NUREG 1 60 Seismic
NUREG 1 60 Seismic
NUREG 1 60 Seismic
July 2014
Revision 2
REGULATORY GUIDE
Technical Lead
Sarah Tabatabai
301-415-7000
INTRODUCTION
Purpose
This regulatory guide describes an approach that the staff of the U.S. Nuclear Regulatory
Commission (NRC) considers acceptable for defining response spectra for the seismic design of nuclear
power plants to satisfy the requirements of Appendix A, Seismic and Geologic Siting Criteria for
Nuclear Power Plants, to Part 100, Reactor Site Criteria, of Title 10 of the Code of Federal
Regulations (10 CFR Part 100) (Ref. 1). Regulatory Guide (RG) 1.60 forms part of the licensing basis for
a number of nuclear power plants constructed during the 1970s and 1980s. Specifically, the safe
shutdown earthquake ground motion (SSE) for these nuclear power plants is defined by a RG 1.60
response spectrum.
The prominent role of probabilistic seismic hazard assessments (PSHA) led to the establishment
in 1997 of new requirements for the siting regulation in 10 CFR 100.23, Geologic and Seismic Siting
Criteria, which specifies a different set of requirements to define the SSE. Regulatory Guide 1.208, A
Performance-Based Approach to Define the Site-Specific Earthquake Ground Motion (Ref. 2) presents
an NRC-acceptable approach to define the site-specific earthquake ground motion response spectrum
(GMRS) that satisfies the requirements of 10 CFR 100.23and leads to the establishment of the SSE. The
final SSE must also satisfy Appendix S, Earthquake Engineering Criteria for Nuclear Power Plants, to
10 CFR Part 50, Domestic Licensing of Production and Utilization Facilities (Ref. 3).
Part 52, Licenses, Certifications, and Approvals for Nuclear Power Plants, of the Commissions
regulations (Ref. 4) provides a licensing framework for nuclear power plants. RG 1.60 has applicability
within the 10 CFR Part 52 licensing framework. According to Section 5.3 of NRC Interim Staff Guidance
(ISG) ISG-017, Interim Staff Guidance on Ensuring Hazard-Consistent Seismic Input for Site Response
and Soil Structure Interaction Analyses, (Ref. 5) a RG 1.60 response spectrum, anchored at 0.1 g, is
considered to be an appropriately shaped response spectrum to define the minimum seismic input
requirement at the foundation as required by Appendix S to 10 CFR Part 50. In addition, the certified
Written suggestions regarding this guide or development of new guides may be submitted through the NRCs public Web site
under the Regulatory Guides document collection of the NRC Library at http://www.nrc.gov/reading-rm/doc-collections/regguides/contactus.html.
Electronic copies of this regulatory guide, previous versions of this guide, and other recently issued guides are available through
the NRCs public Web site under the Regulatory Guides document collection of the NRC Library at http://www.nrc.gov/readingrm/doc-collections/. The regulatory guide is also available through the NRCs Agencywide Documents Access and Management
System (ADAMS) at http://www.nrc.gov/reading-rm/adams.html, under ADAMS Accession No. ML13210A432.
seismic design response spectra (CSDRS) for several new reactor design certification applications1 are
derived from RG 1.60 spectra with modified control points to broaden the spectra in the higher frequency
range.
Applicable Regulations
Title 10, Part 50, of the Code of Federal Regulations (10 CFR Part 50), Domestic Licensing of
Production and Utilization Facilities, governs the licensing of domestic production and
utilization facilities.
Appendix A, to 10 CFR Part 50, provides general design criteria (GDC) for nuclear power plants.
The following GDC are of importance to the seismic design of nuclear power plants:
GDC 1, Quality Standards and Records, requires, in part, that structures, systems, and
components (SSCs) important to safety be designed, fabricated, erected, and tested to
quality standards commensurate with the importance of the safety functions to be
performed.
GDC 2, Design Bases for Protection Against Natural Phenomena, requires that
structures important to safety be designed to withstand the effects of expected natural
phenomena when combined with the effects of normal accident conditions without loss of
capability to perform their safety function
Appendix S to 10 CFR Part 50, Earthquake Engineering Criteria for Nuclear Power Plants,
provides the engineering criteria for nuclear power plants.
10 CFR Part 52, Licenses, Certifications, and Approvals for Nuclear Power Plants, governs the
issuance of early site permits, standard design certifications, combined licenses, standard design
approvals, and manufacturing licenses for nuclear power facilities
10 CFR Part 100, Reactor Site Criteria, requires NRC to consider the physical characteristics of
a site including seismology and geology in determining the sites acceptability for a nuclear
power reactor.
10 CFR 100.23, Geologic and seismic siting criteria, specifies the requirements to define the
SSE.
Appendix A to 10 CFR Part 100, Seismic and Geologic Siting Criteria for Nuclear Power
Plants, provides the seismic and geologic siting criteria for nuclear power plants applicable to an
operating license applicant or holder whose construction permit was issued prior to January 10,
1997.
The NRC staffs final safety evaluation reports for the AP1000, Economic Simplified Boiling-Water Reactor
(ESBWR), and Advances Boiling-Water Reactor (ABWR) design certification applications are available under the
respective ADAMS Accession Numbers ML112061231, ML110040021, and ML080670509. At the time of this
RG update, the US-APWR design certification application is still under NRC review.
Related Guidance
NUREG-0800, Standard Review Plan (SRP) for the review of Safety Analysis Reports for
Nuclear Power Plants: LWR Edition, (Ref. 7) Section 2.5.1 Basic Geologic and Seismic
Information, Section 2.5.2 Vibratory Ground Motion, and Section 3.7.1 Seismic Design
Parameters, assures the quality and uniformity of staff safety reviews. It is also the intent of this
plan to make information about regulatory matters widely available and to improve
communication between the NRC, interested members of the public, and the nuclear power
industry, thereby increasing understanding of the NRCs review process.
B.
DISCUSSION
The Horizontal Component - The numerical values of design displacements, velocities, and
accelerations for the horizontal component Design Response Spectra are obtained by multiplying
the corresponding values of the maximum ground displacement and acceleration by the factors
given in Table 1 of this guide. In this procedure, the configurations of the horizontal component
Design Response Spectra for each of the two mutually perpendicular horizontal axes are shown in
Figure 1 of this guide. These shapes agree with those developed by Newmark, Blume, and Kapur
and shown in Figure 15 of Ref. 9 as well as Figure 9 of Ref. 10. In Figure 1, the base diagram
consists of three parts: the bottom line on the left part represents the maximum ground
displacement, the bottom line on the right part represents the maximum acceleration, and the
middle part depends on the maximum velocity. The horizontal component Design Response
Spectra in Figure 1 of this guide correspond to a maximum horizontal ground acceleration of 1.0
g. The maximum ground displacement is taken proportional to the maximum ground
acceleration, and is set at 36 inches for a ground acceleration of 1.0 g. The displacement region
lines of the Design Response Spectra are parallel to the maximum ground displacement line and
are shown on the left of Figure 1. The velocity region lines slope downward from a frequency of
0.25 cycles per second (cps) or Hertz (Hz) (control point D) to a frequency of 2.5 cps (control
point C) and are shown at the top. The remaining two sets of lines between the frequencies of 2.5
cps and 33 cps (control point A), with a break at a frequency of 9 cps (control point B), constitute
the acceleration region of the horizontal Design Response Spectra. For frequencies higher than
33 cps, the maximum ground acceleration line represents the Design Response Spectra.
a.
b.
2.
The Vertical Component - The numerical values of design displacements, velocities, and
accelerations in these spectra are obtained by multiplying the corresponding values of the
maximum horizontal ground motion (acceleration = 1.0 g and displacement = 36 in.) by the
factors given in Table 2 of this guide. The vertical component Design Response Spectra
corresponding to the maximum horizontal ground acceleration of 1.0 g are shown in Figure 2 of
this guide. Construction of the spectral shapes in Figure 2 followed the instructions in references
7 and 8 for the construction of vertical component spectra, which are as described in the
following. The displacement region lines of the Design Response Spectra are parallel to the
maximum ground displacement line and are shown on the left of Figure 2. The velocity region
lines slope downward from a frequency of 0.25 cps (control point D) to a frequency of 3.5 cps
(control point C) and are shown at the top. The remaining two sets of lines between the
frequencies of 3.5 cps and 33 cps (control point A), with a break at the frequency of 9 cps
(control point B), constitute the acceleration region of the vertical Design Response Spectra. It
should be noted that the vertical Design Response Spectra values are 2/3 those of the horizontal
Design Response Spectra for frequencies less than 0.25; for frequencies higher than 3.5, they are
the same, while the ratio varies between 2/3 and 1 for frequencies between 0.25 and 3.5. For
frequencies higher than 33 cps, the Design Response Spectra follow the maximum ground
acceleration line.
Table 2. Vertical Design Response Spectra
Relative Values of Spectrum Amplification Factors for Control Points
Percent of
Critical
Damping
0.5
2.0
5.0
7.0
10.0
B (9 cps)
4.96
3.54
2.61
2.27
1.90
C (3.5 cps)
5.67c
4.05
2.98
2.59
2.17
D (0.25 cps)
2.13
1.67
1.37
1.25
1.13
a.
b.
Acceleration amplification factors for the vertical design response spectra are equal to
those for horizontal design response spectra at a given frequency, whereas
displacement amplification factors are 2/3 those for horizontal design response
spectra. These ratios between the amplification factors for the two design response
spectra are in agreement with those recommended in reference 9.
c.
These values were changed to make this table consistent with the discussion of vertical components in
Section B of this guide.
C.
1.
The horizontal component ground Design Response Spectra, without soil-structure interaction
effects, of the SSE on sites underlain by rock or by soil should be linearly scaled from Figure 12
in proportion to the maximum horizontal ground acceleration specified for the earthquake chosen.
(Figure 1 corresponds to a maximum horizontal ground acceleration of 1.0 g and accompanying
displacement of 36 in.) The applicable multiplication factors and control points are given in Table
1. For damping ratios not included in Figure 1 or Table 1, a linear interpolation should be used.
2.
The vertical component ground Design Response Spectra, without soil-structure interaction
effects, of the SSE on sites underlain by rock or by soil should be linearly scaled from Figure 2 in
proportion to the maximum horizontal ground acceleration specified for the earthquake chosen.
(Figure 2 is based on a maximum horizontal ground acceleration of 1.0 g and accompanying
displacement of 36 in.) The applicable multiplication factors and control points are given in Table
2. For damping ratios not included in Figure 2 or Table 2, a linear interpolation should be used.
D. IMPLEMENTATION
The purpose of this section is to provide information on how applicants and licensees3 may use
this guide and information regarding the NRCs plans for using this regulatory guide. In addition, it
describes how the NRC staff complies with 10 CFR 50.109, Backfitting and any applicable finality
provisions in 10 CFR Part 52, Licenses, Certifications, and Approvals for Nuclear Power Plants.
Use by Applicants and Licensees
Applicants and licensees may voluntarily4 use the guidance in this document to demonstrate
compliance with the underlying NRC regulations. Methods or solutions that differ from those described
in this regulatory guide may be deemed acceptable if they provide sufficient basis and information for the
NRC staff to verify that the proposed alternative demonstrates compliance with the appropriate NRC
regulations. Current licensees may continue to use guidance the NRC found acceptable for complying
with the identified regulations as long as their current licensing basis remains unchanged.
Licensees may use the information in this regulatory guide for actions which do not require NRC review
and approval such as changes to a facility design under 10 CFR 50.59, Changes, Tests, and
Experiments. Licensees may use the information in this regulatory guide or applicable parts to resolve
regulatory or inspection issues.
Use by NRC Staff
The NRC staff does not intend or approve any imposition or backfitting of the guidance in this
regulatory guide. The NRC staff does not expect any existing licensee to use or commit to using the
guidance in this regulatory guide, unless the licensee makes a change to its licensing basis. The NRC
2
This does not apply to sites which (1) are relatively close to the epicenter of an expected earthquake or (2) which have
physical characteristics that could significantly affect the spectral combination of input motion. The Design Response
Spectra for such sites should be developed on a case-by-case basis.
In this section, licensees refers to licensees of nuclear power plants under 10 CFR Parts 50 and 52; and the term
applicants refers to applicants for licenses and permits for (or relating to) nuclear power plants under 10 CFR Parts
50 and 52, and applicants for standard design approvals and standard design certifications under 10 CFR Part 52.
In this section, voluntary and voluntarily mean that the licensee is seeking the action of its own accord, without the
force of a legally binding requirement or an NRC representation of further licensing or enforcement action.
staff does not expect or plan to request licensees to voluntarily adopt this regulatory guide to resolve a
generic regulatory issue. The NRC staff does not expect or plan to initiate NRC regulatory action which
would require the use of this regulatory guide. Examples of such unplanned NRC regulatory actions
include issuance of an order requiring the use of the regulatory guide, requests for information under 10
CFR 50.54(f) as to whether a licensee intends to commit to use of this regulatory guide, generic
communication, or promulgation of a rule requiring the use of this regulatory guide without further
backfit consideration.
During regulatory discussions on plant specific operational issues, the staff may discuss with
licensees various actions consistent with staff positions in this regulatory guide, as one acceptable means
of meeting the underlying NRC regulatory requirement. Such discussions would not ordinarily be
considered backfitting even if prior versions of this regulatory guide are part of the licensing basis of the
facility. However, unless this regulatory guide is part of the licensing basis for a facility, the staff may
not represent to the licensee that the licensees failure to comply with the positions in this regulatory
guide constitutes a violation.
If an existing licensee voluntarily seeks a license amendment or change and (1) the NRC staffs
consideration of the request involves a regulatory issue directly relevant to this new or revised regulatory
guide and (2) the specific subject matter of this regulatory guide is an essential consideration in the staffs
determination of the acceptability of the licensees request, then the staff may request that the licensee
either follow the guidance in this regulatory guide or provide an equivalent alternative process that
demonstrates compliance with the underlying NRC regulatory requirements. This is not considered
backfitting as defined in 10 CFR 50.109(a)(1) or a violation of any of the issue finality provisions in 10
CFR Part 52.
Additionally, an existing applicant may be required to comply with new rules, orders, or guidance
if 10 CFR 50.109(a)(3) applies.
If a licensee believes that the NRC is either using this regulatory guide or requesting or requiring
the licensee to implement the methods or processes in this regulatory guide in a manner inconsistent with
the discussion in this Implementation section, then the licensee may file a backfit appeal with the NRC in
accordance with the guidance in NUREG-1409, Backfitting Guidelines, (Ref. 13) and the NRC
Management Directive 8.4, Management of Facility-Specific Backfitting and Information Collection
(Ref. 14).
GLOSSARY
Certified Seismic Design Response Spectra (CSDRS) are site-indpendent seismic design response
spectra that have been approved under Subpart B of 10 CFR Part 52 as the seismic design response
spectra for an approved certified standard design nuclear power plant. The input or control location for
the CSDRS is specified in the certified standard design.
Design Response Spectrum is a relatively smooth relationship obtained by analyzing, evaluating, and
statistically combining a number of individual response spectra derived from the records of significant
past earthquakes.
Ground Motion Response Spectra (GMRS) are site-specific ground motion response spectra
characterized by horizontal and vertical response spectra determined as free-field motions on the ground
surface or as free-field outcrop motions on the uppermost in-situ competent material using performancebased procedures.
Maximum (peak) Ground Acceleration specified for a given site means that value of the acceleration,
which corresponds to zero period in the design response spectra for that site. At zero period, the design
response spectra acceleration is identical for all damping values and is equal to the maximum (peak)
ground acceleration specified for that site.
Response Spectrum means a plot of the maximum response (acceleration, velocity, or displacement) of a
family of idealized single-degree-of-freedom damped oscillators as a function of natural frequencies of
the oscillators for a given damping value. The response spectrum is calculated for a specified vibratory
motion input at the oscillators supports.
Safe Shutdown Earthquake Ground Motion (SSE) is the vibratory ground motion for which certain
structures, systems, and components are designed, pursuant to Appendix S to 10 CFR Part 50, to remain
functional. The SSE for the site is characterized by both horizontal and vertical free-field ground motion
response spectra at the free ground surface.
REFERENCES
1.
U.S. Code of Federal Regulations, Reactor Site Criteria, Part 100, Chapter I, Title 10,
Energy.
2.
3.
U.S. Code of Federal Regulations, Domestic Licensing of Production and Utilization Facilities
Part 50, Chapter I, Title 10, Energy
4.
U.S. Code of Federal Regulations, Licenses, Certifications, and Approvals for Nuclear Power
Plants, Part 52, Chapter I, Title 10, Energy.
5.
NRC Interim Staff Guidance (ISG) ISG-017, Ensuring Hazard-Consistent Seismic Input for Site
Response and Soil Structure Interaction Analyses, March 24, 2010, Washington, DC (ADAMS
Accession No. ML100570203).
6.
NRC ISG-01, Interim Staff Guidance on Seismic Issues Associated with High Frequency
Ground Motion in Design Certification and Combined License Applications, May 19, 2008,
Washington, DC (ADAMS Accession No. ML081400293)
7.
NRC, Standard Review Plan (SRP) for the Review of Safety Analysis Reports for Nuclear
Power Plants: LWR Edition, NUREG0800, Washington, DC.
8.
NRC, Regulatory Guide 1.165, Identification and Characterization of Seismic Sources and
Determination of Safe Shutdown Earthquake Ground Motion, Washington, DC.
9.
Newmark, N. M., John A. Blume, and Kanwar K. Kapur, Design Response Spectra for Nuclear
Power Plants, American Society of Civil Engineers (ASCE) Structural Engineering Meeting,
San Francisco, April 1973, (ADAMS Accession No. ML13207A044).
10.
Newmark, N. M., John A. Blume, and Kanwar K. Kapur, Seismic Design Spectra for Nuclear
Power Plants, Journal of The Power Division, ASCE, pp. 287-303, November 1973, (ADAMS
Accession No. ML13207A045).
11.
12.
John A. Blume & Associates, Recommendations for Shape of Earthquake Response Spectra,
San Francisco, California, USAEC Contract No. AT(49-5)-3011, WASH-1254, February 1973,
(ADAMS Accession No. ML13203A236).
13.
14.