U.S. NUCLEAR REGULATORY COMMISSION September  2009
Revision 3
REGULATORY GUIDE
OFFICE OF NUCLEAR REGULATORY RESEARCH
REGULATORY GUIDE 1.100
(Draft was issued as DG-1175, dated May 2008)
SEISMIC QUALIFICATION OF ELECTRICAL AND ACTIVE MECHANICAL EQUIPMENT AND FUNCTIONAL QUALIFICATION OF ACTIVE MECHANICAL EQUIPMENT FOR
NUCLEAR POWER PLANTS
A. INTRODUCTION
This guide describes methods that the staff of the U.S.Nuclear Regulatory Commission (NRC) considers acceptable for use in the seismic qualification of electrical and active mechanical equipment and the functional qualification of active mechanical equipment for nuclear power plants (NPPs).
The general requirements for the seismic design of electrical and active mechanical equipment appear in Title 10 of the Code of Federal Regulations (10 CFR) Part 50, “Domestic Licensing of Production and Utilization Facilities” (Ref. 1), and 10 CFR Part 52, “Licenses, Certifications, and Approvals for Nuclear Power Plants” (Ref. 2).  The primary sections include General Design Criterion (GDC) 1, “Quality Standards and Records”; GDC 2, “Design Bases for Protection Against Natural Phenomena”; of Appendix A, “General Design Criteria for Nuclear Power Plants,” to 10 CFR Part 50; Criterion III, “Design Control”; Criterion XI, “Test Control”; and Criterion XVII, “Quality Assurance Records,” of Appendix B, “Quality Assurance Criteria for Nuclear Power Plants and Fuel Reprocessing Plants,” to 10 CFR Part 50; and Appendix S, “Earthquake Engineering Criteria for Nuclear Power Plants,” to 10 CFR Part 50.
The NRC issues regulatory guides to describe and make available to the public methods that the NRC staff considers acceptable for use in implementing specific parts of the agency=s regulations, techniques that the staff uses in evaluating specific problems or postulated accidents, and data that the staff needs in reviewing applications for permits and licenses.  Regulatory guides are not substitutes for regulations, and compliance with them is not required.  Methods and solutions that differ from those set forth in regulatory guides will be deemed acceptable if they provide a basis for the findings required for the issuance or continuance of a permit or license by the Commission.
This guide was issued after consideration of comments received from the public.
Regulatory guides are issued in 10 broad divisions C1, Power Reactors; 2, Research and Test Reactors; 3, Fuels and Materials Facilities; 4, Environmental and Siting; 5, Materials and Plant Protection; 6, Products; 7, Transportation; 8, Occupational Health; 9, Antitrust and Financial Review; and 10, General.
Electronic copies of this guide and other recently issued guides are available through the NRC=s public Web site under the Regulatory Guides document collection of the NRC=s Electronic Reading Room at
v/reading-rm/doc-collections/ and through the NRC=s Agencywide Documents Access and Management System (ADAMS) at v/reading-rm/adams.html, under Accession No. ML091320468
Section III, “Definitions,” of Appendix S to 10 CFR Part 50 states that the structures, systems, and components (SSCs) required to withstand the effects of the safe-shutdown earthquake (SSE) ground motion or surface deformation are those necessary to assure (1) the integrity of the reactor coolant pressure boundary; (2) the capability to shut down the reactor and maintain it in a safe-shutdown condition; or (3) the capability to prevent or mitigate the consequences of accidents that could result in potential offsite exposures comparable to the guideline exposures of 10 CFR 50.34(a)(1).
Section IV(a)(1)(ii) of Appendix S to 10 CFR Part 50 requires the NPP to be designed so that, if the SSE ground motion occurs, certain SSCs will remain functional and within applicable stress, strain, and deformation limits.  In addition to seismic loads, the design of these safety-related SSCs must take into account applicable concurrent normal operating, functional, and accident-induced loads.
Section IV(a)(1)(iii) of Appendix S to 10 CFR Part 50 requires the safety functions of SSCs to be assured during and after the vibratory ground motion associated with the SSE ground motion through design, testing, or qualification methods.1
The general requirements for the functional design of active mechanical equipment also appear in 10 CFR Part 50 and 10 CFR Part 52.  In 10 CFR Part 50, particular sections include GDC 1, GDC 2, GDC 14, “Reactor Coolant Pressure Boundary,” GDC 15, “Reactor Coolant System Design,” GDC 30, “Quality of Reactor Pressure Boundary,” GDC 37, “Testing of Emergency Core Cooling System,”
GDC 40, “Testing of Containment Heat Removal System,” GDC 43, “Testing of Containment Atmosphere Cleanup Systems,” GDC 46, “Testing of Cooling Water System,” and GDC 54, “Systems Penetrating Containment,” of Appendix A to 10 CFR Part 50, as well as Criteria III, XI, and XVII of Appendix B to 10 CFR Part 50.
active下载This regulatory guide contains information collection requirements covered by 10 CFR Part 50 and 10 CFR Part 52 that the Office of Management and Budget (OMB) approved under OMB control numbers 3150-0011 and 3150-0151.  The NRC may neither conduct nor sponsor, and a person is not required to respond to, an information collection request or requirement unless the requesting document displays currently valid OMB control numbers.
1Appendix S to 10 CFR Part 50 applies to applicants for a design certification or combined license pursuant to
10 CFR Part 52 or a construction permit or operating license pursuant to 10 CFR Part 50 after January 10, 1997.
However, the earthquake engineering criteria in Section VI, “Application to Engineering Design,” of Appendix A,
“Seismic and Geologic Siting Criteria for Nuclear Power Plants,” to 10 CFR Part 100, “Reactor Site Criteria”
(Ref. 3), continue to apply to either an operating license applicant or holder with a construction permit issued before
January 10, 1997.
B.  DISCUSSION
Background
The NRC issued Revision 2 of Regulatory Guide (RG) 1.100, “Seismic Qualification of Electric and Mechanical Equipment for Nuclear Power Plants” (Ref. 4), in June 1988.  With a few exceptions and cl
arifications, it endorsed the Institute of Electrical and Electronics Engineers (IEEE) Standard (Std.) 344-1987, “IEEE Recommended Practice for Seismic Qualification of Class 1E Equipment for Nuclear Power Generating Stations” (Ref. 5), issued January 1987, and extended the application of that standard to the seismic qualification of mechanical equipment.  In extending the application of IEEE Std. 344-1987 to mechanical equipment, the NRC staff recognized differences in seismic qualification methods for electrical equipment2 (including instrumentation and control (I&C) components) and mechanical equipment.  Specifically, Revision 2 of this regulatory guide stated that the seismic qualification of mechanical equipment by analysis is permitted when such equipment can be modeled to adequately predict its response.  Revision 2 also stated that the American Society of Mechanical Engineers (ASME) was developing a standard for the seismic qualification of mechanical equipment and, upon its publication; the NRC staff would review it for suitability for endorsement by a revision of this regulatory guide.
In March 1981, the NRC issued Revision 0 of RG 1.148, “Functional Specification for Active Valve Assemblies in Systems Important to Safety in Nuclear Power Plants” (Ref. 6).  With a few exceptions and clarifications, this guide endorsed American National Standards Institute
(ANSI) N278.1-1975, “Self-Operated and Power-Operated Safety-Related Valves Functional Specificat
ion Standard” (Ref. 7).
In 1994, ASME issued a standard, ASME QME-1-1994, “Qualification of Active Mechanical Equipment Used in Nuclear Power Plants” (Ref. 8).  This ASME standard eventually replaced the
ANSI N278.1 standard.  The ASME QME-1 standard covers both the seismic qualification and the functional qualification of active mechanical equipment.  ASME subsequently revised and reissued the standard in 1997, 2000, and 2002, with the last revision issued in November 2007 as ASME QME-1-2007 (Ref. 9).  Furthermore, the IEEE updated IEEE Std. 344-1987 and issued it as IEEE Std. 344-2004 (Ref. 10) in June 2005.
The NRC is revising this RG (i.e., Revision 3 of RG 1.100) to endorse, with exceptions and clarifications, IEEE Std. 344-2004 and ASME QME-1-2007.  (This is the first time the NRC has endorsed ASME QME-1.)  This revision of the RG will also subsume RG 1.148.  Specifically, Sections B.1 and C.1 of this RG endorse, with exceptions and clarifications, the entire IEEE Std. 344-2004 and
Section QR, "General Requirements," and Non-mandatory Appendix QR-A, "Seismic Qualification of Active Mechanical Equipment," to ASME QME-1-2007 for the seismic qualification of electrical and active mechanical equipment.  Sections B.2 and C.2 of this RG endorse, with exceptions and clarificati
ons, Section QR and the remaining sections of ASME QME-1-2007 (except Non-mandatory Appendix QR-A) for the functional qualification of active mechanical equipment.  The ASME QME-1 standard defines active mechanical equipment as “Mechanical equipment containing moving parts, which, in order to accomplish its required function as defined in the Qualification Specification, must undergo or 2Hereafter in this RG, the term “electrical equipment” means an assembly of electrical and electronic components designed and manufactured to perform specific functions, and the term “electrical component” or “electronic
component” means items from which the equipment is assembled (e.g., resistors, capacitors, wires, connectors,
microprocessors, switches, springs, and instrumentation and control items).
prevent mechanical movement.  This includes any internal components or appurtenances whose failure degrades the required function of the equipment.”
1. Seismic Qualification of Electrical and Active Mechanical Equipment
The major change from IEEE Std. 344-1987 to IEEE Std. 344-2004 is the update and expansion of Cla
use 10, “Experience,” which describes the use of experience data as a method for seismic qualification of Class 1E electrical equipment (including I&C components).  Experience data include earthquake experience data and test experience data.  Non-mandatory Appendix QR-A to
ASME QME-1-2007, which has been updated and expanded from Non-mandatory Appendix QR-A to ASME QME-1-2002, also includes the use of experience data as a method for the seismic qualification of active mechanical equipment.
The use of earthquake experience data for the seismic qualification of electrical and mechanical equipment has its origin in the NRC research program associated with Unresolved Safety Issue
(USI) A-46, “Seismic Qualification of Mechanical and Electrical Equipment in Operating Nuclear Power Plants.”  In 1980, the NRC staff raised a safety concern that licensees had not conducted the seismic qualification of electrical and mechanical equipment in some older NPPs (i.e., plants with construction permit applications docketed before about 1972), in accordance with the licensing criteria for the seismic qualification of equipment acceptable at that time (i.e., IEEE Std. 344-1975 (Ref. 11) and RG 1.100, Revision 1 (Ref. 12), issued August 1977).  Therefore, equipment in the older NPPs may not have been adequately qualified to ensure its structural integrity or proper functionality in the event of a
n SSE ground motion.  As a result, the NRC established the USI A-46 program in December 1980 and, in
February 1987, issued Generic Letter (GL) 87-02, “Verification of Seismic Adequacy of Mechanical and Electrical Equipment in Operating Reactors, Unresolved Safety Issue (USI) A-46” (Ref. 13), to address this safety concern.  The NRC staff categorized approximately 70 NPP units in the United States as “USI A-46 plants.”
In 1982, the Seismic Qualification Utility Group (SQUG) developed a database using earthquake experience and test experience to address USI A-46.  Because of the scarcity of data on equipment that was subjected to strong earthquake motion in U.S. NPPs, the SQUG and its contractors performed a pilot study to determine the feasibility of using actual earthquake experience data from nonnuclear plants located worldwide (e.g., fossil-fueled power plants, substations, petrochemical plants) and existing test experience data from domestic NPPs to evaluate the performance of electrical and mechanical equipment in those facilities to infer the susceptibility of similar NPP equipment to seismic loads.  The SQUG concluded, and the NRC agreed, that the use of experience data was feasible for the purpose of verifying the seismic adequacy of equipment in the older, USI A-46 plants.  The staff does not accept the use of SQUG guidelines for the seismic qualification of equipment in non-
USI A-46 plants licensed under
10 CFR Part 50 or in plants licensed under 10 CFR Part 52.
Large uncertainties exist in the seismic qualification of equipment, as a class, on the basis of earthquake experience data, because (1) it is difficult to compile a credible earthquake experience database (e.g., estimation of ground and floor earthquake excitations used in the earthquake experience database), (2) the inclusion and exclusion rules (termed “prohibited features” in IEEE Std. 344-2004) of equipment in the database may not be complete, (3) the similarity between equipment in fossil or petrochemical plants in the database and the equipment in NPPs is difficult to establish; and, most importantly, (4) generally, there is not sufficient credible information from the earthquake experience database to provide assurance that certain active electrical equipment will function properly during earthquakes.
In using the test experience data for the seismic qualification of electrical equipment, quantifying the damage potential of equipment under testing should capture the combination of input motion and the equipment item exhibiting a particular malfunction.  Given the likelihood that the resonant frequency for items of equipment of the same class may differ significantly, multiple malfunction mechanisms for com
ponents and subcomponents should be considered in comparing the test response spectra (TRS) and the required response spectra (RRS).
The technologies and designs of certain electrical components (such as certain types of relays and microprocessor-based components) have undergone significant changes since the NRC issued Revision 2 of this RG, as a result of the more prevalent use of digital rather than analog I&C components.  Some solid-state relays and microprocessor-based components may be sensitive to earthquake excitations.  The staff considers the use of test experience data from the older electrical components of this type to be inappropriate and unacceptable for the seismic qualification of the new generation of such electrical components.  Furthermore, since no new NPPs have been built in the United States since the early 1980s, a number of manufacturers of electrical or active mechanical equipment are no longer in business, and the appropriateness of using the test experience of old equipment made by manufacturers no longer in business for the seismic qualification of modern equipment designs made by different manufacturers is highly questionable.
Recent studies related to applications for early site permits at certain hard-rock-based plants along the east coast of the United States indicated that the site-specific spectra may exceed the certified design spectra of those new plants in the high-frequency range (20 hertz (Hz) and above).  This exceedance c
annot always be eliminated, even with incoherency added to the soil-structure interaction analyses.  As a result of the high-frequency ground motion, the seismic input to SSCs may also contain high-frequency excitations.  For operating boiling-water reactor (BWR) plants, the seismic qualifications of some safety-related electrical and active mechanical equipment were performed using IEEE Std. 344-type tests with intentional high-frequency contents to account for concurrent BWR hydrodynamic loads.  However, the vast majority of existing seismic qualification tests used input frequencies up to only 33 Hz, although the TRS may have shown a zero period acceleration (nonamplified frequency range) up to 100 Hz.  Ball joints and kinematics linkages of the shake tables generated these inadvertent high frequencies that may not have the proper frequency content with sufficient energy to be compatible with the amplified region of the RRS at high frequencies. Therefore, any attempt to use such past test experience data for the seismic qualification of high-frequency-sensitive equipment or components in such a plant is not appropriate unless the frequency content of the power spectral density (PSD) of the test waveform has been evaluated in accordance with Annex B, “Frequency Content and Stationarity,” to
IEEE Std. 344-2004.  When licensees plan new seismic qualification tests for equipment in such plants, the formulation of the test input waveforms should properly consider this high-frequency excitation.
2. Functional Qualification of Active Mechanical Equipment
The ASME QME-1-2007 standard describes requirements and guidelines for qualifying active mechanical equipment used in NPPs.  The foreword to the standard indicates that it may be applied to future NPPs or existing operating NPP component replacements, modifications, or additions, as determined by regulators and the licensees.  ASME QME-1-2007 provides functional qualification guidance for nonmetallic parts, dynamic restraints, pumps, and valves.  The following sections and appendices of ASME QME-1-2007 provide the functional qualification guidance for this active mechanical equipment:  (1) Section QR, (2) Non-mandatory Appendix QR-B, “Guide for Qualification of Nonmetallic Parts,” (3) Section QDR, “Qualification of Dynamic Restraints,” and its Non-mandatory Appendices QDR-A, “Functional Specification for Dynamic Restraints,” QDR-B, “Restraint Similarity,” and QDR-C, “Typical Values of Restraint Functional Parameters,” (4) Section QP, “Qualification of

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