent stress to the linear damage rule (Miner rule) according to formula (B 1-12).
The following safety factor as regards maximum stress shall
be observed:
= D / 1.12.
B 1.1.2 Performance of analytical proofs
Analytical proofs may be performed either by calculation or
experimentally or as a combination of calculation and experiments. To this end, the calculation methods described in Annex B of KTA 3201.2 may be applied (e.g. Finite Element
Method) or other methods to be specified. When applying the
Finite Element Method the requirements of Section B3 shall
be met.
B 1.2 Hoists
B 1.2.1 Design parameters
B 1.2.1.1 Determination of moments and forces
(1) The moments specified in Table B 1-1 shall be determined for the design of the structural elements of the drive
mechanism chain, starting with the operational brake and

ending with the rope drum.
Note:
(2) The calculation of the moments T$M , T$B , T0 and T$ SO shall

be based on the following operational conditions and shall be
performed for the individual intersection:
a) Acceleration during lifting:
Jab
T$BS = TL TR + s 2 TR + ( TMot TL TR )
Jab + Jan
(B 1-1)
where TMot is the largest motor moment created during the
stepwise switching-up of the motor for drives with threephase current slip-ring rotor motors. If this is not exactly
known, then, in case of automatic switching-up with time or
frequency relays, a value of 2/3 of the motor pull-out torque,
and in case of manual switching-up the full motor pull-out
torque shall be used. In the case of drives with squirrelcage rotor motors, the start-up moment upon turning on
the motor shall be used. In the case of converter drives,
the motor moment at the upper current limit shall be used.
b) Deceleration during lowering:
T$BR = TL + TR + s ( TBre TL TR )
Jab
,
Jab + Jan
(B 1-2)
with s = 2
c) Lifting of a set-down load:
T
= (T + T )
AN
(B 1-3)
Note:
The live load factor is chosen in accordance with the classification of the load support structure.
The following rule shall apply to the directional sense:

All torques shall be given a positive sign if, on the input side of
the drive shaft analysed, they act in the direction of motion
and, on the output side in the direction of motion of the drive
shaft counter to the direction of motion.
(3) The design forces for the non-rotating mechanical parts
between rope drum and load shall be determined from the
above moments.
KTA 3902 Page 23
TM
Nomenclature
Static moment for the maximum erection load
Dynamic moment for the
maximum erection load TM
(largest value of
T$ , T$ , T$ )
T$M
BS
TB
TO
T0
TSO
BR
AN
b) Case B:
1 < D
N1 < ND
None of the load cycle values larger than ND shall be considered.
shall be calculated from the load collective steps up to ND.
1 < D
N1 ND
The endurance limit shall be calculated on the basis of 1.
c) Case C:
B 1.2.1.2 Determination of stress cycles

(1) The stress cycles required for the demonstration of adequate cyclic strength or of the endurance limit shall be determined as follows:
a) rotating components:
h 3600
Ui = i
Vi
(B 1-4)
si
(B 1-5)
(B 1-6)
Schi
Ni = 60 ni hi N
i
(B 1-7)
Ni = 0, because only static stresses occur.
(B 1-8)
b) non-rotating components:
=U Z
N
k
i
Schi
Ni = 0, because only static stresses occur.
Z Schi
Z Schi
(4) In Case A and Case B, a damaging equivalent stress

(e.g., , k, ) shall be calculated in accordance with the linear
damage rule (Miner's rule) as follows:
N ( / )c
i i
1
= 1 i
ND
(B 1-10)
= 10,
=
3,
= 30 s, however, at a maximum only 50 % of the integral running time if no additional proof is rendered,
= 10 in the case of precision hoists and of
converter drives,
= 20 in the case of other drives.
1/ c
(B 1-12)
log ()
(B 1-9)
The following values shall be inserted:
ka
t
(2) The location of the component's S/N diagram within the

creep fatigue range shall be determined from the values for NZ
and x as well as ND and D; in a logarithmic diagram, the S/N
diagram is represented by a straight line with a gradient that
shall be determined by the following equation:
log ND log N Z
c = tan =
(B 1-11)
log x log D
a) Case A: 1 D
If no step in the load collective does touch or exceed the elongation of the S/N diagram, then shall be calculated from all
steps in the load collective.
Table B 1-1: Moments
= U ni t
N
i
i
i
60
=U Z
N
(1) From the determined moments in accordance with Table B 1-1 and the resulting forces, the stresses in the component shall be calculated and sorted according to size. With the
corresponding stress cycles, the load collective shall be established. This load collective shall be compared to the component's stress-number diagram (cf. Figure B 1-1).
Examples for determining load collectives are presented in [12].
(3) The demonstration of adequate cyclic strength or endurance limit shall be based on cases A, B or C shown in Figures B 1-2 through B 1-4:
Maximum moment for the special load case, e.g. acceptance

test, in-service inspection,
transmission test run, simultaneous engagement of the operational and additional brake
special load case TSO
TSO
(2) If the actual stresses within one load cycle are known
through experimental investigations or through an applicable
estimation of the loading with adequate mathematical models
(e.g. taking into account the inner-friction loss of the oscillatory
energy impressed upon the system by the coupling impulse),
the analysis for cyclic operation may be based on these values.
B 1.2.1.3 Determination of the (general) load collective
AN
Dynamic moment for dead

weight TO (largest value of
T$ , T$ , T$ )
BS
BR
Static moment for the maximum operational load

maximum operational load TB
(largest value of
Analysis for
T$BS , T$BR , T$ AN )
cyclic opeStatic moment for idling runs ration and
if the dead weight of half the static load
analysis for
load carrying means plus
load carrying attachment plus the first
level of the
load attachment rigging is
larger than 30 % of the maxi- load collective
mum load
T$B
Type of proof
Load
Mocase no. ments
N2
4
ND
NZ
N1
N3
Figure B 1-1: Stress collectives
N4
log (N)
KTA 3902 Page 24
B 1.2.2 Shafts, axles and similar component parts
log ()
B 1.2.2.1 Determination of stress-number diagram
1
D
NZ
ND Nges
log (N)
N1
Figure B 1-2: Stress-number diagram for Case A
log ()
(1) In the case of shafts, axles and similar component parts,

the location of the S/N diagram in the creep limit range is
given by the endurance limit dependent on the loading stress
6
D (tension, compression, bending, torsion) for 510 stress
cycles (ND), and x shall be the yield strength dependent on
the loading condition for 1104 stress cycles (NZ). The endurance limit is set for a survival probability of 50 %. Decisive for
the specification of the value of the yield point is the elastic
ratio (ratio of yield strength ReH or Rp0.2 to tensile strength Rm)
of the material used. Here, the following applies:
a) if the elastic ratio is less than 0.7, the value of the yield
strength ReH or proof stress Rp0.2 shall be taken,
b) if the elastic ratio is equal to or greater than 0.7, the tensile
strength value limited to 0.7 x Rm shall be taken.
Where an analytical proof to [7] is performed, the location of
the S/N diagram in the creep limit range for shafts, axles and
similar component parts in load suspending devices may be
determined in accordance with [7] with the points of support D
6
(endurance limit depending on loading) at 5 x 10 stress cy3
cles (ND) and x = Rm at 5 x 10 stress cycles (NZ). The limit
values under a) and b) for x need not be considered here.
Where the steels 1.4541, 1.4306 and 1.4571 to DIN EN 10088-2
or DIN EN 10088-3 are used, the stress-number diagram for
the analytical proof for cyclic loading shall be determined by
means of the parameters of Table B 1-2.
Parameters of stress-number diagram

in double-logarithmic coordinate system
Ser.
no.
Loading
ratio
R
D
1
0
-1
Stress coordinate at Life cycle coordinate at salient

salient point
point
SD (D)
2
ND
in N/mm
263.6
180.0
Slope
8.77
10.8
5.0 10
5.0 10
3
N1
NZ
ND
Nges log (N)
These parameters apply in the range 5.0 10 < N 5.0 106.
Table B 1-2: Parameters for the stress-number diagrams of

the steels 1.4541, 1.4306 and 1.4571 to DIN EN
10088-2 or DIN EN 10088-3
Figure B 1-3: Stress-number diagram for Case B
(2) The endurance strengths D and D shall be determined

as follows:
D = n , D = t , where t = n
(B 1-13)
Kn
Kt
3
(if applicable, the shear stress from transverse forces shall be
considered.)
log ()
(3) Values for material properties, fatigue strength reduction

factor, roughness factor, stress concentration factor and size
factor shall be taken from the referenced literature [1], [3], [4],
[5], [6], [7] or from the standards DIN 743-2 and DIN 743-3.
Other materials may be used if the necessary data are guaranteed and demonstrated.
D
1
NZ
ND N1
Figure B 1-4: Stress-number diagram for Case C
log (N)
(4) When applying DIN 743-2 and DIN 743-3 for determining
the factors influencing the design strength values, the following shall be used as regards the determination of the stressnumber diagram
a) as endurance limit D the value of the component endurance limit to DIN 743-1 and
KTA 3902 Page 25
b) as yield strength X the value of the component yield limit

to DIN 743-1 at the considered cross-section of the respective component
(3) The allowable contact Hertzian stresses apply to loadings

from operational or erection loads with static moment. For the
special loading case, these values may be increased by 50 %.
in dependence of the actually occurring loading (tension/pressure, bending or torsion) and the stress history (cyclic loading,
pulsating loading) to meet the requirements of DIN 743-1, DIN
743-2 and DIN 743-3. In this case, the ratio of mean stress to
stress amplitude due to the individually acting external load
can be presumed to be constant for all steps of the load collective. The limit values fixed under (1) (a) and (1) (b) for the
yield strength of the respective material in dependence of the
elastic ratio shall be considered.
(4) Proofs for splined shafts and pinion shaft linkages shall
be performed in accordance with Decker [4], where the allowable contact Hertzian stress of pzul = 0.4 Rp0.2 (ReH) shall not
be exceeded.
B 1.2.2.2 Safety factors for shafts, axles and similar component parts
(1)
The safety factors specified in Table B 1-3 shall apply.
(2) When applying the Finite Element Method the requirements of Section B3 shall be met.
Proof of
Static
strength 1)
Cyclic
strength
Loading
type
Equation
for proof of safety
First step
of the collective
1 = x / 1 k n
Collective
Case A
or B
1 = S t
(
/ (
1 k t
Required
safety factor
for additional
requirements
under Sec. 6
)
)
1.25
1.25
= D /
2.0
= D /
2.0
2
n

.
10
+ t

D
D
2.0
= D / 1
2.0
First collec = D / 1
Endurance
tive step
strength
2
2
2
Case A
1
1
.
10
+

D
D
2.0
2.0
1) Applies only to hoists; in the case of non-rotating components no
stress concentration factors are required and the required safety

factor is greater than or equal to 1.5, where ReH or Rp0.2 shall be
taken for x.
Table B 1-3: Safety factors for shafts, axles and similar component parts
B 1.2.2.3 Proofs regarding fitting keys

(1) The allowable contact Hertzian stress in the case of one
parallel key for the linkage with shaft or hub may be
pzul = 0.4 Rp0.2 (ReH)
and, with two parallel keys,
pzul = 0.3 Rp0.2 (ReH).
(2) The allowable contact Hertzian stress in the case of a
hardened parallel key linkage may be
and, with two parallel keys,
pzul = 0.4 Rp0.2 (ReH).
B 1.2.3 Pinions
B 1.2.3.1 Determination of the effective stresses and of the
load capacity
(1) The pinions strength shall be determined in accordance
with the following requirements to DIN 3990-11 or the analysis
procedure of Niemann [2].
(2) For both calculation procedures the stress levels for the
pinions (tooth foot stress and tooth flank compression) shall
be determined from the torque levels and be correlated with
the corresponding load cycle values.
(3) According to the calculation procedure of DIN 3990-11
the effective tooth foot stress F and the flank compression H
shall be determined for each stress level if they are required
for the cyclic and endurance strength with regard to the cases
mentioned in B 1.2.1.3.
(4) If the analysis procedure of Niemann [2] is used for determining the strength of pinions, the following shall apply:
For each stress level the effective tooth foot stress W and the
effective tooth flank compression kW shall be determined in
accordance with Niemann [2] for the pinions, taking into consideration the following additional requirements for the tooth
bearing error coefficient CT provided, this is necessary with
regard to the cyclic load or fatigue strength of the case differentiation mentioned in B 1.2.1.3.
a) For tempered and gas-nitrided pinions, a tooth bearing
error factor CT = 1.7 shall be used and for flame and case
hardened pinions, a value of CT = 1.5. If the calculation is
based on other CT values, this assumption shall be validated either analytically or experimentally.
b) The analytical proof may be based on Table 117/1, Niemann [2]. The effective tooth flank direction error fRW to be
used in this context may be determined, e.g., using the
equation presented therein on page 114, with a flank direction error fR for the pinion equal to 1.4 times the value of
the flank line deviation fH in accordance with DIN 3962-2.
The factor 1.4 takes the probable flank line deviation from
the fR values for pinion and wheel into account. The assumed pinion quality shall be demonstrated. The load distribution considered shall be parabolic for tempered pinions and linear for surface hardened pinions. The analysis
shall be carried out, e.g., in accordance with Dudley/Winter
[10] or in accordance with FVA [11]. This also applies to
overhanging pinions or wheels.
c) If the bearings of the transmission gears are located on the
load support structure, then it shall in all cases be demonstrated that the load bearing pattern coincides with that on
which the analysis is based and which determines the CT
value.
(5) For both calculation procedures the maximum load line
(maximum loading level) shall be correlated to the specified
stress levels of the pinions.
(6) If the calculation procedure to DIN 3990-11 is used for determining the strength of the pinions, the following shall apply:
a) The maximum loading limits for the creep and endurance
limit ranges shall be determined in accordance with
KTA 3902 Page 26
DIN 3990-11. The maximum load line to DIN 3990-11 for a

consideration of certain "pitting" shall not be used.
b) The material properties shall be taken from Table B 1-4 in
consideration of the material quality MQ to DIN 3990-5.
Other materials and material properties may be used if it is
proved that these values meet the same quality requirements as for quality level MQ.
(7) If the analysis procedure of Niemann [2] is used for determining the strength of pinions, the following shall apply:
a) The maximum load line required in determining the the
tooth foot load capacity or tooth flank load capacity (pitting)
shall be derived as follows:
aa) The tooth foot endurance limit D or the flank compression endurance limit kD runs as a horizontal line
from the stress cycle value ND into the endurance limit
range. The equation for D is obtained from Niemann
[2] Table 121/2 and the equation for kD from Niemann
[2] Table 121/1, where in addition, the influence of the
surface condition shall be taken into account by applying a roughness factor yR.
kD = yG yH yS yV yR k0
(B 1-14)
ab) The creep limit line is defined by the stress cycle value
NZ and, in the case of X, by the corresponding maximum creep limit value max Z, or by max kZ. For the
range N smaller than or equal to NZ, the maximum load
line runs as a horizontal line with the values max Z or
max kZ. The value of max Z is obtained from
max Z = y D
(B 1-15)
ac) The value of max kZ shall be determined from
max kZ = yK yG yH k0
(B 1-16)
ad) Depending on the type of loading, the material and the
heat treatment, the values specified in Table B 1-5 for
the determination of the maximum load line shall be
adhered to, where y and yK are life cycle factors.
ae) The material property values 0 of the tooth foot endurance limit and k0 of the flank compression endurance limit shall be taken from Table B 1-6. Other materials may be used if the required material property
data are demonstrated and guaranteed.
b) The roughness factor yR shall be calculated from the equation
yR = ZR2
(B 1-17)
Ra
Rz
6
(B 1-19)
The average relative roughness (based on an axial distance of a = 100 mm) shall be determined as follows:
1/ 3
R z100 =
R z1 + R z2 100
2
a
(B 1-20)
Note:
Results are available for red from 7 to 10 mm. Since red is a
linear function of a, equation (B 1-20) may be applied, based on
the technical knowledge available today.
B 1.2.3.2 Safety factors for pinions

(1) Where the calculation is performed to DIN 3990-11, the
safety factors of Table B 1-7 shall be taken.
(2) Where the calculation is performed to Niemann [2], the
safety factors of Table B 1-8 shall be taken.
B 1.2.4 Rope drives

(1) Rope drives shall be designed in accordance with
DIN 15020-1. To determine the required rope diameter a corrected factor as per [13] may be used instead of the factor c to
DIN 15020-1 Table 2
c corrected = c
0.825 0.455
k f
(B 1-21)
where
c : factor as per DIN 15020-1, Table 2
k : stranding factor of the rope selected
f : fill factor of the rope selected
(2) The rope drum wall thickness shall satisfy the following
condition with respect to the loading from rope wrapping:
Smax R p0.2
<
hs
(B 1-22)
with the safety factor 1.5.

(3) An exact analysis in accordance with the procedure
described in [8] and [9] is permitted.
B 1.3 Lateral transport drives

B 1.3.1 Design analysis of drive wheels
In Figure B 1-5, the curves of the factor ZR are shown as a

function of Rz100. The diagram applies to paired pinions
with an axial displacement of a = 100 mm and an equivalent curvature radius at the pitch point of red = 10 mm.
(1) The design analysis of the steel drive wheels shall be

performed in accordance with DIN 15070 on the basis of the
wheel forces present in the most frequent operational positions and under operational loads.
The average roughness Rz shall be determined from equation (B 1-18). The average roughness of the pinion Rz1 and
of the wheel Rz2 are average values of the roughness
depth Rt measured at several tooth flanks.
(2) In the case of erection and special loads, the contact

Hertzian stress (cylinder / plane) may be demonstrated for the
maximum wheel forces in accordance with equation (B 1-23):
R + R z2
R z = z1
2
(B 1-18)
Note:
The average roughness depths are determined for the values
Rz1 and Rz2 for pinion and wheel, for the condition subsequent
to the manufacture including special running-in treatment or a
running-in process (as part of the fabrication program), if this
leads to a smoothening of the surface, and also including a running-in under operating conditions, if this can be assumed to be
safe (as based on the load collective for a number of cranes
and lifting equipment).
If the roughness is specified as an Ra-value, the following

approximation may be used:
p max H = 0.418
R max 2.1 10 5
1.85 R m
d
(k 2 r1 )
2
(B 1-22)
where the number of wheeling load cycles shall not be larger

than 5,000, and d equals the wheel diameter in mm.
B 1.3.2 Design analysis of wheel axles and wheel shafts

(1) The design analysis of the wheel axles and wheel shafts
shall be performed in accordance with DIN calculation principles
for drive mechanisms in lifting equipment [7] on the basis of the
wheel forces present in the most frequent operational positions
and under the operational load for the load cases H and HZ.
KTA 3902 Page 27
(2) In the case of erection and special loads, the design

analysis of the wheel axles and wheel shafts shall be performed
in accordance with DIN calculation principles for drive mechanisms in lifting equipment [7] on the basis of the load case HS.
(3) The material properties, fatigue strength reduction factor,
roughness factor, stress concentration factor and size factor
may also be taken from DIN 743-2 and DIN 743-3.
Type of material and treatment
Short designation and

heat treatment diameter
d, mm
C 45 E+QT
(W.-Nr. 1.1191)
Quenched
and tempered
steel
42 CrMo 4 +QT
(W.-Nr. 1.7225)
30 CrNiMo 8 +QT
(W.-Nr. 1.6580)
C 45 E+N
(W.-Nr. 1.1191)
Induction
hardened
steel
42 CrMo 4 +QT
(W.-Nr. 1.7225)
42 CrMo 4 +QT
Gas-nitrided (W.-Nr. 1.7225)
steel (long
term nitriding)
Minimum
hardness
HV
FE
N/mm2
H lim
N/mm2
590
40 < d 100
630 Rm 780
205
445
575
100 < d 250
590 Rm 740
190
415
535
16 < d 40
1000 Rm 1200
300
570
600
40 < d 100
900 Rm 1100
270
510
540
100 < d 160
800 Rm 950
240
455
480
160 < d 250
750 Rm 900
225
425
450
16 < d 40
1250 Rm 1450
350
690
715
40 < d 100 1100 Rm 1300
310
605
630
100 < d 160 1000 Rm 1200
280
550
570
160 < d 250
900 Rm 1100
250
495
515
250 < d 500
850 Rm 1000
235
470
485
720
860
1470
720
860
1470
740
1000
1500
740
1000
1500
530
500
1035
530
600
1120
560
460 1)
285 2)
1035
650 Rm
950 3)
800 Rm
1100 3)
950 Rm
1250 3)
1080 Rm
1330 3)
d 16
Rm 620
16 < d 100
Rm 580
100 < d 250
Rm 560
16 < d 40 1000 Rm 1200

40 < d 100
900 Rm 1100
100 < d 160
800 Rm 950
160 < d 250
750 Rm 900
d 16
Rm 620
16 < d 100
Rm 580
100 < d 250
Rm 560
16 < d 40 1000 Rm 1200

40 < d 100
900 Rm 1100
100 < d 160
800 Rm 950
160 < d 250
750 Rm 900
HRC 58 2
HRC 53 2
HRC 53 2
610
605 1)
375 2)
1120
16 < d 40 1000 Rm 1200

40 < d 100
900 Rm 1100
100 < d 160
800 Rm 950
160 < d 250
750 Rm 900
560 HV 620
560
1) Base of tooth hardened

2) Base of tooth not hardened
3) Tensile test on blank hardened test bar with a 63 mm diameter
Table B 1-4:
Endurance strength
460
18CrNiMo7-6+HH+FP (W.-Nr. 1.6587)
42 CrMo 4 +QT
(W.-Nr. 1.7225)
Hardness
(HRC or HV)
215
18 CrNi 8 HH BG (W.-Nr. 1.5920)
Flame hardened steel
Tensile strength
Rm , N/mm2
(to be indicated in
the drawing)
650 Rm 800
20 MnCr 5 HH BG (W.-Nr. 1.7147)
C 45 E+N
(W.-Nr. 1.1191)
The design principles of the roller bearing manufacturers shall

be used for the design analysis of the roller bearings. The
loading shall be determined in accordance with DIN 15071.
16 < d 40
16 MnCr 5 HH BG (W.-Nr. 1.7131)
Case hardened steel
B 1.3.3 Design analysis of roller bearings
Material properties for the calculation of pinions, material quality MQ to DIN 3990-5
625
1070
KTA 3902 Page 28
Tempered steel
Load-carrying capacity of the tooth

flank
ND
NZ
ND
NZ
yK
3106
104
2.5
5107
105
2.56
Case hardened,
induction hardened 3106
or recirculation
hardened steel
Gas-nitrided steel
3106
103
2.5
5107
105
2.56
103
1.6
2106
105
1.69
Table B 1-5: Parameters for the determination of the maximum load line
Type of material and
treatment
Short designation and

heat treatment diameter
d, mm
C 45 E+QT
(W.-Nr. 1.1191)
Quenched
and tempered
steel
42 CrMo 4+QT
(W.-Nr. 1.7225)
30 CrNiMo 8+QT
(W.-Nr. 1.6580)
Case hardened steel
16 < d 40
40 < d 100
100 < d 250
16 < d 40
40 < d 100
100 < d 160
160 < d 250
16 < d 40
40 < d 100
100 < d 160
160 < d 250
250 < d 500
42 CrMo 4 +QT
(W.-Nr. 1.7225)
42 CrMo 4 +QT
Gas-nitrided (W.-Nr. 1.7225)
steel (long
term nitriding)
10
11
12
13
14
R z100
Figure B 1-5: Dependence of the factor ZR on the average
relative roughness Rz100
Tensile strength
2
Rm , N/mm
(to be indicated in
the drawing)
Hardness
(HRC or HV)
650 Rm 800
630 Rm 780
590 Rm 740
1000 Rm 1200
900 Rm 1100
800 Rm 950
750 Rm 900
1250 Rm 1450
1100 Rm 1300
1000 Rm 1200
900 Rm 1100
850 Rm 1000
800 Rm 1100 3)
42 CrMo 4 +QT
(W.-Nr. 1.7225)
k 0 = 15.5 N/mm 2
k 0 14.0 N/mm 2
0.8
20 MnCr 5 HH BG (W.-Nr. 1.7147)

18CrNiMo7-6+HH+FP (W.-Nr. 1.6587)
C 45 E+N
(W.-Nr. 1.1191)
Induction
hardened
steel
0.9
650 Rm 950 3)
C 45 E+N
(W.-Nr. 1.1191)
k 0 27.5 N/mm 2
k 0 = 23.0 N/mm 2
k 0 = 19.0 N/mm 2
1.0
16 MnCr 5 HH BG (W.-Nr. 1.7131)
950 Rm 1250 3)
HRC 58 2
Minimum
hardness
HV
Endurance strength
FE
N/mm2
H lim
N/mm2
215
205
190
300
270
240
225
350
310
280
250
235
720
4.2
4.0
3.5
9.0
8.5
7.8
7.3
13.0
12.0
11.1
10.0
9.5
50
235
230
220
320
310
300
290
390
370
350
340
320
420
720
50
420
740
50
470
1080 Rm
Rm 620
740
50
470
d 16
530
23
284
560
27
340
560
23
260 1)
160 2)
610
27
340 1)
210 2)
560
27
350
18 CrNi 8 HH BG (W.-Nr. 1.5920)
Flame hardened steel
1.1
ZR
Type of material
and treatment
Load-carrying capacity of the tooth

foot
1330 3)
16 < d 100
Rm 580
100 < d 250
Rm 560
16 < d 40
1000 Rm 1200
40 < d 100
900 Rm 1100
100 < d 160
800 Rm 950
160 < d 250
750 Rm 900
d 16
16 < d 100
100 < d 250
16 < d 40
40 < d 100
100 < d 160
160 < d 250
16 < d 40
40 < d 100
100 < d 160
160 < d 250
Rm 620
Rm 580
Rm 560
1000 Rm 1200
900 Rm 1100
800 Rm 950
750 Rm 900
1000 Rm 1200
900 Rm 1100
800 Rm 950
750 Rm 900
HRC 53 2
HRC 53 2
560 HV 620
1) Base of tooth hardened

2) Base of tooth not hardened
3) Tensile test on blank hardened test bar with a 63 mm diameter
Table B 1-6: Material properties for the calculation of pinions to Niemann [2]
KTA 3902 Page 29
Proof of
Static strength
Loading type
First step of
collective
Equation for proof of safety
Required safety factor for additional requirements to Section 6
Fmin = max FG
F1
1.40
SHmin = max HG
1
H1
1.12
Proof only required if Nges < NZ
Cyclic strength
Endurance
strength
= FG
F
1.57
SHmin =
HG
H
1.12
SFmin =
FG
F1
1.57
SHmin =
HG
H1
1.12
SFmin
Load collective
Case A or B
First step of
collective
Case C
Table B 1-7: Safety factors for pinions to DIN 3990-11

Proof of
Static strength
Loading type
First step of
collective
1 = max
z
1
k 1 = max
kz
k1
Required safety factor for additional requirements to Section 6

1.35
1.25

Cyclic strength
Endurance
strength
Load collective
Case A or B
First step of
collective
Case C
k
k = D
k
D
=
1
1.3
kD
k1
1.3
k =
2.0
2.0
Table B 1-8: Safety factors for pinions to Niemann [2]
B 1.4 Load suspending devices
B 1.4.1.3 Grabs, lifting beams and hangers
B 1.4.1 Load carrying means
The design analysis for load support structures shall be performed in accordance with Sec. B 1.1 and for machine elements in accordance with Sec. B 1.2.
B 1.4.1.1 Hooks
Unless hooks to DIN 15401-1 and DIN 15401-2 or DIN 15402-1
and DIN 15402-2 are used, a design analysis following
DIN 15400 is required.
B 1.4.1.2 Hook mountings

(1) The design analysis of the load hook cross-bar shall be
performed in accordance with Sec. B 1.2.
(2) Unless a hook nut to DIN 15413 is used, a design analysis following DIN 15400 is required.
(3) In the case of statically loaded roller bearings (only slight
rotary motion), the design principles of the roller bearing
manufacturers shall be used with static loads for the design
analysis of the roller bearings.
B 1.4.1.4 Top and bottom blocks

(1) The design forces for the rope pulleys required for the
demonstration of suitability under KTA 3903 shall be determined in accordance with Sec. B 1.2.
(2) In the case of statically loaded roller bearings with only
slight rotary motion, the design principles of the roller bearing
manufacturers shall be applied with static loads for the design
analysis of the roller bearings.
(3) The design analysis for load support structures shall be
performed in accordance with Sec. B 1.1 and for machine
elements in accordance with Sec. B 1.2.
KTA 3902 Page 30
B 1.4.1.5 Bolted joints

(1) The general stress analysis shall be performed to VDI
2230 Sheet 1 for bolted joints with additional tensile loading, in
which case the following requirements shall be met:
a) the usage factor of the yield stress during tightening shall
be limited to 0.7,
b) the usage factor of the yield stress due to additional forces
from operating conditions shall be limited to 0.1.
(2) The proof of cyclic strength shall be performed to VDI
2230 Sheet 1, in which case a safety factor of 2.0 against the
stress amplitude of the endurance or creep rupture limit shall
be satisfied.
(3) In case of a multi-step load collective (e.g. due to assembly and disassembly activities), the loading history covered by the stress analysis to (1) shall be modelled as damage-equivalent single-step stress collective. The damageequivalent stress pertinent to the number of stress cycles ND
shall be determined as follows in the analysis of finally
quenched and tempered bolts:
1
c

Ni i

1
= 1 i
N
D
(B 1-24)
B 2.1.1 Erection and operational loads

(1) The calculation shall be performed in accordance with
DIN 15018-1. For components of load support structures
made of the austenitic steels 1.4541, 1.4306 and 1.4571 to
DIN EN 10088-2 or DIN EN 10088-3 the allowable stresses
shall be taken from Section D 1.
(2) The requirements of Sec. B 1.1.1 (2) apply, in which
case the following safety factor as regards maximum stress
shall be observed:
= D / 1.25.
B 2.1.2 Special load case - load shifting

The effects of stresses resulting from load shifting shall be
analysed as special load case (special load case HS) in accordance with DIN 15018-1. The stresses required as input to
this calculation shall be taken from the analytical proof in accordance with Sec. B 2.2.
Analytical proofs may be performed by calculation or experimentally or as a combination of calculation and experiments.
To this end, the calculation methods described in Annex B of
KTA 3201.2 may be applied (e.g. Finite Element Method) or
other methods to be specified. When applying the Finite Element Method, the requirements of Section B3 shall be met.
ND = 2 106
c=3
with:
actual stress amplitude of 1st step of load collective

step (maximum stress)
actual stress amplitude of the respective step of

load collective
Ni
actual number of stress cycles of the respective

step of load collective
The following shall be verified:

(B 1-25)
with:
ASV
B 2.1 Load support structures
B 2.1.3 Performance of analytical proofs
where the following is to be used:
2.0
ASV
B 2 Load cases and analytical proofs for cranes,

winches, trolleys as well as load suspending devices
under Sec. 7 and for refueling machines under Sec. 8
stress amplitude of endurance limit of finally

quenched and tempered bolts to VDI 2230 Sheet 1
Note:
Where in the analysis of final-rolled bolts, the stress amplitude of
the endurance limit is determined in a suitable manner in due consideration of its dependence on the mean stress, the damagingequivalent stress may be determined analogously by using ASG
(stress amplitude of endurance limit of final-rolled bolts in accordance with VDI 2230 Sheet 1) in lieu of ASV and c=6.
B 1.4.2 Load carrying attachments

The requirements of Sec. B 1.4.1 also apply to load carrying
attachments.
B 2.2 Hoists
B 2.2.1 Design data
B 2.2.1.1 Determination of moments and forces
(1) The moments specified in Tables B 2-1 and B 2-2 shall
be determined for the design of the structural elements of the
drive mechanism chain, starting with the operational brake
and ending with the rope drum.
Note:
, TSO and T
(2) The calculation of the moments TM, TB , T
BS1
0
shall be based on the operating conditions in accordance with
Sec. B 1.2.1.1 (2). The moments shall be calculated for those
intersections that are to be analysed individually. The moment
TBAS1 shall be determined from the load shifting analysis under
maximum operational load.
For the determination of TBAS2 the drive mechanism shall be
modelled by a suitable model, and its dynamic behaviour shall
be proved to be verifiable by the method of Stenkamp [12] or
by using a numerical simulation procedure. A damping factor
D = 0.05 may be used if no analytical proof is performed for
the individual case.
KTA 3902 Page 31
1
, with Ci in
NG
Nm/rad and the torsional pliability NG in rad/Nm. The equations for determining the torsional pliability are specified in
Table B 2-3 for typical transmission parts.
The flexibility Ci of a spring is given by Ci =
(3) The design forces of non-rotating machine elements

between rope drum and load shall be determined from the
moments specified above.
(4) In the case of a non-redundancy of parts between rope
drum and load, 1.25 times the live load factor shall be used in
the calculation of these parts.
Load
Mocase no. ments
1
TM
T$M
Nomenclature
TB
T$B
T0
T0
TSO
T$ SO
5
Static moment for idling runs

if the dead weight of half the
load carrying attachments
plus load attachment rigging
is larger than 30 % of the
maximum load
dead weight T0 (largest value
of T$ , T$ , T$ )
BR
BR
T$M
AN
TBS1
Static moment for the entire

operational load carried by
one drive mechanism chain
(second drive mechanism
chain does not carry)
T$BS1

entire operational load carried by one drive mechanism
chain (second drive mechanism chain does not carry)
(largest value of
T$ , T$ , T$ )
Nomenclature
T$B
BR
Analysis for
cyclic operation and
static load
analysis for
the first
level of the
load collective
AN
T$ BAS1 Dynamic moment for load

shifting under operational load Static anain one drive mechanism chain lytical proof
Table B 2-1: Moments for a double drive mechanism chain
T0
BR
TSO
T$ SO
AN
Static moment for idling runs

if the dead weight of half the
load carrying attachments
plus load attachment rigging
is larger than 30 % of the
maximum load
dead weight T0 (largest value
of T$ , T$ , T$ )
BS
AN

(largest value of
T$ , T$ , T$ )
BS
T0
Type of proof

(largest value of
T$ , T$ , T$ )
BS
TB
AN
BR
BR
TM
AN
Maximum moment for the

special load case, e.g. acceptance test, in-service inspection, transmission test
run, simultaneous engagement of the operational and
additional brake
special load TSO
BS
Load
Mocase no. mente

(largest value of
T$ , T$ , T$ )
BS
From the determined moments in accordance with Table B 2-1 or

B 2-2 and the resulting forces, the stresses in the component
shall be calculated and sorted according to size. With the corresponding stress cycles, the load collective shall be established.
This load collective shall be compared to the component's
stress-number diagram in accordance with Sec. B 1.2.1.3.
BS
B 2.2.1.3 Determination of the (general) load collective

(largest value of
T$ , T$ , T$ )
BS
Type of proof
B 2.2.1.2 Determination of the number of stress cycles

The number of stress cycles required for the analytical proof of
adequate cyclic strength or of the endurance limit shall be
determined in accordance with Sec. B 1.2.1.2.
BR
Analysis for
cyclic operation and
static load
analysis for
the first
level of the
load collective
AN
Maximum moment for the

special load case, e.g. acceptance test, in-service inspection, transmission test
run, simultaneous engagement of the operational and
auxiliary brake
special load TSO
T$BAS2 Dynamic moment for the

vibration effect of the safety
brake under the governing
operational load case
T$BAS1 Dynamic moment for load

shifting under operational
load in one drive mechanism
chain
Static analytical proof
Table B 2-2: Moments for drive mechanism chain with safety

brake
KTA 3902 Page 32
Sketch
Equation
1. Shaft
NG =
G : Modulus of rigidity
l : Shaft length
2. Sleeve
NG =
di
32 l
G d4
3. Shaft with groove for parallel key
32 l
G d4
_____________
NG =
32 l
4
G d 1 ( d1 / d)
2
2
4
2
(1 + ) (1 )
32
12
4 4 2
32 3
( 4 )4
_____________
2
2
4 (1 + )
2 (1 )
32
6
2
32 3
( 8 )
2
= t/b
= b/d
4. Splinted shaft
NG =
32 l
G d4
= 1 / 1 ( z / ) 1 4
)]
= b/d
= D/d
l : Shaft length
z : Number of splines
5. Parallel key connection
NG =
6 .4
d2 b t
d,b,t in mm
6. Splined-shaft connection
NG =
4
2
d b t z
d,b,t in mm
7. Gear coupling
NG =
4
2
D b t
= (3 to 4)
8. Cluster gear (steel)
= (4 to 5)
for z = (6 to 8)
d,b,t in mm
z : Number of teeth
NG =
1
b r 2 cos2
K = 6 10-2
K = 3.6 10-2
K = 4.4 10-2
Straight tooth gearing

Spiral tooth gearing
Internal tooth gearing
: Pressure angle
b, r in mm
Table B 2-3:
Equations for the determination of the torsional pliability NG [rad/Nm] of typical transmission component parts
KTA 3902 Page 33
B 2.2.2 Shafts, axles and similar component parts
B 2.2.3.2 Safety factors for pinions
B 2.2.2.1 Determination of the stress-number diagram
(1) If the calculation procedure to DIN 3990-11 is used the

safety factors specified in Table B 2-5 shall apply.
The requirements under Sec. B 1.2.2.1 shall apply.
(2) If the analysis procedure of Niemann [2] is used for determining the strength of pinions, the safety factors specified in
Table B 2-6 shall apply.
B 2.2.2.2 Safety factors for shafts, axles and similar component parts
(1)
The safety factors specified in Table B 2-4 shall apply.
B 2.2.4 Rope drives
(2) When using the finite element method, the requirements

of Section B3 shall be met.
(1) The rope drive shall be calculated in accordance with

Sec. B 1.2.4.
(2) With regard to the analytical proof of the rope drum wall
thickness and the rope fasteners on the drum, it is allowed to
neglect those stress peaks from TBAS1 and TBAS 2 that very
rarely occur and then for only very short time periods, since
they affect only a fraction of a rope wrap.
B 2.2.2.3 Analytical proofs for parallel keys

(1)
(2) For stresses resulting from the load cases Load shifting
and Engagement of safety brake the allowable contact
stresses can be taken as
B 2.3 Lateral transport drives

The requirements in accordance with Sec. B 1.3 shall apply.
B 2.2.3 Pinions
B 2.2.3.1 Determination of the effective stresses and of the
load capacity
Analytical proof
Loading type
First step of the
collective 1)
Failure of a component part for a
double drive
mechanism
chain 2)
Static
strength
(
)
1 = S t / ( 1 k t )
BAS1 = x / ($ BAS1 k n )
BAS1 = St / ( $ BAS1 k t )
1 = x / 1 kn
BAS1
= x / $ VBAS
(
)
= St / ( $ BAS1 k t )
= x / $ BAS1 k n
BAS1

single drive
mechanism chain
with safety
brake 2)
Required safety factor for increased

requirements to Section 7 and for refueling machines
BAS1
BAS1
1.35
= x / $ VBAS
(
)
BAS2 = S t / ($ BAS2 k t )
BAS2
= x / $ BAS2 k n
BAS2
= x / $ VBAS
= D /
Cyclic strength
Load collective
Case A or B
= D /
2
n

,
10
+ t

D
D
2.5
= D / 1
Endurance
strength
First step of
collective
Case C
= D / 1
2
1

,
10
+ 1

D
D
1) Applies only to hoists; in the case of non-rotating component parts no stress concentration factors are needed and the required safety
factor shall be 1.5 with x being replaced by ReH or Rp0.2.
2) Same as footnote 1), however, the required safety factor shall be 1.25.
Table B 2-4:
Safety factors for shafts, axles and similar component parts
KTA 3902 Page 34
Proof of
Loading type
First step of
collective

Fmin = max
FG
F1
1.57
SHmin = max
HG
H1
1.25

double drive
mechanism chain
Static strength

single drive
mechanism chain
with safety
brake 2)
Cyclic strength
First step of
collective
Case C
Endurance
strength
Table B 2-5:
Load collective
Case A or B
SFBAS
1min
= max
FG
FBAS
SFBAS
1min
= max
1.57
FG
FBAS
SFBAS
2min
= max
FG
FBAS 2
SFmin =
FG
F
1.76
SHmin =
HG
H
1.25
SFmin =
FG
F1
1.76
SHmin =
HG
H1
1.25
Safety factors for pinions to DIN 3990-11
Proof of
Loading type
First step of
collective

1 = max
z
1
k 1 = max
kz
k1

1.50
1.25

double drive
mechanism chain
Static strength

single drive
mechanism chain
with safety brake
Cyclic strength
Endurance
strength
Table B 2-6:
BAS1 = max
z
BAS1
BAS1 = max
z
BAS1
BAS 2 = max
Load collective
Case A or B
First step of
collective
Case C
Safety factors for pinions to Niemann [2]
k =
BAS 2
kD
k
D
=
1
k =
1.35
kD
k1
2.5
1.6
2.5
1.6
KTA 3902 Page 35
B 2.4 Load suspending devices

(1)
The requirements under Sec. B 1.4 shall apply.
(2) Sec. B 2.1 applies to the analytical proofs of load support

structures.
(3) Sec. B 2.2 applies to the analytical proofs of the machine
parts of hook mounting, grabber, lifting beam and sling, and to
the top and bottom blocks.
(4) Sec. B 1.4.1.5 applies to bolted joints, for the proof of
cyclic strength, however, a safety factor of at least 2.5 shall be
verified.
B 3 Analytical proof using the finite element method

B 3.1 General
(1) Besides the analytical proofs described in Sections B1
and B2 it is also permitted to perform strength analyses on the
basis of the finite element method (FEM) for load support
structures as well as non-rotating machine parts.
(2) When using the finite element method, the requirements
of KTA 3201.2, Annex B3 shall be met.
(3) Deviating from the requirements in Sections 6, 7 and 8 as
well as Sections B1 and B2 the requirements of Section B.3.2
apply to the stress analysis using the finite element method.
(4) When using finite element calculations, the nominal stress
remote from discontinuities shall be limited as per DIN 15018-1.
B 3.2 Stress analysis

B 3.2.1 General stress analysis
(1) Stresses shall be classified in dependence of the cause
of stress and its effect on the mechanical behaviour of the
structure as per KTA 3201.2, Sec. 7.7.2 into stress categories,
i.e. primary stresses, secondary stresses and peak stresses
and be limited in different ways with regard to their classification.
(2) For load support structures and non-rotating machine
parts only primary stresses remote from discontinuities shall
be considered.
(3) Primary stresses (P) are stresses which satisfy the laws
of equilibrium of external forces and moments (loads). Here,
membrane stresses (Pm) are defined as the average value of
the respective stress component over the section governing
the load-bearing behaviour, in the case of plane load support
structures the average value of the respective stress component distributed across the thickness. Primary bending
stresses (Pb) are defined as stresses that can be altered linearly across the considered section and proportionally to the
distance from the neutral axis, in the case of plane load bearing structures as the portion of the stresses distributed across
the thickness that can be altered linearly.
(4) The equivalent stress intensity shall be derived from the
linearised individual stress.
(5) The location of linearisation outside the area of influence
of geometric discontinuities shall be selected such that
a) only primary stress components are covered,
b) the maximum sum of primary stress components is covered.
(6) The requirements of (5) a) und (5) b) are deemed to
have generally been met if linearisation is effected at a distance R s to the geometric discontinuity in which case R and
s are defined as follows:
a) shells (e.g. skirts, pipes)

R : mean smallest radius of shell
s : smallest wall thickness
b) bars and sections
R, s : radius of bar or half the smallest dimension of
cross-section
c) other shapes
R : half the smallest dimension of flange, T-section, plate
or round section, half the smallest leg width of angle
section, radius of bore.
s : smallest wall thickness
Linearisation may also be effected at other distances, but a
suitable analytical proof as regards compliance with the requirements of (5) a) and (5) b) shall be performed.
(7) The equivalent stress intensity derived from the linearised stress components shall not exceed the following values
for the load cases H, HZ and HS:
a) remote from discontinuity:
as per DIN 15018-1
b) at the discontinuity:
v 0.8 Rp0.2
ba) for load case H
bb) for load case HZ
v 0.9 Rp0.2
bc) for load case HS
v Rp0.2
with Rp0.2 : yield strength

(8) The stress limitation for v at the discontinuity need not
be satisfied if it can be proved by means of a limit analysis that
the allowable lower limit loads as per KTA 3201.2, Section
7.7.4 are not exceeded in which case, for the purpose of calculating the lower bound collapse load, the following yield
stress values shall be taken
a) in load case H: F = 1.2 Rp0.2
b) in load case HZ: F = 1.32 Rp0.2
c) in load case HS: F = 1.44 Rp0.2
and the specified load shall not exceed 67 % of the lower bound
collapse load in accordance with KTA 3201.2, Section 7.7.4.1.
(9) For the evaluation as per (7) the equivalent stress intensity to be taken shall be the maximum of
a) the equivalent stress intensity to the von Mises theory and
b) the largest principal stress.
(10) For the allowable stresses of welds DIN 15018-1 shall
apply.
B 3.2.2 Analysis for cyclic operation

(1) The analysis for cyclic operation when using specific
strength analyses differs from the procedures under Section
B1 and B2 only with respect to the determination of the nominal stress. Here, the stress intensity determined by means of a
general stress analysis shall be evaluated on the basis of the
linearised individual stress components.
(2) For load support structures, the allowable stresses to be
used in the analysis for cyclic operation shall be determined to
meet the requirements of DIN 15018-1.
(3) For non-rotating machine parts, the analysis for cyclic
operation shall be performed in accordance with Sections
B 1.2.2 and B 2.2.2 and with the required safety factors shown
in Table B 1-3 and Table B 2-4.
(4) The fatigue strength reduction factor may also be determined on the basis of a FEM analysis alternatively to the requirements of B 1.2.2.1 (3). In this case, the fatigue strength
reduction factor is the quotient of maximum equivalent stress
intensity (non-linerarised) and the equivalent stress intensity
derived from primary membrane and bending stresses as per
subclause (1).
KTA 3902 Page 36
B 4 Nomenclature and physical quantities

Symbol
Physical quantity and designation
Unit
Nmm
TL
maximum moment of inertia from

dead load and lifting load without
consideration of the efficiency
Nmm
kgmm2
TM
static moment for maximum erection

load
Nmm
TM
dynamic moment for maximum erection load
Nmm
Tmot
maximum motor moment
Nmm
T0
static moment for no-load travel
Nmm
T0
dynamic moment for no-load travel
Nmm
tooth bearing error factor
damping factor
Jab
moments of inertia on output side of

the cross section analysed
moments of inertia on input side of
the cross section analyzed
mathematical product of fatigue
strength reduction factor, roughness
factor and size factor under normal
stress
mathematical product of fatigue
strength reduction factor, roughness
factor and size factor under torsional
stress
number of stress cycles for endurance limit
Kt
ND
NG
Ni , N
i
Ni, N
i
NZ
torsional resilience
number of stress cycles for the moment loading levels in shafts, axles,
tooth feet and tooth flanks
number of torsional stress cycles for
the moment loading levels in shafts
number of stress cycles for creep
strength
Nm/rad
kgmm2
TSO
maximum moment of inertia from

frictional forces acting in opposite
direction to the lifting or lowering
motion
maximum moment for special load
case
dynamic moment for special load
case
Ui
number of load cycles, i.e. lifting and

lowering
ZR
factor for average relative roughness
ZSchi
number of control steps per load

cycle (switching to accelerate and
switching to brake are considered
one control step each)
N/mm2
gradient of the component's stressnumber diagram in the creep range
diameter
fH
flank line deviation
fR
flank direction error
fRw
effective flank direction error
rope drum wall thickness at the base

of the rope grooves
hi
duration of hoist operation leaving

times of no-load travel with a dead
weight 30 % of operational load
out of consideration
head width of crane track
damage equivalent tooth flank load

capacity
ka
number of stress cycles per control

step
k D, k 0
flank compression endurance limit of

pinions
N/mm2
kw
effective contact stress of pinions
N/mm2
kZ
tooth flank load capacity
N/mm2
ni
rotational speed of analysed drive

mechanism component
TSO
upper yield point
N/mm2
Rm
tensile strength
N/mm2
wheel force
Rp0,2
0.2% proof stress
Rz, Ra
average roughness depth
Rz100
Smax
S, S
TAN
TB
TB
TBAS1
TBAS2
average relative roughness depth,

based on an axial distance of
100 mm
nominal rope force multiplied by the
live load factor
required safety factor
dynamic moment upon lifting of a
set-down load
static moment for maximum operational load
dynamic moment for maximum operational load
dynamic moment from load shifting
at operational load within one drive
mechanism chain
dynamic moment from vibratory
effects of the safety brake for the
governing operational load case
TR
Rad/Nm
ReH
Rmax
Unit
dynamic moment from operational

load within one drive mechanism
chain
spring rate
CT
Kn
TBS1
Ci
Jan
Symbol
Nmm
Nmm
Nmm
Nmm
Nmm
Nmm
Nmm
Nmm
mm
mm
hours
mm
TBR
dynamic moment upon braking

(lowering)
Nmm
TBre
maximum braking moment of the

brakes
Nmm
TBS
dynamic moment upon acceleration

(lifting)
Nmm
pmaxH
contact Hertzian stress
N/mm2
TBS1
static moment from operational load

within one drive mechanism chain
Nmm
pzul
allowable contact stress for parallel

keys
N/mm2
min-1
KTA 3902 Page 37
Symbol
r1
Unit
radius of curvature of track head
mm
rope groove pitch
mm
s1
average path as the sum of lifting

and lowering in one load cycle
t
i
total duration of oscillations in one

load cycle taking the control switchings for positioning into account
average lifting speed
yK
life time factor for tooth flank load

capacity
yG, yH
coefficient in accordance with Table 121/1 of [2] taking, however, the

materials under Table B 1-4 into
account
yR
roughness factor
yS
coefficient in accordance with Table 121/1 of [2]
Unit
effective stress at tooth foot
N/mm2
FE
nominal strength at tooth foot
N/mm2
effective stress at tooth flank
N/mm2
FG
endurance strength and static

strength at tooth foot
N/mm2
m/s
HG
endurance strength and static

strength at tooth flank
N/mm2
H lim
endurance limit for pitting
N/mm2
endurance limit for normal stresses

of material test specimen at 50 %
survival probability
N/mm2
effective tooth foot stress
N/mm2
tooth foot load capacity
N/mm2
$ VBAS
maximum equivalent stress due to

mechanism chain
N/mm2
$ VBAS
maximum equivalent stress due to

governing load case
N/mm2
$ BAS1
maximum torsional stress due to

mechanism chain
N/mm2
$ BAS 2
maximum torsional stress due to

governing load case
N/mm2
damage-equivalent torsional stress,

calculated from the load cycles in
Case A and Case B
N/mm2
endurance limit for torsional stresses N/mm2
St
torsional yield point
endurance limit for torsional stresses

of material test specimen at 50 %
N/mm2
survival probability
vibration coefficient that takes the

dynamic effect due to sudden
change in moment into account
live load factor
coefficient in accordance with Table 121/1 of [2]
life time factor for tooth foot load

capacity
kn
stress concentration factor for normal stresses
kt
stress concentration factor for torsional stresses
angle of inclination of the component's stress-number diagram in the

creep range
number of torsional stress cycles

due to one control switching
required safety factor
red
equivalent radius of curvature at the

pitch point
damage-equivalent tensile stress,

calculated from the load cycles in
Case A and Case B
BAS1
maximum stress due to dynamic

moment from load shifting at operational load within one drive mechanism chain
N/mm
maximum stress due to dynamic

moment from vibratory effects of the
safety brake for the governing load
case
N/mm
endurance limit for normal stresses

or tooth foot
N/mm
D, 0
yV
BAS2
Symbol
mm
N/mm
N/mm2
KTA 3902 Page 38
Annex C
Stress-number diagram for the analysis of cyclic loading and endurance limit of the materials
S235 and S355 to DIN EN 10025-2
The stress-number diagrams presented in Tables C-1 and C-2 as well as in Figures C-1 to C-10 are allowable maximum
stresses to DIN 15018-1, Table 17 and Table 18. They correspond to the stress collective S3 in stress ranges N1 to N4 (B4 to
B6) DIN 15018-1.
Tables C-1 and C-2 show examples for the respective salient points of the stress coordinates SD for R = -1 (alternating loading)
and R = 0 (cyclic loading) for notch cases K0 to K4.
The salient points of the stress coordinates SD(R) for other R values shall be determined in accordance with the interrelationships shown in DIN 15018-1 Figure 9. For notch cases K0 to K4, the service life coordinate of the salient point ND and the slope
in the creep-rupture range k correspond to the values shown in Tables C-1 and C-2 (ND = 2.0 106; c = 3.32) for all SD(R).
The analysis for cyclic operation or endurance limit shall be based on the requirements under Sections B 1.2.1.3 (3) and
B 1.2.1.3 (4).
Ser. no.
Notch case to
DIN 15018-1
Table 10.3
Loading ratio
Load collective to
DIN 15018-1
Table 14

Stress coordinate of salient
point
Service life
coordinate of
salient point
Slope
SD in N/mm2
ND
2.0 106
3.32
K0
K1
K2
K3
45.0
K4
27.0
Table C-1:
Ser. no.
84.0
75.0
-1
S3
63.0
Tabulated values for the S/N diagrams of Figures C-1 to C-5
Notch case to
DIN 15018-1
Table 10.3
Loading ratio
Load collective to
DIN 15018-1
Table 14
R
1
K0
K1

Stress coordinate of salient
point
Service life
coordinate of
salient point
Slope
SD in N/mm2
ND
2.0 106
3.32
140.0
125.0
0
S3
K2
K3
75.0
K4
45.0
Table C-2:
Tabulated values for the S/N diagrams of figures C-6 to C-10
105.0
KTA 3902 Page 39
10 2
8.4 10 1
Maximum stress
SO zul [N/mm 2 ]
10 3
10 1
10 4
2 10 4
10 5
10 6
2 10 6
107
Number of load cycles N

Figure C-1:
S/N diagram for notch case K 0 to DIN 15018-1, R = -1
10 2
7.5 10 1
Maximum stress
SO zul [N/mm 2 ]
10 3
10 1
10 4
2 10 4
10 5
10 6
Figure C-2:
2 10 6
107
KTA 3902 Page 40
10 2
6.3 10 1
Maximum stress
SO zul [N/mm 2 ]
10 3
10 1
10 4
2 10 4
10 5
10 6
2 10 6
107

Figure C-3:
10 2
Maximum stress
SO zul [N/mm 2 ]
10 3
4.5 10 1
10 1
10 4
2 10 4
10 5
10 6
Figure C-4:
2 10 6
107
KTA 3902 Page 41
10 2
Maximum stress
SO zul [N/mm 2 ]
10 3
2.7 10 1
10 1
10 4
2 10 4
10 5
10 6
2 10 6
107

Figure C-5:
1.4 10 2
10 2
Maximum stress
SO zul [N/mm 2 ]
10 3
10 1
10 4
2 10 4
10 5
10 6
Figure C-6:
S/N diagram for notch case K 0 to DIN 15018-1, R = 0
2 10 6
107
KTA 3902 Page 42
1.25 10 2
10 2
Maximum stress
SO zul [N/mm 2 ]
10 3
10 1
10 4
2 10 4
10 5
10 6
2 10 6
107

Figure C-7:
1.05 10 2
10 2
Maximum stress
SO zul [N/mm 2 ]
10 3
10 1
10 4
2 10 4
10 5
10 6
Figure C-8:
2 10 6
107
KTA 3902 Page 43
10 2
7.5 10 1
Maximum stress
SO zul [N/mm 2 ]
10 3
10 1
10 4
2 10 4
10 5
10 6
2 10 6
107

Figure C-9:
10 2
Maximum stress
SO zul [N/mm 2 ]
10 3
4.5 10 1
10 1
10 4
2 10 4
10 5
10 6
Figure C-10: S/N diagram for notch case K 4 to DIN 15018-1, R = 0
2 10 6
107
KTA 3902 Page 44
Annex D
General stress analysis and stress-number diagrams for the analytical proof of cyclic operation and
endurance limit of the steels 1.4541, 1.4306 and 1.4571 to DIN EN 10088-2 or DIN EN 10088-3
Allowable stresses for load support structures using the

austenitic steels 1.4541, 1.4306 and 1.4571 to DIN EN
10088-2 or DIN EN 10088-3
D1
(1) When using the austenitic steels 1.4541, 1.4306 and

1.4571 to DIN EN 10088-2 or DIN EN 10088-3, the allowable
stresses (H or HZ) for the general stress analysis shall be
determined such that the safety factors specified for ferritic
steels in DIN 15018-1, Tables 10 and 11 are satisfied until
attainment of the yield strength 0.2.
(2) Load support structures shall be classified into loading
level B3 or B4 to DIN 15018-1 for the maximum operating load
in accordance with sub-clauses 6.1.1 (2) b), 7.1.1 (2) b) or
8.1.1 (2). For selected notch cases and limit stress ratios, the
allowable stresses used in the analysis for cyclic operation are
shown in Table D-1 when using the austenitic steels 1.4541,
1.4306 and 1.4571 to DIN EN 10088-2 or DIN EN 10088-3.
Notch
case 1)
Stress 1)
Allowable value in N/mm2 for the

loading level
B3
B4
247 2)
W 1-1
Dz(0)
247 2)
W 1-2
Dz(0)
K1
Dz(0)
K2
Dz(0)
174
K3
Dz(0)
167 2)
K4
Dz(0)
150 2)
80
K 4-R
(-1)
103.6
210
162
2)
2)
210 2)
2)
1) Abbreviations in conformance with DIN 15018-1.

2) The stress value indicated was determined on the basis of the
characteristic values of Table D-2. For the calculatory verification the maximum allowable stresses are limited by the allowable
stresses of load case HZ in the generals stress analysis.
Table D-1: Allowable stresses for the analysis for cyclic operation when using austenitic steels (examples)
Analytical proof in due consideration of a damageequivalent stress in accordance with the linear damage
rule (Miners rule))
D2
(1) The S/N diagrams shown in Table D-2 und Figures D-1
to D-10 for selected notch cases represent maximum stresses
similar to those shown in DIN 15018-1, Table 17 and Table
18. The S/N diagrams correspond to the load collective S3 in
load cycle ranges N1 to N4 (B4 to B6) DIN 15018-1.
The loading ratio R = 0 (pulsating tensile stress). For the pipe
test specimen R = -1 (alternating torsional stress).
The stress values for notch case K4-R are shear stresses and
normal stresses for the other notch cases.
(2) The values on which the S/N diagrams (Figures D-1 to
D-10) are based are shown in Table D-2.
(3) In Table D-2 and in the S/N diagrams the notations are
as follows:
SO,zul : allowable maximum stress; synonymous symbol
O,zul
SD
: stress coordinate of salient point of S/N diagram des,

synonymous symbol D
: actual number of load cycles
ND
: service life coordinate of salient point of S/N diagram
: slope of S/N diagram
(4) For the analysis for cyclic operation the requirements of

sub-clauses B 1.2.1.3 (3) and B 1.2.1.3 (4) for case A apply.
where
x
allowable stress for the general stress analysis
NZ
number of stress cycles for creep strength.
KTA 3902 Page 45
Designation
Notch
case 1)

Load col- in double-logarithmic coordinate system
lective to
Stress coor- Service life
Loading
Slope
DIN
ratio
dinate
of
coordinate
of
15018-1
Table 14 salient point salient point
SD in N/mm2
R
ND
k
Application to [14]
Perforated bar,
Kt = 2.4
W 1-1 2)
-1
138.9
1.32 106
13.00
1.0 105 < N 1.32 106
Perforated bar,
Kt = 2.4
W 1-1 2)
180.0
1.81 106
6.96
1.0 105 < N 1.81 106
Perforated bar,
Kt = 4.2
W 1-2 2)
104.3
6.58 106
7.93
1.0 105 < N 6.58 106
Butt joint
K1
-1
96.1
2.54 106
6.99
1.0 105 < N 2.54 106
Butt joint
K1
145.9
2.20 107
12.98
1.0 105 < N 1.00 107
S3
Cruciform joint,
double-bevel butt weld,
special quality
K 2 2)
101.5
5.58 106
6.19
1.0 105 < N 5.58 106
Cruciform joint
double-bevel butt weld,
normal quality
K3
88.8
2.32 107
7.51
1.0 105 < N 1.00 107
Cruciform joint,
fillet weld
K4
-1
20.2
8.14 106
2.89
1.0 105 < N 8.14 106
Cruciform joint,
fillet weld
K4
29.4
1.01 107
3.91
1.0 105 < N 1.00 107
K 4-R 3)
-1
34.8
1.32 107
3.84
1.0 105 < N 1.00 107
Pipe test specimen,

fillet weld
1) Abbreviations in accordance with DIN 15018-1 Section 10.3.

2) For notch cases W 1-1, W 1-2 and K 2 the following applies: at N > N is S
D
O,zul = SD
3) The stress values for K 4-R are shear stresses
Table D-2: Tabulated values for the S/N diagrams of figures D-1 to D-10
KTA 3902 Page 46
102
Maximum stress
SO zul [N/mm 2 ]
1.389 102
10 4
2 10 4
10 5
10 6 1.32 106
107

Figure D-1:
S/N diagram for notch case W 1-1 (perforated bar, Kt = 2.4), R = -1
4
3
Maximum stress
SO zul [N/mm 2 ]
1.8 102
102
10 4
2 10 4
10 5
10 6
Figure D-2:
S/N diagram for notch case W 1-1 (perforated bar, Kt = 2.4), R = 0
1.81 106
107
KTA 3902 Page 47
1.043 102
102
Maximum stress
SO zul [N/mm 2 ]
10 4
2 10 4
10 5
10 6
6.58 106 107

Figure D-3:
S/N diagram for notch case W 1-2 (perforated bar, Kt = 4.2), R = 0
102
9.61 101
Maximum stress
SO zul [N/mm 2 ]
10 4
2 10 4
10 5
10 6
Figure D-4:
S/N diagram for notch case K 1 (single-vee butt weld), R = -1
2.54 106
107
KTA 3902 Page 48
Maximum stress
SO zul [N/mm 2 ]
102
2
10 4
2 10 4
10 6
10 5
107

Figure D-5:
S/N diagram for notch case K 1 (single-vee butt weld), R = 0
Maximum stress
SO zul [N/mm 2 ]
1.015 102
102
2
10 4
2 10 4
10 5
10 6
5.58 106 107

Figure D-6:
S/N diagram for notch case K 2 (cruciform joint, double-bevel butt joint, special quality), R = 0
KTA 3902 Page 49
102
Maximum stress
SO zul [N/mm 2 ]
10 4
2 10 4
10 6
10 5
107

Figure D-7:
S/N diagram for notch case K 2 (cruciform joint, double-bevel butt joint, normal quality), R = 0
102
Maximum stress
SO zul [N/mm 2 ]
2.02 101
10 4
2 10 4
10 5
10 6
Figure D-8:
S/N diagram for notch case K 4 (cruciform joint, fillet weld), R = -1
8.14 106 107
KTA 3902 Page 50
102
Maximum stress
SO zul [N/mm 2 ]
10 4
2 10 4
10 6
10 5
107

Figure D-9:
S/N diagram for notch case K 4 (cruciform joint, fillet weld), R = 0
102
Maximum stress
SO zul [N/mm 2 ]
10 4
2 10 4
10 5
10 6
Figure D-10: S/N diagram for notch case K 4-R (pipe test specimen, fillet weld), R = -1
107
KTA 3902 Page 51
Annex E
Required Performance Levels to DIN EN ISO 13849-1 for function of safety-related parts of control systems
E1
Classification scheme
(1) When applying the requirements to DIN EN ISO 13849-1

on functions of safety-related parts of control systems in lifting
equipment which has to meet the requirements of KTA 3902,
Sections 4.2, 4.3 or 4.4, the Performance Levels (PL) shall not
be determined in accordance with the procedure laid down in
DIN EN ISO 13849-1, Section 4.3, but in accordance with the
criteria laid down in (2) to (6).
(2) Performance Level a to DIN EN ISO 13849-1 is required for operational functions which are of certain safetyrelated relevance, e.g. if their reliability influences the response frequency of functions for which PL b, c, d or e
is required.
(3) Performance Level b to DIN EN ISO 13849-1 is required for operational functions which are of indirect safetyrelated relevance, e.g. which support the safe operation of
lifting equipment (e.g. monitoring of direction of rotation,
standstill monitoring, safety-relevant information systems).
(4) Performance Level c to DIN EN ISO 13849-1 is required for safety functions,
a) which are intended to master such operational troubles
where the dangerous conditions described in Section 4.2
are to be expected, and which are capable of limiting or
avoiding such risk (e.g. by manual intervention),
b) which are integrated upstream of the functions of PL d
or e.
(5) Performance Level d to DIN EN ISO 13849-1 is required for safety functions which are intended to master operational troubles, and where
a) the dangerous conditions as described under Section 4.2
are to be expected and no other possibilities of avoiding
such danger or limiting the effects of damage (e.g. by
manual intervention) exist,
Ser.
No.
Function
b) the dangers as described under Sections 4.3 or 4.4 are to

be expected and possibilities of avoiding such danger or
limiting the effects of damage (e.g. by manual intervention)
exist.
(6) Performance Level e to DIN EN ISO 13849-1 is required for safety functions which are intended to master operational troubles where the dangerous conditions as described under Sections 4.3 or 4.4 are to be expected and no
other possibilities of avoiding such danger or limiting the effects of damage (e.g. by manual intervention) exist.
For safety functions where in case of their failure an event
beyond accident planning reference levels of 49 of the
Radiation Protection Ordinance is to be assumed and where
the function is to be provided by means of software-based
systems, the functions shall be of redundant design with one
function being classified in PL e and one function being independent of the other and of different design to be at least
classified in Performance Level c.
E2
Required Performance Levels to DIN EN ISO 13849-1

for functions of safety-related parts of control systems
to KTA 3902, Sections 4.2, 4.3 or 4.4
(1) The typical functions of safety-related parts of control

systems in lifting equipment to KTA 3902, Sections 4.2, 4.3 or
4.4 are assigned in Table E-1 to Performance Levels which
satisfy the criteria of Section E 1.
Note:
See sub-clause 6.5.1 (3) as regards the application of Safety Integrity Levels (SIL) to the DIN EN standard series 61508 instead
of the Performance Levels to DIN EN ISO 13849-1 laid down in
Table E-1.
(2) Deviations from the design requirements laid down in

Table E-1 shall be justified in each individual case.
Performance Level to DIN EN

Requirement to ISO 13849-1 when classifying
lifting equipment to KTA 3902,
KTA 3902,
Section
Section
4.2
4.3
4.4
Note
General:
1.
Switch on/off of lifting equipment,

release from control room
6.5.2 (1), 8.5 b)
2.
Emergency-off
6.5.4.1 (5)
For wireless control systems: Stop
3.
Emergency-off switch for the supervising

person when applying the four-eyes
principle
6.5.4.1 (6)
For wireless control systems: Stop
4.
Reporting, warning and alarm signals
6.5.4.2
5.
Operational status messages signalling

such conditions as are triggered by
safety-related activities or from which
safety-related activities are derived
6.5.4.2
e.g. check-back signal of

load limit transition switch
Table E-1: Assignment of typical functions of safety-related parts of control systems in lifting equipment to Sections 4.2 to 4.4
to the required Performance Levels to DIN EN ISO 13849-1
KTA 3902 Page 52
Ser.
No.
Function
Requirement to
KTA 3902,
Section
Performance Level to
DIN EN ISO 13849-1 when
classifying lifting equipment
to KTA 3902, Section
4.2
4.3
4.4
6.
Operational functions and drive control
6.5.4.1
7.
Running time or load collective meter for

engagement of safety brake
6.5.2 (5), 7.5 b)
8.
Mutual interlocking of control points
6.5.4.1 (7)
9.
Phase-sequence relais and a phase conductor monitor
6.5.2 (2)
Overload protective devices for motors
6.5.2 (3)
Speed limiters at travelling and hoist end

positions
6.5.3 (5)
a) Switch-off if allowable speed at travelling end position is exceeded
6.5.3 (5)
6.5.3 (5), 7.5
10.
Note
e.g. control functions of

master controller, mode
selector switch for control
commands for drive control system (e.g. set point
signals)
The emergency-off switch

shall also be effective at
switched-off control points
(except for: stop function
on wireless controls).
Hoists and lateral transport drives:

11.
12.
b) Switch-off if allowable speed at hoist

end is exceeded
First switch-off device
Second switch-off device 1)
13.
Operational travel limiters
6.5.3 (1) and (3)
14.
Safety travel limiters of lateral transport

drives
6.5.3 (1)
15.
Standstill monitoring
6.5.2 (8)
16.
Enforced zero position
6.5.4.1 (1)
17.
Monitoring of direction during start-up from

standstill in case of converter drives
6.5.2 (8)
18.
Interlocking of lateral transport drive and

hoist movements
6.5.3 (6)
19.
Interlocking of lateral transport drive and

hoist movement as well as limitation of
lateral movement
8.5 a), 8.5 f),

8.5 g), 8.5 l)
For examples see Figures E-1 and E-4.

Switch-off at operationally
allowable lateral transport
drive or hoist end positions
Additional functions for hoists:

20.
Load indication
7.5 g)
21.
Switch-off at 110 % of maximum operational load (overload protection)
6.5.2 (4)
1) Only if, in case of failure of this function, an event beyond the accident planning reference levels of 49 of the Radiation Protection Ordi-
nance is to be assumed and the function is to be provided by means of software-based systems.
(continued)
KTA 3902 Page 53
Ser.
No.
22.
Function

KTA 3902,
Section
Section
4.2
4.3
4.4
Upstream variable overload protection
7.5 h)
23.
Note
Load limit value to be attained in accordance with

the transported load.
Category b for operational limitations. Where
protective functions are to
be fulfilled, the requirements of ser. No. 21
Overload switch-off at
attainment of 110 % of
maximum operational
load shall be observed.
Upstream variable overload protection

depending on mode of operation
8.5 d)
Load limit value to be activated depending on the

mode of operation, e.g. in
dependence of the transported load.
Alarm signal, see 8.5 e)
24.
Underload protection, slack rope
8.2.1.3.1 (7)
25.
Engagement of operational and auxiliary

brake at safety-relevant drive shut-offs
6.5.1 (1)
26.
Hoist switch-off in case of failure of a

component within a double drive
mechanism chain or drive mechanism
chain with safety brake
7.5 e)
Monitoring of auxiliary media of systems

to take up or dampen load shifting
pulses
7.5 f)
28.
Monitoring of orderly winding up of the

rope on the drum
6.5.2 (10)
29.
Monitoring of outer conductor of the

hoist motor
7.5 a)
30.
Switch-off if allowable lifting or lowering

speed is exceeded
6.5.1 (1)
31.
Transmission break monitoring with triggering of safety brake

First monitoring device
c 2)
6.5.2 (6) and

7.5 b)
Position and brake lining

thickness monitoring
6.5.3, 7.5 d)
For example see Figures

E-3 and E-4.
e
c
27.
7.5 b)
Second monitoring device 1)

32.
Brake monitoring
33.
a) Safety travel limiter, in lift direction

First limiter
Second limiter 1)
b) Safety travel limiter, in lowering direction
34.
Monitoring of correct sequence during

extension and retraction of hoist components
6.5.3, 6.2.2.3 (3)

8.5 i)
For example see Figures

E-2 and E-4.
e.g. by monitoring of
height-dependent load at
the rope
1) Only if, in case of failure of this function, an event beyond the accident planning reference levels of 49 of the Radiation Protection Ordi-
nance is to be assumed and the function is to be provided by means of software-based systems.

2) Not required for hoists with a maximum operational load equal to or smaller than 5 t.
(continued)
KTA 3902 Page 54
Ser.
No.
35.
Function

KTA 3902,
Section
Section
4.2
4.3
4.4
Set-down prevention
8.5 j)
a) opening of grab where mechanical

opening interlock is provided
6.5.2 (9)
b) opening of grab where no mechanical

opening interlock is provided
6.5.2 (9), 8.5 k)
Position and condition indications of load

grab
6.5.2 (9)
Note
Supplementary function to
become effective before
the underload protection
responds.
Functions for electrically driven

grabs:
36.
37.
(continued)
Operational control
U01
Q72
*1
*2
*3
*4
K00
K01
K02
Q71
Q72
Q0
Q1
Crane switch Q0
*1
Q71
*2
Operational
brake
Transmission
Motor
Auxiliary
brake
Further hoists
and lateral
transport drives
Safety brake
Q1
Testing
K00
Requirements to
DIN EN ISO 13849-1 for
Performance Level e and
category 4
Safety control
Q0
Functions:
- creep speed monitoring during lifting
.
.
.
K01
K02
K21
K22
Q71
Requirements to
Performance Level c and
category 2
*3
*4
Testing
Frequency relais
Q1
Q71
Q72
U01
Opera- Auxiliary Converter

Drive
brake
contactor tional
safe
brake
stop
Figure E-1:
Example for realization of the requirements to Table E-1 for the function ser. no. 12b Switch-off in case of excess of allowable speed at hoist end in lifting equipment
to Sections 4.3 or 4.4
(Example for hoist with single drive mechanism chain and insufficient travel stop way length upwards upon response of safety travel limiter)
KTA 3902 Page 55
Q72
*1
Q71
Operational
brake
Auxiliary
brake
Motor
Transmission
V> max
Q77
U01
*1
*2
*3
*4
K00
Q75
Q76
K01
K02
Q71
Q72
Q0
Q1
Operational control
*2
Q1
Further hoists
and lateral
transport drives
Safety brake
Q76
K
KTA 3902 Page 56
Crane switch Q0
Q75
Testing
K00
Requirements to
category 4
Safety control
Q0
Functions:
- transmission brake monitoring
.
.
.
Q75
Q76
K01
K02
K21
Requirements to
category 1
K22
*3
*4
Q77
Q1
Q71
Q72
U01
Drive
contactor tional
brake
safe
brake
stop
Figure E-2:
Example for realization of the requirements to Table E-1 for the function ser. no. 31 Transmission brake monitoring with triggering of safety brake in lifting equipment
to Sections 4.3 or 4.4
(Example for hoist with single drive mechanism chain and safety brake)
Operational control
Further hoists and lateral transport drives
*1
*2
*3
*4
K00
K01
K02
Q71
Q72
Q73
Q74
Q0
Q1
Crane switch Q0
*1
*2
Q1
K00
Testing
Q71
Q72
U01
U02
Q74
Q73
Requirements to
category 4
Operational
brake
Motor 2
Transmission
Motor 1
Auxiliary
brake
Auxiliary
brake
Transmission
Operational
brake
Safety control
Q0
Functions:
- safety travel limiter at top
.
.
.
K01
K02
Requirements to
category 1
K21
K22
*3
Q1
Drive
contactor
Figure E-3:
*4
Q71
Q73
Operational
brakes
Q72
Q74
Auxiliary
brakes
U01
U02
Converters
safe stop
Example for realization of the requirements to Table E-1 for the function ser. no. 33a Safety travel limiter in lift direction in lifting equipment to Sections 4.3 or 4.4
(Example for hoist with double drive mechanism chain and sufficient travel stop path upon response of the safety travel limiter in the main circuit, in lift direction)
KTA 3902 Page 57
Q72
Q77
Motor
*1
Q71
Operational
brake
U01
Transmission
Q1
*1
*2
*3
*4
K00
Q75
Q76
K01
K02
Q71
Q72
Q0
Q1
Operational control
Auxiliary
brake
Safety brake
Q76
K
KTA 3902 Page 58
Crane switch Q0
Q75
Testing
Safety control 1
Manufacturer A
Functions:
- transmission break monitoring
.
.
.
*2
K00
Requirements to
category 4
Q0
Q75
Q76
K01
K21
K22
Q77
Q71
Q72
Q1
K02
Testing
Safety control 2
Manufacturer B
Functions:
- transmission break monitoring (Vmax)
K21
Requirements to
category 2
K22
Q77
*3
Q1
*4
Q71
Q72
U01
Drive
brake
contactor tional
safe
brake
stop
Figure E-4:
Example for realization of the requirements to Table E-1 for the functions
a) ser. no. 12b Switch-off in case of excess of allowable speed at hoist end position
b) ser. no. 31 Transmission break monitoring with triggering of safety brake
c) ser. no. 33a Safety travel limiter in lift direction
in lifting equipment to Sections 4.3 or 4.4
(Example of hoist with single drive mechanism chain and insufficient travel stop path upon response of the safety travel limiter in the main circuit, in lift direction)
KTA 3902 Page 59
Annex F
Regulations and literature referred to in this Safety Standard
(The references exclusively refer to the version given in this annex. Quotations of regulations referred to therein
refer to the version available when the individual reference below was established or issued.)
Directive 95/16/EC
European Parliament and Council Directive 95/16/EC of 29 June 1995 on the approximation of
th
the laws of the Member States relating to [Official Journal L 213 dated 07 September 1995]
Atomic Energy Act (AtG)
Act on the Peaceful Utilization of Atomic Energy and the Protection against its Hazards
(Atomic Energy Act) of December 23, 1959 (BGbl. I, p. 814) as Amended and Promulgated
on July 15, 1985 (BGBl. I, p. 1565), last Amendment by article 5 para. 1 of the Law dated
24th February 2012 (BGbl. I, p. 212)
StrlSchV
Ordinance on the Protection against Damage and Injuries Caused by Ionizing Radiation
(Radiation Protection Ordinance) dated 20th July 2001 (BGBl. I 2001, No. 38, p. 1714), last
Amendment by article 5 para. 7 of the Law dated 24th February 2012 (BGbl. I, p. 212)
Safety Criteria
(1977-10)
Safety criteria for nuclear power plants of 21 October 1977 (BAnz. No. 206 of November 3, 1977)
Design Basis
Accident Guidelines
(1983-10)
Guidelines for the assessment of the design of nuclear power plants with pressurized water
reactors against design basis accidents as defined in Sec. 28, para. 3 StrlSchV (Design
Basis Accident Guidelines) of October 18, 1983 (Addendum to BAnz. No. 245 of December
31, 1983)
AtSMV
(1992-10-14) Ordinance on the Nuclear Safety Officer and the Reporting of Incidents and other Events
th
(AtSMV), at last amended by ordinance dated 8 June 2010, I 755
KTA 2201.4
(2012-11)
Design of nuclear power plants against seismic events; Part 4: Components
KTA 3201.2
(1996-06)
Components of the Reactor Coolant Pressure Boundary of Light Water Reactors;

Part 2: Design and analysis
KTA 3205.1
(2002-06)
Component Support Structures with Non-Integral Connections; Part 1: Component Support

Structures with Non-Integral Connections for Components of the Reactor Coolant Pressure
Boundary of Light Water Reactors
KTA 3903
(2012-11)
Inspection, testing and operation of lifting equipment in nuclear power plants
DIN EN 81-1
(2010-06)
Safety rules for the construction and installation of lifts. Part 1: Electric lifts; German version
EN 81-1:1998+A3:2009
DIN 743-1
(2000-10)
Shafts and axles, calculation of load capacity - Part 1: General basics
DIN 743-2
(2000-10)
Shafts and axles, calculation of load capacity - Part 2: Theoretical stress concentration factors and fatigue notch factors
DIN 743-3
(2000-10)
Shafts and axles, calculation of load capacity - Part 3: Strength of materials
DIN EN 818-2
(2008-12)
Short link chain for lifting purposes. Safety. Part 2: Medium tolerance chain for chain slings.
Grade 8; German version EN 818-2:1996+A1:2008
DIN EN 818-4
(2008-12)
Short link chain for lifting purposes Safety - Part 4: Chain slings - Grade 8; German version EN 818-4:1996+A1:2008
DIN EN 894-1
(2009-01)
Safety of machinery - Ergonomics requirements for the design of displays and control actuators Part 1: General principles for human interactions with displays and control actuators;
German version EN 894-1:1997+A1:2008
DIN EN ISO 898-1
(2009-08)
Mechanical properties of fasteners made of carbon steel and alloy steel - Part 1: Bolts,
screws and studs with specified property classes - Coarse thread and fine pitch thread
(ISO 898-1:2009); German version EN ISO 898-1:2009
DIN EN ISO 898-2
(2012-08)
Mechanical properties of fasteners made of carbon steel and alloy steel - Part 2: Nuts with
specified property classes - Coarse thread and fine pitch thread (ISO 898-2:2012); German
version EN ISO 898-2:2012
DIN EN 1677-1
(2009-03)
Components for slings. Safety Part 1: Forged steel components, Grade 8; German version
EN 1677-1:2000+A1:2008
DIN EN 1677-2
(2008-06)
Components for slings. Safety Part 2: Forged steel lifting hooks with latch, Grade 8; German version EN 1677-2:2000+A1:2008 (Correction: 2009-01)
DIN EN 1677-3
(2008-06)
Components for slings. Safety Part 3: Forged steel self-locking hooks. Grade 8; German
version EN 1677-3:2001+A1:2008 (Correction: 2009-01)
DIN EN 1677-4
(2009-03)
Components for slings. Safety Part 4: Links, grade 8; German version

EN 1677-4:2000+A1:2008
KTA 3902 Page 60
DIN EN ISO 3506-1
(2010-04)
Mechanical properties of corrosion-resistant stainless steel fasteners. Part 1:Bolts, screws

and studs; (ISO 3506-1:2009); German version EN ISO 3506-1:2009
DIN EN ISO 3506-2
(2010-04)
Mechanical properties of corrosion-resistant stainless steel fasteners. Part 2: Nuts (ISO

3506-2:2009); German version EN ISO 3506-2:2009
DIN 3962-2
(1978-08)
Tolerances for cylindrical gear teeth; tolerances for tooth trace deviations
DIN 3990-5
(1987-12)
Calculation of load capacity of cylindrical gears; endurance limits and material qualities
DIN 3990-11
(1989-02)
Calculation of load capacity of cylindrical gears; application standard for industrial gears;
detailed method
DIN EN ISO 5817
(2006-10)
Welding. Fusion-welded joints in steel, nickel, titanium and their alloys (beam welding excluded). Quality levels for imperfections; (ISO 5817:2003 + Cor. 1:2006); German version
EN ISO 5817:2007 (Correction: 2007-10)
DIN EN 10025-2
(2005-04)
Hot rolled products of structural steels Part 2: Technical delivery conditions for non-alloy
structural steels; German version EN 10025-2:2004
DIN EN 10088-2
(2005-09)
Stainless steels - Part 2: Technical delivery conditions for sheet/plate and strip of corrosion
resisting steels for general purposes; German version EN 10088-2:2005
DIN EN 10088-3
(2005-09)
Stainless steels Part 3: Technical delivery conditions for semi-finished products, bars,
rods, wire, sections and bright products of corrosion resisting steels for general purposes;
German version EN 10088-3:2005
DIN EN 13411-3
(2011-04)
Terminations for steel wire ropes - Safety - Part 3: Ferrules and ferrule-securing; German
version EN 13411-3:2004+A1:2008
DIN EN 13411-4
(2011-06)
Terminations for steel wire ropes - Safety - Part 4: Metal and resin socketing; German version EN 13411-4:2011
DIN EN 13414-1
(2009-02)
Terminations for steel wire ropes - Safety - Part 1: Thimbles for steel wire rope slings; German version EN 13414-1:2003+A2:2008
DIN EN 13414-2
(2009-02)
Terminations for steel wire ropes - Safety - Part 2: Specification for information for use and
maintenance to be provided by the manufacturer; German version EN 13414-2:2003+A2:2008
DIN EN ISO 13849-1 (2008-12)
Safety of machinery Safety-related parts of control systems - Part 1: General principles for
design (ISO 13849-1:2006); German version EN ISO 13849-1:2008
DIN EN 13889
(2009-02)
Forged steel shackles for general lifting purposes. Dee shackles and bow shackles.
Grade 6. Safety; German version EN 13889:2003+A1:2008
DIN 15003
(1970-02)
Lifting appliances; load suspending devices, loads and forces; definitions
DIN 15018-1
(1984-11)
Cranes; steel structures; verification and analyses
DIN 15018-2
(1984-11)
Cranes; steel structures; principles of design and construction
DIN 15020-1
(1974-02)
Lifting appliances; principles relating to rope drives; calculation and construction
DIN 15070
(1977-12)
Cranes; basic calculation of crane rail wheels
DIN 15071
(1977-12)
Cranes; determination of bearing load of crane rail wheels
DIN 15085
(1977-12)
Lifting appliances; rail wheels, technical conditions
DIN 15400
(1990-06)
Lifting hooks; materials, mechanical properties, lifting capacity and stresses
DIN 15401-1
(1982-11)
Lifting hooks for lifting appliances; single hooks; unmachined parts
DIN 15401-2
(1983-09)
Lifting hooks for lifting appliances; single hooks; finished parts with threaded shank
DIN 15402-1
(1982-11)
Lifting hooks for lifting appliances; ramshorn hooks; unmachined parts
DIN 15402-2
(1983-09)
Lifting hooks for lifting appliances; ramshorn hooks; finished parts with threaded shank
DIN 15413
(1983-08)
Bottom blocks for lifting appliances; lifting hook nuts
DIN 15434-1
(1989-01)
Power transmission engineering; principles for drum- and discbrakes, calculation
DIN EN 60204-32;
VDE 0113-32
(2009-03)
Safety of machinery - Electrical equipment of machines - Part 32: Requirements for hoisting
machines (IEC 60204-32:2008); German version EN 60204-32:2008
DIN EN 61508-1;
VDE 0803-1
(2011-02)
Functional safety of electrical/electronic/programmable electronic safety-related systems Part 1: General requirements (IEC 61508-1:2010); German version EN 61508-1:2010
DIN EN 61508-2;
VDE 0803-2
(2011-02)
Functional safety of electrical/electronic/programmable electronic safety-related systems Part 2: Requirements for electrical/electronic/programmable electronic safety-related systems (IEC 61508-2:2010); German version EN 61508-2:2010
DIN EN 61508-3;
VDE 0803-3
(2011-02)
Functional safety of electrical/electronic/programmable electronic safety-related systems Part 3: Software requirements (IEC 61508-3:2010); German version EN 61508-3:2010
KTA 3902 Page 61
DIN EN 61508-4;
VDE 0803-4
(2011-02)
Functional safety of electrical/electronic/programmable electronic safety-related systems Part 4: Definitions and abbreviations (IEC 61508-4:2010); German version EN 61508-4:2010
DIN EN 61508-5;
VDE 0803-5
(2011-02)
Functional safety of electrical/electronic/programmable electronic safety-related systems Part 5: Examples of methods for the determination of safety integrity levels (IEC 615085:2010); German version EN 61508-5:2010
DIN EN 61508-6;
VDE 0803-6
(2011-02)
Functional safety of electrical/electronic/programmable electronic safety-related systems Part 6: Guidelines on the application of IEC 61508-2 and IEC 61508-3 (IEC 61508-6:2010);
German version EN 61508-6:2010
DIN EN 61508-7;
VDE 0803-7
(2011-02)
Functional safety of electrical/electronic/programmable electronic safety-related systems Part 7: Overview of techniques and measures (IEC 61508-7:2010); German version EN
61508-7:2010
DIN IEC 61513;

VDE 0491-2
(2002-10)
Nuclear power plants - Instrumentation and control for systems important to safety General requirements for systems (IEC 61513:2001)
DIN EN 62138;
VDE 0491-3-3
(2010-03)
Nuclear power plants - Nuclear power plants - Software aspects for computer-based
systems performing category B or C functions (IEC 62138:2004); German version EN
62138:2009
SEB 666211 Suppl. 1 (1985-08)
Materials handling; hoisting drums; mathematical calculation of the bolted joints of bulldog
grips
VDI 2230 Sheet 1
(2003-02)
Systematic calculation of high duty bolted joints; joints with one cylindrical bolt
VDI 3576
(2011-03)
Rails for crane systems - Rail connections, rail beddings, rail fastenings, tolerances for
crane tracks
KTA 3902 Page 62
Literature
[1] Niemann, G.
Maschinenelemente Band 1, Springer Verlag Berlin/Gttingen/Heidelberg 1981,

2. Auflage
(Mechanical devices Volume 1, Springer Verlag Berlin/Gttingen/Heidelberg 1981
2nd Edition)
[2] Niemann, G.
Maschinenelemente Band 2, Springer Verlag Berlin/Gttingen/Heidelberg 1965

(Mechanical devices, Volume 2, Springer Verlag Berlin/Gttingen/Heidelberg 1965)
[3] Hhnchen, R.
Dauerfestigkeit fr Stahl- und Gueisen, Carl Hanser Verlag, Mnchen 1963

(Endurance strength for steel and cast-iron, Carl Hanser Verlag, Mnchen 1963)
[4] Decker, K.-H.
Maschinenelemente, Carl Hanser Verlag, Mnchen 1982

(Mechanical devices, Carl Hanser Verlag, Mnchen, 1982)
[5]
Leitfaden fr eine Betriebsfestigkeitsberechnung; Empfehlung zur Lebensdauerabschtzung von Maschinenbauteilen, 4. Auflage, 1999, Herausgegeben vom Verein
zur Frderung der Forschung und der Anwendung von Betriebsfestigkeitskenntnissen
in der Eisenhttenindustrie (VBFEh) im Stahlinstitut VDEh,
(Guideline on the calculation of cyclic strength; recommendations regarding life cycle
estimations for machine components, 4th edition 1999 (Published by the Association
for the promotion of research and knowledge of operational strength in metallurgical
engineering (VBFEh) at Iron and Steel Instiute VDEH)
[6] Dubbel, H. u. W. Beitz
Taschenbuch fr den Maschinenbau, 16. Auflage korrigiert und ergnzt,

Springer-Verlag, Berlin 1987
(Manual for mechanical engineering; 16th supplemented and corrected Edition,
Springer-Verlag, Berlin 1987)
[7] DIN-Fachbericht 1
Berechnungsgrundstze fr Triebwerke in Hebezeugen, 1. Auflage 1982,

Herausgegeben vom Normenausschu Maschinenbau, Fachbereich Frdertechnik im DIN
(Design principles for drive mechanisms in lifting equipment, 1st Edition 1982;
Published by Standards Committee Mechanical Engineering, Division "Mechanical Conveying and Handling" of DIN
[8] Dietz, P.
Ein Verfahren zur Berechnung ein- und mehrlagig bewickelter Seiltrommeln,

VDI-Verlag 1972
(A method for the design of rope drums with one or multiple wraps, VDI Verlag, 1972)
[9] Neugebauer, H.-J.
Berechnungsverfahren fr ein- und mehrlagig bewickelte Seiltrommeln,

Technische Universitt Dresden 1979, Dissertation
(A method for the design of rope drums with single or multiple wraps,
Technical University Dresden 1979, Dissertation)
[10] Dudley/Winter
Zahnrder, Ausgabe 1961

(Pinions, Edition 1961)
[11] FVA Forschungsheft Nr. 108
Rechenprogramm zur Ermittlung der Zahnflankenkorrekturen am Ritzel zum Ausgleich

der lastbedingten Zahnverformung; 1981, Herausgeber: Forschungsvereinigung Antriebstechnik e. V., Corneliusstrae 4, 6000 Frankfurt/Main
(Computer program for the determination of the tooth flank corrections at the pinion to
balance the load-dependent tooth deformations, FVA Research Journal No. 108, 1981,
Publishers Research Society Drive Mechanisms, Corneliusstrae 4, 60325 Frankfurt/Main)
[12] Stenkamp, W.
Hebezeuge in kerntechnischen Anlagen, Neufassung der Regel KTA 3902,

Sonderdruck aus frdern + heben
(Lifting equipment in nuclear facilities, revision of safety standard KTA 3902,
Special issue of the journal "frdern + heben")
[13] Feyrer, K. et al.
Laufende Drahtseile: Bemessung und berwachung, expert-Verlag Ehningen bei

Bblingen, 1989
(Running wire ropes: Design and supervision, expert-Verlag Ehningen near Bblingen, 1989
[14] Bork C.-P., Ernsberger M.
Schwingfestigkeitsuntersuchungen an geschweiten Proben aus austenitischen

Sthlen in Kernkraftwerken zur Festlegung von Kennwerten im Regelwerk (Abschlussbericht des Vorhabens SR 2258), Bundesanstalt fr Materialforschung
und -prfung (BAM), Mrz 2003
(Endurance limit tests on welded specimens of austenitic steels in nuclear power
plants to determine material properties in technical rules (Final report of project
SR2258), Federal Institute of Material Research and Examination (BAM))
KTA 3902 Page 63
Annex G (informative)
Changes with respect to the edition 1999-06 and explanations
(1) The requirements of KTA 3902 and KTA 3903 are still
based on the standard series DIN 15018, as the European
standards intended to form the design basis will have to be
established and introduced as an integral standard series with
the status of harmonised standards.
(2) Sub-section 1 of the Section Fundamentals was adapted to the formulation uniformly used in all KTA Safety Standards, sub-section 3 was revised editorially and sub-sections
4 and 5 were put more precisely and with respect to the requirements for quality assurance.
(3) Section 2 was supplemented to include the definition of
load shifting.
(4) Section 4 Special provisions was changed as follows:
a) The criteria of Sections 4.2 and 4.3 regarding the necessity
of additional and increased requirements were put more
precisely in the text of this standard and by inclusion of a
classification system in Annex A.
b) In Section 4.5 the reference to Annex A of KTA 2201.4
was replaced by an adequate formulation since this Annex
will no more be contained in the new version of KTA
2201.4 which is in course of preparation.
c) in Section 4.7 ergonomics requirements were taken over.
(5) The requirements for elevators in containment vessels
(Section 5) were updated in due consideration of the European Lift Directive 95/16/EC and the requirements in DIN EN
81-1. A reference to the standard DIN EN 81-2 was waived
since oil-hydraulically operated elevators are not used in containment vessels (e.g. for minimizing fire load).
(6) The formulations in 6.1.1. (3), 7.1.1. (3) and 8.1.1 (3)
were put more precisely to avoid misunderstandings.
(7) In Sections 6.1.2, 7.1.2, 8.1.2 and B 1.4.1.5 requirements
for joints with pre-tensioned bolts were added which, upon
disassembly, have to be re-assembled.
(8) Furthermore, the additional requirements for load support
structures (Section 6.1) were changed as follows:
a) It was clearly pointed out that the number of stress cycles
has to be determined at any rate in conformance with Section B 1.2.1.2.
b) New requirements for dynamically loaded welds were
included which correspond to the conventional technical
rules and standards.
c) Reference was additionally made to Guideline VDI 3576
which contains more detailed requirements than DIN
15018-2.
(9) The additional requirements for hoists (Section 6.2) were
changed as follows:
a) Sub-clauses 6.2.1.3.2 (5) and 6.2.2.3 (5) were supplemented to include requirements regarding the quality levels to DIN EN ISO 5817.
b) Clause 6.2.1.3.3 was supplemented to include the requirements as per DIN15434-1 and the requirements for
the engagement of the auxiliary brake were put more precisely. The delayed engagement of the auxiliary brake is
intended to ensure reduction in wear as compared to the
operational brake. In the case of non-converter drives this
requirement shall be satisfied further for operational braking in the future. The simultaneous engagement of both
brakes at emergency-off is not considered necessary,
since due to the limited delay in time safe braking is en-
sured. Where the simultaneous braking of operational and

auxiliary brakes is possible as test or special load case,
this shall be considered in the strength analysis to Annex B.
b) In Section 6.2.2.1 the term minimum breaking strength
was introduced and the factor for the minimum breaking
strength changed due to the changed reference value. The
changed factor is now derived from the required reference
to the rope minimum breaking strength and does not mean
a change of content as regards the former requirement.
This adaptation was required since calculated breaking
strengths are no more available in current standards.
c) In Section 6.2.2.3 the new requirement for single-rope
winding of rope drum and respective monitoring was included. Monitoring is required since rope overtravel may
cause initial damage to the rope and may impair the functioning of the travel limiters.
(10) Regarding the additional requirements for load suspending devices (Section 6.4) the following changes were made:
a) The definitions for load carrying means (Section 6.4.1) and
load carrying attachments (Section 6.4.2) were put more
precisely in conformance with the formulations of DIN
15003.
b) It was clearly pointed out that the bolt load for bolted joints
under additional tensile loading has to be increased by a
factor of 1.2 both in the general analytical proof of stresses
and the analysis for cyclic operation or endurance limit
(Sections 6.4.1.1 and 6.4.2.1).
c) In clause 6.4.1.2 as well as in clauses 7.4.1.2 and 8.4.2
and in connection with the changes in clause B 1.2.1.2, a
differentiation as to the number of stress cycles was made
at which an analysis for cyclic operation is to be performed. For other components of load attaching points
the values available for steel components to DIN 15018-1
on which experience made with the stress evaluation
based on nominal stresses and with the materials to Table
8 and section 6.4 of DIN 15018-1 is based, cannot be used
to form the basis of analysis. Therefore, the number of operational load cycles which require analysis for cyclic operation, were left unchanged in due consideration of the
new value of ka determined in clause B 1.2.1.2. For load
support structures a corresponding change of the requirements is not required since such structures are designed
to DIN 15018-1 and do not contain other components.
d) Regarding the requirements for rope slings, chain slings
and shackles it was clearly pointed out that consideration
of the live load factor is not required since the dynamic influences are covered by the rated lifting capacity and the
additional safety requirements to Section 4.2 are covered
by limiting the lifting capacity to 50 % of the rated lifting
capacity (clause 6.4.2.1).
e) The requirements for load attachment rigging were supplemented to request that they shall be clearly assigned to
fixed transport operations and shall only be used for operations they are assigned to (clause 6.4.3.1).
(11) The requirements for electrical equipment (Sections 6.5,
7.5 and 8.5) were fundamentally changed in due consideration
of current standards, and the following essential changes were
made:
a) Within the procedures for changing safety standards it was
checked how the rules and standards applicable to safetyrelated I&C equipment in nuclear power plants are to be
applied to the electrical equipment of lifting equipment and
KTA 3902 Page 64
how they are satisfied by KTA 3902. When revising the requirements for electrical equipment of NPP lifting equipment, the existing concept of KTA 3902 was maintained
which is characterised by the fact that it is based on pertinent rules and guidelines for conventional lifting equipment, and that requirements for achieving the nuclear protective goals beyond the abovementioned requirements
are added. This concept is purposeful as it is current
manufacturers practice to apply the conventional rules and
standards, and furthermore concrete technical requirements for the use of lifting equipment in nuclear power
plants need be laid down as consistent safety standard
beyond these requirements.
Therefore, the equipment functions necessary to satisfy
the nuclear protective goals were classified as to their
safety-related functions into Performance Levels introduced in DIN EN ISO 13849-1 for the safety of conventional machinery. The procedure laid down in DIN EN ISO
13849-1 for determining the Performance Levels was replaced by a classification scheme meeting nuclear safety
requirements. The Performance Levels laid down in Table
E-1 for the various functions result from the classification
to the scheme in Annex E in order to satisfy the nuclear
protective goals. This leads to a more sophisticated design
of functions and to a higher safety level than that laid down
by application of the risk graph in informative Annex of DIN
EN ISO 13849-1 which is based on the risks regarding
safety provisions for workers.
b) It is no more considered necessary to fix concrete requirements for the designation of warning and alarm signals. These designations were deleted at all relevant locations in the text.
c) The requirement in sub-clause 6.5.1 (1) was formulated to
be more general and in consideration of the terms contained in current standards.
d) In sub-clause 6.5.1 (2) a new requirement was included to
have the control system subdivided into an operational
control system and a safety-related control system. When
using software-based safety-related control systems it is
required to meet the requirements of DIN EN 62138 as this
standard contains further requirements with respect to
DIN EN ISO 13849-1, which are also relevant to softwarebased control systems in lifting equipment.
e) In sub-clause 6.5.1 (8) a new requirement was included to
lay down that for safety functions the unambiguous identification of the current versions of hardware and software
must be possible.
f) In sub-clause 6.5.1 (9) the requirements for in-service
functional tests were put more precisely.
g) In sub-clause 6.5.2 (1) the requirements for safeguarded
crane switch-on were included.
h) The requirement for limiting the lowering speed was deleted since it is covered by the stipulations in sub-clause
6.5.1 (3).
i)
Sub-clause 6.5.2 (5) was supplemented to require that all

data obtained from load collective meters have to be saved. Regular data saving is considered to be e.g. data saving during in-service inspections.
j)
The requirement for delayed engagement of the auxiliary

brake is considered necessary for non-controlled drives
only. Both Sections 6.2.1.3.3 and 6.5.2 (6) were changed
accordingly.
k) The former sub-clause 6.5.2 (9) was changed as its formulation did not cover the interlocking regarding the fuel pool
and other specific interlocks (e.g. when loading MOX fuel
assemblies). Since requirements for interlocking are better
placed under Section 6.5.3 Limiting functions, the reformulation was placed as sub-clause (6) in Section 6.5.3.
l)
The requirements for limiting functions in Section 6.5.3

were put more precisely at several locations. The following
new formulations were included
la) a requirement for electronic travel way measuring systems to ensure that when setting the limiting function
based on a measured travel way no maloperation is
possible,
lb) a clarification to state that a sufficient slowing-down
path is provided between operational and safety travel
limiter response,
lc) the requirement for measures to ensure that safety
travel limiters can only be actuated with the allowable
speed unless the slowing-down paths upon response
of the safety travel limiters are designed for rated
speed.
m) The requirements for control systems (Section 6.5.4.1)
were put more precisely and supplemented in part. Since
the requirements for speed control were applicable only in
part to non-controlled drives, a subdivision into two subclauses was made. In new sub-clause 2 a clear statement
was given that the requirement only applies to drives operating at several speeds. In conformance with the requirements as regards the organisation of transports in KTA
3903, Section 9.2, new requirements for the switch-off device for the supervising person applying the four-eyes principle were included (sub-clause (6)). New sub-clause (8)
was included to cover requirements for wireless controls.
n) Requirements for signalling systems (clause 6.5.4.2) were
included to clearly state that operational troubles always
(have to) effect switching off.
(12) The increased requirements (Section 7) were changed
as follows:
a) analogously to the additional requirements (Section 6) the
requirements were adapted to the current state of standards, be put more precisely and revised editorially.
b) Clauses 7.2.1.3.1 and 8.2.1.3.1 were supplemented to
include requirements for lifting equipment intended for
handling core components with load attaching points which
satisfy the rules of KTA 3905. In correspondence with the
requirements of KTA 3905 the design shall ensure that the
loads arising from load shifting due to failure of a hoist
component do not lead to more unfavourable loadings at
the load attaching points than those arising from the dead
weight of the core component, multiplied by a load intensification factor of 4.
c) The requirements of clauses 7.4.1.1 and 8.4.1 were
changed to include the new materials test sheet WPB 3.17
(in correspondence with the rules of KTA 3905).
d) In clause 7.4.3 the use of load attachment rigging was also
permitted for lifting equipment classified to Section 4.3
since the boundaries between load carrying attachments
(hangers) and distinct load attachment rigging are fluid.
Due to the requirements in Section 4.7, the requirement for
clear assignment to fixed transportation operations under
6.4.3.1 (2) and for specific operating and maintenance instructions, the required safety when using attachment rigging will also be ensured for lifting equipment as classified
under Section 4.3.
e) The following changes were made as regards the electrical
equipment (Section 7.5):
ea) The requirements shown were limited to those applying in addition to Section 6.5.
eb) Monitoring of the outer conductor required by 7.5 a)
had not been effective during standstill in former editions of this Safety Standard. Therefore, failure of the
drive converter was included in this paragraph.
ec) The general requirements for safety travel limiters were
deleted as they are sufficiently regulated in Section
KTA 3902 Page 65
6.5.3. A specific requirement exceeding the differentiation contained in Table E-1 is not considered necessary for lifting equipment to KTA 3902, Section 4.3.
ed) The requirements for the monitoring of gear or transmission break in sub-clause 7.5 b) as well as for safety
travel limitation at the hoist gear travel end (including
monitoring of the allowable speed at hoist gear travel
end) were put more precisely and measures were included for such cases where in case of failure of this
function an event beyond the accident planning reference levels of 49 of the Radiation Protection Ordinance must be assumed.
Where due to failure of the safety functions as per
sub-clauses 7.5 b) or 7.5 d), excess of the accident
planning reference levels to 49 of the Radiation Protection Ordinance is to be assumed, then the measures to protect against Common Cause Failure (CCF)
and systematic failure fixed in Annexes F and G of
DIN EN ISO 13849-1 are considered to be insufficient
if these safety functions are realized by softwarebased systems. Where a safety function is realized
with only one technical equipment, failure of the safety
function due to an undetected system software or
hardware defect cannot be excluded with sufficient
safety even if the equipment is of redundant design
and the measures required by DIN EN ISO 13849-1
are taken accordingly. In addition to the measures as
per DIN EN ISO 13849-1 the realization of these safety
functions by means of two different systems is considered necessary. In the case of transmission break
monitoring with triggering of safety brake of hoists with
a maximum operational load equal to or smaller than
5 t, no second safety device is required in addition to
the safety device under performance level e since
excess of the accident planning reference levels to
49 of the Radiation Protection Ordinance due to failure
of this function need not be assumed (see e.g. reports
GRS-A-3114, GRS-A-3328).
ee) A new requirement was included to request that the
engagement of the safety brake during hoist movement is to be recorded by a meter. This is to take into
account that transmissions are normally designed for a
limited number of safety brake engagement at rotational movement.
(13) The requirements for refueling machines (Section 8)
were adapted to the current state of standards analogously to
the additional requirements (Section 6) and increased requirements (Section 7) and put more precisely. In addition, the
following changes were made as regards the electrical equipment (Section 8.5):
a) The requirements shown were limited to those applying in
addition to Section 6.5 and 7.5. Regarding the safety functions as per sub-clauses 7.5 b) or 7.5 d), no second safety
device is required in addition to the safety device under
performance level e for refuelling machines, since excess
of the accident planning reference levels to 49 of the Radiation Protection Ordinance due to failure of these functions need not be assumed (see e.g. reports GRS-A-3114,
GRS-A-3328, interlocking as per sub-clause 8.5 l)).
b) The requirement in sub-clause 8.5 f) was changed because simultaneous lateral and vertical movements (3-D
mode) may be permitted if the required collision protection
can be ensured by the control system. The first sentence
could be deleted because this requirement is covered by
sub-clause 6.5.3 (6).
c) Clarifications and supplements were made which resulted
from the combination of typical safety-relevant functions,
(Annex E).
(14) Annex A was supplemented to include a classification

scheme representing classification principles that have proved
to be effective in practice when applying KTA 3902. The criteria for this classification scheme are justified as follows:
a) The evaluation of radiological exposure is based on the limit
values as per 46 and 47 of the Radiation Protection Ordinance (StrlSchV). Limit values of the Radiation Protection
Ordinance may also be exceeded without or in case of slight
release of activity (e.g. if a shielding is damaged and therefore direct radiation is increased). Whether the activity release is sufficiently less than the limit values can only be determined in each individual case for the respective number
of occurrences of activity release. Where activity is released
on prescribed paths (release paths) it can be assumed that
the activity release values are sufficiently less than the limit
values if the permitted limit values are observed.
The classification criteria contained in the classification
scheme were determined on the basis of the danger potential arising from failure of lifting equipment used in nuclear power plants. In this respect, the limit values for admissible radiation exposure in case of lifting equipment
failure laid down in this standard more precisely than that
in the edition 1999-06 and the examples included in Annex
A3 for classifying load attaching points were formulated on
the basis of experience with licencing and supervising procedures in nuclear power plants. Within the procedure of
revising KTA 3902 it was not discussed whether and under
which conditions the criteria laid down in KTA 3902 regarding the design as per Section 4.2 or per Section 4.3 can be
transferred to nuclear facilities outside the scope of KTA
3902, e.g. to fuel element intermediate storage plants and
to the respective danger potential in these facilities in case
of lifting equipment failure.
Note:
The requirements for the design of lifting equipment in fuel element intermediate storage plants are laid down in the Guidelines for dry intermediate storage of radiated fuel elements and
heat-generating radioactive waste in casks. These guidelines
prescribe, inter alia, that design to increased requirements can
be waived if it is proved that in the case of fuel handling accidents, e.g. upon fall of a cask, the accident planning reference
levels of 49 or 50 in conjunction with 117, section 16 of the
Radiation Protection Ordinance are adhered to and the structure is designed to withstand consequential damage.
b) When classification is made with respect to the maximum

allowable activity releases to the environment, it shall be
based on both the permitted short-term values (releases
per day) and the long-term values (per year, during 180
successive days, etc.) laid down in the license by the licensing and supervising authorities.
c) The value shown for the radiological exposure of personnel was laid down in conformance with the yearly limit
value of category B laid down in the Radiation Protection
Ordinance for radiation-exposed persons as it cannot be
excluded that radiation-exposed persons of category B are
present in the vicinity of lifting equipment.
d) The value of 200 kg for component masses was chosen in
conformance with criteria E 2.4.1 of the Ordinance on the
Nuclear Safety Officer and the Reporting of Incidents and
other Events (ATSMV) and in Annex 1 (edition 2004-12) to
the notification of the Federal Ministry for the Environment
(BMU) dated 13th May 1993 (RS I 5-14009) Reporting of
events liable to report in plants used for the fission of nuclear materials which contains explanations to the term
heavy load used under criteria E 2.4.1.
(15) Annex B was put more precisely and supplemented as
follows:
a) Where necessary, the requirements were put more precisely to take into account the new stipulations as regards
KTA 3902 Page 66
the use of the finite element method (Section B 3) as well

as the new Annexes C and D.
b) Based on the stipulations of DIN 15018-1 new regulations
were included to permit the application of an analysis for
cyclic operation on the basis of operational loadings if these
operational loadings are exactly known (Section B 1.1.1).
This procedure permits a more differentiated evaluation in
dependence of the loading levels.
c) The requirements as regards analytical proofs (Sections
B 1.1.2 and B 2.1.3) were supplemented to basically allow
the application of other calculation procedures based on
the rules of KTA 3205.1.
d) The value Ka = 3 to be used as per B 1.2.1.2 was determined on the basis of available operating experience and
measured values. Here it was taken into account that due
to comparative calculations and measured values lower
dynamic loadings occur per load cycle than assumed up to
now with Ka = 10 .
e) In Section B 1.2.2.1 it was clearly stated that it is permitted
to determine the course of the stress-number diagram
within the analysis for cyclic operation of machine parts in
load suspending devices in accordance with the respective
literature or [7]. This procedure means that the otherwise
prescribed limitation to Rp0.2 or 0.7 Rm provided for in
KTA 3902 is waived. The static analysis where the first
load collective is safeguarded against the yield strength
will nevertheless be required as laid down in KTA 3902.
Prerequisite to this procedure is that the endurance limit
values for the considered material are available for a survival probability of 50 % since the safety factors contained
in KTA 3902 are related to these values. In addition, values for austenitic steels were included in a table (Table
B 1-2), on which the determination of the S/N diagram is
based within the analysis for cyclic operation for the steels
mentioned. These values are based on experiments performed by the Federal Institute of Material Research and
Examination (BAM)
(Bork, C.-P., Hackbarth, A., Wohler, H.: Endurance limit
tests on welded specimens of austenitic steels with respect
to load-attachment points in nuclear power plants, (BAM)
Bundesanstalt fr Materialforschung und -prfung, Berlin,
January 1993).
f) In Sections B 1.2.2.1 und B 1.3.2 stipulations for the application of DIN 743 were included with respect to the factors
influencing the design strength values. Since the safety
factors to KTA 3902 remain unchanged when applying DIN
743, the design requirements are deemed to have been
met.
g) In Section B 1.2.4 a supplementary rule was taken over
according to which the design of standard and non-standard special ropes may be based on a corrected factor c to
FEYRER et al. [13]. The corrected factor c shall be applied
to any rope where the fill factor and the stranding factor
deviate from the fill factor 0.455 and the stranding factor
0.825, respectively, laid down DIN 15020-1. The required
minimum rope diameter may be determined in accordance
with DIN 15020-1 on the basis of the same static safety
factor by using a corrected factor c to the procedure mentioned. This will generally lead to a reduction of the minimum rope diameter. This approach is permitted due to the
fact that with such a special rope at least the same service
life of the rope drive can be obtained as with the use of a
standard rope.
h) In Section B 1.4.1.5 and sub-clause B 2.4 (4) the requirements were adapted to the current edition of VDI 2230.
i)
In sub-clause B 2.2.1.1 (4) the formulation as regards the

use of the redundancy factor in the calculation of nonredundant parts was put more precisely for clarification.
j)
In Section B 2.2.2.3 a new requirement as regards the

limitation of stresses of parallel keys resulting from the
load cases load shifting and engagement of safety
brake was taken over. The limitation was made in conformance with DIN 6892 (1998-11). By this means, the influence of very rarely occurring peak stresses from these
loadings where the stresses clearly exceed the operational
loadings, can be unambiguously taken into account in the
verification of strength.
k) In Section B 3 rules for analytical proofs using the finite
element method (FEM) were taken over. The procedure
prescribed when using FEM assumes that the evaluation
of the area remote from discontinuities is made as before
(to the nominal stress concept), and that for the equivalent
stress intensity within the area of discontinuities 1.2 times
the values permitted for the area remote from discontinuities are accepted in conformance with KTA 3205.1, Table
7-7. If the limit value is exceeded, it will be permitted to
perform a limit load analysis. The yield stress values to be
inserted in this analysis shall be laid down proportionally to
the allowable stresses of the elastic analysis. The maximum principal stress shall be considered in the stress
evaluation because no separate analytical safeguarding
against secondary stresses is made.
(16) The new annexes C and D contain stress-number diagrams for the analytical proof of cyclic operation and endurance limit the application of which is permitted if the operating
conditions are exactly known. The values in Annex C have
been derived from DIN 15018-1, Tables 14 and 17. The allowable stresses in Annex D are based on experiments performed by Bundesanstalt fr Materialforschung und -prfung
(BAM) on behalf of the Federal Ministry for the Environment,
Nature Conservation and Reactor Safety (BMU).
(17) The new Annex E lists the Performance Levels to DIN
EN ISO 13849-1 required for the functions of safety-related
parts of control systems in lifting equipment with additional or
increased requirements as well as the functions of refueling
machines.
The classification scheme to Section E 1 takes into account
that drop of the load can be excluded in accordance with the
design principles of KTA 3902 and is assignable to the risks
remaining. The classification criteria were laid down in deviation of the criteria in informative Annex A to DIN EN ISO
13849-1, because
a) due to the legal basis of nuclear law, precautionary measures are to be taken that an event beyond the accident
planning reference levels of 49 of the Radiation Protection Ordinance - even on account of functional failure of lifting equipment - cannot occur,
b) for functions where, in the case of failure, an event beyond
the accident planning reference levels of 49 of the Radiation Protection Ordinance is assumed, requirements are
considered necessary beyond those of Performance Level e,
c) the requirements of DIN EN 14492-2 Annex B for the transportation of molten masses are considered insufficient provisions, with due respect of the stipulations in DIN EN ISO
13849-1, Table 3, against the dangers to be expected as
described in Section 4.3 of KTA 3902,
d) the risk graph contained in Annex A of DIN EN ISO 13849-1
is not suited for application to lifting equipment to KTA
3902 due to the specific dangers that may be caused by
lifting equipment in nuclear power plants,
e) DIN EN ISO 13849-1 starts with a consideration of risks
while the KTA Safety Standards are based on deterministic
requirements.
For hoists with single drive mechanism chain and safety brake
with a maximum operational load up to 5 t excess of the acci-
KTA 3902 Page 67
dent planning reference levels to 49 of the Radiation Protection Ordinance due to transmission break need not be assumed for the following reasons:
- In the case of assumed drop of the load the consequences
are clearly less important than in the case of heavier hoists
(e.g. 180 t).
- As experience has shown the frequency of occurrence of
transmission break is low in the case of transmissions designed and examined to KTA 3902.
Therefore, the requirement to realize transmission break monitoring by means of two different (dissimilar) devices is limited
to hoists with a maximum operational load exceeding 5 t.
(18) At numerous locations in this safety standard, the requirements were updated to adapt to the current state of standards. Here, structural design requirements that are no more
contained in the current standards but which are considered
necessary, were taken over in the text of this safety standard
(e.g. from VBG 9a).

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What is the purpose of this safety standard?

What is the purpose of this safety standard?

What are the main components covered by the safety standard?

What are the main components covered by the safety standard?

Corrected version 2013/10/16

KTA 3902 (2012-11)

Previous versions of this Safety Standard

KTA SAFETY STANDARD

Design of Lifting Equipment in Nuclear Power Plants

7.3 Lateral transport drives ........................................15

General provisions ................................................ 5

4 Special provisions ................................................. 5

Elevators in containment vessels .......................... 6

Additional requirements for cranes, winches,

Increased requirements for cranes, winches,

Requirements for refueling machines for light

Annex A: Examples for classification of lifting

KTA 3201.4 Page 4

Comments by the editor:

indicates a mandatory requirement,

indicates a recommendation or an example of good practice,

KTA 3902 Page 5

This safety standard applies to the design of elevators,

(1) Maximum operational load

(5) Load shifting

(1) Lifting equipment shall be erected in accordance with the

Cranes, winches, trolleys and load suspending devices

(1) If, in the course of transportation of nuclear fuel, other

Cranes, winches, trolleys and load suspending devices

(1) If, in the course of transportation of nuclear fuel, other

KTA 3902 Page 6

Refueling machines for light water reactors

Refueling machines for light water reactors shall, in addition to

External events (EVA)

(1) An analytical proof of the adequate protection of lifting

(1) Ambient conditions, e.g., pressure, temperature, medium,

Lifting equipment to Sections 4.2 to 4.4 shall satisfy the design

a) Load suspending devices and their detachable individual

Elevators in containment vessels

Elevators shall meet the requirements of the European Lift

Personnel elevators and freight elevators

Personnel elevators and freight elevators shall be

The elevator shaft shall be

Cranes, refueling machines

Load control, ease

Cranes, refueling machines

Cranes, refueling machines

Precautions against Control desk of lifting equipStructural design

Items of equipment/auxiliary means (selection)

Lockable control system

Colour coding of connections

e.g. assigned bajonet joints

Load indication on control desk and large display

Adaptation of overload protection device to the load

Indication of interlocked condition (by colour, mechanical)

Consistent indication for at least 2 persons

Interlocking under load always effective

Unambiguous assignment of actuating direction and control state

KTA 3902 Page 7