美国核管会2014版RG1.60 (NRC-RG1.60-2014版)

U.S.NUCLEARREGULATORYCOMMISSIONJuly2014OFFICEOFNUCLEARREGULATORYRESEARCHRevision2REGULATORYGUIDETechnicalLeadSarahTabatabai301-415-7000REGULATORYGUIDE1.60DESIGNRESPONSESPECTRAFORSEISMICDESIGNOFNUCLEARPOWERPLANTSA.INTRODUCTIONPurposeThisregulatoryguidedescribesanapproachthatthestaffoftheU.S.NuclearRegulatoryCommission(NRC)considersacceptablefordefiningresponsespectrafortheseismicdesignofnuclearpowerplantstosatisfytherequirementsofAppendixA,“SeismicandGeologicSitingCriteriaforNuclearPowerPlants,”toPart100,“ReactorSiteCriteria,”ofTitle10oftheCodeofFederalRegulations(10CFRPart100)(Ref.1).RegulatoryGuide(RG)1.60formspartofthelicensingbasisforanumberofnuclearpowerplantsconstructedduringthe1970sand1980s.Specifically,thesafeshutdownearthquakegroundmotion(SSE)forthesenuclearpowerplantsisdefinedbyaRG1.60responsespectrum.Theprominentroleofprobabilisticseismichazardassessments(PSHA)ledtotheestablishmentin1997ofnewrequirementsforthesitingregulationin10CFR100.23,“GeologicandSeismicSitingCriteria,”whichspecifiesadifferentsetofrequirementstodefinetheSSE.RegulatoryGuide1.208,“APerformance-BasedApproachtoDefinetheSite-SpecificEarthquakeGroundMotion”(Ref.2)presentsanNRC-acceptableapproachtodefinethesite-specificearthquakegroundmotionresponsespectrum(GMRS)thatsatisfiestherequirementsof10CFR100.23andleadstotheestablishmentoftheSSE.ThefinalSSEmustalsosatisfyAppendixS,“EarthquakeEngineeringCriteriaforNuclearPowerPlants,”to10CFRPart50,“DomesticLicensingofProductionandUtilizationFacilities”(Ref.3).Part52,“Licenses,Certifications,andApprovalsforNuclearPowerPlants,”oftheCommission’sregulations(Ref.4)providesalicensingframeworkfornuclearpowerplants.RG1.60hasapplicabilitywithinthe10CFRPart52licensingframework.AccordingtoSection5.3ofNRCInterimStaffGuidance(ISG)ISG-017,“InterimStaffGuidanceonEnsuringHazard-ConsistentSeismicInputforSiteResponseandSoilStructureInteractionAnalyses,”(Ref.5)aRG1.60responsespectrum,anchoredat0.1g,isconsideredtobeanappropriatelyshapedresponsespectrumtodefinetheminimumseismicinputrequirementatthefoundationasrequiredbyAppendixSto10CFRPart50.Inaddition,thecertifiedWrittensuggestionsregardingthisguideordevelopmentofnewguidesmaybesubmittedthroughtheNRC’spublicWebsiteundertheRegulatoryGuidesdocumentcollectionoftheNRCLibraryathttp://www.nrc.gov/reading-rm/doc-collections/reg-guides/contactus.html.Electroniccopiesofthisregulatoryguide,previousversionsofthisguide,andotherrecentlyissuedguidesareavailablethroughtheNRC’spublicWebsiteundertheRegulatoryGuidesdocumentcollectionoftheNRCLibraryathttp://www.nrc.gov/reading-rm/doc-collections/.TheregulatoryguideisalsoavailablethroughtheNRC’sAgencywideDocumentsAccessandManagementSystem(ADAMS)athttp://www.nrc.gov/reading-rm/adams.html,underADAMSAccessionNo.ML13210A432.seismicdesignresponsespectra(CSDRS)forseveralnewreactordesigncertificationapplications1arederivedfromRG1.60spectrawithmodifiedcontrolpointstobroadenthespectrainthehigherfrequencyrange.ApplicableRegulations•Title10,Part50,oftheCodeofFederalRegulations(10CFRPart50),“DomesticLicensingofProductionandUtilizationFacilities,”governsthelicensingofdomesticproductionandutilizationfacilities.•AppendixA,to10CFRPart50,providesgeneraldesigncriteria(GDC)fornuclearpowerplants.ThefollowingGDCareofimportancetotheseismicdesignofnuclearpowerplants:•GDC1,“QualityStandardsandRecords,”requires,inpart,thatstructures,systems,andcomponents(SSCs)importanttosafetybedesigned,fabricated,erected,andtestedtoqualitystandardscommensuratewiththeimportanceofthesafetyfunctionstobeperformed.•GDC2,“DesignBasesforProtectionAgainstNaturalPhenomena,”requiresthatstructuresimportanttosafetybedesignedtowithstandtheeffectsofexpectednaturalphenomenawhencombinedwiththeeffectsofnormalaccidentconditionswithoutlossofcapabilitytoperformtheirsafetyfunction•AppendixSto10CFRPart50,“EarthquakeEngineeringCriteriaforNuclearPowerPlants,”providestheengineeringcriteriafornuclearpowerplants.•10CFRPart52,“Licenses,Certifications,andApprovalsforNuclearPowerPlants,”governstheissuanceofearlysitepermits,standarddesigncertifications,combinedlicenses,standarddesignapprovals,andmanufacturinglicensesfornuclearpowerfacilities•10CFRPart100,“ReactorSiteCriteria,”requiresNRCtoconsiderthephysicalcharacteristicsofasiteincludingseismologyandgeologyindeterminingthesite’sacceptabilityforanuclearpowerreactor.•10CFR100.23,“Geologicandseismicsitingcriteria,”specifiestherequirementstodefinetheSSE.•AppendixAto10CFRPart100,“SeismicandGeologicSitingCriteriaforNuclearPowerPlants,”providestheseismicandgeologicsitingcriteriafornuclearpowerplantsapplicabletoanoperatinglicenseapplicantorholderwhoseconstructionpermitwasissuedpriortoJanuary10,1997.1TheNRCstaff’sfinalsafetyevaluationreportsfortheAP1000,EconomicSimplifiedBoiling-WaterReactor(ESBWR),andAdvancesBoiling-WaterReactor(ABWR)designcertificationapplicationsareavailableundertherespectiveADAMSAccessionNumbersML112061231,ML110040021,andML080670509.AtthetimeofthisRGupdate,theUS-APWRdesigncertificationapplicationisstillunderNRCreview.RelatedGuidance•RegulatoryGuide(RG)1.208,“APerformance-BasedApproachtoDefinetheSite-SpecificEarthquakeGroundMotion,”providesguidanceonthedevelopmentofthesite-specificgroundmotionresponsespectrum(GMRS).TheGMRSrepresentsthefirstpartofthedevelopmentoftheSafeShutdownEarthquakegroundmotion(SSE)forasiteasacharacterizationoftheregionalandlocalseismichazard.ThefinalSSEmustsatisfyboth10CFR100.23andAppendixS,“EarthquakeEngineeringCriteriaforNuclearPowerPlants,”to10CFRPart50.•InterimStaffGuidance(ISG-017),“InterimStaffGuidanceonEnsuringHazard-ConsistentSeismicInputforSiteResponseandSoilStructureInteractionAnalyses,”supplementstheguidanceprovidedtothestaffinSections2.5and3.7ofNUREG-0800andISG-01,“InterimStaffGuidanceonSeismicIssuesAssociatedwithHighFrequencyGroundMotioninDesignCertificationandCombinedLicenseApplications”(Ref.6).•NUREG-0800,“StandardReviewPlan(SRP)forthereviewofSafetyAnalysisReportsforNuclearPowerPlants:LWREdition,”(Ref.7)Section2.5.1“BasicGeologicandSeismicInformation,Section2.5.2“VibratoryGroundMotion,”andSection3.7.1“SeismicDesignParameters,”assuresthequalityanduniformityofstaffsafetyreviews.ItisalsotheintentofthisplantomakeinformationaboutregulatorymatterswidelyavailableandtoimprovecommunicationbetweentheNRC,interestedmembersofthepublic,andthenuclearpowerindustry,therebyincreasingunderstandingoftheNRC’sreviewprocess.PurposeofRegulatoryGuidesTheNRCissuesregulatoryguidestodescribetothepublicmethodsthatthestaffconsidersacceptableforuseinimplementingspecificpartsoftheagency’sregulations,toexplaintechniquesthatthestaffusesinevaluatingspecificproblemsorpostulatedaccidents,andtoprovideguidancetoapplicants.Regulatoryguidesarenotsubstitutesforregulationsandcompliancewiththemisnotrequired.MethodsandsolutionsthatdifferfromthosesetforthinregulatoryguideswillbedeemedacceptableiftheyprovideabasisforthefindingsrequiredfortheissuanceorcontinuanceofapermitorlicensebytheCommission.PaperworkReductionActThisregulatoryguidecontainsinformationcollectionrequirementscoveredby10CFRPart50,10CFRPart52,and10CFRPart100thattheOfficeofManagementandBudget(OMB)approvedunderOMBcontrolnumbers3150-0011,3150-0151and3150-0093,respectively.TheNRCmayneitherconductnorsponsor,andapersonisnotrequiredtorespondto,aninformationcollectionrequestorrequirementunlesstherequestingdocumentdisplaysacurrentlyvalidOMBcontrolnumber.B.DISCUSSIONReasonforChangeThechangesinthisrevision(Revision2)reflecttheapplicabilityofRG1.60tothe10CFRPart52licensingframeworkfornewreactors.Otherchangesincludedupdatedreferencematerials,updatedglossary,thetextofthefootnoteonthefirstpage,insertionoftextintheIntroductionexplainingthepurposeofregulatoryguides,thePaperworkReductionAct,updateofthediscussionintheImplementationsection,andinclusionoftheaccessionnumbersfortheNRC’sAgencywideDocumentsAccessandManagementSystem(ADAMS)inthereferencesection.BackgroundTheNRCstaffhasusedthe1973versionofRG1.60fornumeroussitingandlicensingactivitiessinceitsinitialpublicationandithasalsobeenusedeffectivelybybothdomesticandinternationalstakeholders.Itformspartofthelicensingbasisfornuclearpowerplantsconstructedduringthe1970sand1980s.Thenewreactors,however,utilizeothermethodsfordeterminingthedesignresponsespectrathroughthecalculationofthegroundmotionresponsespectra(GMRS)forearlysitepermits(ESPs),orcombinedconstructionandoperatinglicenses(COLs).Theprominentroleofprobabilisticseismichazardassessments(PSHA)ledtotheestablishmentin1997ofnewrequirementsforthesitingregulationin10CFRPart100.23,“GeologicandSeismicSitingCriteria.”Thenewsitingregulation,whichappliestonewreactorsaswellasnuclearpowerplantconstructionpermitsoroperatinglicensesonorafterJanuary10,1997,requires,inpart,theexplicitconsiderationoftheuncertaintiesassociatedwithgeologicalandseismologicalcharacteristicsthroughanappropriateanalysis,suchasPSHA.TheroleofPSHAalsoledtothedevelopmentofRG1.165(Ref.8),whichwassubsequentlywithdrawnandreplacedbyRG1.208in2007.ThatguideprovidesgeneralguidanceonmethodsacceptabletotheNRCstafffor:(1)conductinggeological,geophysical,seismological,andgeotechnicalinvestigations;(2)identifyingandcharacterizingseismicsources;(3)conductingaprobabilisticseismichazardassessment(PSHA);(4)determiningseismicwavetransmission(soilamplification)characteristicsofsoilandrocksites;and(5)determiningasite-specific,performance-basedGMRS,satisfyingtherequirementsofparagraphs(c),(d)(1),and(d)(2)of10CFR100.23,andleadingtotheestablishmentofaSafeShutdownEarthquake(SSE)tosatisfythedesignrequirementsofAppendixSto10CFRPart50.AccordingtoAppendixSto10CFRPart50,thefoundationlevelgroundmotionmustberepresentedbyanappropriateresponsespectrumwithapeakgroundaccelerationofatleast0.1g.ThestepsnecessarytodevelopthefinalSSEaredescribedinChapter3,“DesignofStructures,Components,EquipmentandSystems,”ofNUREG-0800,andRegulatoryPosition5.4ofRG1.208providesadetaileddescriptionofthedevelopmentofthefinalSSE.ISG-017supplementstheguidanceprovidedinNUREG-0800andstatesthatRG1.60,anchoredat0.1g,isanappropriatelyshapedresponsespectrumtodefinetheminimumseismicinputrequirementatthefoundationasrequiredbyAppendixSto10CFRPart50.AlthoughRG1.60isnolongerusedtocharacterizethehazardfortheseismicdesignofnuclearpowerplants,theCSDRSforseveralnewreactordesignsarederivedfromRG1.60spectrawithmodifiedcontrolpointstobroadenthespectrainthehigherfrequencyrange.Specifically,RG1.60spectralvaluesarebasedondeterministicvaluesforwesternUnitedStatesearthquakes,however,recentobservationshaveshownthathighfrequencymotionsatcentralandeasternUnitedStates(CEUS)rocksitesmaybesignificantlygreaterthanmotionsrecordedatWUSrocksites.ResponseSpectraShapesAppendixAto10CFRPart100,whichnowappliesonlytoanoperatinglicenseapplicantorholderwhoseconstructionpermitwasissuedpriortoJanuary10,1997,specifiesanumberofrequiredinvestigationsfordeterminingtheSSE,thatis,thepotentialmaximumearthquakeforwhichstructures,systems,andcomponentsimportanttosafety,aredesignedtosustainandremainfunctional.Therecordedgroundaccelerationsandresponsespectraofpastearthquakesprovideabasisforthedesignofstructurestoresistearthquakes.AppendixArequiresdevelopingresponsespectracorrespondingtotheexpectedmaximumgroundaccelerationforasite,butdoesnotgiveaspecificmethodfordefiningtheresponsespectra.TheresponsespectradevelopedforasiteareknownastheDesignResponseSpectra.TheDesignResponseSpectracanbedevelopedstatisticallyfromresponsespectraofpaststrong-motionearthquakes,aswasdonebyNewmark,BlumeandKapur(Ref.9,10,11and12).Afterreviewingthesedocuments,theAtomicEnergyCommission(AEC)(nowNRC)staffdeterminedthatthisprocedurefordefiningtheDesignResponseSpectraonsitesunderlainbyeitherrockorsoildepositsandcoveringallfrequenciesofinterestwasacceptable.However,forunusuallysoftsites,modificationtothisprocedurewillberequired.ThehorizontalandverticalcomponentDesignResponseSpectrainFigures1and2,respectively,ofthisguidecorrespondtoamaximumhorizontalgroundaccelerationof1.0g.Forsiteswithdifferentaccelerationvaluesspecifiedforthedesignearthquake,theDesignResponseSpectrashouldbelinearlyscaledfromFigures1and2inproportiontothespecifiedmaximumhorizontalgroundacceleration.Forsitesthat(1)arerelativelyclosetotheepicenterofanexpectedearthquakeor(2)havephysicalcharacteristicsthatcouldsignificantlyaffectthespectralpatternofinputmotion,suchasbeingunderlainbypoorsoildeposits,theproceduredescribedabovewillnotapply.Inthesecases,theDesignResponseSpectrashouldbedevelopedindividuallyaccordingtothesitecharacteristics.1.TheHorizontalComponent-Thenumericalvaluesofdesigndisplacements,velocities,andaccelerationsforthehorizontalcomponentDesignResponseSpectraareobtainedbymultiplyingthecorrespondingvaluesofthemaximumgrounddisplacementandaccelerationbythefactorsgiveninTable1ofthisguide.Inthisprocedure,theconfigurationsofthehorizontalcomponentDesignResponseSpectraforeachofthetwomutuallyperpendicularhorizontalaxesareshowninFigure1ofthisguide.TheseshapesagreewiththosedevelopedbyNewmark,Blume,andKapurandshowninFigure15ofRef.9aswellasFigure9ofRef.10.InFigure1,thebasediagramconsistsofthreeparts:thebottomlineontheleftpartrepresentsthemaximumgrounddisplacement,thebottomlineontherightpartrepresentsthemaximumacceleration,andthemiddlepartdependsonthemaximumvelocity.ThehorizontalcomponentDesignResponseSpectrainFigure1ofthisguidecorrespondtoamaximumhorizontalgroundaccelerationof1.0g.Themaximumgrounddisplacementistakenproportionaltothemaximumgroundacceleration,andissetat36inchesforagroundaccelerationof1.0g.ThedisplacementregionlinesoftheDesignResponseSpectraareparalleltothemaximumgrounddisplacementlineandareshownontheleftofFigure1.Thevelocityregionlinesslopedownwardfromafrequencyof0.25cyclespersecond(cps)orHertz(Hz)(controlpointD)toafrequencyof2.5cps(controlpointC)andareshownatthetop.Theremainingtwosetsoflinesbetweenthefrequenciesof2.5cpsand33cps(controlpointA),withabreakatafrequencyof9cps(controlpointB),constitutetheaccelerationregionofthehorizontalDesignResponseSpectra.Forfrequencieshigherthan33cps,themaximumgroundaccelerationlinerepresentstheDesignResponseSpectra.Table1.HorizontalDesignResponseSpectraRelativeValuesofSpectrumAmplificationFactorsforControlPointsPercentofAmplificationFactorsforControlPointsCriticalAccelerationa,bDisplacementa,bDampingA(33cps)B(9cps)C(2.5cps)D(0.25cps)0.51.04.965.953.202.01.03.544.252.505.01.02.613.132.057.01.02.272.721.8810.01.01.902.281.70a.Maximumgrounddisplacementistakenproportionaltomaximumgroundacceleration,andis36in.forgroundaccelerationof1.0gravity.b.AccelerationanddisplacementamplificationfactoraretakenfromrecommendationsgiveninReference9.Figure1.HorizontalDesignResponseSpectraScaledto1gHorizontalGroundAcceleration2.TheVerticalComponent-Thenumericalvaluesofdesigndisplacements,velocities,andaccelerationsinthesespectraareobtainedbymultiplyingthecorrespondingvaluesofthemaximumhorizontalgroundmotion(acceleration=1.0ganddisplacement=36in.)bythefactorsgiveninTable2ofthisguide.TheverticalcomponentDesignResponseSpectracorrespondingtothemaximumhorizontalgroundaccelerationof1.0gareshowninFigure2ofthisguide.ConstructionofthespectralshapesinFigure2followedtheinstructionsinreferences7and8fortheconstructionofverticalcomponentspectra,whichareasdescribedinthefollowing.ThedisplacementregionlinesoftheDesignResponseSpectraareparalleltothemaximumgrounddisplacementlineandareshownontheleftofFigure2.Thevelocityregionlinesslopedownwardfromafrequencyof0.25cps(controlpointD)toafrequencyof3.5cps(controlpointC)andareshownatthetop.Theremainingtwosetsoflinesbetweenthefrequenciesof3.5cpsand33cps(controlpointA),withabreakatthefrequencyof9cps(controlpointB),constitutetheaccelerationregionoftheverticalDesignResponseSpectra.ItshouldbenotedthattheverticalDesignResponseSpectravaluesare2/3thoseofthehorizontalDesignResponseSpectraforfrequencieslessthan0.25;forfrequencieshigherthan3.5,theyarethesame,whiletheratiovariesbetween2/3and1forfrequenciesbetween0.25and3.5.Forfrequencieshigherthan33cps,theDesignResponseSpectrafollowthemaximumgroundaccelerationline.Table2.VerticalDesignResponseSpectraRelativeValuesofSpectrumAmplificationFactorsforControlPointsAmplificationFactorsforControlPointsPercentofAccelerationa,bDisplacementa,bCriticalDampingA(33cps)B(9cps)C(3.5cps)D(0.25cps)0.51.04.965.67c2.132.01.03.544.051.675.01.02.612.981.377.01.02.272.591.2510.01.01.902.171.13a.Maximumgrounddisplacementistakenproportionaltomaximumgroundaccelerationandis36in.forgroundaccelerationof1.0gravity.b.Accelerationamplificationfactorsfortheverticaldesignresponsespectraareequaltothoseforhorizontaldesignresponsespectraatagivenfrequency,whereasdisplacementamplificationfactorsare2/3thoseforhorizontaldesignresponsespectra.Theseratiosbetweentheamplificationfactorsforthetwodesignresponsespectraareinagreementwiththoserecommendedinreference9.c.ThesevalueswerechangedtomakethistableconsistentwiththediscussionofverticalcomponentsinSectionBofthisguide.Figure2.VerticalDesignResponseSpectrascaledto1gHorizontalGroundAccelerationC.STAFFREGULATORYGUIDANCE1.ThehorizontalcomponentgroundDesignResponseSpectra,withoutsoil-structureinteractioneffects,oftheSSEonsitesunderlainbyrockorbysoilshouldbelinearlyscaledfromFigure12inproportiontothemaximumhorizontalgroundaccelerationspecifiedfortheearthquakechosen.(Figure1correspondstoamaximumhorizontalgroundaccelerationof1.0gandaccompanyingdisplacementof36in.)TheapplicablemultiplicationfactorsandcontrolpointsaregiveninTable1.FordampingratiosnotincludedinFigure1orTable1,alinearinterpolationshouldbeused.2.TheverticalcomponentgroundDesignResponseSpectra,withoutsoil-structureinteractioneffects,oftheSSEonsitesunderlainbyrockorbysoilshouldbelinearlyscaledfromFigure2inproportiontothemaximumhorizontalgroundaccelerationspecifiedfortheearthquakechosen.(Figure2isbasedonamaximumhorizontalgroundaccelerationof1.0gandaccompanyingdisplacementof36in.)TheapplicablemultiplicationfactorsandcontrolpointsaregiveninTable2.FordampingratiosnotincludedinFigure2orTable2,alinearinterpolationshouldbeused.D.IMPLEMENTATIONThepurposeofthissectionistoprovideinformationonhowapplicantsandlicensees3mayusethisguideandinformationregardingtheNRC’splansforusingthisregulatoryguide.Inaddition,itdescribeshowtheNRCstaffcomplieswith10CFR50.109,“Backfitting”andanyapplicablefinalityprovisionsin10CFRPart52,“Licenses,Certifications,andApprovalsforNuclearPowerPlants.”UsebyApplicantsandLicenseesApplicantsandlicenseesmayvoluntarily4usetheguidanceinthisdocumenttodemonstratecompliancewiththeunderlyingNRCregulations.MethodsorsolutionsthatdifferfromthosedescribedinthisregulatoryguidemaybedeemedacceptableiftheyprovidesufficientbasisandinformationfortheNRCstafftoverifythattheproposedalternativedemonstratescompliancewiththeappropriateNRCregulations.CurrentlicenseesmaycontinuetouseguidancetheNRCfoundacceptableforcomplyingwiththeidentifiedregulationsaslongastheircurrentlicensingbasisremainsunchanged.LicenseesmayusetheinformationinthisregulatoryguideforactionswhichdonotrequireNRCreviewandapprovalsuchaschangestoafacilitydesignunder10CFR50.59,“Changes,Tests,andExperiments.”Licenseesmayusetheinformationinthisregulatoryguideorapplicablepartstoresolveregulatoryorinspectionissues.UsebyNRCStaffTheNRCstaffdoesnotintendorapproveanyimpositionorbackfittingoftheguidanceinthisregulatoryguide.TheNRCstaffdoesnotexpectanyexistinglicenseetouseorcommittousingtheguidanceinthisregulatoryguide,unlessthelicenseemakesachangetoitslicensingbasis.TheNRC2Thisdoesnotapplytositeswhich(1)arerelativelyclosetotheepicenterofanexpectedearthquakeor(2)whichhavephysicalcharacteristicsthatcouldsignificantlyaffectthespectralcombinationofinputmotion.TheDesignResponseSpectraforsuchsitesshouldbedevelopedonacase-by-casebasis.3Inthissection,“licensees”referstolicenseesofnuclearpowerplantsunder10CFRParts50and52;andtheterm“applicants”referstoapplicantsforlicensesandpermitsfor(orrelatingto)nuclearpowerplantsunder10CFRParts50and52,andapplicantsforstandarddesignapprovalsandstandarddesigncertificationsunder10CFRPart52.4Inthissection,“voluntary”and“voluntarily”meanthatthelicenseeisseekingtheactionofitsownaccord,withouttheforceofalegallybindingrequirementoranNRCrepresentationoffurtherlicensingorenforcementaction.staffdoesnotexpectorplantorequestlicenseestovolunt