Seismic Design 

Standards and 

Calculational 

Methods in the 

United States 

and Japan

Office Nuclear Regulatory Research 

NUREG/CR -7230

NUREG/CR -7230

Seismic Design 

Standards and 

Calculational 

Methods in the 

United States 

and Japan

Manuscript Completed: February 2013

Date Published: May 2017 

Prepared By: 

James J. Johnson1, Aybars Gürpinar1

, Robert D. Campbell1, 

and Annie Kammerer2

1James J. Johnson and Associates

2United States Nuclear Regulatory Commission

Richard Rivera-Lugo and Scott Stovall, NRC Technical Monitors 

Office of Nuclear Regulatory Research

iii

ABSTRACT

Over the years, a number of nuclear power plants (NPPs) in Japan have experienced earthquake 

shaking and some have experienced shaking in multiple earthquakes. The U.S. Nuclear 

Regulatory Commission has identified a need to better understand the seismic performance of 

Japanese NPPs and to determine if any important lessons should be applied to NPPs in the 

United States (U.S.). Meeting that goal requires an understanding of the design criteria used in 

Japan, and the differences between the practices employed in the two countries. 

This report provides information on current and past U.S. and Japanese seismic design 

standards, calculational methods, and load combinations used for the design of new and currently 

operating NPPs. This report documents the relative conservatism of the U.S. and Japan seismic 

analysis, design, and qualification inputs and processes. Both countries generally employ 

techniques that provide significant margin against the earthquake shaking levels used for design. 

This report covers various timeframes of interest for both countries.

This report provides information in the areas of seismic hazard assessment, classification 

categories, soil-structure interaction analyses, structural design, subsystem analysis and design, 

beyond-design-basis events, and seismic instrumentation. The report provides an assessment of 

the conservatisms in both the U.S. and Japanese approaches.

v

FOREWORD

On July 16, 2007, an earthquake occurred near the world’s largest nuclear plant, the 

Kashiwazaki-Kariwa Nuclear Power Plant (KKNPP) located in the Niigata prefecture of Japan.

The Niigataken Chūetsu-Oki (NCO) earthquake ground motion at the site exceeded the plant’s 

seismic design-basis earthquake ground motion1 and caused an extended period of shutdown of 

all seven reactors at the plant. Although the KKNPP units performed well given the exceedance of 

the design-basis ground motion that they experienced, the U.S. Nuclear Regulatory Commission 

(NRC) identified a need to understand and document the lessons learned from this earthquake. 

To better understand the earthquake performance of the KKNPP units, the NRC initiated a 

multiphase project with the objective to develop, analyze, and document the impact of and 

lessons learned from the NCO earthquake on the KKNPP. This report addresses one particular 

aspect of the project by comparing U.S. and Japanese seismic design standards, calculational 

methods, and load combinations. The report documents the differences, similarities, and relative

conservatisms of the U.S. and Japan seismic analysis, design, and qualification inputs and 

processes. 

Although this report was developed in response to the 2007 NCO earthquake, itwill also provide 

an important resource for gaining an in-depth understanding of the tragic events that unfolded at 

the Fukushima Dai-ichi Nuclear Power Station that resulted from the March 2011 earthquake and 

tsunami as it related to the seismic performance of the plant’s structures, systems, and 

components. However, this report does not provide an assessment of emergency response, 

severe accident mitigation strategies, or other defense-in-depth elements that may have a 

significant impact to the overall seismic risk of any particular facility, including Fukushima Dai-ichi

and other NPPs impacted by the 2011 Tōhoku earthquake.

1 In Japan, the seismic design basis of safety-related structures, systems, and components (SSCs) is the envelope of 

the dynamic responses caused by the design-basis ground motions and applied equivalent static loading conditions.

The NCO earthquake ground motion exceeded the design-basis ground motions by a significant amount, but the 

induced loading environment of the NCO earthquake on SSCs may not have exceeded the equivalent static loading 

conditions to the same degree. 

vii

TABLE OF CONTENTS

FOREWORD....................................................................................................................................v

TABLE OF CONTENTS.................................................................................................................vii

LIST OF FIGURES..........................................................................................................................xi

LIST OF TABLES .........................................................................................................................xiii

EXECUTIVE SUMMARY ...............................................................................................................xv

ACKNOWLEDGMENTS...............................................................................................................xxi

ABBREVIATIONS, ACRONYMS, UNITS, & PARAMETERS....................................................xxiii

1 INTRODUCTION.........................................................................................................................1

1.1 Background........................................................................................................................1

1.2 Purpose..............................................................................................................................2

1.3 Structure of the Report.......................................................................................................3

1.4 Perspective on the Comparison.........................................................................................3

2 SEISMIC DESIGN CRITERIA FRAMEWORK, DEVELOPMENT, AND BASES 

OF COMPARISON......................................................................................................................5

2.1 Seismic Design Criteria Development, Regulatory Approach, and Framework 

in the United States............................................................................................................5

2.1.1 Laws and Acts........................................................................................................5

2.1.2 Licensing Framework.............................................................................................6

2.1.3 U.S. NRC Regulatory Guides.................................................................................7

2.1.4 U.S. NRC Standard Review Plan...........................................................................8

2.1.5 Other Important Regulatory Documents ..............................................................10

2.1.6 Professional Society Codes and Standards.........................................................11

2.1.7 Industry Technical Reports ..................................................................................12

2.1.8 Seismic Performance Objectives for Structures, Systems, and Components .....12

2.2 Seismic Design Criteria Development, Regulatory Approach, and 

Framework in Japan.........................................................................................................14

2.2.1 Regulatory Authority up to 2012...........................................................................14

2.2.2 Regulatory Authority after 2012 ...........................................................................15

2.2.3 Japan Regulatory Guides and Design Standards................................................15
viii

3 SEISMIC DESIGN CRITERIA AND DEVELOPMENT OF THE DESIGN-BASIS 

GROUND MOTION IN THE UNITED STATES (U.S.) AND JAPAN .......................................23

3.1 Definition of the Design-Basis Ground Motion in the United States.................................23

3.1.1 Historical Perspective on Ground Motion Criteria for the U.S. .............................23

3.1.2 U.S. Criteria from 1973 to 1996 ...........................................................................25

3.1.3 U.S. Criteria from 1997 to 2007 ...........................................................................26

3.1.4 U.S. Criteria Post-2007 ........................................................................................27

3.3 Definition of the Design-Basis Ground Motions in Japan.................................................34

3.3.1 Criteria in Japan Pre-2006 ...................................................................................34

3.3.2 Criteria in Japan Post-2006..................................................................................36

3.4 Summary of Approaches for Assessment of Design-Basis Ground Motions 

in the United States and Japan........................................................................................40

3.4.1 Summary of U.S. Assessment Approaches.........................................................40

3.4.2 Summary of Pre-2006 Assessment Approaches in Japan ..................................41

3.4.3 Summary of Post-2006 Assessment Approaches in Japan.................................41

3.4.4 Similarities and Differences in the Design-Basis Ground Motion Criteria for 

Operating NPPs in Japan and the U.S................................................................42

3.4.5 Similarities and Difference in the Design-Basis Ground Motion Criteria 

for New NPPs in Japan and the U.S. ..................................................................44

4 CLASSIFICATION CATEGORIES FOR SEISMIC DESIGN ....................................................47

4.1 U.S. Criteria Pre-2007 and Post-2007 .............................................................................47

4.2 Japan Criteria Pre-2006 and Post-2006...........................................................................48

4.3 Summary of U.S. and Japan Seismic Classification Systems and Related Seismic 

Design Criteria .................................................................................................................56

5 SOIL-STRUCTURE INTERACTION AND STRUCTURAL RESPONSE.................................59

5.1 U.S. Criteria Pre-2007 and Post-2007 .............................................................................59

5.2 Japanese Criteria Pre-2006 and Post-2006.....................................................................63

5.3 Japanese and U.S. Structural Response and SSI Criteria...............................................66

6 STRUCTURAL DESIGN APPROACHES.................................................................................67

6.1 Structure Seismic Loads ..................................................................................................67

6.1.1 U.S. Criteria (Pre-2007 and Post-2007)...............................................................67

6.1.2 Japan Criteria (Pre-2006).....................................................................................67

6.1.3 Japan Criteria (Post-2006)...................................................................................67

6.2 Structure Seismic Design.................................................................................................69

6.2.1 U.S. Practice ........................................................................................................69

6.2.2 SRP Section 3.8.1 Concrete Containment, Revision 2, March 2007...................69

6.2.3 SRP Section 3.8.2 Steel Containment, Revision 2, March 2007 .........................70

6.2.4 SRP Section 3.8.3 Concrete and Steel Internal Structures of Steel or 

Concrete Containments, Revision 2, March 2007...............................................70

6.2.5 SRP Section 3.8.4 Other Seismic Category I Structures, Revision 2, 

March 2007 .........................................................................................................70

6.2.6 Japan Practice (Pre-2006)...................................................................................71

6.2.7 Japan Practice (Post-2006)..................................................................................71

6.3 U.S. and Japan Structural Design Considerations...........................................................73
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7 SUBSYSTEM ANALYSIS AND DESIGN AND EVALUATION METHODS.............................75

7.1 General ............................................................................................................................75

7.2 Generating Seismic Response for Subsystem Design and Qualification.........................76

7.2.1 U.S. Approach Pre-2007......................................................................................76

7.2.2 Japan Approach Pre-2006 ...................................................................................76

7.2.3 Damping Values in U.S. and Japan Practice .......................................................77

7.2.4 Earthquake Components of Motion Used in Design ............................................79

7.3 Subsystem Design and Qualification ...............................................................................81

7.3.1 Pressure Vessel Design Criteria ..........................................................................82

7.3.2 Piping Design Requirements................................................................................84

7.3.3 Design and Qualification of Equipment Supports.................................................87

7.3.4 Equipment Qualified by Test................................................................................89

7.3.5 Load Combinations ..............................................................................................90

7.3.6 Most Important Similarities and Differences in U.S. and Japan 

Criteria and Parameters ......................................................................................91

8 APPROACHES AND REQUIREMENTS FOR ASSESSING 

BEYOND-DESIGN-BASIS GROUND MOTION EVENTS........................................................93

8.1 Background......................................................................................................................93

8.2 U.S. Criteria......................................................................................................................93

8.3 Japan Criteria...................................................................................................................94

8.4 Similarities and Differences in U.S. and Japan Criteria....................................................95

9 SEISMIC INSTRUMENTATION REQUIREMENTS..................................................................97

9.1 General ............................................................................................................................97

9.1.1 Overview of Seismic Data Acquisition System.....................................................97

9.1.2 Automatic Seismic Trip Systems........................................................................100

9.2 U.S. Practice ..................................................................................................................101

9.2.1 Seismic Instrumentation in the United States ....................................................101

9.2.2 Automatic Seismic Trip Systems in the United States .......................................104

9.3 Japan Practice ...............................................................................................................105

9.3.1 Seismic Instrumentation in Japan ......................................................................105

9.3.2 Automatic Seismic Trip Systems in Japan.........................................................105

9.4 Similarities and Differences in U.S. and Japan Practice ................................................106

10 SUMMARY AND CONCLUSIONS .........................................................................................109

11 REFERENCES........................................................................................................................117

APPENDIX A SUMMARY OF KEY LEGAL REQUIREMENTS AND 

GUIDELINES IN JAPAN................................................................................. A-1

xi

LIST OF FIGURES

Figure 2-1 Overview of the nuclear safety regulation system in Japan at the time of the 

2007 Niigataken Chūetsu-Oki (NCO) and 2011 Tōhoku earthquakes ........................19

Figure 2-2 Flow chart of the safety regulation system in Japan at the time of the 2007 

Niigataken Chūetsu-Oki (NCO) and 2011 Tōhoku earthquakes .................................20

Figure 2-3 Changes to nuclear regulatory structure in Japan as of September 2012 

(based on figures created for the NRC by JNES) .......................................................21

Figure 3-1 Process to define the design-basis ground motion for sites where a Certified 

Design is not used (Figure 3 of Appendix D of SRP Section 3.7.1) ............................32

Figure 3-2 Process to define the design-basis ground motion for sites where a Certified 

Design is not used (Figure 3 of Appendix D of SRP Section 3.7.1) ............................33

Figure 3-3 Examples of standard response spectra shapes (normalized to 1.0 at 50 Hz) for 

various magnitude-epicentral distance combinations at the Vs=700 m/s boundary ....36

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LIST OF TABLES

Table 3-1 List of key CFR requirements, RGs, and SRP sections considered in 

comparison approaches ...............................................................................................24

Table 3-2 Key definitions related to design-basis ground motions (paraphrased and 

expanded from NRC Regulatory Guide 1.208) ............................................................31

Table 3-3 Original and reevaluated ground motions for NPPs in Japan (up to 2011) ..................39

Table 4-1 Seismic design requirements for selected system .......................................................49

Table 4-2 Reproduction of translation of JEAG 4601-1987 Table 5.1.2-1(a) for seismic 

categorization of structures, systems, and components...............................................50

Table 5-1 Damping values from NRC RG 1.61 and JEAG 4601-1987.........................................65

Table 6-1 Summary of the requirements for seismic forces in NPP buildings after JEAG 

4601-1987 ....................................................................................................................68

Table 6-2 Seismic forces for NPP buildings (NSC Regulatory Guide 2006) ................................69

Table 6-3 Load combination and allowable limits (JEAG 4601-1987)..........................................72

Table 6-4 Load combination and allowable limits (JEAC 4601-2008) ..........................................72

Table 7-1 U.S. and JEAG 4601 subsystem design response parameters ...................................77

Table 7-2 Damping values used in operating U.S. plant designs, new U.S. plant 

designs, and JEAG 4601-1987 ....................................................................................78

Table 7-3 Damping values for piping in JEAG 4601-1987 for class A and As piping....................79

Table 7-4 Damping values for equipment in JAEC 4601-2008 ....................................................80

Table 7-5 Damping values for piping in JAEC 4601-2008............................................................81

Table 7-6 Allowable stresses for JEAG Type 1, Type 3, and Type 4 vessels for 

stress states IIIAS and IVAS ..........................................................................................83

Table 7-7 Allowable stresses for carbon steel vessels from JEAG 4601-1987 and ASME..........83

Table 7-8 Allowable stresses for JEAC Type 1, Type 3, and Type 4 vessels for 

stress states CS and DS ................................................................................................84

Table 7-9 Stress equations in JEAG 4601-1987 and ASME code ...............................................85

Table 7-10 Allowable stresses in the ASME code and JEAG 4601 for load combinations 

with SSE ground motion and with the S2 ground motion..............................................86

Table 7-11 Allowable stresses for piping in JAEC 4601-2008........................................................86
xiv

Table 7-12 Allowable stress for component supports in JEAG 4601, ASME and AISC.................88

Table 7-13 Qualification of electrical and control equipment by testing..........................................89

Table 7-14 Example load combinations for ASME Level D service loads and stress 

state IVAS in JEAG 4601-1987.....................................................................................91

Table 9-1 NPP seismic instrumentation performance (Courtesy of Prof. Nigbor, 2010) ..............99

Table 10-1 Elements of design-basis earthquake ground motion in the United States and 

Japan in operating and new reactors .........................................................................114

Table 10-2 Elements of SSI and structure response in the United States and Japan in 

operating and new reactors........................................................................................115

Table 10-3 Seismic classifications in the United States and Japan in operating and new 

reactors.......................................................................................................................116

Table 10-4 Structure design in the United States and Japan in operating and new reactors.......116

Table A-1 Legal requirements and guidelines in Japan in place at the time of the 2011 

Tōhoku earthquake .................................................................................................... A-1
xv

EXECUTIVE SUMMARY

Worldwide, the United States (U.S.) and Japan are two of the countries with the most developed 

seismic design standards and calculational methods for nuclear facilities with an emphasis on 

nuclear power plants (NPPs). Thousands of person-years of effort over 5 decades have been 

devoted to developing these standards and methods for nuclear facilities. In addition, Japan has 

experienced several earthquakes that have directly affected NPPs with ground motions exceeding 

the design-basis earthquake ground motions (denoted as S1 or S2) and in some cases 

significantly exceeding the S2. In these cases, minimal or no damage from strong shaking of

safety-related structures, systems, and components (SSCs) was observed. Even for the 2011 

Tōhoku1 earthquake, evidence suggests that damage of safety-related SSCs caused by strong 

shaking was not significant at any of the affected NPPs. Similarly, in the United States, a few 

events have occurred affecting NPPs, the most notable being the 2011 Mineral, VA, earthquake 

that caused ground motions at the North Anna Power Station that exceeded the plant’s safe 

shutdown earthquake (SSE) ground motion over a large frequency range. Although the ground 

motion experienced at these U.S. sites exceeded the site-specific operating basis earthquake 

ground motion or SSE ground motion, the overall levels of shaking have been much lower than 

those experienced by NPPs in Japan. However, the same conclusion can be reached for the U.S.

NPPs; minimal or no damage to safety-related SSCs was observed. This is a testament to the 

adequacy of the seismic design standards of the U.S. and Japan. Furthermore, field experiments 

and laboratory testing in the United States, Japan, and Taiwan over this same period have 

illuminated aspects of the standards and the conservatism contained therein. All of these factors 

have led to the evolution of seismic design standards and calculational methods over the last 5 

decades. The lesson learned from the aggregate of these experiences is that seismic design of 

NPPs in the United States and Japan has been demonstrated to be extremely effective when 

tested by actual earthquake shaking. 

In this context, a review of the state of practice in the United States and Japan is appropriate. The 

United States, Japan, and other countries can learn from these experiences and introduce 

appropriate changes to their seismic design standards and calculational methods. It is important 

to note, however, that seismic hazard assessment and seismic design must always be considered 

in the context of the seismo-tectonic environment in which the country exists. Nearly the entire 

country of Japan is situated in an area of high seismicity and both subduction and active crustal 

mechanisms are at work. The United States, by contrast, is highly varied with seismicity rates that 

range from very high to very low across its territory and with nearly every seismo-tectonic 

environment found within its borders. It should be expected, therefore, that differences in 

assessment, design, and regulatory approaches exist between the two countries.

On July 16, 2007, an earthquake occurred near the world’s largest nuclear plant, the 

Kashiwazaki-Kariwa Nuclear Power Plant (KKNPP) located in the Niigata prefecture of Japan.

The Niigataken Chūetsu-Oki (NCO) earthquake ground motion at the site exceeded the plant’s 

seismic design-basis earthquake (DBE) ground motion by a significant amount2 and caused an 

 

1 The Tōhoku earthquake is formally called the Tohoku-chiho Taiheiyo-oki earthquake by the U.S. Geological Survey.

2 In Japan, the seismic design basis of safety-related structures, systems, and components (SSCs) is the envelope of 

the dynamic responses caused by the design-basis ground motions and applied equivalent static loading conditions.

The NCO earthquake ground motion exceeded the design-basis ground motions by a significant amount, but the 

induced loading environment of the NCO earthquake on SSCs may not have exceeded the equivalent static loading 

conditions to the same degree.
xvi

extended period of shutdown of all seven reactors at the plant. The KKNPP units generally 

performed well given the exceedance of the DBE ground motion that they experienced. 

At the time of the March 11, 2011, Tōhoku earthquake, multiple units at KKNPP had been 

restarted. Restart of these units occurred after extensive evaluations of the effects of the NCO 

earthquake on SSCs, a reevaluation of the seismic DBE ground motion levels for the KKNPP 

Units 1 through 7, and confirmation that SSCs met the requirements for the new ground motion 

levels.

3 In some cases, modifications to existing SSCs were made to be consistent with Japanese 

design philosophy, e.g., ensuring high natural frequencies of subsystems. 

As a result of the experiences at the KKNPP in 2007, the U.S. Nuclear Regulatory Commission 

(NRC) identified a need to understand and document the lessons learned from this earthquake.

NRC staff has been working since the earthquake to collect lessons learned, to better understand 

differences between U.S. and Japanese design approaches, and to obtain quantitative data on 

plant performance during the event. 

This NUREG/CR report is part of a multi-phase project with the objective to develop, analyze, and 

document the impact and lessons learned of the July 16, 2007 earthquake that affected the 

KKNPP in the Niigata prefecture of Japan. This report addresses the need to consider the 

similarities and differences in U.S. and Japanese seismic design standards and calculational 

methods, as well as load combinations. 

Because both U.S. and Japanese standards have changed over time, specific time frames of 

interest are consistently used throughout the document. The time frames of applicability of the 

seismic design standards and methodologies are described in the following paragraphs: 

• For the U.S., there are three time frames of interest when considering the seismic 

design-basis ground motion: 1973 to 1996, before the NRC issued Regulatory Guide (RG)

1.165, “Identification and Characterization of Seismic Sources and Determination of Safe 

Shutdown Earthquake Ground Motion,” and enacted Title 10 of the Code of Federal 

Regulations (10 CFR) Part 504

, “Domestic Licensing of Production and Utilization 

Facilities,” Appendix S (“Earthquake Engineering Criteria for Nuclear Power Plants”) in 

1997; 1997 to 2007; and Post-2007, when NRC RG 1.208 (“A Performance-Based 

Approach to Define the Site-Specific Earthquake Ground Motion”) was issued and 

numerous changes to other RGs and the Standard Review Plan took effect. “Pre-1997” 

refers to the seismic analysis and design procedures and requirements implemented for 

operating NPPs designed and constructed during this (pre-1997) period with emphasis on 

standards in place after about 1980. “Post-2007” refers to those standards currently in 

place and being applied to the next generation of NPPs in the United States. The 

Post-2007 standards are characterized by the use of Certified Designs. The period of 1997

to 2007 is discussed separately only with respect to the seismic design-basis earthquake.

For purposes of this review, the periods of Pre-2007 and Post-2007 are generally meant to 

represent operating NPP designs (Pre-2007) and new NPP designs (Post-2007). 

 

3 As of February 2013, two nuclear power units in Japan are in operation (Ohi Power Station Units 3 and 4 operated by 

the Kansai Electric Power Co., Inc.). The remaining units in Japan are in suspension (some listed as undergoing 

periodic inspection) or in various stages of decommissioning (http://www.nsr.go.jp).

4 It should be noted that the work supporting the 1973 regulatory changes had actually started in the1960s.
xvii

• For Japan, the timeframes of interest are denoted “Pre-2006” and “Post-2006.” “Pre-2006” 

refers to the seismic analysis and design procedures and requirements implemented for 

NPPs designed prior to 2006. “Post-2006” refers to the most recent change in criteria as 

stated by Japan’s Nuclear Safety Commission (on September 19, 2006). The new criteria 

are to be considered in the design of new facilities and the reevaluation of existing 

facilities. The seismic designs of the KKNPP units were performed for Pre-2006 criteria.

Post-earthquake reevaluations of KKNPP units took into account Post-2006 requirements 

and guidelines.5

 

Seismic analysis, seismic design, and seismic qualification activities are multidisciplinary in nature 

and many elements comprise the analysis, design, qualification, and construction processes.

Evaluating the relative conservatism in the individual elements is valuable but not necessarily 

indicative of the overall conservatism in one process compared to the other. One way to quantify 

differences in implementation of the seismic analysis, design, and qualification processes for the 

United States and Japan is to perform a pilot study, whereby a given design is compared 

step-by-step to quantify more or less conservatism in each step and in the final design. An 

abbreviated effort of this type is being performed for the International Atomic Energy Agency 

Extra-Budgetary Program Kashiwazaki-Kariwa Research Initiative for Seismic Margin Assessment

(KARISMA) project, which is an additional phase of the NRC research project under which this 

report was developed. Information gained in the KARISMA project has been incorporated into this 

report, as appropriate.

Based on the assessment performed, the likely relative conservatisms for the operating reactors 

are summarized as follows:

Elements of the seismic analysis, design, and qualification processes for which Japan is 

more conservative than the U.S. (Japan Pre-2006 compared to U.S. Pre-2007) 

• Structure damping values used in linear analysis are lower in Japan than in the United 

States.

• Damping values for some of equipment, components, and piping are specified to be lower 

in Japan than in the United States. 

• Implementation, testing, and maintenance of modern seismic instrumentation systems are 

required in Japan and not in the United States. 

• Testing for equipment seismic performance and fragility is performed in Japan, while proof 

testing is performed in the United States.

Elements of the seismic analysis, design, and qualification processes for which the U.S. is 

more conservative than Japan (Japan Pre-2006 compared to U.S. Pre-2007) 

• All safety-related SSCs (Seismic Category I) are designed to SSE ground motion (by 

comparison, under the Japan criteria safety-related equipment is designed to S1 and only 

a subset is assessed for functionality under the S2 ground motion). 

• Soil-structure-interaction (SSI) analyses to determine the structure response are

performed for soil and soft rock sites. The structure response used for design, including as

 

5 At the time of this writing, a new regulatory body has been formed in Japan and new codes and guidance is expected 

to be published in 2013 (see Section 2.2.2).
xviii

input to subsystems, is defined as the envelope of the responses for three soil profile 

cases in the United States; only a best estimate soil profile is considered in Japan. 

• In-structure response spectra are developed with peaks broadened ±15 percent in the 

United States as compared to ±10 percent in Japan. 

• Three components of earthquake ground motion are considered simultaneously in the SSI 

analyses. 

• All combinations of loss-of-coolant accident (LOCA) loadings are combined with the SSE 

ground motions.

• Equipment qualification testing is required.

• Beyond design-basis ground motion evaluations are required for new plants; acceptance 

criteria for new plants, plant-level High Confidence of Low Probability of Failure (HCLPF) 

values must be greater than 1.67 times the design-basis ground motion. A seismic 

probabilistic risk assessment (SPRA) is required prior to loading of fuel in new reactors.

• For existing plants, similar (though early vintage) beyond design-basis assessment 

procedures were previously implemented and assessments performed during the 

Individual Plant Examination of External Events (IPEEE) program in the latter part of the 

1990s. These assessment approaches subsequently matured and expanded into a 

number of tools that now exist for a variety of design, assessment, and operational uses.

The current risk-informed performance-based operational and regulatory framework is a 

direct result of that early work and the lessons learned. The NRC is now in the process of 

re-assessing the seismic hazard for all U.S. operating reactors and will use the beyond 

design-basis tools for those NPPs whose new estimated ground motion exceeds the 

original design. 

Elements of the seismic analysis, design, and qualification processes for which the 

relative conservatism is currently unknown (Japan Pre-2006 compared to U.S. Pre-2007) 

• Probability of occurrence of peak values of design ground motion (peak ground 

acceleration (pga), peak ground velocity, and peak ground displacement) for the operating 

reactors is currently unknown, although analyses to determine this information are

underway. 

• In Japan, the maximum of static and dynamic loads are used for design (e.g., a static 

loading of 0.6g for structures and 0.72g for equipment, piping, etc.). 

• In the United States, the minimum design ground motion at foundation level in the 

free-field has a minimum PGA of 0.1g anchoring a spectral shape appropriate for 

foundation level (outcrop or in-column motion). Most commonly a RG 1.60 (“Design 

Response Spectra for Seismic Design of Nuclear Power Plants”) spectrum is used. 

• Automatic Seismic Trip Systems are required for all NPP units in Japan.

Elements of the seismic analysis, design, and qualification processes that are favorable for 

Japan in reducing uncertainty in dynamic behavior of SSCs and verifying seismic capacity 

• Extensive testing program to verify behavior of soil-structure systems (SSI phenomena 

and methods of analysis). 

• Extensive testing program to define the stiffness, nonlinear behavior, and capacity of 

structure elements, e.g., shear walls. 
xix

• Extensive testing program to define the behavior of equipment, piping, and other 

components. 

Perspective 

Historically, both the U.S. and the Japanese practices have used deterministic approaches in all 

aspects of the seismic analysis, design, and regulation. However, over the years, and particularly 

in connection with the new reactors, the U.S. practices are moving toward a more 

performance-based, risk-informed regulatory framework. The Japanese practice has recently 

begun to look at very limited aspects of risk-informed considerations. Its practice is still basically 

deterministic. The following describes how the risk-informed aspects are currently being used and 

provides a brief comparison of the two practices. 

Japan has introduced the “residual risk” concept in 2006; however, the approach taken in seismic 

hazard assessment and seismic design is still inherently deterministic in nature. As in the most 

deterministic practices, the focus in Japan is on assuring that a high level of conservatism exists

at every step in the design process, such that Japanese NPPs have significant margin above the 

DBE ground motion used. There is an assumption that the DBE ground motion used is sufficiently

rare for the site of interest.

By contrast, the U.S. uses a mixed approach. For existing operating NPPs, meeting the NRC’s 

seismic-safety regulations still means meeting a complex set of deterministic regulations that are 

demonstrated by deterministic evaluations. This includes how the design-basis earthquake (the 

SSE) still in use was selected, although a probabilistic reevaluation of that SSE is now under way 

for all existing plants. For new designs, the same set of deterministic regulations, demonstrated by 

deterministic analyses, is still in place, except that the selection of the SSE for a new plant must 

follow a probabilistic seismic-hazard approach tied to a specific annual frequency of exceedance.

What is new is that the regulatory evaluation of the design, which uses deterministic criteria similar 

to those used for the existing operating plants, is supplemented by a risk-informed and 

performance-based evaluation of the seismic adequacy of the plant-as-a-whole. This evaluation 

provides a clearer way to understand conservatisms inherent in the design and provides an 

opportunity to risk-inform the entire design practice. 

These two philosophies are so different that the relative conservatism of the outcomes of the two 

approaches cannot be known a priori. The true conservatism of any regulatory framework for an 

NPP can only be assessed through a comparison of the true response of the NPP against the true 

hazard at its site. A seismic probabilistic risk assessment (SPRA) provides a means to evaluate 

the conservatisms. 

Although for new plants the U.S. relies in part on a performance-based, risk-informed framework, 

the process of seismic analysis, seismic design, and seismic qualification of SSCs is deterministic 

by choice and the practicality of design. Deterministic procedures (methods and parameter 

values) are developed and evaluated to assure that the implementation of seismic analysis, 

seismic design, and seismic qualification for SSCs leads to SSC seismic performance that meets 

the risk guidelines. 

A comparison of the results of the deterministic seismic analysis, design, and qualification 

process step-by-step is less appealing than a comparison of SPRA results; however, it is 

still a valuable exercise comparing the design loading conditions for SSCs, including loads, 

in-structure response spectra (ISRS) for qualification of equipment, components, and 

distribution systems, and other design quantities. This comparison could be conditional on 

the DBE or include the effects of the DBE. This approach quantifies the degree of relative 

conservatism introduced in various steps of the seismic analysis chain by U.S. procedures 

compared to the procedures of Japan. Results could also be interpreted in the risk 
xx

framework as a surrogate for core damage frequency (CDF) or large early release frequency 

(LERF), such as onset of inelastic deformation. This is a very valuable and practical 

assessment process recognizing the multi-disciplinary nature of the process. 

For the above reasons, the discussions in this document are framed to provide clarity and insights into 

the similarities and differences of the two regulatory approaches and frameworks. This document does 

not, and cannot, provide a strict “apples to apples” comparison of each step in the process.
xxi

ACKNOWLEDGMENTS 

This NUREG report was considerably enhanced by the contributions of others. 

The detailed review of the draft report by staff in the U.S. Nuclear Regulatory Commission’s Office 

of Nuclear Reactor Regulation, Office of New Reactors, and Office of Nuclear Regulatory 

Research is gratefully acknowledged.

Significant input and review of the draft report was provided by several organizations of Japan. 

The authors would like to express their gratitude to the Japan Nuclear Energy Safety Organization 

(JNES), Japan Electric Association (JEA), and the Japan Nuclear Safety Institute (JANSI)1

. 

Significant input and review of the draft report was provided by the following individuals in Japan 

and their efforts are gratefully acknowledged: 

• Mr. Kanehiro Ochiai, Technical Adviser, JANSI

• Mr. Hiroshi Abe, Counseling Expert, JNES 

• Mr. Yuichi Uchiyama, Senior Staff, JNES

Mr. Hiroshi Abe of JNES also provided ongoing and invaluable assistance by acting as a point of 

contact for the NRC and coordinating communications with the various parties in Japan.

Contributions and review of this report by the JEA were provided by members of the Seismic 

Design Guideline Survey Committee, including:

• Professor Fumio Hara, Chairman (Emeritus Professor, Tokyo University of Science)

• Mr. Eiji Shirai, Committee Manager (Kansai Electric Power Company) 

• Mr. Noriaki Tomura, Committee Member (Japan Atomic Power Company) 

• Mr. Rokuro Endo, Committee Member (JANSI) 

Mr. Roger M. Kenneally, Independent Consultant, provided valuable review of the draft report and

specific contributions to Section 9, Seismic Instrumentation. Prof. Robert Nigbor of the University 

of California, Los Angeles, also provided specific contributions to Section 9, Seismic 

Instrumentation.

 

1 JANSI was formerly known as Japan Nuclear Technology Institute (also known as JANTI).

xxiii

ABBREVIATIONS, ACRONYMS, UNITS, & PARAMETERS

IIIAS elastic stress state in JEAG 4601-1987

IVAS allowable stress state in JEAG 4601-1987

A seismic classification category used in Japan (see Section 4.2) 

As seismic classification category used in Japan (see Section 4.2) 

ACI American Concrete Institute

AESJ Atomic Energy Society of Japan

AIJ Architectural Institute of Japan

AISC American Institute of Steel Construction

ANS American Nuclear Society

ANSI American National Standards Institute 

ASCE American Society of Civil Engineers

ASME American Society of Mechanical Engineers 

ASS austenitic stainless steel

ASTS automatic seismic trip system 

B seismic classification category used in Japan (see Section 4.2) 

B1 stress index taken from the ASME code (see Table 7-9)

B2 stress index taken from the ASME code (see Table 7-9)

BE best estimate

BWR boiling-water reactor

C seismic classification category used in Japan (see Section 4.2) 

CAV cumulative absolute velocity

CD certified design

CDF core damage frequency

CEUS central and eastern United States

CFR Code of Federal Regulations

CI story shear coefficient from JEAG 4601-1987

CLASSI continuum linear analysis of soil-structure interaction 

cm centimeter

COL construction and operating license

COV covariance

CP construction permit

Cs stress limit designation in JAEC 4601-2008

CSDRS Certified Seismic Design Response Spectra

CV vertical seismic coefficient from JEAG 4601-1987

D dead load (see Table 7-14)

DAU data acquisition unit

dB decibels

DBE design-basis earthquake ground motion

DC design certification

DCPP Diablo Canyon Power Plant

Ds stress limit designation in JAEC 4601-2008

EBP Extra-Budgetary Program 

EPRI Electric Power Research Institute

ESP early site permit
xxiv

fb allowable stress for bending (see Table 7-12)

fc allowable stress for compression (see Table 7-12)

FEM finite element method

FOSID frequency of the onset of significant inelastic deformation

fs allowable stress for shear (see Table 7-12)

ft allowable stress for tension (see Table 7-12)

fp allowable stress for bearing (see Table 7-12)

Fult ultimate strength

g acceleration of gravity 9.81 m/s2 

GL generic letter

GMPE ground motion prediction equation

GMRS Ground Motion Response Spectra 

HCLPF high confidence of low probability of failure

HNA high-nickel alloy

HVAC heating, ventilation, and air conditioning

HYDRO transient or steady state suppression pool hydrodynamic loads 

(see Table 7-14)

Hz Hertz

i stress intensification factor

I&C instrumentation and controls

IAEA International Atomic Energy Agency

ISG interim staff guidance

ISRS in-structure response spectra 

IEEE Institute of Electrical and Electronics Engineers

In inch

IPEEE individual plant examination of external events 

JANSI Japan Nuclear Safety Institute

JEA Japan Electric Association

JEAC Japan Electric Association Code

JEAG Japan Electric Association Guidelines

JMA Japan Meteorological Agency

JNES Japan Nuclear Energy Safety

JSME Japan Society of Mechanical Engineering

KARISMA Kashiwazaki-Kariwa Research Initiative for Seismic Margin Assessment

KKNPP Kashiwazaki-Kariwa Nuclear Power Plant

km kilometers

ksi kips per square inch

LB lower bound

LBB leak-before-break

LERF large early release frequency

LLNL Lawrence Livermore National Laboratory

LOCA loss-of-coolant accident or loss-of-coolant accident load

M mechanical load in normal operating states (see Table 7-14)

m meters
xxv

MA ASME dead weight moment in piping (see Table 7-9)

MB ASME seismic bending moments in piping (see Table 7-9)

MD mechanical load in operating state I or II or mechanical design load (see Table 

7-14)

METI Ministry of Economy and Trade and Industry (Japan)

Mip bending moment due to mechanical load including the earthquake inertia 

effects in JEAG 4601-1987 (see Table 7-9)

MITI Ministry of International Trade and Industry (Japan)

ML nontransient mechanical load after LOCA (see Table 7-14)

mm/yr millimeters per year

m/s meters per second

NAPP North Anna Power Plant

NCO Niigataken Chūetsu-Oki (earthquake) 

NEI Nuclear Energy Institute (U.S.) 

NISA Nuclear and Industrial Safety Agency (Japan)

NPP nuclear power plant

NRA Nuclear Regulatory Authority (Japan)

NRC Nuclear Regulatory Commission (U.S.) 

NRO New Reactors, Office of (NRC) 

NRR Nuclear Reactor Regulation, Office of (NRC) 

NSC Nuclear Safety Commission (Japan)

NSSS nuclear steam supply system

NUREG Nuclear Regulation Report (NRC)

OBE operating basis earthquake ground motion

OL operating license

P normal operating pressure load (see Table 7-14)

PD mechanical pressure load from operating state I or II or maximum design 

pressure load (see Table 7-14)

PGA peak ground acceleration

PL nontransient pressure load after LOCA

PRA probabilistic risk assessment

PSA probabilistic safety assessment (same as PRA)

PSHA probabilistic seismic hazard analysis (or assessment) 

PWR pressurized-water reactor

Rem Roentgen equivalent man (radiation unit)

RES Nuclear Regulatory Research, Office of (NRC) 

RG Regulatory Guide

RRS Required Response Spectrum

SASSI system for analysis of soil-structure interaction 

S seismic classification category used in Japan (see Section 4.2) 

S allowable stress (JEAG Type 3 and 4 and ASME Class 2 and 3 components)

S1 maximum design earthquake ground motion in Japan (see Section 3.2.1)

S1* envelope of S1 dynamic loads and static loads

S2 extreme design earthquake ground motion in Japan (see Section 3.2.1)

Sa spectral acceleration

Sd elastic design ground motion in Japan (see Section 3.2.2)
xxvi

Sd* envelope of Sd dynamic loads and static loads

SC seismic category (used in U.S. terminology as SC-I, SC-II)

SDA standard design approvals

SDAS seismic data acquisition system

SECY policy, rulemaking, and adjudicatory recommendation or informational paper 

issued by NRC staff to the Commission (through the Office of the Secretary) 

SEI Structural Engineering Institute

Sm allowable stress for JEAG Type 1 and ASME Class 1 components

SMA seismic margin assessment

SRM staff requirements memoranda

SRP standard review plan

SPRA seismic probabilistic risk assessment 

SPSA seismic probabilistic safety assessment (same as SPRA) 

SRSS square root sum of the squares 

Ss design-basis ground motion in Japan (see Section 3.2.2)

SSC structures, systems, and components

SSE safe shutdown earthquake ground motion

SSHAC Senior Seismic Hazard Analysis Committee

SSI soil-structure interaction

Su ultimate tensile strength

Sult ultimate strength

Sy yield strength

TEPCO Tokyo Electric Power Company

TRS Test Response Spectra

UB upper bound

UHRS uniform hazard response spectrum

U.S. United States

Vs shear wave velocity

WUS western United States

yr year
1

1 INTRODUCTION

1.1 Background

On July 16, 2007, an earthquake occurred near the world’s largest nuclear plant, the 

Kashiwazaki-Kariwa Nuclear Power Plant (KKNPP) located in the Niigata prefecture of Japan.

KKNPP is owned and operated by the Tokyo Electric Power Company (TEPCO). The Niigataken 

Chūetsu-Oki (NCO) earthquake ground motion at the site exceeded the plant’s seismic design 

basis and caused an extended period of shutdown of all seven reactors at the plant. Units 1, 5, 6,

and 7 were restarted between May 2009 and November 2010. Restart of these units occurred 

after TEPCO’s extensive evaluations of the effects of the NCO earthquake on the plant’s 

structures, systems, and components (SSCs), a reevaluation of the seismic ground motions for 

KKNPP units 1 through 7, and confirmation that the SSCs met the requirements for the new 

ground motion levels. In some cases, modifications to existing SSCs were made to be consistent 

with Japanese design philosophy, e.g., ensuring high natural frequencies of subsystems. At the 

time of the March 11, 2011, Tōhoku earthquake, units 2, 3, and 4 were still under investigation by

the local government1

. 

After the earthquake, the United States (U.S.) Nuclear Regulatory Commission (NRC) identified a 

need to understand and document the lessons learned from the event. NRC staff has been 

working since the earthquake to collect lessons learned, to better understand differences between 

U.S. and Japanese design approaches, and to obtain quantitative data on plant performance 

during the event. In this regard, NRC staff has been working both in-house and through 

international avenues, such as by meeting with Japanese colleagues and through involvement 

with the activities of the International Atomic Energy Agency (IAEA). As part of the effort to 

analyze this event, the NRC participated in an IAEA Extra-Budgetary Program (EBP) on Seismic 

Issues. Under this EBP, several initiatives were undertaken and a significant amount of 

information was made available to NRC staff concerning the design criteria and performance of 

the KKNPP and other Japanese nuclear power plants (NPPs). This information was provided by 

Japan Nuclear Energy Safety Organization, Tokyo Electric Power Company, and the Nuclear and 

Industrial Safety Agency. This international interaction was critical because most Japanese 

standards and regulatory guidance documents are available only in Japanese. It was the 

consensus of the international participants of the IAEA EBP that the KKNPP units performed well 

given the exceedance of the design-basis ground motion that they experienced. However, it was 

noted that similar performance would not be assured, or necessarily expected, for NPPs 

elsewhere given the same loading conditions (or relative loading conditions) due to differing 

design standards. 

Seismic hazard assessment and seismic design must always be considered in the context of the 

seismo-tectonic environment in which the country exists. Nearly the entire country of Japan is 

situated in an area of high seismicity and both subduction and active crustal mechanisms are at

work. The U.S., in contrast, is highly varied with seismicity rates that range from very high to very 

low across its territory and with nearly every seismo-tectonic environment found within its borders.

It should be expected, therefore, that differences in assessment, design, and regulatory 

approaches exist between the two countries.

 

1 In the regulatory structure in Japan, local governments must agree to allow restart before restart can occur.
2

1.2 Purpose

To better understand the earthquake performance of the KKNPP units, particularly as it relates to 

U.S. designs, the NRC initiated a multi-phase project to develop, analyze and document the 

impact and lessons learned of the July 16, 2007, earthquake that affected the KKNPP in the 

Niigata prefecture of Japan. This multi-phase project includes the following: 

1. Summarize existing information on the impacts of the earthquake on the facility and 

lessons learned to-date (“Summary of Information on the Effects of the Niigataken 

Chūetsu-Oki Earthquake on the Kashiwazaki-Kariwa Nuclear Power Plant” - 

ML15342A306)2

2. Summarize the similarities and differences in U.S. and Japanese seismic design 

standards, calculational methods, and load combinations. 

3. Assess the performance of the KKNPP in light of Japanese seismic design standards; 

summarize known lessons learned as identified by Japanese, IAEA, and NRC staff; and

review possible implications of the lessons learned on U.S. plants and processes

(“Impacts of the Niigataken Chūetsu-Oki Earthquake on the Kashiwazaki-Kariwa Nuclear 

Power Plant, Post-Earthquake Response, and Lessons Learned” - ML15342A311)3

4. Participate in the Kashiwazaki-Kariwa Research Initiative for Seismic Margin Assessment 

(KARISMA) benchmarking exercise of the IAEA EBP on Seismic Issues to assess the 

performance of U.S. modeling approaches as compared to other member states and the 

actual behavior of the KKNPP. The benchmark is a multi-phase project. Phase 1 entailed

modeling the soil in the neighborhood of the KKNPP nits 5, 6, and 7 for low strain 

behavior, behavior during the aftershocks, and the behavior during the main shock, 

modeling the wave propagation characteristics in the free-field for the same conditions, 

developing a dynamic structure model of the KKNPP Unit 7 Reactor Building, and 

constructing a soil-structure interaction model for the KKNPP Unit 7 Reactor Building.

Phase 2 focused on the analysis of the Unit 7 Reactor Building subjected to the NCO 

earthquake ground motion. Phase 3 involved evaluating seismic margins in the structure, 

system, and component as evidenced in additional analyses and documenting the

findings(“Impacts of the Niigataken Chūetsu-Oki Earthquake to the Kashiwazaki-Kariwa 

Nuclear Power Plant, Post-Earthquake Response, and Lessons Learned: U.S. 

Perspective” ML15342A314)4

This NUREG report is Phase 2 and provides a discussion of U.S. and Japan seismic design 

standards, calculational methods, and load combinations. Throughout this report, the time frames 

of applicability of the seismic design standards and methodologies are delineated: 

• For the U.S., there are three time frames of interest when considering the seismic 

design-basis earthquake: 19735 to 1996 (this period ended in 1997 when the NRC issued 

 

2 Report for for internal use only due to prorietary information and cannot be released to the public.

3 Report for for internal use only due to prorietary information and cannot be released to the public.

4 Report for for internal use only due to prorietary information and cannot be released to the public. 

5 Prior to 1973, seismic design followed the standard building code. As a result, later seismic reassessment programs 

were developed to address the early design of US NPPs. For additional discussion of NRC seismic requirements over 

time, please see [NRC 2011]
3

Regulatory Guide (RG) 1.165, “Identification and Characterization of Seismic Sources and 

Determination of Safe Shutdown Earthquake Ground Motion,” and Title 10 of the Code of 

Federal Regulations (10 CFR) Part 50, “Domestic Licensing of Production and Utilization 

Facilities,” Appendix S (“Earthquake Engineering Criteria for Nuclear Power Plants”) was

enacted; 1997 to 2007; and Post-2007. In 2007, NRC RG 1.208 (“A Performance-Based 

Approach to Define the Site-Specific Earthquake Ground Motion”) was enacted and numerous 

changes to other RGs and the Standard Review Plan took effect. 

“Pre-1997” refers to the seismic analysis and design procedures and requirements

implemented for operating NPPs designed and constructed during this (pre-1997) period 

with emphasis on standards in place after about 1980. “Post-2007” refers to those 

standards currently in place and being applied to the next generation of NPPs in the 

United States. The new regulatory framework is characterized by the use of Certified 

Designs. The period of 1997 to 2007 is discussed separately only with respect to the 

seismic design-basis earthquake. For purposes of this review, the periods of Pre-2007 and 

Post-2007 are generally meant to represent currently operating NPP designs (Pre-2007) 

and new NPP designs (Post-2007). 

• For Japan, the time frames of interest are denoted as “Pre-2006” and “Post-2006.”

Pre-2006 refers to the seismic analysis and design procedures and requirements 

implemented for NPPs designed before 2006. Post-2006 refers to the most recent change 

in criteria as stated by Japan’s Nuclear Safety Commission (September 19, 2006). These

most recent criteria are to be considered in the design of new facilities and the 

reevaluation of existing facilities. 

The seismic designs of the KKNPP units were performed using Pre-2006 criteria.

Post-earthquake reevaluation of KKNPP units took into account Post-2006 requirements and 

guidelines. 

1.3 Structure of the Report

Section 2 presents a historical perspective on U.S. and Japanese seismic design criteria 

development and the bases for the discussions contained in subsequent sections. Section 3 

contains a discussion of the design-basis earthquake development for the U.S. and Japan.

Section 4 presents a discussion of seismic design categorization. Section 5 compares structural 

response methodologies for the U.S. and Japan. Section 6 compares elements of structural 

design. Section 7 discusses subsystem response, design, and qualification approaches. Section 8 

discusses beyond design-basis ground motion considerations. Section 9 presents information on 

seismic instrumentation. Section 10 contains overall summaries and conclusions. Section 11 

contains the list of references. 

1.4 Perspective on the Comparison

Historically, both the U.S. and the Japanese practices have used deterministic approaches in all 

aspects of the seismic analysis, design, and regulation. However, over the years, and particularly 

in connection with the new reactors, the U.S. practices are moving toward a more 

performance-based, risk-informed regulatory framework. The Japanese practice has recently 

begun to look at very limited aspects of risk-informed considerations. Its practice is still basically

deterministic. The following describes how the risk-informed aspects are currently being used and 

provides a brief comparison of the two practices. 

Japan introduced the “residual risk” concept in 2006; however, the approach taken in seismic 

hazard assessment and seismic design is still inherently deterministic in nature. As in most 
4

deterministic practices, the focus in Japan is on assuring that a high level of conservatism exists

at every step in the design process, such that Japanese NPPs have significant margin above the 

design-basis earthquake (DBE) ground motion used. There is an assumption that the DBE ground 

motion used is sufficiently rare for the site of interest.

By contrast, the U.S. uses a mixed approach. For existing operating NPPs, meeting the NRC’s 

seismic-safety regulations still means meeting a complex set of deterministic regulations that are 

demonstrated by deterministic evaluations. This includes how the design-basis earthquake (the 

Safe Shutdown Earthquake (SSE)) still in use was selected, although a probabilistic reevaluation

of that SSE is now under way for all existing plants. For new designs, the same set of 

deterministic regulations, demonstrated by deterministic analyses, is still in place, except that the 

selection of the SSE for a new plant must follow a probabilistic seismic-hazard approach tied to a 

specific annual frequency of exceedance. What is new is that the regulatory evaluation of the 

design, which uses deterministic criteria similar to those used for the existing operating plants, is 

supplemented by a risk-informed and performance-based evaluation of the seismic adequacy of 

the plant-as-a-whole. This evaluation provides a clearer way to understand conservatisms 

inherent in the design and provides an opportunity to risk-inform the entire design practice. 

These two philosophies are so different that the relative conservatism of the outcomes of the two 

approaches cannot be known a priori. The conservatism of any regulatory framework for an NPP 

can only be assessed through a comparison of the true response of the NPP against the true 

hazard at its site. A seismic probabilistic risk assessment provides a means to evaluate the 

conservatisms. 

Although for new plants the U.S. relies in part on a performance-based, risk-informed framework, 

the process of seismic analysis, seismic design, and seismic qualification of structures, systems, 

and components (SSCs) is deterministic by choice and the practicality of design. Deterministic 

procedures (methods and parameter values) are developed and evaluated to assure that the 

implementation of seismic analysis, seismic design, and seismic qualification for SSCs leads to 

SSC seismic performance that meets the risk guidelines. 

A comparison of the results of the deterministic seismic analysis, design, and qualification process 

step-by-step is less satisfying than a comparison of seismic probabilistic risk assessment (SPRA) 

results; however, it is still a valuable exercise. The end result is a comparison of the design 

loading conditions for SSCs, including loads, in-structure response spectra (ISRS) for qualification

of equipment, components, and distribution systems, and other design quantities. This 

comparison could be conditional on the DBE or include the effects of the DBE. The end result 

quantifies the degree of relative conservatism introduced in various steps of the seismic analysis 

chain in U.S. procedures compared to the procedures of Japan. The end result could also be 

interpreted in the risk framework as a surrogate for core damage frequency (CDF) or large early 

release frequency (LERF), such as onset of inelastic deformation. This is a very valuable and 

practical assessment process recognizing the multi-disciplinary nature of the process. 

For the above reasons, the discussions in this document are framed to provide clarity and insights into 

the similarities and differences of the two regulatory approaches and frameworks. This document does 

not, and cannot, provide a strict “apples to apples” comparison of each step in the process.
5

2 SEISMIC DESIGN CRITERIA FRAMEWORK, DEVELOPMENT, AND 

BASES OF COMPARISON

The basic principle underpinning both the Japanese and United States (U.S.) seismic design 

practices is that structures, systems, and components (SSCs) important to safety are required to 

withstand the effects of earthquakes, and perform their required functions. 

2.1 Seismic Design Criteria Development, Regulatory Approach, and Framework in 

the United States

The first nuclear reactors in the United States were designed to the seismic requirements that 

existed for commercial facilities at that time. A concerted effort was made in the late 1960s and 

early 1970s to develop more stringent design standards for nuclear power plants (NPPs) in 

general, including provisions for seismic design. As part of this effort, new U.S. pressure vessel, 

piping, pump, and valve standards were derived from the U.S. Navy nuclear submarine program.

Standards for qualification of electrical, instrumentation, and control equipment were developed by 

the Institute of Electrical and Electronics Engineers (IEEE). Passive equipment, other than the 

pressure vessel and piping, was typically designed to industrial standards for steel structures with 

modifications for high-level seismic demand.

2.1.1 Laws and Acts

The Energy Reorganization Act of 1974 is the fundamental U.S. law on both civilian and military 

uses of nuclear material. On the civilian side, the act provides for the development and regulation 

of the uses of nuclear materials and facilities in the United States. The functions of civilian 

development and promotion were split from civilian regulation. The Department of Energy was 

made responsible for the development and promotion of civilian nuclear power as well as 

development of nuclear weapons. The Nuclear Regulatory Commission (NRC) was assigned the 

responsibility for regulations. NRC’s jurisdiction is solely the regulation of civilian use of nuclear 

materials and does not include regulation of defense nuclear facilities or promotion activities. 

2.1.1.1 Founding of the U.S. Nuclear Regulatory Commission

The U.S. NRC, formerly the Atomic Energy Commission, was established by the Energy 

Reorganization Act in 1974. The NRC is an independent regulatory body that is responsible for 

assuring that the requirements of Title 10 of the Code of Federal Regulations (CFR) are carried out. 

The NRC is headed by a five-member Commission. The Commissioners are appointed by the 

President and approved by the U.S. Senate. Consistent with the CFR, the Commission formulates 

policies and regulation governing nuclear reactor and material safety, issues orders to licensees, and 

adjudicates legal matters brought before it. An Advisory Committee on Reactor Safeguards has 

statutory responsibilities as described in the Atomic Energy Act of 1954 on matters referred to it by the 

Commissioners. The NRC staff carries out the policies and regulatory requirements of the 

Commission. 
6

2.1.1.2 Code of Federal Regulations 

Title 10 of the CFR consists of many parts with legal requirements. The parts that contain 

regulations relative to seismic design are:

• 10 CFR Part 50, “Domestic Licensing of Production and Utilization Facilities” 

• 10 CFR Part 100, “Reactor Site Criteria” 

• 10 CFR Part 52, “Licenses, Certifications, and Approvals for Nuclear Power Plants” 

NPP general design criteria are governed by regulations in 10 CFR 50, Appendix A, “General 

Design Criteria for Nuclear Power Plants.” As of today, Appendix A contains 64 general criteria 

that are required to be met by U.S. law. Five overall requirements include General Design 

Criterion 2, “Design Bases for Protection against Natural Phenomena,” which states, in part, 

“Structures, systems, and components important to safety shall be designed to withstand the 

effects of natural phenomena such as earthquakes, tornadoes, hurricanes, floods, tsunami, and 

seiches without loss of capability to perform their safety function.” 

Regulations in 10 CFR Part 100 are associated with siting of NPPs. Appendix A to 

10 CFR Part 100, “Seismic and Geologic Siting Criteria for Nuclear Power Plants,” issued in 1973, 

codified geologic and seismic regulatory practice that had evolved from the inception of nuclear 

power generation to that time. NPPs licensed prior to January 1997 comply with the seismic siting 

requirements of Appendix A to 10 CFR Part 100. Those licensed after January 1997 must comply 

with the geologic and seismic siting criteria of 10 CFR 100.23, “Geologic and Seismic Siting 

Criteria,” and the seismic design requirements of Appendix S to 10 CFR Part 50, “Earthquake 

Engineering Criteria for Nuclear Power Plants.” 

The movement to Certified Designs is governed by 10 CFR Part 52, “Licenses, Certifications, and 

Approvals for Nuclear Power Plants.” As stated in 10 CFR Part 52, “This part governs the 

issuance of early site permits, standard design certifications, combined licenses, standard design 

approvals, and manufacturing licenses for nuclear power facilities....” 

2.1.2 Licensing Framework

The Licensing process has historically been a two-step process:

• Construction Permit (CP)

• Operating License (OL)

The new system, described in 10 CFR Part 52, is composed of either two or three elements:

• Design Certification (DC) 

• Early Site Permit (ESP) 

• Combined Construction and Operating License (COL) 

The design certification process is intended to provide a standard nuclear island design that is 

certified for a site independent earthquake ground motion. The ESP addresses the site-specific

seismic hazard and other hazards at a chosen site. It is not required, but can be referenced in the 

COL and can be beneficial in some situations. In the COL, the same process is followed as the 

previous policy (10 CFR Part 50) except public input is restricted to construction and operation 

issues provided that the DC (and possibly ESP) has already been granted. Safety-related 
7

structures and subsystems outside of the nuclear island are not included in the DC and are the 

responsibility of the COL applicant. 

2.1.3 U.S. NRC Regulatory Guides 

The NRC issues Regulatory Guides (RGs) that provide technical “guidance to licensees and 

applicants on implementing specific parts of the NRC regulations, techniques used by the NRC 

staff in evaluating specific problems or postulated accidents, and data needed by the staff in its 

review of applications for permits or licenses.” 

(http://www.nrc.gov/reading-rm/doc-collections/reg-guides/) RGs are not substitutes for 

regulations, and compliance with them is not required. Methods and solutions that differ from 

those set forth in RGs may be deemed acceptable, if the applicant provides acceptable bases for 

the approach as required for the issuance or continuance of a permit or license by the NRC. 

The U.S. NRC staff has developed a series of RGs and a Standard Review Plan (SRP, also 

known as NUREG-0800) [NRC 2007a] and develops regulatory documents published as NUREG 

series reports that provide the technical basis for regulatory actions. 

There are 10 divisions of RGs. Division 1 contains guides for power reactors. The SRP (discussed 

in the next section) is a comprehensive document that covers all technical aspects of siting, 

design, and safety analysis of power reactors. It is intended as a guide for NRC staff members 

who review submittals by licensees; however, in practical terms, it is also used by the industry as 

a guidance document. Important Division 1 RGs that affect seismic design of structures and 

subsystems are1

: 

• RG 1.12, “Nuclear Power Plant Instrumentation for Earthquakes,” Revision 2 [NRC 1997a]

• RG 1.29, “Seismic Design Classification,” Revision 4 [NRC 2007b]

• RG 1.60, “Design Response Spectra,” Revision 1 [NRC 1973] (generally superseded for 

new plants, but a historically significant document for existing plants)

• RG 1.61, “Damping Values,” Revision 1 [NRC 2007c]

• RG 1.84, “Design Fabrication and Materials Code Case Acceptability,” American Society 

of Mechanical Engineers (ASME) Section III, Revision 33 [NRC 2005]

• RG 1.92, “Combining Modal Responses and Spatial Components in Seismic Response 

Analysis,” Revision 2 [NRC 2006a]

• RG 1.100, “Seismic Qualification of Electrical and Mechanical Equipment,” Revision 3 

[NRC 2009a]

• RG 1.122, “Development of Floor Design Response Spectra for Seismic Design of 

Floor-Supported Equipment of Components,” Revision 1 [NRC 1978]

• RG 1.124, “Service Limits and Loading Combinations for Class 1 Linear-Type Supports,” 

Revision 2 [NRC 2007d]

 

1 Regulatory Guide revisions cuurent as of the beginning of this report project and may not be the current revision
8

• RG 1.130, “Service Limits and Loading Combinations for Class 1 Plate and Shell-Type 

Component Supports,” Revision 2 [NRC 2007e]

• RG 1.136, “Design Limits, Loading Combinations, Materials, Construction and Testing of 

Concrete Containments,” Revision 3 [NRC 2007f]

• RG 1.142, “Safety-Related Concrete Structures for Nuclear Power Plants,” Revision 2 

[NRC 2001a]

• RG 1.165, “Identification and Characterization of Seismic Sources and Determination of 

Safe Shutdown Earthquake Ground Motion,” [NRC 1997c], (withdrawn April 30, 2010) 

• RG 1.166, “Pre-Earthquake Planning and Immediate Nuclear Power Plant Operator 

Post-Earthquake Actions” [NRC 1997d]

• RG 1.167, “Restart of a Nuclear Power Plant Shut Down by a Seismic Event” [NRC 

1997e]

• RG 1.174, “An Approach for Using Probabilistic Risk Assessment in Risk-Informed 

Decisions on Plant-Specific Changes to the Licensing Basis” [NRC 2002]

• RG 1.193, “ASME Code Cases not Approved for Use,” Revision 2 [NRC 2007g]

• RG 1.199, “Anchoring Components and Structural Supports in Concrete” [NRC 2003]

• RG1.200, “An Approach for Determining the Technical Adequacy of Probabilistic Risk 

Assessment Results for Risk-Informed Activities” [NRC 2009b]

• RG 1.201, “Guidelines for Categorizing Structures, Systems and Component in Nuclear 

Power Plants According to Their Safety Significance,” Revision 1 [NRC 2006b]

• RG 1.206, “Combined License Applications for Nuclear Power Plants (Light Water Reactor

Edition)” [NRC 2007h]

• RG 1.208, “A Performance-Based Approach to Define the Site-Specific Earthquake 

Ground Motion” [NRC 2007i]

Until April 30, 2010, both RG 1.165 and RG 1.208 were valid RGs. Both are discussed in this 

document. However, RG 1.165 was withdrawn and superseded by RG 1.208 effective 

April 30, 2010. The withdrawal states that such withdrawal does not affect the licensing basis of 

any currently operating reactor or any of the currently issued early site permits under 

10 CFR Part 52, subpart A. Additional clarifications are stated relative to approved Design 

Certifications and those in review as of April 30, 2010, that used RG 1.165 as a basis. At the time 

of that writing (2010), the U.S. NRC staff expected new applicants to use RG 1.208, which is 

performance-based (i.e., the performance of NPP structures are considered in the development of 

design response spectra) and requires the use of probabilistic seismic hazard assessment 

methods. 

2.1.4 U.S. NRC Standard Review Plan

The SRP for the Review of Safety Analysis Reports for Nuclear Power Plants (NUREG-0800) 

provides guidance to NRC staff in performing safety reviews of construction permit (CP) or 

operating license (OL) applications (including requests for amendments) under 10 CFR Part 50 

and ESP, DC, COL, standard design approval (SDA), or manufacturing license applications under 

10 CFR Part 52 (including requests for amendments). “The principal purpose of the SRP is to 

assure 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 
9

NRC, interested members of the public, and the nuclear power industry, thereby increasing 

understanding of the NRC’s review process.” (Introduction, NUREG-0800) Compliance with the 

SRP is not required, but meeting its conditions increases the likelihood of acceptance by NRC 

staff (not complying with the SRP requires justification). The SRP is intended as a staff guide but 

is typically utilized in the nuclear industry as a guidance document. 

Sections of the SRP that pertain to seismic design are:

• 2.5.2 Vibratory Ground Motion

• 2.5.3 Surface Faulting

• 2.5.4 Stability of Subsurface Material and Foundations

• 2.5.5 Stability of Slopes

• 3.2.1 Seismic Classification

• 3.7.1 Seismic Design Parameters

• 3.7.2 Seismic Systems Analysis

• 3.7.3 Seismic Subsystems Analysis 

• 3.7.4 Seismic Instrumentation 

• 3.8.1 Concrete Containment

• 3.8.2 Steel Containment

• 3.8.3 Concrete and Steel Internal Structures of Steel or Concrete Containments

• 3.8.4 Other Seismic Category 1 Structures

• 3.8.5 Foundations

• 3.9.2 Dynamic Testing and Analysis of Systems, Structures and Components

• 3.9.3 ASME Class 1,2, and 3 Components, Component Supports and Core Support 

Structures

• 3.9.4 Control Rod Drive Systems

• 3.9.5 Reactor Pressure Vessel Internals

• 3.9.6 Functional Design, Qualification and In Service Testing Programs for Pumps, Valves 

and Dynamic Restraints

• 3.10 Seismic and Dynamic Qualification of Mechanical and Electrical Equipment

• 3.12 ASME Code Class 1, 2 and 3 Piping Systems, Piping Components and Their 

Associated Supports

• 3.13 Threaded Fasteners - ASME Code Class 1, 2 and 3

• 19.0 Probabilistic Risk Assessment and Severe Accident Evaluation for New Reactors 
10

At the time of this writing (2013), revisions to SRP Sections 3.7 and 3.8 are proposed.2

 

2.1.5 Other Important Regulatory Documents 

Other important regulatory documents include Branch Technical Positions and Interim Staff Guidance 

(ISG) documents prepared by the staff to provide review guidance where RGs or the SRP have not 

yet been formalized for the specific issues. Of particular interest are the following ISGs: 

• U.S. NRC, “Interim Staff Guidance on Seismic Issues Associated with High Frequency 

Ground Motion in Design Certification and Combined License Applications,” 

DC/COL-ISG-1 [NRC 2008a] 

• U.S. NRC, “Interim Staff Guidance, Probabilistic Risk Assessment Information to Support 

Design Certification and Combined License Applications,” DC/COL-ISG-003 [NRC 2008b] 

• U.S. NRC, “Interim Staff Guidance on Ensuring Hazard-Consistent Seismic Input for Site 

Response and Soil-Structure Interaction Analyses,” DC/COL-ISG-017 [NRC 2010a] 

• U.S. NRC, “Interim Staff Guidance on Implementation of a Probabilistic Risk 

Assessment-Based Seismic Margin Analysis for New Reactors,” DC/COL-ISG-020 

[NRC 2010b] 

There are also policy issue documents, developed by NRC staff and that contain positions 

recommended to the five-member Commission, that are known as “SECYs”. The Commission 

may approve or modify the recommended positions by issuing a staff requirements memoranda 

(SRM) document detailing the Commission’s policy directive. In SECY-93-087 [NRC 1993], 

“Policy, Technical and Licensing Issues Pertaining to Evolutionary and Advanced Light-Water 

Reactor Designs,” the Commission approved the staff recommendation that the plant designer 

perform a Probabilistic Risk Assessment-based Seismic Margin Assessment (PRA-based SMA).

The staff recommended that the resulting plant-level High Confidence in Low Probability of Failure 

(HCLPF) value should be at least twice the design ground motion peak ground acceleration and 

associated design ground response spectra. The Commission did not approve the factor of 2 for 

plant level HCLPF but approved a value of 1.67 times the design-basis safe shutdown earthquake 

(SSE) ground motion for the margin assessment. Industry has taken the position that this value 

will be met due to the inherent conservatism in the seismic design process. To date, the design 

certification stage of licensing for new reactors in the United States has mostly used generic 

values of fragilities for all but the reactor-building complex and the generic values all have HCLPF

values greater than the target plant-level HCLPF value of 1.67 times the SSE ground motion. 

While the target HCLPF level will generally be achieved for the plant-level and for individual 

components, there is no guarantee that meeting the minimum requirements of the applicable 

codes and standards will result in a HCLPF that is 1.67 times the SSE ground motion for any

specific SSC and the values typically have not been confirmed through SSC-specific testing or 

non-linear analyses performed for beyond design-basis loading levels. Examples where there 

may be marginal HCLPFs include fuel assemblies and steam generator upper supports. Also, for 

components that are qualified by testing, there is only a 10 percent factor of safety applied to the 

required response spectrum (RRS) and, unless there is significant over-testing, or unless the RRS

 

2 See Memorandum from Anna H. Bradford, Acting Chief, Policy Branch, Division of Advanced Reactors and 

Rulemaking, Office of New Reactors, to Edwin M. Hackett, Executive Director, Advisory Committee on Reactor 

Safeguards and Richard P. Correia, Chairman, Committee to Review Generic Requirements, “Issuance of Draft 

Revision(s) to Standard Review Plan Section(s) – See List Below,” March 28, 2013 (Agencywide Documents Access 

and Management System (ADAMS) Accession No. ML13086A185). 
11

are very conservatively defined, the HCLPF for function of the equipment during the earthquake 

may not meet the 1.67 times SSE criterion for a site where the SSE ground motion levels are

close to the certified seismic design response spectrum (CSDRS). 

To address this issue, the American Society of Civil Engineers/Structural Engineering Institute 

standard ASCE/SEI 43-05 [ASCE/SEI 2005] recommends that a load factor of 1.4 be applied to 

the required response spectra. This recommendation is not included in the latest 2004 version of 

IEEE-344 [IEEE 2004] or in the current RG 1.100, both of which are deterministic in nature.

However, this factor is being reviewed in the NRC’s seismic research program for inclusion in 

future revisions of RG 1.100, which are expected to include probabilistic methods. 

2.1.6 Professional Society Codes and Standards

Details of structural and subsystem design are contained in national standards that are endorsed 

by the NRC. The current codes and standards (developed by ASCE, SEI, American Society of 

Mechanical Engineers (ASME), American Concrete Institute (ACI), American National Standards 

Institute (ANSI), American Institute of Steel Construction (AISC) and IEEE and endorsed by the 

NRC) are:

• ASCE/SEI 43-05, “Seismic Design for Structures, Systems and Components in Nuclear 

Facilities,” American Society of Civil Engineers/Structural Engineering Institute, 2005 

[ASCE/SEI 2005] (ASCE 43-05 is not endorsed in total by the NRC.) 

• ASCE 4-98, “Seismic Analysis of Safety-Related Nuclear Structures and Commentary,” 

American Society of Civil Engineers, 2000 [ASCE 1998] (ASCE 4-98 is not endorsed in 

total by NRC). A revision to ASCE 4 in currently in progress and is expected to be 

published in 2013. 

• ASME Boiler and Pressure Vessel Code, Section III, Division 1, “Nuclear Power Plant 

Components for Class 1, 2 and 3 pressure vessels, pumps, valves, piping and supports 

(Subsections NA, NB, NC, ND and NF), core support structures (Subsection NG) and 

steel containment (Subsection NE),” [ASME 2013a and as described in NUREG 0-800] 

• ASME Boiler and Pressure Vessel Code, Section III, Division 2 for “Construction of 

Concrete Reactor Vessels and Containment,” [ASME 2013b and as described in NRC 

NUREG 0-800]

• ACI 349, “Code Requirements for Nuclear Safety Related Concrete Structures” 

[ACI 2007b] 

• ACI 359-07, “Code for Concrete Containments, American Concrete Institute, American

Concrete Institute,” July 2007. (This document forms Division 2 of the ASME Boiler and 

Pressure Vessel Code, Section III.) [ACI 2007a] 

• ANSI/AISC N-690 1994 Including Supplement 2, “Specification for Safety Related 

Structures for Design, Fabrication and Erection of Steel Structures for Nuclear Facilities” 

[ANSI/AISC 1994]

• IEEE 344, “IEEE Recommended Practice for Seismic Qualification of Class 1E Equipment 

for Nuclear Power Generating Stations” [IEEE 2004] 

• IEEE 323, “Standard for Qualifying Class 1E Equipment for Nuclear Power Generating 

Stations” [IEEE 2003]

• IEEE C37.98, “IEEE Standard for Seismic Testing of Relays” [IEEE 1987] 
12

2.1.7 Industry Technical Reports 

The nuclear industry, led by the Electric Power Research Institute (EPRI), provides valuable 

research on specific issues and interacts with the U.S. NRC, directly with the NRC Office of 

Nuclear Regulatory Research (RES), or through the Nuclear Energy Institute with the NRC Office 

of Nuclear Reactor Regulation (NRR) and the NRC Office of New Reactors (NRO), on behalf of 

the industry to resolve particular concerns. In 2006 and 2007, a number of important seismic 

issues were addressed including: 

• Definition of the lower bound of earthquakes to be considered in Probabilistic Seismic Hazard 

Assessments (PSHAs) by minimum cumulative absolute velocity values [EPRI 2006a] 

• Ground motion attenuation model uncertainty and truncation of ground motions [EPRI 2006b] 

• Ground motion coherence functions based on recorded data for addressing high frequency 

ground motion issues [EPRI 2007d] 

• Soil-structure interaction (SSI) analysis procedures to model effects of incoherence of ground 

motion on structures [EPRI 2007c] 

• Approach to verify that high frequency excitations do not adversely affect equipment and 

components [EPRI 2007a and EPRI 2007b] 

As discussed in Section 1, the U.S. criteria are reviewed for the Pre-2007 and Post-2007 time 

frames. The above listings of reference documents show the most recent revisions and dates.

Previous revisions, when appropriate, will be discussed in the ensuing sections. 

The methodology in EPRI NP-6695 [EPRI 1989] was used extensively for restart activities of the 

Kashiwazaki-Kariwa Nuclear Power Plant (KKNPP). The methodology focuses on defining 

damage states rather than focusing on ground motion comparisons with the Operating Basis 

Earthquake (OBE) equivalent ground motion or the SSE ground motion, as appropriate. However, 

the guidance on actions to be taken post-earthquake shaking for evaluations and restart are 

targeted to OBE ground motion exceedances rather than exceedances of the SSE ground motion, 

which is important because these higher (than SSE) ground motions are beyond the largest 

seismic loading considered in the licensing basis. In order to capture the lessons learned from the 

KKNPP restart experience, the International Atomic Energy Agency [IAEA 2011a], in close 

collaboration with TEPCO, published a safety report that extends the framework of EPRI NP-6695 

to beyond design-basis ground motions. An update to EPRI NP-6695 [EPRI 2012a] was 

completed in 2012, which took into account some aspects of [IAEA 2011a]. 

2.1.8 Seismic Performance Objectives for Structures, Systems, and Components 

In addition to the legal and other requirements itemized above, two recent advances in the 

regulation of new NPP design are: 

(4) The requirement that the HCLPF at the plant-level is at least 1.67 times the design ground 

motion. The SSE ground motion is defined as peak ground acceleration and associated design 

ground response spectra. This requirement was described in SECY-93-087 [NRC 1993], “Policy, 

Technical and Licensing Issues Pertaining to Evolutionary and Advanced Light-Water Reactor 

Design.” This requirement is intended to ensure that adequate seismic margin is explicitly 

incorporated into the design. Hence, during the design phase, the plant designer performs a 
13

PRA-based SMA to ensure that appropriate design and qualification criteria are implemented to 

achieve this margin3

. 

• For Certified Designs, this requirement applies to the nuclear island (i.e., the 

portion of the design that has been licensed under the requirements of 10 CFR 52 

and has been designed to the CSDRS). The requirement is that the Certified 

Design be demonstrated to have a plant-level HCLPF at least 1.67 times the 

CSDRS. 

• For SSCs located in the balance of the NPP that are designed to site specific 

ground motions (i.e., the ground motion response spectrum or GMRS), the same 

requirement is imposed (i.e., that a plant-level HCLPF be demonstrated to be at 

least 1.67 times the GMRS). This requirement may be satisfied by demonstrating 

that these SSCs individually satisfy the requirement that HCLPFs are at least 1.67 

times the GMRS. However, the requirement is for the plant-level HCLPF to be at 

least 1.67 times the GMRS, not for individual SSCs to be so. 

These requirements permitted the implementation of the performance-based approach to 

specifying the design-basis ground motion described below. As mentioned above, this 

requirement entails some modification to standard practice to achieve the desired margins.

Modifications to standard practice include updates to qualification by testing and treatment 

of specialized items such as fuel assemblies and steam generator upper supports. For 

components that are qualified by testing, there is only a 10 percent factor of safety applied 

to the required response spectra (RRS) and, unless there is significant over testing, or 

unless the required response spectra are very conservatively defined, the HCLPF for 

function during the earthquake will not be easily demonstrated to meet the 1.67 times 

design-basis ground motion criterion. In this respect, Standard ASCE/SEI 43-05 

recommends that a load factor of 1.4 be applied to the RRS. This recommendation is not 

included in the 2004 (latest) version of IEEE-344 or in the current RG 1.100, both of which 

are deterministic in nature. 

(5) The use of a risk-consistent definition of the design-basis earthquake ground motion (i.e., 

the SSE ground motion). The most significant evolution in the design-basis ground motion for an 

NPP is the use of a risk-informed framework to develop probabilistic ground motion levels to be 

used in design. This is the natural evolution from the hazard consistent basis of RG 1.165. The 

risk-informed framework for new reactors is based in part on insights from risk analysis of the 

currently operating reactors. It is also expected that new plants will have a lower risk profile than the 

operating reactors. 

The first important change in this regard was the development and publication of 

ASCE/SEI 43-05, “Seismic Design Criteria for Structures, Systems, and Components in 

Nuclear Facilities.” ASCE/SEI 43-05 specifies a performance-based approach to defining 

design-basis ground motions using the results of a probabilistic seismic hazard 

assessment (PSHA). The approach relies on specified conservatism in the design of 

SSCs, where the end metric is an acceptable SSC performance defined as no significant 

nonlinear behavior. This document, though not accepted by the NRC in full, provided the 

framework for the current definition of the site-specific GMRS and, ultimately, the SSE 

 

3 A seismic probabilistic risk assessment (SPRA) accepted by the NRC is required prior to loading of fuel in a new NPP.
14

ground motion. The basic performance-based approach is linked to the definition of the 

SSE ground motion for NPPs through the following elements: 

• The risk-informed performance-based approach for developing the GMRS defines 

a minimum damage state, namely the Frequency of Onset of Significant Inelastic 

Deformation (FOSID) at a target annual frequency of 1x10-5/yr. This metric was 

selected and agreed upon after benchmarking studies were performed using 

results from the Individual Plant Examination of External Events (IPEEE) program 

in the United States and the requirement for new plant design to have a plant-level

HCLPF equal to or greater than 1.67 times the design-basis earthquake ground 

motion. Use of the FOSID is beneficial because it is more directly analyzable for an 

SSC than the core damage frequency (CDF) target. 

• The approach utilizes the results of the site-specific PSHA, with site response 

analyses. 

• A scale factor, called a “design factor” and defined in a similar way in both ASCE 

43-05 and RG 1.208, is applied to the mean uniform hazard response spectrum to 

determine the GMRS for the site. The resulting GMRS is “risk-consistent,” as 

described in ASCE/SEI 43-05. 

• For verification, the approach was used to analyze 29 NPP sites in the United 

States using the EPRI PSHA results and the seismic capacities from submittals for 

IPEEE. The study verified that meeting the FOSID target 1x10-5/yr leads to seismic 

CDF values ranging from 5x10-6 to 1x10-6. 

2.2 Seismic Design Criteria Development, Regulatory Approach, and 

Framework in Japan

2.2.1 Regulatory Authority up to 2012

Japan has a unique regulatory structure. Up to 2012, the Nuclear and Industrial Safety Agency 

(NISA) regulated all energy-producing facilities as part of the Ministry of Economy and Trade and 

Industry (METI), which is responsible for development of nuclear power in Japan. The Nuclear 

Safety Commission (NSC) was a separate organization appointed by the Prime Minister that 

checks all regulatory decisions by NISA. Effectively, NISA and METI were required to comply with 

the nuclear regulation prepared by NSC. However, unlike in the United States, the NSC could not

issue licenses or penalize licensees for violations. These functions were the responsibility of 

METI. While, NISA was the regulatory body, it sat within METI, the organization responsible for 

promoting nuclear energy. The Japanese Nuclear Energy Safety Organization (JNES) is a 

technical body that was supporting NISA. JNES does not have regulatory authority, but rather 

works through NISA. Figure 2-1 shows schematically the relationship between the organizations 

NSC, NISA, JNES, and the Japanese utilities and their industry-wide organizations that existed at 

the time of the 2007 and 2011 earthquakes. Figure 2-2 shows the overall flow chart from issuance 

of the NSC Regulatory Guide (RG) to METI (and through NISA) to the Japanese utilities that 

existed at the time of the 2007 and 2011 earthquakes. 
15

2.2.2 Regulatory Authority after 2012

Starting in 2012, the structure of the regulatory authority in Japan was changed significantly as a 

result of the Fukushima Dai-ichi accident caused by the March 11, 2011 Tōhoku4 earthquake and 

tsunami. A new regulatory organization named the Nuclear Regulation Authority (NRA) was 

created by a bill entitled, “Act for Establishment of the Nuclear Regulation Authority” passed on 

June 20, 2012, by the House of Councilors in Japan (http://www.nsr.go.jp). The stated objective of 

the change was to increase regulatory independence, integration of regulatory activities, and 

transparency. The NRA was formed by merging NSC and NISA; and the majority of the 

organizational changes were implemented in September 2012. At the time of this writing, JNES

continues to act as the principal technical supporting organization to the regulator (NRA).

However, JNES will be incorporated into the new NRA framework and organization after 

necessary legal arrangements are made. Figure 2-3 shows schematically the former and current 

regulation system. 

Drafts of new nuclear codes and standards have already been made public. Generally, the new 

seismic design approaches are consistent with the guidelines published by the NSC5 on September 

19, 2006. Important changes were enacted in the 2006 guidelines, as presented in this report. One 

of these changes is the recognition of the possibility that earthquake ground motions may occur at a 

site that exceed the design-basis ground motion. The process of evaluating the effects of beyond 

design-basis ground motions on the NPP is termed determining “residual risk”. The new tsunami 

guidance is substantially different and more detailed than in the past. 

2.2.3 Japan Regulatory Guides and Design Standards 

Up to 2012, the NSC of Japan was the source for the primary regulatory documentation for the 

seismic analysis and design of NPPs. The NSC document “Regulatory Guide for Reviewing 

Seismic Design of Nuclear Power Reactor Facilities” provides the overall requirements. The “New 

Guide” [NSC 2006] governs new plant design and safety evaluations of existing plants. Promptly 

after its issuance, NISA required all utilities to reevaluate the seismic safety of all existing nuclear 

facilities. This reevaluation is denoted the “Back-Check” and is presented later in this section. 

The September 19, 2006, revision to the Japanese regulatory guidance provided the information 

denoted as Post-2006 [NSC 2006] within this report. Previous versions of the guidance, referred to 

within the 2006 revision as “Former Guide,” were in place for the seismic analysis and design of all 

NPPs currently operating in Japan. Figure 2-2 shows the overall flow chart from issuance of the 

NSC RG to METI (and through NISA) to the Japanese utilities as the process stood up to 2012. 

The “Former Guide” provided the overall requirements for the development of the comprehensive 

guidelines named “Technical Guidelines for Aseismic Design of Nuclear Power Plants.” These 

technical guidelines were developed over many years. The first version was published in 1970.

Subsequent updates were published in 1984 (adding seismic importance classifications and 

allowable stresses), 1987, and 1991 (adding definition of damping values for some SSCs and 

methods of seismic assessment of dynamic components). The 1987 version of these guidelines 

was translated into English and is published as NUREG/CR-6241, “Technical Guidelines for 

 

4 Formally called the Tōhoku-chiho Taiheiyo-oki earthquake by the United States Geological Survey, but referred to as 

the Tōhoku earthquake in this document

5 NSC was the agency formerly responsible for code and guidance development. It has been dissolved in the new 

regulatory system.
16

Aseismic Design of Nuclear Power Plants, Translation of JEAG 4601-1987” [NRC 1994]. It forms 

the basis for the discussion of U.S. and Japanese practices prior to 2006. Because the current 

guide [NSC 2006] is available only in Japanese at this time, significant insight and assistance has 

come through interaction with IAEA, JNES, NISA, and TEPCO staff through the IAEA 

International Seismic Safety Center (ISSC) and the NRC/JNES Bi-Lateral Research Program. 

The major differences between the Former Guide and the NSC 2006 Guide may be summarized 

as follows:

• The age of active faults is extended from 50,000 years before present to the late 

Pleistocene age (120,000-130,000 years before present).6

 

• Geomorphological surveys used to identify and characterize tectonic relief are now

recommended. 

• Both empirical (i.e., ground motion prediction equations) and theoretical (numerical fault 

modeling) estimation of ground motion are now recommended. 

• Unspecified seismic sources near the site are now accounted for directly. In the Former 

Guide uncertainty was addressed using a generic deterministic earthquake scenario with a 

6.5 magnitude at a depth of 10 km. 

• Vertical dynamic motions should now be estimated by both a GMPE and a fault model. 

• The seismic categorization of SSCs was modified. Former Classes As and A were 

combined into Class S. 

• An equivalent static load (as discussed in later sections) continues to be required in 

JEAC-2008 for seismic design of SSCs. 

• The concept of residual risk was introduced to account for beyond design-basis ground 

motions. 

A general discussion of pre-2006 detailed guidelines as characterized in NUREG/CR-6241 is 

presented in this document to provide a historical perspective on the level of detail and types of 

specifications provided to the nuclear community in Japan and to describe the seismic criteria 

under which the KKNPP was designed.

The 2006 NSC RG (September 2006) has been complemented by revisions to JEAG 4601. 

These updated documents, completed and issued by the Japan Electric Association (JEA), are 

denoted JEAC 4601-2008 (C denotes Code) [JEA 2008a] and JEAG 4601-2008 (G denotes 

Guidelines) [JEA 2008b]. They were under review by NISA, at the time of the occurrence of the 

March 2011 Tōhoku earthquake. Currently, the NRA is reviewing the documents, but the schedule 

for completion and conditions of endorsement are unknown. They are published only in 

Japanese.

7 Aspects of the implementation that are available through presentations or through 

interactions with Japanese colleagues are provided when possible. 

 

6 The public draft of the new NRA seismic design guideline requires consideration back to 400,000 years (to the middle 

Pleistocene), if activity is not clear back to 120,000-130,000 years. 

7 At the time of this writing, the NRC is translating portions of the JEAC 2008 and JEAG 2008 as resources allow.

However, assuming the code and guidance documents are similar to the 1987 version in terms of their length, it is likely 

to take a significant amount of time and effort for an English translation to be made.
17

The Table of Contents for JEAC 4601-2008 (along with the equivalent chapters in earlier JEA 

guidance) is: 

Chapter 1 Fundamentals (JEAG 4601-1987, Chapter 1) 

Chapter 2 Seismic Classification (JEAG 4601-1987, Chapter 1) 

Chapter 3 Seismic Design of Buildings and Structures (JEAG 4601-1987, Chapter 5) 

Chapter 4 Seismic Design of Components and Piping (JEAG 4601, Chapter 6) 

Chapter 5 Seismic Design of Essential Yard Structures (JEAG 4601-1987, Chapter 4) 

The Table of Contents for JEAG 4601-2008 is: 

Chapter 1 Formulation of Design Basis Earthquake Ground Motion (JEAG 4601-1987, 

Chapter 2) 

Chapter 2 Geological and Ground Investigation (JEAG 4601-1987, Chapter 3) 

Chapter 3 Stability of Foundation and Surrounding Slope (JEAG 4601-1987, Chapter 4) 

Chapter 4 Evaluation of Tsunami Height 

Back-Check 

After issuance of the New Guide, NISA required all utilities to reevaluate the seismic safety of all 

existing nuclear facilities. The reevaluation includes the following: 

• Elements of the reevaluation

o New geological surveys at the NPP sites 

o Reevaluation of design-basis ground motions (Ss) (see Section 3.2.2)

o Reevaluation of seismic safety of the NPP facilities

o Evaluation of ground stability at the NPP sites

o Consideration of concomitant phenomena such as tsunami, slope stability

• Steps in the reevaluation process

o Step 1: Determine design-basis ground motion Ss for reevaluation by conducting 

geological survey

o Step 2: Reevaluate safety of SSCs to Ss, including at least one unit per site 

o Step 3: Reevaluate all units to the Ss (this step is currently ongoing)

• In 2007, NISA also compiled knowledge and findings from the Niigataken Chūetsu-Oki 

(NCO) earthquake and directed utilities to consider the information for their sites. 

• NISA (or ultimately the new NRA) will review the documentation provided by the licensees 

once submitted. JNES is expected to support this effort by cross-checking typical plant 

results. 

• In response to the reevaluation, utilities are implementing seismic retrofits and upgrades 

as required; although at the time of the Tōhoku earthquake the upgrades were voluntary. 
18

Residual Risk 

The NSC RG of September 19, 2006, recognizes the possibility of beyond design-basis 

earthquake ground motions occurring, denoting it “residual risk.” This residual risk is required to 

be considered. The guidelines within JEAG 4601-1987 [see translation in NUREG/CR-6241] did 

not specifically address the possibility of larger than S2 earthquake ground motions (as described

in Section 3.2.1) occurring. Reevaluations of existing plants are ongoing and it is understood that 

larger earthquake ground motions than the Ss may need to be considered. 

For Japanese new designs, seismic margin and seismic probabilistic safety assessment (PSA)8

approaches are being implemented to demonstrate margin, at least for NPPs being offered to 

countries other than Japan. In the past, the generally high levels of performance of Japan’s NPPs

that have been subjected to ground motions larger than design earthquake motions have 

indicated that significant margin against seismic shaking has been introduced into the design 

process9

. 

The two principle sources used in this report for review of the Japanese approaches are: 

Pre-2006 NUREG/CR-6241, “Technical Guidelines for Aseismic Design of Nuclear Power

Plants, Translation of JEAG 4601-1987”

Post-2006 Nuclear Safety Commission, “Regulatory Guide for Reviewing Seismic

Design of Nuclear Power Reactor Facilities,” September 19, 2006, JEAC 

4601-2008 and JEAG 4601-2008 

This formal material was supplemented by presentations made by Japanese experts at many 

meetings. In addition, numerous Japanese codes are referenced in JEAG 4601-1987. The 

Building Standard Law of Japan is translated into English (http://ww.bcj.or.jp/en/index.html), but 

was not studied in detail for this effort. Translation of the seismic PSA standard written by the 

Atomic Energy Society of Japan is in progress through the NRC-JNES bi-lateral program. An 

overview of the content of the Japanese Society of Civil Engineers tsunami evaluation standard 

(2002) that is available only in Japanese has been published as an Annex of the IAEA Safety 

Guide on hydrological and meteorological hazards [IAEA 2011b]. Other Japanese codes are 

unavailable in English and, thus, not utilized for this effort. 

It is clear that these two documents (pre- and post-2006) belong to two different tiers of hierarchy 

of regulatory guidance and so a direct comparison is difficult. The preparation of the new revision 

of JEAG 4601 was completed in 2008 and the Tables of Contents were presented above.

However, a translation into English is not available. 

 

8 Seismic PSA is similar to seismic PRA in the US

9 At the time of this writing, it is unclear how much damage from the 2011 Tōhoku earthquake was due to shaking versus 

the tsunami and other complicating factors.
19

Figure 2-1 Overview of the nuclear safety regulation system in Japan at the time of the 

2007 Niigataken Chūetsu-Oki (NCO) and 2011 Tōhoku earthquakes
20

Figure 2-2 Flow chart of the safety regulation system in Japan at the time of the 2007 

Niigataken Chūetsu-Oki (NCO) and 2011 Tōhoku earthquakes
21

(a) 

Figure 2-3 Changes to nuclear regulatory structure in Japan as of September 2012 (based 

on figures created for the NRC by JNES) 

(a) Former Japan Regulatory Structure (pre-September 2012) 
22

(b) 

Figure 2-3 Changes to nuclear regulatory structure in Japan as of September 2012 

(based on figures created for the NRC by JNES) 

(b) New Japan Regulatory Structure (post-September 2012)

 
23

3 SEISMIC DESIGN CRITERIA AND DEVELOPMENT 

OF THE DESIGN-BASIS GROUND MOTION IN 

THE UNITED STATES (U.S.) AND JAPAN

3.1 Definition of the Design-Basis Ground Motion in the United States

3.1.1 Historical Perspective on Ground Motion Criteria for the U.S.

Prior to 1973, the Design-Basis Earthquake (DBE) ground motion for nuclear power plants (NPPs)

was based on a handful of recorded acceleration seismograms that had been recorded at that 

time (e.g., the El Centro and Golden Gate recordings) and standard ground motion response 

spectra developed from a series of recorded motions that were smoothed and enveloped (e.g., 

Housner average ground response spectra [AEC 1963]). These definitions were accompanied by 

required or recommended analysis techniques and parameter values to generate design 

quantities (e.g., forces and moments). Generally, these analysis techniques were relatively 

simple, but were considered to be conservative, and were consistent with the state-of-the-art of 

earthquake engineering at the time1

. Important parameter values such as damping were very 

conservatively specified. Often, the combination of these design-basis ground motions, analysis 

techniques, and parameter values applied as an integrated process led to designs that have been 

shown to have high levels of safety even by more recent procedures. Plants where adequate 

safety cannot be shown have been decommissioned. 

Geologic and seismic regulatory practice in the Code of Federal Regulations (CFR) evolved 

during this early period culminating in the issuance of Appendix A to 10 CFR Part 100, “Seismic 

and Geologic Siting Criteria for Nuclear Power Plants,” issued in 1973. Further, in 1973 the 

U.S. Nuclear Regulatory Commission (NRC) issued Regulatory Guide (RG) 1.60, “Design 

Response Spectra for Seismic Design of Nuclear Power Plants,” which defined standard ground 

response spectra shapes for design. The design-basis ground motion for NPP units at 30 sites in 

the United States are defined by RG 1.60 response spectra anchored to a site-specific peak 

ground acceleration (PGA) determined by deterministic (scenario-based) hazard analyses. 

Although the DBE ground motion is now defined using modern probabilistic techniques (and is 

called the safe shutdown earthquake (SSE) ground motion), the RG 1.60 response spectrum still 

plays a role in the definition of the design-basis ground motion for low seismicity sites as a result 

of the minimum seismic design requirements (i.e., the 10 CFR Part 50, Appendix S, minimum 

design requirement of PGA of 0.1g anchoring appropriate response spectral shape at foundation 

level in the free-field). According to Standard Review Plan (SRP) Section 3.7.1, one way of 

satisfying the minimum seismic input requirement of 10 CFR Part 50, “Domestic Licensing of 

Production and Utilization Facilities,” Appendix S, “Earthquake Engineering Criteria for Nuclear 

Power Plants,” is through use of the 0.1g required minimum PGA anchored to a RG 1.60 ground 

motion response spectrum. In some cases, RG 1.60 at foundation level in the free-field can lead 

to very conservative definitions of the seismic hazard on the free surface top-of-grade for some 

spectral frequencies. Additionally, some of the Certified Designs are designed to a Certified 

 

1 More recent work by NRC staff has indicated that modern seismic hazard assessment techniques produce results that 

routinely exceed the original design-basis ground motions of NPPs [NRC 2010c]. The exceedance of the SSE ground 

motion at the North Anna NPP during the August 2011 Mineral, Virginia, Earthquake supports the updated 

assessment results.
24

Seismic Design Response Spectrum (CSDRS) based on either the RG 1.60 response spectrum 

or the RG 1.60 response spectrum augmented in the high frequency range. 

NPPs licensed prior to January 1997 comply with the seismic siting requirements of 

10 CFR Part 100, Appendix A. Those licensed after January 1997 must comply with the geologic 

and seismic siting criteria of 10 CFR 100.23, “Geologic and Seismic Siting Criteria,” and the 

seismic design requirements of 10 CFR Part 50, Appendix S. 

For the purpose of this document, the following Table represents the key CFR requirements, RGs, 

and SRP sections that were considered in the comparison of approaches for design-basis ground 

motion development:

Table 3-1 List of key CFR requirements, RGs, and SRP sections considered in 

comparison approaches

10 CFR Part 100 “Reactor Site Criteria,” Appendix A, “Seismic and Geologic Siting 

Criteria for Nuclear Power Plants”

10 CFR 100.23 “Geologic and Seismic Siting Criteria” 

10 CFR Part 50

“Domestic Licensing of Production and Utilization Facilities,” 

Appendix S, “Earthquake Engineering Criteria for Nuclear Power 

Plants”

10 CFR Part 52 “Licenses, Certifications, and Approvals for Nuclear Power Plants” 

RG 1.60 “Design Response Spectra for Seismic Design of Nuclear Power 

Plants,” Revision 1, 1973

RG 1.165

“Identification and Characterization of Seismic Sources and 

Determination of Safe Shutdown Earthquake Ground Motion,” 

March 1997 (withdrawn April 30, 2010) 

RG 1.208 “A Performance Based Approach to Define the Site-Specific 

Earthquake Ground Motion,” March 2007

SRP 2.5.2 “Vibratory Ground Motion,” Revision 4, March 2007

SRP 3.7.1 “Seismic Design Parameters,” Revision 3, March 2007

For purposes of this discussion, three general time frames are relevant: about 1973 to 1996, 1997 

to 2007, and beyond 2007. 

Additionally, at the time of this writing, the NRC has issued a Request for Information letter 

pursuant to 10 CFR 50.54(f) to licensees of all operating reactors in the United States 

[NRC 2012c]. Responding to the NRC letter request requires that seismic hazard and risk 

reevaluation activities be undertaken by the licensees. The reevaluation to be performed is based 

on Recommendation 2.1 in the NRC’s post-Fukushima Near Term Task Force Report [NRC 

2011]. As described in Enclosure 1 of that document, the seismic hazard reevaluation should use 

a probabilistic approach as defined in RG 1.208, NUREG/CR–6372, “Recommendations for 

Probabilistic Seismic Hazard Analysis: Guidance on Uncertainty and Use of Experts,” [NRC 

1997b] and NUREG-2117, Revision 1 “Practical Implementation Guidelines for SSHAC Level 3 

and 4 Hazard Studies,” [NRC 2012b]. Plants in the central and eastern United States may use a 

recently developed seismic source characterization model published in January 2012 as 

NUREG-2115, “Central and Eastern United States Seismic Source Characterization for Nuclear 
25

Facilities” [NRC 2012a] along with previously published ground motion prediction equations

(GMPEs)2

. Plants not in the NUREG-2115 study area (i.e., the four western sites) will perform 

site-specific Senior Seismic Hazard Analysis Committee (SSHAC) level 3 hazard studies.

Additional guidance for response to the 10 CRF 50.54(f) letter has been developed. Electric 

Power Research Institute (EPRI) report 1025287 [EPRI 2012b], which was endorsed by the NRC, 

provides guidance on hazard assessment and seismic probabilistic risk assessment (SPRA). The 

NRC also published new guidance on conducting seismic margin assessments “Interim Staff 

Guidance on Performing a Seismic Margin Assessment in Response to the March 2012 Request 

for Information Letter” [NRC 2012d]. 

3.1.2 U.S. Criteria from 1973 to 1996

Throughout the period from 1973 to 1996, both an Operating Basis Earthquake (OBE) ground 

motion and an SSE ground motion were required to be considered in the seismic design, although 

the terminology differed in some cases. The horizontal and vertical ground response spectra 

shapes were defined by RG 1.60 anchored to PGA values derived from deterministic seismic 

hazard assessments. In the central and eastern United States (CEUS), the largest horizontal SSE 

PGA is 0.25g for the Seabrook Station in New Hampshire. In the western United States (WUS), 

the largest horizontal SSE PGA is 0.67g for the San Onofre Nuclear Generating Station in 

California. The Diablo Canyon Power Plant (DCPP) site in California was originally designed for 

an SSE PGA of 0.4g, but currently also has a third licensing basis ground motion (called the 

Hosgri Earthquake ground motion) with PGA of 0.75g, for which the DCPP has been evaluated 

and modified. This is similar to the updated Ss value for the NPPs in Japan in the sense that it is a 

third licensing basis ground motion that is higher than the SSE ground motion, and for which the 

NPP has been reevaluated. For more information on the DCPP licensing basis, see NRC 

Research Information Letter 12-01 “Confirmatory Analysis of Seismic Hazard at the Diablo 

Canyon Power Plant from the Shoreline Fault Zone” [NRC 2012e].

From 1973 onward, three components of ground motion (2 horizontal and 1 vertical) were 

required to be considered in the seismic design. The OBE ground motion was most typically taken 

to be one-half of the SSE. In a number of situations, the OBE ground motion dictated the design 

for some Seismic Category-I (SC-I) structures, systems, and components (SSCs), because the 

permissible material damping values and allowable stress design limits are often significantly 

lower than those for the SSE ground motion. 

Within this time frame, extensive site-specific assessments were also performed using the newer 

probabilistic seismic hazard analysis (PSHA) techniques. For CEUS sites, the NRC (through 

Lawrence Livermore National Laboratory (LLNL)) and EPRI were both conducting parallel PSHAs.

The end results provided both data and the technical bases for the development of the approach 

later specified in RG 1.165 for defining SSE ground motion. Further, the PSHA results were used 

by licensees as a basic input to their Individual Plant Examination of External Events (IPEEE) 

program. The PSHA results provided one criterion for binning plants as a function of the seismic 

hazard, including consideration of the relationship between the seismic hazard and the SSE 

ground motion to which the plant had been designed. The PSHA results also provided essential 

input of the seismic hazard (seismic hazard curves and uniform hazard spectra) for those plants 

that addressed IPEEE using the SPRA approach. 

 

2 Ground motion prediction equations are also known as attenuation relationships.
26

As a result of the differences in results of the LLNL and EPRI studies, the NRC and Department of 

Energy (DOE) sponsored work by the SSHAC to review the two studies. In 1997, the NRC issued 

NUREG/CR-6372, “Recommendations for Probabilistic Seismic Hazard Analysis: Guidance on 

Uncertainty and the Use of Experts.” The document was the culmination of 4 years of deliberations 

by the SSHAC regarding the manner in which the uncertainties in PSHA should be addressed using 

expert judgment. The document describes a formal process for structuring and conducting expert 

assessments that has come to be known as a “SSHAC process,” and the recommendations made 

in the report are referred to as the “SSHAC guidelines.” To account for different project needs and 

projects undertaken in different regulatory contexts, the SSHAC report describes four “Study Levels” 

that define the processes and complexity of the recommended project activities. SSHAC Study

Levels 3 and 4 are the most complex and involve the greatest amount of effort. These are the only 

levels allowed by the NRC for new studies; although SSHAC Level 2 studies may be used to update 

regional SSHAC 3 or 4 studies if the underlying regional model is still generally valid. Regardless of 

the study level, the development of a model that represents the center, body, and range of the 

technically defensible interpretations is the key objective. 

The NRC recently published NUREG-2117, “Practical Implementation Guidelines for SSHAC 

Level 3 and 4 Hazard Studies.” This new NUREG was developed based on lessons and insights 

gained over the previous 15 years applying the SSHAC guidelines and provides in depth 

recommendations for undertaking SSHAC-based hazard assessment studies, particularly using 

the Level 3 approach. This new NUREG report also provides information on how and when to 

update a SSHAC-based study. The SSHAC guidelines are the state-of-practice for performing a 

PSHA for a nuclear site in the United States and are referenced in RG 1.208. 

3.1.3 U.S. Criteria from 1997 to 2007

With the perceived maturity of the PSHA methodologies, a risk-based approach for the definition 

of the design-basis ground motion evolved. Regulations in 10 CFR 100.23 require that uncertainty 

inherent in estimates of the SSE ground motion be assessed through an appropriate analysis, 

such as a PSHA or suitable sensitivity studies. 

RG 1.165 served as an interim measure during this time frame and bridged the approaches 

applied prior to 1997 to the approach in RG 1.208. RG 1.165 defined an acceptable approach to 

the definition of the SSE ground motion incorporating uncertainties. The basic principle was that 

new plants should be designed to earthquake levels (in terms of annual probability of 

exceedance) that are more conservative than the median design ground motions for a set of 

currently operating NPPs in the United States. The set of plants defining this basis was selected 

by the NRC and was comprised of twenty-eight sites at which newer nuclear power units were

operating. For the selected sites, PSHAs were to be performed using a methodology that was the 

state-of-the-art at the time. Two examples of such PSHA approaches were the LLNL and EPRI 

methodologies discussed above, both of which used advanced techniques and state-of-the-art 

models. Application of the LLNL methodology for the 28 sites defined the probabilities of 

exceedance of the SSE ground motions. The median value of the annual probability of 

exceedance of the SSE ground motions for the twenty-eight sites was evaluated and judged to be 

approximately 1x10-5. This value was then defined as the “reference probability” and had the 

attribute that 50 percent of the sites had SSE ground motions with annual probability of 

exceedance above this value and 50 percent had SSE ground motions that fell below. Therefore, 

the definition of SSE ground motion (spectral shape and peak ground motion parameters) for new 

units on an existing site or a new site was targeted at a median probability of exceedance of 

1x10-5. RG 1.165 provided significant details on the acceptable approach to determining the 

intermediate steps of the hazard assessment, as well as the end result. Finally, the end result was 
27

to be compatible with the guidance of SRP Section 2.5.2. In some cases, to do so, the resulting 

SSE ground motion was selected to be a broad-banded spectrum that enveloped the site-specific 

ground motion. The response spectrum in RG 1.60 was considered to have an acceptable 

broad-banded spectral shape. 

In this same time frame, 10 CFR Part 50, Appendix S, was issued, which specifies a minimum 

design requirement of PGA of 0.1g anchoring an appropriate response spectral shape at 

foundation level in the free-field. This requirement is to ensure that there is adequate frequency 

content in the DBE ground motion. 

RG 1.165 was withdrawn on April 30, 2010. It has been replaced by RG 1.208. According to the 

NRC, “Regulatory Guide 1.165 was withdrawn and replaced with the improved guidance in RG 

1.208 which incorporates new developments in ground motion estimation models; updated 

models for earthquake sources; methods for determining site response; and new methods for 

defining a site-specific, performance-based ground motion response spectrum (GMRS).” (Federal 

Register/Vol. 75, No. 83/Friday, April 30, 2010, pp. 22868-22869) The criteria in 10 CFR Part 50, 

Appendix S, still apply. RG 1.208 noted that the methodology of RG 1.165 is hazard-based rather 

than risk-based; a risk-based approach is needed for performance-based design criteria. 

3.1.4 U.S. Criteria Post-2007

Several factors contributed to the evolution of the methodology to define the design-basis ground 

motion over the last few years: the Commission subsidiary benchmark goal for accident 

prevention that no single cause has an annual core damage frequency (CDF) of greater than 

1x10-5; the development and publication of standard ASCE/SEI 43-05, which specifies a 

performance-based approach to defining design-basis ground motions for critical facilities (the 

performance criteria used in standard ASCE/SEI 43-05 is damage limitations of SSCs); and the 

requirements for newly designed NPPs to demonstrate seismic margin to earthquake ground 

motion levels 1.67 times the design-basis earthquake ground motion. All of these elements 

combined led to the performance-based approach specified in RG 1.208 and reiterated in 

SRP Section 3.7.1. 

SRP Section 3.7.1 Seismic Design Parameters, Revision 3, updated in March 2007, deals 

principally with the definition of the ground motion for the various cases of interest. Reference is 

made to SRP Section 2.5.2 for ground motion definition, 10 CFR 50, Appendix S, for the minimum 

design requirement of 0.1g anchoring an appropriate response spectral shape at foundation-level 

in the free-field, and RGs 1.60, 1.61, 1.165, and 1.208. 

Generally, revisions to SRP Section 3.7.1 were necessary to address the new definitions related 

to the design-basis ground motion due to the performance-based approach detailed in RG 1.208 

and the situations that arise for Certified Standard Plant Design and Non-Standard Plant Design. 

These include new approaches to demonstrate satisfaction of the minimum design requirement 

for foundation level motions. Other issues such as requirements for ground motion acceleration 

time series3 use for structural analysis (e.g., three spatial components, power spectral density

criteria, single sets versus multiple sets), site conditions, damping, and other seismic elements

remained consistent with Revision 2 of SRP Section 3.7.1. 

 

3 Acceleration time series are also frequently called “time histories” 
28

The appropriate licensing framework to be used for the assessment of hazard for new reactors

depends on whether or not the NPP to be constructed is a Certified Design. Table 3-2 defines 

important terms related to ground motion definitions that are provided in RG 1.208. Figures 2 and 

3 of SRP Section 3.7.1 (provided as Figures 3-1 and 3-2 of this report) show flow charts of the 

decision trees for development of the design-basis ground motions for the cases where a Certified 

Design is and is not used. The frameworks are characterized by the following set of information.

(1) Certified Standard Plant Design

• An original goal of the Certified Design concept was the development of standard 

designs suitable for 80 percent of the sites in the CEUS, although the Certified 

Seismic Design Response Spectra (CSDRS) is chosen by the NPP vendor.

• The CSDRS defines the design ground motion for the nuclear island of the 

Certified Design. Attributes of the CSDRS include the following: 

− A broad-banded response spectral shape is used (in some cases a 

RG 1.60 spectral shape augmented in the high frequency range (greater 

than 10 Hz) to accommodate PSHA results for rock sites has been used).

− The CSDRS is site-independent.

− For many designs, the control point at which the CSDRS is specified is at 

foundation level in the free-field as an outcrop independent of the site 

condition.

• GMRS (Ground Motion Response Spectra) are defined on a site-specific basis 

using the guidelines of RG 1.208. Attributes of the GMRS include the following:

− A single response spectrum shape is derived from the uniform hazard 

response spectrum (UHRS) for annual probabilities of exceedance of 

1x10-4 and 1x10-5. A design factor is derived from the amplitude ratio 

between the 1x10-4 and 1x10-5 UHRS. The design factor is applied to the 

1x10-4 UHRS to obtain the GMRS. The GMRS incorporates the full range of

frequencies derived from the PSHA. 

− The site-specific GMRS is compared to the CSDRS to assess suitability of 

the Certified Standard Plant Design for the site. To make this comparison, 

the CSDRS and the GMRS are required to be at the same location and in 

the same form (outcrop or in-column motions). 

− The definition of GMRS was developed based on the performance-based 

approach. 

− The vertical ground response spectrum is defined in terms of horizontal 

ground response spectra. 

• The GMRS is applicable to the seismic design of site-specific SSCs, including the 

balance-of-plant that encompasses the areas outside the Certified Design. The 

GMRS can be used for the assessment of geologic foundation materials, for 

assessment of secondary site effects (e.g., liquefaction and landslide susceptibility 

assessment). 

• Figure 1 of SRP Section 3.7.1 (summarized in Figure 3-1 here) provides a flow 

chart of the process of evaluating the CSDRS, GMRS, and the minimum 
29

foundation input response spectrum requirement to arrive at the design-basis

ground motion. 

(2) Non-Standard Plant Design 

• The GMRS heavily influence the process to determine the SSE ground motion for 

all SSCs.

- The approach in RG 1.208 is to be used to determine the GMRS4 

- PSHA results (seismic hazard curves and UHRS) for low frequency events 

(1 and 2.5 Hz) and high frequency events (5 and 10 Hz) may be enveloped 

or treated separately in the design process. 

- Standard broad-banded response spectra such as the RG 1.60 spectrum 

may be tied to a zero period acceleration of 0.1g for the purposes of 

assuring that the minimum design requirement at the foundation level is 

met (the resulting ground motion on the surface of the soil resulting from 

this foundation level motion may be overly conservative for some 

frequencies) 

• Figure 3 of SRP Section 3.7.1 (reproduced here as Figure 3-2) provides a flow 

chart of the process of evaluating the GMRS, enveloping, and the minimum 

requirement to arrive at the design basis 

An important assumption in RG 1.208 is the explicit acknowledgement of the existence of 

uncertainty in many phases of the complete seismic design criteria, including not only the seismic 

hazard, but also the performance of the SSCs when subjected to earthquake motions. Further, it 

requires that uncertainty be taken into account in the process. 

There are four key elements in the approach defined in RG 1.208:

(1) Site and regional specific geological, geophysical, and geotechnical investigations are to be 

performed. This element entails developing an up to-date, site-specific, earth science database to

support site characterization and PSHA activities. Emphasis is given to using existing data as the 

starting point to updates as necessary. 

(2) PSHA must be performed to determine the GMRS. The four important steps to the PSHA are: 

1. Identification of seismic sources and development of models (or alternate models) 

describing their key characteristics (e.g., fault type or mechanism, location or area source 

boundaries, maximum magnitude) based on regional and site investigations.

2. Development of earthquake recurrence relationships for each seismic source. This involves 

identifying appropriate relationships and including alternatives with weighting factors.

3. Determination or development of appropriate GMPEs5 for each seismic source. This 

includes considering alternatives with weighting factors.

 

4 In a few cases, RG 1.165 is being used to determine the GMRS because an application in process was submitted 

using RG 1.165 when the guide was still applicable.

5 GMPEs were formerly called attenuation relationships
30

4. Performing seismic hazard calculation.

An appropriate PSHA model requires the development of both a source characterization model 

and a ground motion characterization model. Both models are composed of sets of alternate 

models, methods, and interpretations. A logic tree approach is typically used to weight and 

communicate credible alternative seismic source models and parameters (in order to account for 

epistemic uncertainties). Aleatory variability is accounted for through integration over probability 

distributions representing uncertainties in the parameters of interest. SSHAC Level 3 or 4 studies 

need to be completed for both the seismic source and ground motion characterization. 

The end products of PSHA include seismic hazard curves that provide annual probability of 

exceedance of ground motion parameters, UHRS, design response spectra, and information 

on the earthquake scenarios (magnitude and distance) that contribute most to hazard as 

provided by the deaggregation. It should be noted that the objective of PSHA is to develop an 

accurate assessment of seismic hazard that also captures the true uncertainty range. The 

concept of “conservatism” doesn’t make sense in relation to PSHA because nearly every 

ground motion level is possible with some probability. This is in contrast to deterministic 

analyses that simply assume that a higher value is “more conservative” without having an 

understanding of the return period of any particular ground motion.

This information must be provided over a range of relevant outputs that include:

• Discrete frequencies (1, 2.5, 5, 10, and 25 Hz.) 

• Annual probability of exceedance (10-4, 10-5, and 10-6) 

• Confidence levels (15 percent, 50 percent, 85 percent, and mean) 

Although the PSHA methodology employed is the same, differences exist between the 

way that seismic sources behave in the CEUS and WUS that are important to 

development of the seismic source characterization models used in the PSHA. In the 

CEUS, there are limited areas where faults are identifiable (e.g., the Meers and Charleston

faults) and background and area sources tend to control the hazard results (see 

NUREG-2115 for an extensive discussion on this topic). This is in contrast to the WUS, 

where fault systems are often important and dominate the seismic hazard at a site. In both 

cases, seismic hazard curves and UHRS are usually calculated on a real or hypothetical 

rock outcrop and site-specific soil amplification analyses are performed to obtain motion 

for design (e.g., GMRS). In both the WUS and the CEUS, the definition of rock for the 

GMPEs used in the PSHA should determine the location of the rock horizon in the 

geologic profile if site-response is to be performed. In the CEUS, GMPEs generally define

hard rock as geologic materials with Vs ≥ 9,200 fps; while in the WUS, the Vs is lower. 

(3) Site response analysis performed as part of the seismic hazard analysis generally uses 

one-dimensional wave propagation approaches to generate motion at locations of interest within 

the site profile based on the PSHA seismic hazard results on rock and taking into account nonlinear 

behavior of the soil, uncertainties in soil profile stratigraphy, and uncertainties in material properties.

Locations of interest in the profile are top-of-grade and at foundation level of Seismic Category I 

(SC-I) structures. NUREG/CR-6728, “Technical Basis for Revision of Regulatory Guidance on 

Design Ground Motions,” [NRC 2001b] provides acceptable methods to incorporate local site 

response into the seismic hazard assessment. Several approaches to incorporating site response 

are described in NUREG/CR-6728 and approaches 2a and 3 are the most common that have 

been used recently for assessment of new and operating reactor sites. 
31

(4) Risk consistent definition of the design-basis ground motion (i.e., the GMRS) is used (see Section

2.1). 

Table 3-2 Key definitions related to design-basis ground motions (paraphrased and 

expanded from NRC Regulatory Guide 1.208) 

Certified Seismic Design Response Spectra (CSDRS) – Site-independent seismic 

design response spectra that have been approved under Subpart B, “Standard Design 

Certifications,” of Title 10, Part 52, “Early Site Permits: Standard Design Certifications 

(DCs); and Combined Licenses (COLs) for Nuclear Power Plants,” of the Code of Federal 

Regulations (10 CFR Part 52) as the seismic design response spectra for an approved

certified standard design nuclear power plant. 

Ground Motion Response Spectra (GMRS) – 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 performance-based procedures in accordance with RG 1.208. 

Foundation Input Response Spectra (FIRS) – The Performance-based site-specific 

seismic ground motion spectra at the foundation levels in the free-field are referred to as 

the FIRS and are derived as free-field outcrop spectra. The FIRS is the starting point for 

conducting a soil-structure interaction (SSI) analysis and making a one-to-one comparison 

of the seismic design capacity of the standard design and the site-specific seismic demand 

for the site. The FIRS for the vertical direction is obtained with the vertical to horizontal 

(V/H) ratios appropriate for the site. 

Safe Shutdown Earthquake (SSE) - The Safe Shutdown Earthquake (SSE) ground 

motion for a site is: (i) the CSDRS for the Certified Design portion of the plant; and (ii) the 

GMRS (supplemented if necessary to satisfy the minimum requirement of 10 CFR Part 50, 

Appendix S) for which site-specific designs are performed, e.g., liquefaction, slope stability. 

Operating Basis Earthquake (OBE) - The Operating Basis Earthquake (OBE) for a site is: 

(i) for the Certified Design portion of the plant, the OBE ground motion is one-third of the 

CSDRS; (ii) for the safety-related non-certified design portion of the plant, the OBE ground 

motion is one-third of the ground motion response spectra (supplemented if necessary to 

satisfy the minimum requirement of 10 CFR Part 50, Appendix S). For determining OBE 

exceedance (RG 1.166), OBE is the lowest of (i) and (ii).
32

Figure 3-1 Process to define the design-basis ground motion for sites where a Certified 

Design is not used (Figure 3 of Appendix D of SRP Section 3.7.1)
33

Figure 3-2 Process to define the design-basis ground motion for sites where a Certified 

Design is not used (Figure 3 of Appendix D of SRP Section 3.7.1)
34

3.3 Definition of the Design-Basis Ground Motions in Japan

The criteria for the generation of the DBE ground motion in Japan consists of two parts: (1) the 

basic criteria utilized for the existing NPPs (pre-2006) and (2) an updated criteria that will be used 

in the future based on the newly revised RG (post-2006). In Japan, the terms “earthquake” and 

“earthquake ground motion” are carefully distinguished6

. The S1, S2, and the SS (defined below) 

are ground motions defined for the hazard at the site of interest. The term translated as “basic 

earthquake ground motion” from JEAG 4601-1987 and “Design Basis Earthquake Ground Motion” 

translated from NSC guidelines address the same term in Japanese “Kijun Jishindo.” Hence, the 

term S1 is synonymous with either term and the terms “basic earthquake ground motion” and 

“Design Basis Earthquake Ground Motion” are used interchangeably herein depending of the 

context. Generally, throughout this report, the terms S1, S2, Sd, and SS denote ground motion 

levels used for design and analysis.

3.3.1 Criteria in Japan Pre-2006

Pre-2006, JEAG 4601-1987 defines two deterministic earthquake ground motions used for 

design: the S1 (Maximum Design Earthquake ground motion) and the S2 (Extreme Design 

Earthquake ground motion). Both the S1 and S2 ground motions are developed deterministically 

based on the results of a regional investigation designed to identify important sources and their 

characteristics. The investigation results include the faults identified, the magnitude of each 

source, and the distance from the source to the site. Key elements (definitions and requirements) 

of the pre-2006 DBE ground motion criteria are summarized below. 

3.3.1.1 S1 – Maximum Design Earthquake Ground Motion

The scenario earthquake from which the S1 is derived is based on “historical earthquakes” that 

have occurred on Class A active faults. The term “historical earthquakes” as used in Japan

appears to mean earthquakes that have left evidence in the geologic record (i.e., 

paleoearthquakes). This differs from common usage in the United States, where historic 

earthquakes often denote pre-instrumental earthquakes that were documented by humans.

Class A highly active faults are defined as either faults with evidence of movement in the last 10,000 

years and assessed to be capable of producing an earthquake in the near future, as defined as faults 

with a slip rate ≥ 1 mm/year or faults found to be active due to micro-earthquake activity. 

The “basic earthquake ground motion,” also noted as S1, is formulated based on a “design basis 

maximum earthquake” determined from the sources identified, as described above. The 

design-basis maximum earthquake is defined as an “earthquake selected from past earthquakes 

and an earthquake caused by an active fault with a frequent activity, and it has the largest effect 

on the site.” Based on this scenario earthquake, the S1 ground motion is developed using 

deterministic techniques.

 

6 In the United States, the distinction is now also carefully made, but this was not the case in the past. As a result, terms 

such as “Safe Shutdown Earthquake” are still used, when what is meant is the “Safe Shutdown Earthquake ground 

motion,” or more accurately the “Safe Shutdown Ground Motion.” NPPs structures, like all structures, have 

fundamentally always been designed to ground motions and not to earthquake scenarios because it is nearly 

universally the rupture-induced ground motion that reaches a site that impacts the SSCs, and not the rupture itself.
35

3.3.1.2 S2 – Extreme Design Earthquake Ground Motion

The S2 is stronger than the S1 and is formulated based on the “design basis extreme maximum 

earthquake” (also called the “Extreme Design earthquake”), which is defined as the deterministic 

motions arising from the strongest of either (i) a more onerous site-specific scenario earthquake 

resulting from a rarer earthquake on a less active fault, (ii) a more onerous earthquake scenario 

tied to a seismo-tectonic structure that has a relationship to historical earthquakes or active faults 

or (iii) a minimum design earthquake used throughout Japan. As translated, the extreme design 

scenario earthquakes may result from “earthquakes caused by an active fault, an earthquake 

caused by a seismic geological structure, and a shallow-focus earthquake and which has the 

largest effect on the site.” 

The Extreme Design earthquakes can occur on active A, B and C Class faults. The scenario

earthquake on a Class A fault cannot be the same scenario as forms the basis for the S1 ground 

motions. Classes B and C are defined by evidence of activity in the last 50,000 years and slip 

rates less than 1 mm/yr. The Extreme Design earthquakes could also occur on a “seismo-tectonic 

structure with relationships to historical earthquakes and active faults near the periphery of the 

region”. Unlike the above, tectonically-based scenarios, the Extreme Design earthquake also has 

a minimum scenario defined as a shallow earthquake of magnitude 6.5 and hypocentral distance

of 10 kilometers (km). This latter shallow earthquake acts as a minimum allowable scenario and is 

applied across Japan.

3.3.1.3 Ground Motion Development from the Scenario Earthquakes

Structures are always engineered against ground motions caused by earthquakes, not 

earthquake magnitudes. Therefore, deterministic ground motions at the site are determined based 

on the scenario earthquakes that were developed and characterized through the processes as 

described above. Maximum ground acceleration, velocity, and displacement are commonly based 

on empirical formulae (e.g., GMPEs) derived from recorded data and field observations. Three 

commonly cited authors of these attenuation relationships are Kanai, Okamoto, and Watabe. 

The outputs of the GMPEs are standard pseudo-velocity response spectra [Hisada et al. 1978] 

that have been developed with the following attributes: 

• Capable of predicting motions in the near-field, intermediate, and far-field 

• Predict motions as a function of magnitude and distance 

• Account for properties of the rock at the site (standard for Vs=700 m/s with an available

correction factor for higher Vs values) 

• Based on recorded motions, field observations, and source modeling 

Figure 3-3 shows these standard response spectral shapes normalized to a PGA of 1.0 and 

compared to a normalized RG 1.60 horizontal response spectrum. 

3.3.1.4 Other Key Elements of Definition of the S1 and S2 

• The ground motion is defined on a control point that is at the depth of an actual or 

hypothetical rock outcrop. Rock is defined as material with Vs≥700 m/s. 

• The relationships used to assess duration and variability of the seismic loading are

empirically based. 
36

• The ground motions are defined as horizontal components only. Vertical loading is treated 

statically in design.

Figure 3-3 Examples of standard response spectra shapes (normalized to 1.0 at 50 Hz) for 

various magnitude-epicentral distance combinations at the Vs=700 m/s 

boundary

3.3.2 Criteria in Japan Post-2006

Importantly, the Nuclear Safety Commission (NSC) RG (as revised September 19, 2006) 

recognizes that there is the possibility of an earthquake producing ground motion at the site that 

exceeds the design-basis ground motion. The consequences of such a possibility are termed 

“residual risk.” Appropriate attention should be paid to this possibility and to minimizing this 

residual risk to as low as practically possible. 

NSC RG (2006) specifies two earthquake ground motions for design. These ground motion levels 

are designated as the Design-Basis Ground Motion, Ss, and the Elastic Design Ground Motion, 

Sd. As with the Pre-2006 approaches, the determination of the Ss and Sd starts with a site and 

regional investigation to determine sources and their relevant parameters. Key elements 

(definitions and requirements) of the post-2006 DBE criteria are summarized below:
37

3.3.2.1 Ss – Design-Basis Ground Motion

The Ss is defined by horizontal and vertical ground motions resulting from a deterministic 

assessment based on a scenario earthquake.

The Ss earthquake ground motion is determined by evaluating: 

(i) Site-specific earthquake ground motions based on scenario earthquakes for cases 

where multiple seismic sources are identified. Consideration is given to earthquake 

source type and mechanism (intra-plate earthquakes, shallow inland earthquakes, 

inter-plate earthquakes), past earthquakes (size, location, etc.), fault 

characteristics, active faults (defined by evidence of activity in the last 120,000 to 

130,000 years), and other relevant elements. The publicly available version of the 

new draft Nuclear Regulatory Authority (NRA) seismic design guidelines further

requires consideration of activity back to 400,000 years (middle Pleistocene); if the 

activity is not clear, back to 120,000-130,000 years. The 120,000 to 130,000 year 

time frame corresponds to the late Pleistocene and is more conservative than the 

previous requirement of 50,000 years. The resulting set of candidate scenario 

earthquakes is termed “Investigation Earthquakes.” 

(ii) Earthquake ground motions that have been caused by sources that cannot be 

identified. The ground motion is developed considering past earthquake recordings 

for which no causative fault is identified by surface features. Response spectra are 

produced based on recordings and site-specific characteristics. 

3.3.2.2 Sd – Elastic Design Ground Motion

The Sd is calculated by applying a ratio to the Ss. The ratio is determined based on technical 

evaluations of factors such as differences between safety functional limits and elastic limits, the 

exceedance probability of Ss, and other related information. The ratio of the Sd ground response 

spectrum to Ss response spectrum should not be less than 0.5. 

The Sd is, therefore, derived directly from the Ss and has no direct relationship with specific 

earthquake sources or characteristics. It is established by engineering judgment based on the Ss. 

3.3.2.3 Ground Motion Development from the Investigation Earthquakes

Design-basis ground motion at the site is determined (in part) using the sources identified as 

“Investigation Earthquakes” together with empirical models and fault models used as ground 

motion prediction tools. One set of response spectra are defined by the “Investigation 

Earthquakes” using appropriate GMPEs based on empirical data. A second set of response 

spectra are defined from dynamic fault modeling of the “Investigation Earthquakes.” The fault 

models are important for sources near the site. The site-specific ground motion is determined

based on combining the results of the empirical models and fault models. This introduces two 

independent methods for characterization of ground motion from the Investigation Earthquakes. 

The larger of the two ground motion levels is chosen. In addition, an equivalent static load, as

discussed in later sections, is considered for seismic design of structures, systems, and 

components (SSC). The maximum of the responses either due to dynamic loading conditions or

static loading conditions is selected for design/qualification of SSCs. 
38

3.3.2.4 Other key elements of the Ss and Sd 

• Appropriate methods for accounting for uncertainty should be applied taking into account 

the cause of uncertainty and its impact on the determination of Ss. Probabilistic concepts 

should be considered with an emphasis on determining the probability of exceedance of 

the Ss (for informational purposes). 

• The ground motion is defined at a “control point.” The control point is located at “the free 

surface of the base stratum,” which is an actual or hypothetical outcrop surface. The base 

stratum is to be a solid foundation, defined as material with Vs≥700 m/s. 

• Site-specific characteristics such as the soil profile should be taken into account. 

• Duration and time variation of the ground motion should be empirically based. 

• Both horizontal and vertical ground motion are to be determined. 

• Design requirements for SSCs are defined based on their performance under the Ss and 

Sd loading levels.

− Class S SSCs are to maintain their safety functions under the seismic forces 

caused by the Ss (see Section 4 for definition of Class S SSCs). 

− Class S SSCs are to be designed to the maximum of the Sd loading conditions and 

the static loading conditions (Sections 6 and 7). SSCs are generally to remain in 

the elastic range when subjected to the max (Sd, static). 

Table 3-3 summarizes the comparison of the S2 and the Ss ground motion levels for NPP sites in 

Japan. All of the values are specified on an outcrop of material with a value of VS≥700 m/s. The 

values of Ss provided in the table are the result of new seismic hazard studies conducted after 

publication of the Nuclear Safety Commission (NSC) 2006 RG. Significant increases in horizontal 

PGA values are apparent. After the 2011 Tōhoku earthquake, NISA requires an additional 

reevaluation of the seismic hazard for the sites of Tomari, Onagawa, Higashidoori, Fukushima, 

Tokai, Hamaoka, Shika, Tsuruga, Mihama, Ooi, and Takahama. These reevaluations should 

reflect the lessons learned from the 2011 Tōhoku earthquake and tsunami. 
39

Table 3-3 Original and reevaluated ground motions for NPPs in Japan (up to 2011) 

Plant sites Contributing 

earthquakes

New 

Design-Basis 

Ground Motion, 

Ss

1,2,4 (in Gal)

Original 

Design-Basis 

Ground Motion, S23,4

(in Gal)

Tomari Earthquakes undefined 

specifically 550 370

Onagawa Soutei Miyagiken-oki (M8.2) 580 375

Higashidoori Earthquakes undefined 

specifically 450 375

Fukushima Earthquake near the site 

(M7.1) 600 370

Tokai Earthquakes undefined 

specifically 600 380

Hamaoka Assumed Tokai (M8.0), etc. 800 600

Shika Sasanami-oki Fault (M7.6) 600 490

Tsuruga (Mera-Kareizaki-Kaburagi 

F.(M7.8)) 800 532

Mihama B-Fault (M7.7) 750 405

Ooi (Fo-A+Fo-B(M7.4)) 700 405

Takahama (Fo-A+Fo-B(M7.4)) 550 370

Shimane Shinji Fault (M7.1) 600 456

Ikata Median Tectonic Line 

(M7.6) 570 473

Genkai Takekoba Fault (M6.9) 500

(increasing to 540) 370

Sendai Earthquakes undefined 

specifically 540 372

Kashiwazaki-Kariwa

F-B Fault (M7.0), 

Nagaoka-plain-west Fault 

(M8.1)

2300 (#1 side)

1209 (#5 side) 450

Notes: 

1Ss values were finalized by NISA and NSC in October 2010. However, the NRA continues to be concerned about 

the possibility of displacements in the material directly under the basement of class S buildings. 

2The ground motion levels were updated and are noted as a new SS; however, the motions are being used principally 

for review. NISA was previously requiring that existing NPPs reevaluate SSCs for the updated SS values (termed a 

back-check by NISA). Strengthening may have been undertaken as a result, but was voluntary. See Section 2.2.3 

for a description of the back-check activities. Under the revised nuclear reactor regulatory law enacted June 2012, 

the backfits would be a legal requirement. NRA is now preparing a system of regulatory guidance describing the 

detailed requirements with a goal to publish by July 2013.

3 S2 was set for each unit. This table shows largest value.

4The control point for the ground motions is the base of the competent stratum (generally soft rock to stiff soil)
40

3.4 Summary of Approaches for Assessment of Design-Basis Ground Motions in 

the United States and Japan

3.4.1 Summary of U.S. Assessment Approaches

A summary of the three approaches that have historically been used for developing the 

design-basis ground motion within the United States are as shown below.

3.4.1.1 Regulatory Guide 1.60 (Pre-2007) 

• Standard response spectra shape anchored to peak ground acceleration (PGA) are 

determined from deterministic seismic hazard study (occasionally PSHA contributed to 

PGA determination). 

• This approach was used for existing U.S. operating NPPs (28 CEUS sites and two WUS 

sites). 

• In some cases, spectra other than the RG 1.60 spectra were used (e.g., the Housner 

spectrum). 

3.4.1.2 Regulatory Guide 1.165 (pre- and post-2007 up to 2010) 

• SSE ground motions are determined from probabilistic seismic hazard comparison with 

subset of existing NPPs (Reference Probability). 

• Design-basis ground motions are PSHA–based. 

• The approach explicitly accounts for uncertainties. 

• The approach is applicable primarily to sites in very low seismic areas. 

• The RG was withdrawn April 30, 2010, and superseded by RG 1.208. 

3.4.1.3 Regulatory Guide 1.208 (post-2007) 

• A performance-based, risk-informed seismic hazard assessment is performed to

determine the site-specific GMRS. 

• The GMRS is determined using PSHA. 

• The site-specific SSE is based on the GMRS that incorporates a design factor from 

standard ASCE/SEI 43-05. 

• The approach explicitly account for uncertainties. 

• The approach in RG 1.208 is used for new plant design and licensing and also for the 

NRC’s currently ongoing hazard and risk reevaluation of operating reactors as described 

in [NRC 2012c]. 

There is also a required (10 CFR Part 50, Appendix S) minimum horizontal free-field ground 

motion at the building foundation level. This free-field response spectrum must be at least 0.1g 

PGA anchoring an appropriate response spectrum shape for the site. To date, a RG 1.60 

spectrum anchored at a PGA of 0.1g has generally been used as the minimum design 

acceleration response spectrum. 
41

3.4.2 Summary of Pre-2006 Assessment Approaches in Japan

• Two deterministic earthquake ground motion levels are defined and are denoted as S1 and 

S2. S1 defines the design ground motion for Classes As and A SSCs. S2 defines the 

functionality evaluation ground motion for Class As SSCs. 

• S1 and S2 are defined on a rock outcrop (actual or hypothetical). Rock is defined as 

geologic materials having Vs ≥700 m/s. 

• Peak acceleration, velocity, and displacement are determined based on empirical 

formulae (no information on statistical properties of selection is available) 

• Frequency content of the ground motion is defined by standard pseudo-velocity response 

spectra as a function of source location, magnitude, and distance. Standard spectra are

defined for Vs of 700 m/s. Correction factors are available for stiffer rock with Vs up to 

1,500 m/s. 

• Uncertainty is not explicitly treated. 

• Duration and time variation of motions are based on empirical data. 

• Only horizontal components of ground motion are considered. The vertical component is 

treated statically. 

3.4.3 Summary of Post-2006 Assessment Approaches in Japan

• The definition of an active (and in Japanese terminology also capable) fault was extended 

to include those with activity in the 120,000 to 130,000 years before present, instead of the 

earlier definition of activity in the 50,000 years before present. 

• More requirements were made for site vicinity investigations to identify and characterize 

faulting and folding. Previously the requirement that a minimum magnitude 6.5 earthquake 

at 10 km be assumed meant that only the most significant tectonic structures were 

investigated. 

• Two deterministic earthquake ground motion levels are defined: Design-Basis Earthquake 

Ground Motion (Ss) and Elastic-Design Ground Motion (Sd). The Sd is determined from the 

Ss (and should not be less than 0.5 Ss). 

• “Investigation Earthquakes” are developed as scenarios from known seismic sources that 

could contribute to the Ss ground motion. Ground motion at the site resulting from the 

Investigation Earthquakes is determined using empirically-based GMPEs and from fault 

models (e.g., using the Green’s function method). Estimates of the probability of 

exceedance of the site-specific ground motion resulting from the Investigation 

Earthquakes are requested by the regulator for informational purposes. 

• In addition to the dynamic hazard analysis described above, an equivalent static load, as 

discussed in Section 6 for structures and Section 7 for subsystems, is considered for 

seismic design of SSCs. The maximum of the structure and subsystem responses due to 

dynamic and static loading conditions is selected for design/qualification of SSCs. 

• Class S SSCs are expected to maintain their safety functions when subjected to the Ss. 

Class S SSCs are designed to remain elastic when subjected to the maximum of the Sd

and the static applied forces.
42

• The existence of uncertainty is explicitly acknowledged in the new guidance and is to be 

taken into account by appropriate approaches. Probability of exceedance of contributing 

earthquakes to the Ss (and possibly Sd) is to be estimated. 

• Horizontal and vertical ground motion components to be considered. 

• An example of a uniform hazard response spectrum (UHRS) for a new assessment was

provided to the NRC by JNES as representative of a Japanese site-specific hazard. The

annual probability of exceedance of the Ss for the particular example provided was noted 

as between 1x10-4 and 1x10-5 per year. However, there are no criteria for probabilistic 

ground motions in the Japanese requirements or guidance, and so it is unclear if this 

ground motion probability is typical. 

3.4.4 Similarities and Differences in the Design-Basis Ground Motion Criteria for Operating

NPPs in Japan and the U.S.

For existing NPPs, the key points of comparison in the design-basis ground motion criteria include 

the following:

3.4.4.1 Peak values of ground acceleration, velocity, and displacement

• In the United States, design-basis ground motion values for operating plants were 

determined based on deterministic seismic hazard assessments sometimes with input 

from PSHA for newer plants (28 sites). The SSE ground motions for new sites are based 

on PSHA.

• In Japan, the S1 and S2 values for operating plants were based on deterministic seismic 

hazard analysis. The plants are assessing the Ss and Sd values, but modifications to the 

NPPs as a result of the assessments have been voluntary. In addition, an equivalent static 

load, as discussed in Section 6 for structures and Section 7 for subsystems, is considered 

for seismic design of SSCs. The maximum responses from the dynamic and static 

analyses are considered for design/qualification. 

3.4.4.2 Ground response spectra shape 

• The standard response spectrum (that is used to anchor a site-specific PGA) is higher in 

Japan than in the United States. However, a simple comparison of the standard spectra 

can be misleading because the true level of conservatism in the shape lies in the degree 

to which it captures the actual ground motion expected at a site based on the tectonic 

environment and style of faulting. The United States and Japan have different tectonic 

environments and so the relative conservatism is hard to judge. In fact, the conservatism 

for U.S. sites in very different tectonic regions changes. If the tectonic environments were 

the same, Japan would be more conservative in terms of the shape of the spectrum.

• In the United States, many operating plants are designed based on the RG 1.60 spectrum, 

though other spectra (e.g., the Housner spectrum) were used as well.

• In Japan, the standard response spectra shapes are from Ohsaki as documented by 

Hisada et al. 

3.4.4.3 Impact of Changing Seismic Hazard on Nuclear Power Plant Safety 

• The United States performed reevaluations in the 1990s (based on PSHA as part of the 

IPEEE [NRC 1991b]), which resulted in plant modifications throughout the U.S. fleet. The 
43

United States is currently performing seismic hazard and risk reevaluation for all operating 

reactors and has already completed seismic walkdowns [NRC 2012c]. 

• Japan is currently preparing to perform PSHAs and seismic PSAs for NPPs. The PSHA

and seismic probabilistic safety assessment (PSA) will address the recommendation of the 

NSC RG of September 19, 2006 to consider the possibility of beyond design-basis 

earthquake ground motions occurring denoting it “residual risk.” The approach is 

quantitative. For this purpose, Atomic Energy Society of Japan has developed a PSA 

standard [AESJ 2007], including a procedure for PSHA. PSHAs are being completed for 

all sites as discussed previously with the result being revised Ss ground motions and 

probabilistic definitions of ground motions, including ground motions that exceed the Ss.

On a parallel path, seismic PSA efforts are being initiated. However, results of the seismic 

PSAs will only be available in the future. 

The guidelines within JEAG 4601-1987 [NRC 1994] did not specifically address the possibility 

of larger than S2 earthquake ground motions occurring (as defined in Section 3.2.1). 

• To date in Japan there has been no PSHA performed and no assessment to evaluate 

alternative seismic hazard modeling and parameters. No risk assessment of beyond S2

earthquake ground motions on NPPs has been performed. NSC [2006] requires 

reevaluation of the seismic hazard of the Ss. It is believed that the changes in the seismic 

hazard are evaluated for the NPPs against code criteria and not the risk-based criteria 

represented by seismic margin or SPRA approaches in the United States. 

3.4.4.4 Treating Uncertainties in the Seismic Hazard 

• U.S. practice has acknowledged and incorporated uncertainties into decisionmaking since 

the early 1980s. Also, the Senior Seismic Hazard Analysis Committee (SSHAC) process 

incorporates epistemic and aleatory uncertainties explicitly into the PSHA process.

• In Japan, uncertainty was previously incorporated into safety factors and was not 

acknowledged in relation to seismic hazard assessment. However moving forward, 

uncertainty has been acknowledged [NSC 2006] and is to be incorporated. Epistemic 

uncertainties are not generally dealt with explicitly but consensus of many experts and 

professional organizations (not necessarily nuclear) is sought for key issues.

• Generally, in the United States, there is a consistent and transparent approach to 

addressing uncertainties.

3.4.4.5 U.S. SSE Ground Motion and Japanese S2 Earthquake Ground Motions 

• The maximum SSE ground motion PGA of 0.67g for the San Onofre Nuclear Generating 

Station compares with the Kashiwazaki-Kariwa Nuclear Power Plant (KKNPP) S2 free-field 

surface ground motion PGA of about 0.6g. However, the level of conservatism for any 

particular site depends on the actual hazard at each of these sites; and so a direct 

comparison cannot be made. An equivalent static load, as discussed in later sections, is 

considered for seismic design of SSCs in Japan. The maximum of the structure and 

subsystem responses due to dynamic and static loading conditions is selected for 

design/qualification of SSCs. The effective acceleration due to the maximum of the 

dynamic and static applied loading conditions is likely at or above 0.6g PGA. 

• Correlation of the U.S. SSE ground motion with the Japanese S1 and S2 is dependent on 

SSC design requirements. For the U.S., SC-I SSCs are designed to the safe-shutdown 

earthquake (SSE) ground motion. For pre-2006 criteria, Japanese Class A SSCs would be 

classified as SC-I in the United States. and would be designed to the SSE ground motion
44

in the United States. However, in Japan, Class A SSCs are designed to the lower S1 

ground motions. Hence, one can make an assessment that the SSE ground motion is 

between the Japanese S1 and S2 when considering design requirements. 

• Further, for Kashiwazaki- Kariwa Nuclear Power Plant (KKNPP), assume the S1 PGA on the 

soil free-surface adheres to the same relationship as the S1 vs. S2 at depth (i.e., the S1 PGA is 

two-thirds of the S2 PGA). On the soil free surface, the S1 PGA would be 0.4g. For Class A 

SSCs, this is closer to the operating-basis earthquake (OBE) ground motion of 0.33g than to 

the SSE ground motion of 0.67g. However, the impact of considering the maximum of the 

dynamic and static loading conditions may bring the KKNPP S1 and the SSE ground motion 

closer to each other. 

For fault displacement hazard and capable fault criteria, the NRC considers a fault as capable if it 

has shown either one movement within the past 35,000 years or multiple movements within the past 

500,000 years. The Japanese criterion was similar to the first (i.e., a time frame of 50,000 years was 

considered for this assessment). Keeping in mind that Japan is in a seismically active region of the 

world and most U.S. plants are located in an intra-plate seismo-tectonic setting, the Japanese 

criteria could erroneously be assumed to be much more conservative. However, this is not an 

accurate assumption because most of the seismic sources of interest in the CEUS are 

characterized as source zones and not individual faults or fault zones. Source zones are

characterized based on the zone activity (in terms of magnitude recurrence) and limited only by the

distribution of maximum magnitudes. There is not a limitation based on the last period of activity of 

any particular fault. Therefore, there is no appropriate direct comparison for the CEUS. For the WUS

where faults dominate the hazard, the Japanese criterion is more conservative except where 

multiple fault movements in the last 500,000 years are detectable in the geologic record. 

3.4.5 Similarities and Difference in the Design-Basis Ground Motion Criteria for New NPPs

in Japan and the U.S.

3.4.5.1 Design-Basis Ground Motion Definition

• United States 

o Performance-based derivation of risk-consistent seismic hazard (PSHA-based) is 

used to define the GMRS.

o The PSHA approaches used explicitly account for uncertainties. 

o The SSE ground motion is defined in terms of site-specific GMRS and CSDRS (for 

certified designs). A minimum requirement for the foundation input response 

spectrum applies.

o Horizontal and vertical motions are applied together.

o Site-response analyses are required when the Vs at a site is lower than the 

definition of rock from the GMPE.

• Japan 

o Development of Ss includes consideration of a broad range of deterministic 

potential earthquake sources and uses both empirical (GMPE) and fault modeling 

approaches for ground motion assessment. 

o The application of the static loading conditions as an additional requirement 

remains in effect. This could add considerable conservatism to the procedure. 
45

o The guidance now requires that the methods used explicitly account for 

uncertainties through the “residual risk” approach. 

o The Ss is defined by horizontal and vertical ground motions.

o For fault displacement hazards and capable fault criteria, the NRC still uses the 

criteria, which considers a fault as capable if it has shown one episode of 

movement within the past 35,000 years and multiple movements within the past 

500,000 years. The Japanese criteria now consider movement since the Late 

Pleistocene (120,000 to 130,000 years) as a key time frame for this assessment.

The Japanese fault displacement hazard criteria have, therefore, evolved to 

become more conservative than originally defined over time. 

o Site-specific characteristics such as the soil profile should be taken into account.

o Duration and time variation empirically based. 

3.4.5.2 Design Requirements for SSCs Tied to Ground Motion Definitions

• In Japan, Class S SSCs are designed to the maximum of Sd and the static seismic force 

(see Sections 6 and 7). SSCs are generally to remain in the elastic range when subjected 

to the greater of the Sd and static loads. Class S SSCs to maintain their safety functions 

under the seismic forces caused by the Ss. 

• In the United States, SC-I SSCs are designed to remain essentially linear under the SSE 

ground motions. The margin in the seismic design should be verified to assure that the 

HCLPF is ≥1.67 SSE ground motion.

47

4 CLASSIFICATION CATEGORIES FOR SEISMIC DESIGN

4.1 U.S. Criteria Pre-2007 and Post-2007

U.S. Nuclear Regulatory Commission (NRC) Regulatory Guide (RG) 1.29, “Seismic Design 

Classification,” defines the structures, systems, and components (SSCs) of a nuclear power plant

(NPP), including their foundations and supports, which are designated as Seismic Category I 

(SC-I), and must be designed to withstand the effects of the Safe Shutdown Earthquake (SSE) 

ground motion and remain functional. RG 1.29 was revised in 2007 and re-issued as Revision 4.

Minor changes were incorporated in this latest revision. The one significant change was reference 

to RG 1.189, “Fire Protection for Nuclear Power Plants,” Revision 1, issued March 2007, which 

provides guidance on seismic classification of portions of fire protection systems. 

RG 1.29 includes the following SC-I I SSCs: 

• Reactor coolant pressure boundary

• Reactor core and reactor vessel internals

• Emergency core cooling, post-accident containment heat removal, post-accident 

containment atmosphere cleanup

• Systems required for reactor shutdown, residual heat removal, and spent fuel pool cooling 

• Portions of the steam systems of boiling water reactors (BWRs) extending from the 

outermost containment isolation valve up to but not including the turbine stop valve, and 

connected piping of a nominal size of 6.35 cm (2 1⁄2 in.) or larger, up to and including the 

first valve that is either normally closed or capable of automatic closure during all modes of 

normal reactor operation (the turbine stop valve should be designed to withstand the SSE 

and maintain its integrity)

• Steam and feed water system of pressurized-water reactors (PWRs) from the secondary 

side of the steam generators to and including the outermost containment isolation valves, 

and connecting piping of 6.35 cm (2 1⁄2 in.) or larger, up to and including the first valve that 

is either normally closed or capable of automatic closure during all modes of normal 

reactor operation

• Cooling water, component cooling, and auxiliary feedwater systems, including the intake 

structure, that are required for emergency core cooling, post-accident containment heat 

removal, post-accident containment cleanup, residual heat removal, and spent fuel cooling

• Systems that are required to supply fuel for emergency equipment

• Electrical and mechanical devices and circuitry between the process and the input terminals of 

the actuator systems involved in generating signals that initiate protective action

• Systems required for monitoring of systems important to safety and for actuation of 

systems important to safety

• Spent fuel pool structure, including fuel racks

• Reactivity control system (e.g., control rods, control rod drive systems, and boron injection 

systems) 
48

• Control room and its associated equipment, and all equipment needed to maintain the 

control room within safe habitability limits for personnel and safe environmental limits for 

vital equipment

• Primary and secondary reactor containment

• Systems, other than radioactive waste management systems not covered above, that 

contain radioactive material whose postulated failure would result in offsite doses that are 

more than 5 millisieverts (0.5 rem) to the whole body

• Class 1E electrical systems that provide emergency electrical power needed for 

functioning of plant features described above

RG 1.29 specifies that any SSCs whose function is not required but whose failure could reduce 

the functioning of any of the systems described above to an unacceptable safety level, or could 

result in incapacitating injury to occupants of the control room, should be designed so that the 

SSE would not cause such failure (spatial systems interactions). Often, these SSCs are 

designated as Seismic Category II (SC-II) by licensees. 

Pre-2007, SC-I SSCs were designed to the operating basis earthquake (OBE) and the SSE

ground motions. Post-2007, requirements to design to the OBE have been removed; in fact, if the 

OBE ground motion is less than or equal to one-third of the SSE ground motion, no additional 

seismic analysis is required and it is assumed that the SSE design is sufficient. NRC Standard 

Review Plan (SRP) [NUREG-0800] Section 3.2.1, “Seismic Classification,” itemizes NRC’s 

acceptance criteria for submittals by applicants. SRP Section 3.2.1 refers to RGs 1.29, 1.151, 

1.143, and 1.189 for more detailed information. If the OBE is set to one-third of the SSE, SRP 

Section 3.2.1 requires submittal of a list of SSCs necessary for safe operation after an OBE 

ground motion occurs at the site. 

4.2 Japan Criteria Pre-2006 and Post-2006

Pre-2006, Japan Electric Association (JEA) Standard JEAG (Japan Electric Association 

Guidelines) 4601-1987 itemized four categories for seismic classification of SSCs according to 

their function and identified typical equipment that fall into each category. The four categories 

include:

Class As SSCs that may cause loss of coolant if damaged. SSCs that are required 

for emergency shutdown of the nuclear reactor and are needed to maintain 

the shutdown state of the reactor in a safe state; facility for storage of spent 

fuel; and nuclear reactor containment

Class A SSCs that are needed to protect the public from the radioactive hazard in 

the case of a nuclear reactor accident, and SSCs, the malfunction of which 

may cause radioactive hazard to the public, but that are not classified as 

Class As. 

Class B SSCs that are related to the highly radioactive substance, but are not 

classified as Class As or A

Class C SSCs that are related to the radioactive substance, but are not classified in 

the above seismic classes, and facilities not related to radioactive safety.
49

The above functional categories are further broken down in JEAG 4601-1987 Table 5.1.2.1 

(reproduced here as Table 4-2). An important aspect of the seismic classifications As and A is the 

associated seismic design requirements. Class As and A SSCs are designed to the maximum of 

the S1 earthquake and an equivalent static load. However, Class As SSCs are further required to 

maintain their safety function when subjected to the S2 earthquake ground motion. Table 4-1 

itemizes the U.S. and Japanese seismic classification and resulting seismic design criteria for 

selected systems with emphasis on the Class As and A SSCs.

Table 4-1 Seismic design requirements for selected system

Typical

System

U.S.

Seismic

Category I

JEAG

Class As

JEAG

Class A

JEAG

Class B

Primary Coolant System OBE + SSE S1, S2 

Control Rod Drive OBE + SSE S1, S2 

Reactor Internals OBE + SSE S1, S2 

Residual Heat Removal OBE + SSE S1, S2 

Emergency Core Cooling OBE + SSE S1 

Containment Spray and Cooling OBE + SSE S1 

Heating, Ventilating, and Air 

Conditioning for Engineered Safety 

Feature

OBE + SSE S1 

Spent Fuel Pool and Racks OBE + SSE S1, S2 

Normal Spent Fuel Pool Cooling OBE + SSE Static Seismic Force

Emergency Spent Fuel Pool Cooling S1

A comparison of the RG 1.29 list of SC-I SSCs with the list in Table 4-2 (a translation of JEAG 

Table 5.1.2.1) generally shows that the combination of Japan Classes As and A correspond to 

U.S. SC-I SSCs. The exception being that systems that mitigate a loss-of-coolant accident 

(LOCA) are not designed for the S2 earthquake ground motion as specified in JEAG 4601-1987. 

In terms of seismic classification, the revised Nuclear Safety Commission (NSC) RG (September 

19, 2006) specifies a new classification denoted as Class S, which combines Class As and A 

SSCs (pre-2006) and some Class B equipment. Thus, the inconsistency between the U.S. and 

Japan classification noted above is eliminated in the Post-2006 Japanese seismic code revision.

In addition, Class S SSCs will be designed to two earthquake ground motion levels designated, Ss

and Sd that also, required merging of Classes As and A. Design-basis ground motions Ss and Sd

are discussed in Section 3.2. Classes B and C retain the same definition as in Pre-2006 guidance. 
50

Table 4-2 Reproduction of translation of JEAG 4601-1987 Table 5.1.2-1(a) for seismic 

categorization of structures, systems, and components

JEAG 4601-1987 Definitions of aseismic importance and facilities of various classes(1)

Classification

and definition

of seismic

importance

Classification of

functions

Primary equipment Indirect support structures

Application range Application range

Seismic 

ground

motion 

Class As: 

Parts, damage of 

which may cause 

loss of coolant; 

parts that are 

required for 

emergency 

shutdown of the 

nuclear reactor 

and are needed 

to maintain the 

shut-down state 

of the reactor in a 

safe state; facility 

for storage of 

spent fuel; and 

nuclear reactor 

containment

(i) Piping and 

equipment that form 

the “pressure 

boundary of nuclear 

reactor coolant” (as 

defined in

“Guidelines of 

safety design in 

evaluation of light 

water reactor 

facilities for power 

generation”)

(1) Pressure containment of 

nuclear reactor (B)

(2) Containment of nuclear 

reactor (P)

(3) Containments, piping, 

pumps, and valves 

belonging to the pressure 

boundary of nuclear reactor 

coolant

(1) Reactor building

(2) Control building

(3) Pedestal of pressure 

containment of nuclear 

reactor (B)

(4) Internal concrete (P)

(5) Auxiliary building (P)

S2

(ii) Equipment for 

storage of spent fuel

(1) Spent fuel pool (B)

(2) Spent fuel storage rack (B)

(3) Spent fuel pit (P)

(4) Spent fuel rack (P)

(1) Reactor building

(2) Auxiliary building (P)

(3) Fuel handling building 

(P)

S2

(iii) Equipment used 

for applying rapid 

negative reactivity 

for emergency 

shutdown of nuclear 

reactor, and 

equipment for 

maintaining the 

shutdown state of 

the nuclear reactor

(1) Control rods, control rod 

driving unit, and control rod 

driving hydraulic system 

(the portion related to the 

scram function) (B)

(2) Control rod cluster and 

control rod driving unit (the 

portion related to the scram 

function) (P)

(3) Boric acid injecting unit 

(transfer system) (P)

(1) Reactor building

(2) Internal concrete (P)

(3) Auxiliary building (P)

(4) Control building (P)

(5) Diesel building (P)

S2

(iv) Equipment for 

removal of decay 

heat from the 

reactor core after 

shutdown of the 

nuclear reactor

(1) Cooling system for isolating 

reactor (B)

(2) High-pressure reactor core 

spray system (B)

(3) Residual heat removal 

system (equipment 

required for cooling mode 

operation in shutdown 

state) (B)

(4) Suppression pool as 

cooling water source (B)

(5) Main steam feedwater 

system (primary feedwater 

check valve, to secondary 

side of steam generator, to 

(1) Reactor building

(2) Control building

(3) Foundation of 

seawater pump, and 

other structures for 

supporting the 

seawater system (for 

emergency cases) (B)

(4) Internal concrete (P)

(5) Auxiliary building (P)

(6) Diesel building (P)

(7) Foundation of 

seawater pump and 

other structures for 

supporting the 

seawater system (P)

S2
51

JEAG 4601-1987 Definitions of aseismic importance and facilities of various classes(1)

Classification

and definition

of seismic

importance

Classification of

functions

Primary equipment Indirect support structures

Application range Application range

Seismic 

ground

motion 

main steam isolating valve) 

(P) 

(6) Auxiliary feedwater system 

(P)

(7) Condensate water tank (P)

(8) Residual heat removal (P)

Table 4-2 Reproduction of translation of JEAG 4601-1987 Table 5.1.2-1(a) for seismic

categorization of structures, systems, and components (Continued) 

JEAG 4601-1987 Definitions of aseismic importance and facilities of various classes(1)

Classification

and definition

of seismic

importance

Classification 

of functions

Primary equipment Indirect support structures

Application range Application range

Seismic 

ground

motion 

Class AS (cont.)

(v) Equipment 

that becomes a 

pressure barrier 

for preventing 

direct discharge 

of radioactive 

substances in 

case of 

accidental 

rupture of the 

coolant pressure 

boundary of the 

nuclear reactor

(1) Containment structure(2)

(2) Piping and valves belonging to the 

containment boundary of the 

nuclear reactor

(1) Reactor building

(2) Auxiliary building (P) S2

(1) Control building

(2) Diesel building (P)

(3) Reactor building

S1

Class A: Parts, 

which are needed 

to protect the 

public from the 

radioactive 

hazard in the 

case of a nuclear 

reactor accident, 

and parts, 

malfunction of 

which may cause 

radioactive 

hazard to the 

public, but are 

not classified as 

Class As

(i) Equipment 

required for 

removing decay 

heat from 

reactor core 

after accidental 

rupture of the 

coolant pressure 

boundary of the 

nuclear reactor

(1) Emergency core cooling system (B)

• High-pressure core spray system

• Low-pressure core spray system

• Residual heat removal system 

(equipment required for operation 

in the low-pressure core water 

injection mode)

• Automatic pressure relief system

(2) Suppression pool as cooling water 

source (B)

(3) Safety injection system (P)

(4) Emergency core cooling system 

(ECCS) (P)

(5) Water tank for exchange of fuel (P)

(1) Reactor building

(2) Control building

(3) Foundation of 

seawater pump and 

other structures for

supporting the 

seawater system 

(for emergency use) 

(B)

(4) Auxiliary building (P)

(5) Diesel building (P)

(6) Foundation of 

seawater pump and 

other structures for 

supporting the 

seawater system 

(P)

S1
52

(ii) Equipment, 

not included in 

aseismic Class 

As (V), for 

preventing 

release of 

radioactive 

substances to 

the outside in an 

accident 

accompanied by 

leakage of 

radioactive 

substances

(1) Residual heat removal system 

(equipment required for cooling 

containment and for operation in 

spray mode) (B)

(2) Reactor building (B)

(3) Combustible gas concentration 

control system (B)

(4) Emergency gas treatment system 

and exhaust port (B)

(5) Nuclear reactor containment 

pressure-suppressing equipment 

(diaphragm floor, vent pipe) (B) 

(6) Main steam separating valve 

leakage control system (B)

(1) Reactor building

(2) Control building

(3) Foundation of 

seawater pump and 

other structures for 

supporting seawater 

system (for 

emergency use) (B)

(4) Primary exhaust 

pipe (B) (In case of 

support of exhaust 

port of emergency 

gas treatment 

system)

S1

Table 4-2 Reproduction of translation of JEAG 4601-1987 Table 5.1.2-1(a) for seismic

categorization of structures, systems, and components (Continued)

JEAG 4601-1987 Definitions of aseismic importance and facilities of various classes(1)

Classification

and definition

of seismic

importance

Classification 

of

functions

Primary equipment Indirect support structures

Application range Application range

Seismic 

ground

motion 

Class A (cont.)

(ii) (cont.)

(7) Suppression pool as cooling water 

source (B) 

(8) Containment spray system (P)

(9) Water tank for replacement of fuel 

(P)

(10) Annulus seal (P)

(11) Annulus air cleaner (P)

(12) Containment gas exhaust pipe (P)

(13) HVAC for auxiliary safety 

equipment room (P) (including 

engineering safety facilities)

(5) Auxiliary building 

(P)

(6) Reactor 

containment vessel 

(P)

(7) External shield (P)

(8) Diesel building (P)

(9) Foundation of 

seawater pump and 

other structures 

supporting the 

seawater system 

(P)

S1

(iii) Others

(1) Fuel pool water feed equipment (for 

emergency use) (B)

(2) Boric acid solution injecting system 

(B)

(3) Spent fuel pool feed equipment (for 

emergency use) (P)

(1) Reactor building

(2) Auxiliary building 

(P)

(3) Fuel handling 

building (P)

S1

Internal structures of reactor

(1) Reactor pressure 

containment 

pedestal (B)

(2) Reactor building (B)

S2
53

Class B: Parts, 

which are related 

to the highly 

radioactive 

substance, but 

are not classified 

as Class As and 

Class A

(i) Equipment 

that contains or 

can contain 

primary coolant 

in direct contact 

with coolant 

pressure 

boundary of 

nuclear reactor

Main steam system (from outside main 

steam isolation valve to turbine primary 

blockage valve) (B) (4)

(1) Reactor building

(2) Turbine building 

(portion for 

supporting the 

piping and valves 

from outside main 

steam isolation 

valve to primary 

blockage valve) (B)

S1

(1) Main steam system and feedwater 

system (B)

(2) Reactor coolant purification system 

(B)

(3) Extraction system and residue 

extraction in chemical volume 

control system (P)

(1) Reactor building

(2) Turbine building (B)

(3) Auxiliary building 

(P)

(4) Internal concrete 

(P)

SB(5)
54

Table 4-2 Reproduction of translation of JEAG 4601-1987 Table 5.1.2-1(a) for seismic

categorization of structures, systems, and components (Continued)

JEAG 4601-1987 Definitions of aseismic importance and facilities of various classes(1)

Classification

and definition

of seismic

importance

Classification of

functions 

Primary equipment Indirect support 

structures

Application range Application 

range

Seismic 

ground

motion 

Class B (cont.)

(ii) Equipment for 

containing 

radioactive waste, 

excluding those that

have a small content 

or a special storage 

method, therefore 

possess a smaller 

radioactive effect to 

the public in case of 

rupture than the 

annual exposure 

dose allowable 

outside the 

peripheral monitoring 

region

Equipment for processing wastes, 

excluding that belonging to Class C

(1) Waste 

treatment 

building

(2) Reactor 

building (P)

Auxiliary 

building (P)

SB

(iii) Equipment which 

is related to 

radioactive 

substances other 

than the radioactive 

waste, and the 

rupture of which may 

cause an excessive 

radioactive exposure 

to the public and 

employees

(1) Shields with significant effect in 

reducing the radiation level

(2) Steam turbine, condenser, 

feedwater heater, and major 

piping (B)

(3) Condensing/desalting equipment 

(B)

(4) Condensate storage tank (B)

(5) Fuel pool purifying system (B)

(6) Control rod drive hydraulic system 

(the portion containing radioactive 

fluid) (B)

(7) Reactor building crane (B)

(8) Fuel handling equipment (B)

(9) Control rod storage rack (B)

(10) Spent fuel pool purifying system 

(P) 

(11) Parts other than Class C in the 

chemical volume control system 

(P)

(12) Auxiliary building crane (P)

(13) Spent fuel pool crane (P)

(14) Fuel exchange crane (P)

(15) Fuel transfer equipment (P)

(1) Reactor 

building

(2) Turbine 

building (B)

(3) Turbine 

pedestal (B)

(4) Internal 

concrete (P)

(5) Auxiliary 

building (P)

SB
55

Table 4-2 Reproduction of translation of JEAG 4601-1987 Table 5.1.2-1(a) for seismic

categorization of structures, systems, and components (Continued)

JEAG 4601-1987 Definitions of aseismic importance and facilities of various classes(1)

Classification

and definition

of seismic

importance

Classification of

functions

Primary equipment Indirect support structures

Application range Application range

Seismic 

ground

motion 

Class B (cont.)

(iv) Equipment for 

cooling spent fuel

(1) Fuel pool cooling system (B)

(2) Spent fuel pool cooling 

system (P)

(1) Reactor building

(2) Auxiliary building 

(P)

(3) Fuel handling 

building (P)

(4) Foundation of 

seawater pump 

and other 

structures 

supporting the 

seawater system 

(P)

SB

(v) Equipment not 

belonging to 

aseismic Class As

and Class A, and is 

used to suppress 

dissipation of 

radioactive 

substances to the 

outside when the 

radioactive 

substances are 

released

SB

Notes:

(1) Courtesy “JEAG 4601, Supplment-1984”, with the contents reorganized in this table.

(2) In principle, there is no need to perform evaluation using basic earthquake ground motion S2. However, as it is the 

final barrier for preventing dissipation of the radioactive substance, only the reactor containment boundary is taken 

as aseismic Class As. For the isolating value, the requirement is that it should maintain as isolated state after 

basic earthquake ground motion S2 takes place.

(3) The CAD scheme is also included.

(4) Although it belongs to aseismic Class B, analysis should be performed to ensure no failure after basic earthquake 

ground motion S1. 

(5) SB is the seismic input to be applied for aseismic Class B equipment.

HVAC is heating, ventilation, and air conditioning

(B): BWR

(P) PWR

no mark: common to BWR, PWR
56

4.3 Summary of U.S. and Japan Seismic Classification Systems and Related 

Seismic Design Criteria

Pre-2007 and Post-2007 elements of the U.S. seismic classification and design criteria include

three seismic categories: SC-I, SC-II, and non-Seismic. The classes are designed to the following 

criteria:

• SC-I SSCs are designed to OBE and SSE ground motions (Pre-2007) and the SSE 

ground motion (Post-2007) 

• SC-II SSCs are designed to prevent damage or failure causing loss of function of SC-I 

SSCs in under seismic loading

• For non-Seismic SSCs, the seismic design is to industrial standards 

Post-2007, elements of the U.S. seismic classification and design criteria also include:

• Seismic considerations for fire suppression systems 

• Listing of SSCs needed for safe operation after OBE 

Pre-2006 (JEAG 4601-1987) key elements of Japanese seismic classification and design criteria 

include: 

• Class As SSCs are designed to the maximum equivalent static loading condition and the 

dynamic loading condition (S1). They must maintain the ability to perform their safety 

function under the S2 ground motion level

• Class A SSCs are designed to the maximum of the equivalent static loading condition and 

the dynamic loading condition (S1). 

• Classes B and C SSCs are designed to the equivalent static loads.

Post-2006 (NSC RG 2006) key elements of Japanese seismic classification and design criteria 

include: 

• Class S SSCs are designed to the maximum of the equivalent static loading condition and the 

dynamic loading condition from the Sd ground motion. They are designed to essentially remain 

in the elastic range of response. 

• Class S SSCs are designed to maintain their safety functions under the seismic forces caused 

by the Ss ground motion. 

• Classes B and C SSCs are designed to the equivalent static load

The key comparisons between the seismic classification and design criteria in Japan and the 

United States are summarized below and in Table 4-1. 

• Japan Classes As and A (Pre-2007) or Class S (Post-2006) (possibly with some items 

from Class B) are comparable to U.S. SC-I with the exception of the loss-of-coolant 

accident (LOCA) mitigating equipment for Japan’s Pre-2006 criteria. Post-2006 this 

exception has been eliminated. 

• U.S. design loading conditions for SC-I SSCs are the OBE and the SSE ground motions 

(Pre-2007), and only the SSE ground motion (Post-2007). The Japanese standard 

requires only the S1 (equivalent to the OBE ground motion) earthquake design for Class A 

(Pre-2006) SSCs. 
57

• U.S. designs are required to be evaluated to beyond design-basis earthquake ground 

motions. Current standard plants require applicants to demonstrate High Confidence of 

Low Probability of Failure (HCLPF) margin of 1.67 times design (SECY-93-087).1

• The Japanese Post-2006 NSC RG recognizes the existence of “residual risk” and 

specifies it should be minimized. This minimization of risk should involve an evaluation 

(qualitative or quantitative and could potentially include a beyond design-basis evaluation) 

to determine its acceptability.

 

1 Additionally, the NRC’s IPEEE program investigated implications of beyond-design-basis events.

59

5 SOIL-STRUCTURE INTERACTION 

AND STRUCTURAL RESPONSE

5.1 U.S. Criteria Pre-2007 and Post-2007

The U.S. Nuclear Regulatory Commission (NRC) Standard Review Plan (SRP) Sections 3.7.1 

and 3.7.2 state acceptable approaches to calculating seismic response of structures including 

soil-structure interaction (SSI). 

SRP Section 3.7.1 Seismic Design Parameters, Revision 3, March 2007 

SRP Section 3.7.1 deals principally with the determination of the ground motion for the various 

cases of interest. Previously, the definition of the ground motion in terms of ground response 

spectra was discussed. SRP Section 3.7.1 provides guidelines on the use of time histories in the 

seismic analysis of the main structures, including SSI or for fixed-base analysis. 

SRP Section 3.7.2 Seismic System Analysis, Revision 3, March 2007 

SRP Section 3.7.2 provides acceptable approaches to the seismic analysis of systems including 

the effects of SSI. Many topics are presented and discussed. Those topics most relevant to this 

effort are: 

• Seismic Analysis Methods – Dynamic Analysis Method 

o Appropriate dynamic analysis methods should be used for the problem being 

addressed and the end quantities of interest (e.g., forces/moments, in-structure 

response spectra). 

o Three components of ground motion are used as inputs (two horizontal and the 

vertical). 

o Translation, torsion, and rocking responses of the structure and foundation should 

be considered.

o Discretization of the structure model must be adequate to model the frequency 

range of interest and the end quantities of interest. 

o Consideration is given to relative motions between adjacent supports of Seismic 

Category I (SC-I) structures, systems, and components (SSCs).

o Other significant effects (e.g., hydrodynamic loads) should be included in the 

analysis. 

• Seismic Analysis Methods - Equivalent Static Load Method 

o The seismic analysis method is considered to be a conservative approach. 

o The method is typically applied to simple structures. 

• Systems versus subsystems 

o SC-I structures assessed in conjunction with the foundation and its supporting 

media (soil or rock) are defined as “seismic systems.” Other SC-I SSCs that are 

not designated as “seismic systems” should be considered as “seismic 

subsystems.”

• Decoupling criteria for systems and subsystems should be applied.
60

• Modeling of structures can be achieved through different approaches, including lumped 

mass stick models, finite element method (commonly called FEM) models, and two-stage

analysis (dynamic model for overall response, detailed static model for structure design). 

• Soil-structure interaction

o Fixed-base analysis is used for structures founded on materials with a Vs ≥ 2438 

m/s (8000 ft/s). 

- Input motion comes from the standard response spectra (i.e., the Certified 

Seismic Design Response Spectra and/or site specific Ground Motion 

Response Spectra). Three components of motion (two horizontal and the 

vertical) are used. 

o Soil profiles are developed to address behavior, variability, and uncertainty.

- Equivalent linear shear moduli and soil material damping (≤15 percent) is 

determined as a function of ground motion. 

- Three profiles (Best estimate (BE), Lower bound (LB), and Upper bound 

(UB)) are used in the SSI analyses.

- Minimum soil property variation (COV = 0.5) is used with the BE profile to 

develop the UB and LB profiles using the following equations: 

LB = BE / (1 + COV) 

UB = BE x (1 + COV) 

o The foundation-level free-field horizontal response spectrum is required to be at 

least 60 percent of the surface motion. The envelope of the three soil cases can 

satisfy this requirement. 

o Sensitivity studies are performed to identify the potential for other issues, such as 

separation of structure/foundation from the soil, including uplift and sliding. 

• Seismic responses (e.g., forces, moments, accelerations, and in-structure response 

spectra) are developed for use in SSC design and qualification 

o The envelope of the responses from the three soil cases is used for SSC design 

and qualification. 

o The in-structure response spectra (ISRS) is developed using the following:

- The envelope of three soil cases is used.

- The peaks of ISRS are broadened ±15 percent. 

- The ISRS is smoothed and valleys filled in. 

Regulatory Guide (RG) 1.61 defines allowable damping values for structures and 

subsystems as a function of construction type and expected stress level during earthquake 

excitations. The values listed for the SSE are applicable and can be used for structure 

design for the SSE without further justification. For defining input motion to subsystems, 

SSE damping values may only be used if justified based on stress levels expected during 

the SSE ground motion. For lower expected stress levels, reduced values of damping 

should be used to generate input to subsystems. 

• SSI analysis methods are currently used by industry
61

The revision to standard American Society of Civil Engineers (ASCE), “Seismic Analysis of 

Safety-Related Nuclear Structures and Commentary,” Standard ASCE 4-98, 1998 [ASCE 

4-98] (currently under development with anticipated publication in 2013) extensively 

expands the discussion of SSI analysis methods with a focus on substructure methods, 

especially methods such as A Linear Continuum Mechanics Approach to Soil-Structure 

Interaction (CLASSI) and System for Analysis of Soil-Structure Interaction (SASSI), which 

are by definition linear (or equivalent linear). In addition, the current revision of ASCE 4

introduces nonlinear SSI analysis methods in Appendix B with the clear expectation that 

nonlinear SSI analysis techniques will evolve over the next few years and become one of 

the preferred analysis methods for the phenomena. 

Substructuring methods can be categorized according to their approach to solving the SSI 

problem. Three methods of varying analysis capability and limitations are described below. 

SASSI –System for Analysis of Soil-Structure Interaction

SASSI evaluates the dynamic response of two- and three-dimensional 

foundation-structure systems. SASSI uses linear finite element modeling and the 

frequency domain solution methods. The soil is modeled as a uniform or horizontally 

layered, elastic or viscoelastic medium overlying a uniform half-space. The soil material 

model is based on complex moduli, which produces frequency-independent hysteresis 

damping. The structures are modeled by two- or three-dimensional finite elements 

interconnected at node points. Seismic input motion is defined by acceleration time 

histories and may be assumed to be comprised of vertically incident or inclined body 

waves or surface waves. Two basic methods of analysis in SASSI are called the “flexible 

volume” and “subtraction”1 methods. These methods are formulated in the frequency 

domain. SASSI may be used for foundation-structure systems and is capable of modeling

flexibility of the foundation. Generally, horizontal and vertical models are analyzed 

independently and the results combined post analyses.

Advantages include the ability to model complex foundation geometry, foundation 

embedment, and foundation flexibility. Limitations are primarily resource based (i.e., the 

lack of the ability to analyze very detailed structure models in a timely manner and the 

difficulty in easily performing sensitivity studies). 

CLASSI – Soil-Structure Interaction: A Linear Continuum Mechanics Approach

CLASSI solves the SSI problem by making use of the below attributes. 

• Free-field ground motion is defined by acceleration time histories defined at the 

control point. Vertically incident or non-vertically incident shear and dilatational 

body waves may be specified as the wave propagation mechanism. Also, surface 

waves may be specified. 

• The soil profile is modeled as semi-infinite layers overlying a half space. The 

material properties of the layers and half space may be modeled as elastic or 

viscoelastic assuming a complex moduli representation. 

 

1 The subtraction method continues to be evaluated due to anomalies identified in its application. Caution is 

recommended in its application. [DOE 2011, Anderson 2011].
62

• The geometry of the foundation is defined and discretized. 

• Complex-valued, frequency-dependent Green’s functions for horizontal and 

vertical point loads are generated; hence, the term “continuum mechanics” in the 

method’s name. 

• Foundation input motion is defined as the response of a rigid, massless foundation 

subjected to the free-field ground motion. This portion of the problem is termed 

“kinematic interaction.” 

• The foundation impedance matrix is calculated as a complex-valued, 

frequency-dependent force displacement matrix relating forces and moments on 

the foundation to displacements and rotations of the foundation. 

• Detailed fixed-base finite element structure models are developed, eigenvalue 

extractions performed, and dynamic characteristics are projected to the foundation 

for SSI analysis. 

• CLASSI combines all of the above elements to solve for response on the 

foundation resulting from SSI. In general, the result is six components of response 

on the foundation. CLASSI then solves for responses in the structure subjected to 

the six components of foundation motion. Each direction of free-field motion may 

be analyzed independently or all three may be analyzed simultaneously. 

Advantages include the ability to analyze very detailed structure models using the results

from an eigenvalue extraction performed using the structure analysis program of choice.

SSI analyses performed by CLASSI are computationally efficient allowing sensitivity 

studies to be easily performed. Intermediate steps produce results that are easy to 

validate. It is an excellent method to use when performing probabilistic SSI response 

analyses. Limitations of the standard version of CLASSI are the ability to only model 

foundations that behave rigidly and are surface founded. 

Hybrid method

A hybrid method using the Green’s functions from SASSI, generated for embedded 

foundations, and applied to the methodology of CLASSI to generate the foundation input 

motion and the foundation impedances taking into account embedment provides a very 

effective alternative [Johnson 2010] approach. 

Advantages of the hybrid method include benefits from SASSI and CLASSI. The benefits 

are the same as those of SASSI for modeling embedded foundations and partial 

structures. The benefits of CLASSI in the hybrid method include the ability to model very 

detailed structure models in a computationally efficient SSI analysis (including the 

performance of sensitivity studies). Validation of intermediate steps is easily 

accomplished. 

Additional Simplified Method in ASCE 4

It is important to note that one key limitation of all of the methods described above is that 

they only solve the linear SSI problem. 

For this reason, an additional method called the simplified soil spring method is retained in 

ASCE 4. Historically, this method has been applied only to structures founded on basemats of 

regular geometry and assumed to behave rigidly. Foundation impedances are simplified and 
63

generally are assumed to be frequency-independent. For these conditions, conventional 

dynamic analysis programs may be used to generate structure response. 

Advantages to the additional substructure method in ASCE 4 are: (i) nonlinear SSI 

analyses can be performed for these simpler representations of the foundation-soil 

behavior (and so nonlinear behavior of the soil springs or of the structure can be treated) 

and (ii) it is a cost effective approach to model the effects of SSI for simple structures.

Limitations are that it models the foundation-soil system very simply, which may not be a 

valid approximation for actual soil-structure configurations. 

In addition, direct numerical simulation methods may be employed for linear and nonlinear 

systems. Linear methods most often solve the problem in the frequency domain. Nonlinear 

methods use the time domain2

.

5.2 Japanese Criteria Pre-2006 and Post-2006 

The Post-2006 Japanese criteria (Nuclear Safety Commission (NSC) RG) are not detailed enough 

to define specific differences between Pre-2006 (in the Japan Electric Association (JEA) guidance 

document JEAG 4601-1987) and Post-2006 criteria except in a few instances as discussed later 

in this section. Guidelines for the NSC RG 2006 have been implemented in revisions to 

JEAG-4601, which are denoted JEAC 4601 (C denotes Code) and JEAG 4601 (G denotes 

Guidelines). These documents have been completed and issued in Japanese. JEAG 4601-1987 

is a very detailed and comprehensive “handbook” in the areas of structure modeling and SSI; and 

the guidance discusses the elements mentioned here. 

For Pre-2006, SSI and structure response analyses are separated into two separate cases. One 

of which uses the S1 design-basis ground motion and one of which uses the S2 design-basis 

ground motion. In general terms, SSI and structure response for the S1 ground motion is treated 

linearly for the structure modeling and equivalent linearly for modeling of the soil or rock elements. 

SSI and structure response for the S2 earthquake ground motion is treated nonlinearly. Two 

aspects of nonlinear behavior are required to be modeled. These aspects are nonlinear behavior 

of the structure and uplift and sliding of the foundation during SSI. Consideration of the S2 is 

required only for those SSCs designated Class As. 

S1 Linear Analysis 

The key elements of the S1 ground motion-based SSI and structure response analysis in the 

Japanese guidance are: 

• Definition of the input motion 

o Input motion is provided as response spectra and/or earthquake recordings 

o Input motion is defined on a rock outcrop where rock is defined as material with Vs 

≥700 m/s

o Free-field motion is propagated to other locations in the soil column by 

one-dimensional wave propagation theory 

 

2 The NRC is currently developing a computational tool for non-linear time domain analysis [Jeremic 2011]
64

o Horizontal components are treated dynamically (the vertical component is treated 

as constant static force) 

• Definition of the soil/rock profile 

o Field and in-situ tests are used to determine soil profile, low strain properties, and 

strain dependent properties 

o Equivalent linear soil properties are used in the SSI analysis (BE is assumed) 

• SSI models and analysis (description of methods and overall requirements) 

o Soil spring methods (frequency-dependent and –independent) are defined

o Finite element methods or lumped mass lattice models are defined

o Models must match soil/rock/structure configuration 

o Significant effort is expended to verify SSI models through scale model field tests 

and full scale structure response measurements 

o BE soil properties are used and there is no variation in soil properties considered 

to account for uncertainty in soil properties and SSI modeling 

• Structure models 

o To the extent possible, structures are designed to be “rigid”

o Detail of models should match analysis end objectives 

o Stiffness properties come from:

- Architectural Institute of Japan guidelines 

- Test results for structure components 

o Damping properties are defined in JEAG 4601 (see Table 5-1 below) 

• Seismic responses (e.g., forces, moments, accelerations, and ISRS) for SSC design and 

qualification are developed from structure response

o Calculated for one soil case only

o In-structure response spectra (ISRS) 

- The ISRS peak is broadened ±10 percent 

- The ISRS is smoothed to remove peaks and valleys
65

Table 5-1 Damping values from NRC RG 1.61 and JEAG 4601-1987 

Structure Material

RG 1.61 JEAG 4601-1987

SSE S1 (elastic range)

Reinforced Concrete 7% 5%

Reinforced Masonry 7% NA

Prestressed Concrete 5% 3%

Welded Steel or Bolted Steel with Friction Connections 4% See below

Bolted Steel with Bearing Connections 7% See below

Steel Containment 4% 1%

Steel Frame Building Structure 4 to 7% 2%

Bolted/Riveted Structure 4 to 7% 2%

Note: Values shown are from NRC RG 1.61 Revision 1, 2007

S2 Nonlinear Analysis 

The general aspects of the definition of the input motions and the soil profile are the same as 

described in S1 with appropriate modifications in the details reflecting the S2 earthquake ground 

motion. 

Other key elements of the S2 SSI and structure response analysis are: 

• SSI models and analysis 

o Model is capable of including and assessing uplift and sliding 

o Radiation and material damping are included 

o Models must match soil/rock/structure configuration 

o Significant effort is expended to verify SSI models through scale model field tests 

and full scale structure response measurements 

o BE soil properties are used with no variation in soil properties to account for 

uncertainty in soil properties and SSI modeling 

o Preferred method appears to be nonlinear soil springs and lumped mass/stick 

models with nonlinear structure elements 

• Structure models 

o Stiffness modeling is based on experimental data of structural elements 

o Energy dissipation occurs through hysteresis loops 

• Seismic responses 

o Appropriate quantities are determined to demonstrate that safety margin exists 

based on structure ultimate strength 

o Results are used to ensure the response of the supporting building/structure does 

not degrade the functioning of the systems 
66

Japan Criteria Post-2006 

NSC RG 2006 specifies that buildings and structures shall be founded on grounds having 

adequate supporting capacity. This statement emphasizes that nuclear power plant structures 

(assume Class S) can be founded on materials other than rock provided the material has 

adequate supporting capacity. Seismic (base) isolation is also considered as an option. 

5.3 Japanese and U.S. Structural Response and SSI Criteria

U.S. and Japanese (JEAG 4601-1987) approaches are very similar in treating SSI and structure 

modeling and analysis with the following exceptions: 

• Soil profiles (United States more conservative) 

o U.S. practice is to analyze three soil profiles to account for uncertainty in soil 

behavior and behavior of the soil-structure system and then envelope results 

o Japan practice is to analyze one soil case (based on review of JEAG 4601-1987, it 

appears to be the best estimate soil profile, which accounts for strain-dependent 

soil properties) 

• Structure damping (Japan more conservative) 

o Japan damping values are less (in some cases much less) than those specified in 

NRC RG 1.61 

• Nonlinear behavior of the soil-structure interface (generally equivalent in its impact on the 

seismic design) 

o U.S. practice is to perform a check to determine if sliding or uplift occurs and 

embedment soil separation is treated by equivalent linear methods 

o Japan practice is to treat sliding and uplift explicitly for the S2 earthquake ground 

motion 

• Nonlinear behavior of structure (Japan more realistic) 

o U.S. practice treats the structure as equivalent linear 

o Japan practice analyzes Class As buildings/structures for nonlinear structure 

behavior under the S2 earthquake ground motion 
67

6 STRUCTURAL DESIGN APPROACHES

The discussion of the structure seismic design process in both countries is separated into three 

parts: (1) structure load determination, (2) structure design considerations, including load 

combinations, and (3) a discussion of key similarities and differences between criteria in the 

United States and Japan. The comparison is difficult and best performed through a pilot study as 

described in Section 10. 

6.1 Structure Seismic Loads 

6.1.1 U.S. Criteria (Pre-2007 and Post-2007) 

The key elements of seismic load determination for the U.S. nuclear power plants (NPPs) were 

introduced in Sections 3.1 and 5.1. Those elements important to this discussion are: 

• Seismic loads for the Operating Basis Earthquake ground motion and Safe Shutdown 

Earthquake ground motion are determined from dynamic analysis of the soil-structure 

system considering three components of ground motion simultaneously (two horizontal 

and the vertical). 

• Except for the case of hard rock, three soil profiles are considered in the analysis: best 

estimate, lower bound, and upper bound. Seismic design loads are taken as the envelope 

of the responses for the three soil cases. 

6.1.2 Japan Criteria (Pre-2006) 

In Pre-2006 designs, the Japan Electric Association (JEA) guidance document JEAG 4601-1987 

separates the seismic design loading requirements by Class of structure. For Class As and A 

structures, the structure loads for design are the envelope of the dynamically calculated 

responses due to the S1 earthquake ground motion and the statically calculated values for the 

static coefficient listed in Table 6-1. An additional requirement is that the Class As structures 

remain functional when subjected to the S2 earthquake ground motion. For Classes B and C 

structures, the structure loads are statically calculated values. 

The horizontal plus vertical analyses are assumed to be applied separately for each of the two 

horizontal directions and the maximum used for structure design. 

For the static analyses, a reduction in the horizontal force for portions of the structure below plant 

grade is permitted. 

6.1.3 Japan Criteria (Post-2006) 

As discussed in Sections 3.2 and 4.2, the Post-2006 Japanese criteria Nuclear Safety 

Commission (NSC) Regulatory Guide (RG) combines Classes As and A into Class S and defines 

a new set of design-basis ground motions (Ss and Sd). In general, Class S structures, systems 

and components (SSCs) should be designed to remain elastic when subjected to the maximum of 

the static calculated values and the dynamically calculated responses due to the Sd earthquake 

ground motion. Class S SSCs are further evaluated to the Ss with the requirement that these 

SSCs remain functional. Table 6-2, below, summarizes the requirements for seismic forces in 

NPP buildings. 
68

Table 6-1 Summary of the requirements for seismic forces in NPP buildings after JEAG 

4601-1987

Class Static Analysis

Dynamic Seismic Force 

S1 ground motion S2 ground motion 

As

 Horizontal seismic 

force calculated 

from 3xCI 

 Vertical seismic 

force calculated 

from Cv

 The horizontal seismic force 

is the seismic force on the 

building due to the S1 ground 

motion 

 The vertical seismic force is 

calculated by taking half of 

the maximum acceleration 

amplitude of the S1 ground 

motion as the vertical 

seismic coefficient*

 The horizontal seismic 

force is the seismic force 

on the building due to S2 

ground motion 

 The vertical seismic 

force is calculated by 

taking half of the 

maximum horizontal 

acceleration amplitude 

of the S1 ground motion

as the vertical seismic 

coefficient* 

A 

 Horizontal seismic 

force is calculated 

from 3CI 

 Vertical seismic 

force is calculated 

from Cv

 The horizontal seismic force 

is the seismic force on the 

building due to S1 ground 

motion

 The vertical seismic force is 

calculated by taking half of 

the maximum horizontal 

acceleration amplitude of the 

basic earthquake ground 

motion as the vertical 

seismic coefficient 

B 

 Horizontal seismic 

force is calculated 

from 1.5CI

Not taken into consideration 

(investigation is conducted for 

equipment and piping with the 

possibility of resonance) 

C 

 Horizontal seismic 

force is calculated 

from CI 

Notes:

CI (story shear coefficient): Value determined using 0.2 as the basic shear coefficient and with consideration of the

dynamic characteristics of the structure, type of ground, etc.

Cv (vertical seismic coefficient): Value determined using 0.3 as the basic value of the coefficient, and with 

consideration of the dynamic characteristics of the structure, type of ground, etc. 

* Both horizontal seismic force and vertical seismic force take place simultaneously combined in unfavorable 

directions. The vertical seismic force is considered to be constant in the vertical direction.
69

Table 6-2 Seismic forces for NPP buildings (NSC Regulatory Guide 2006)

Class Static Analysis Dynamic Seismic Force

Sd Ground Motion Ss Ground Motion

S 

 Horizontal seismic 

force calculated 

from 3 CI 

 Vertical seismic 

force calculated 

from Cv

The seismic forces are the 

result of dynamic analyses 

including the effects of 

horizontal and vertical ground 

motion simultaneously

The seismic forces are the 

result of dynamic analyses 

including the effects of 

horizontal and vertical 

ground motion 

simultaneously

B and C Same as JEAG 

4601-1987(1) Same as JEAG 4601-1987(1) Same as JEAG 4601-1987(1)

Notes:

CI (story shear coefficient): Value of 0.2 used as the basic shear coefficient and by taking into consideration the 

dynamic characteristics of the structure, type of ground, etc. 

Cv (vertical seismic coefficient): Value of 0.3 used as the basic value, and by taking into consideration the dynamic 

characteristics of the structure, type of ground, etc. 

(1) See Table 6-1 of this document

The dynamic analyses are assumed to be two sets of analyses, one for each horizontal direction 

and with each analysis including the vertical ground motion. The maxima are then used for 

structure design or evaluation. 

For the static analyses, additional considerations apply: 

• The seismic story shear coefficient CI is further defined as a function of the seismic zone in 

which the plant is located, the vibration characteristics of the structure, a parameter related 

to vertical force distribution, and the standard shear coefficient (0.2g). The effect of these 

parameters on the standard shear coefficient has not been determined for a representative 

plant. 

• A reduction in the horizontal force for portions of the structure below plant grade is 

permitted. Significant detail is provided in NSC RG (2006) as to how to modify the static 

coefficients for below grade portions of the structure. This concept is not new. It was 

included in JEAG 4601-1991 and the same practice is contained in the Building Standard 

Law in Japan. 

6.2 Structure Seismic Design 

6.2.1 U.S. Practice 

Nuclear Regulatory Commission (NRC) Standard Review Plan (SRP) Sections 3.8.1 through 

3.8.4 provide acceptable approaches to the design of structures - concrete containment, steel 

containment, concrete and steel internal structures, and other seismic category I (SC-I) structures, 

respectively. 

6.2.2 SRP Section 3.8.1 Concrete Containment, Revision 2, March 2007 

SRP Section 3.8.1 specifies overall acceptable design procedures for concrete containments 

which include references to RGs and Industry Codes for additional details. Two particularly 

relevant documents are: 
70

• American Society of Mechanical Engineers (ASME), Boiler and Pressure Vessel Code, 

Section III, “Code for Concrete Reactor Vessels and Containments,” Division 2. 

• RG 1.136, “Design Limits, Loading Combinations, Materials, Construction, and Testing of 

Concrete Containments,” Revision 3, March 2007. 

6.2.3 SRP Section 3.8.2 Steel Containment, Revision 2, March 2007

SRP Section 3.8.2 specifies overall acceptable design procedures for steel containments and 

steel components of concrete containments that resist pressure and are not backed by structural 

concrete. RGs and Industry Codes are referenced for details of the design process. Two 

particularly relevant documents are: 

• ASME, Boiler and Pressure Vessel Code, Section III, Division 1, Subsection NE, “Class 

MC Components,” 2001 Edition with 2003 Addenda. 

• RG 1.57, “Design Limits and Loading Combinations for Metal Primary Reactor 

Containment System Component,” Revision 1, March 2007. 

6.2.4 SRP Section 3.8.3 Concrete and Steel Internal Structures of Steel or Concrete 

Containments, Revision 2, March 2007

SRP Section 3.8.3 specifies overall acceptable design procedures for the design of internal 

structures that support and protect the nuclear supply steam system (NSSS) and peripherals. In 

addition to the ASME Codes cited above, other particularly relevant documents are: 

• American Concrete Institute, “Code Requirements for Nuclear Safety Related Concrete 

Structures (and its supplements),” ACI 349-97. 

• American National Standards Institute/American Institute of Steel Construction, 

“Specification for Design, Fabrication, and Erection of Steel Safety-Related Structures for 

Nuclear Facilities,” ANSI/AISC N690-1994 including supplement 2 (2004). 

• RG 1.142, “Safety-Related Concrete Structures for Nuclear Power Plants (other than 

Reactor Vessels and Containments),” Revision 2, November 2001. 

• RG 1.199, “Anchoring Components and Structural Supports in Concrete,” 

November 2003. 

6.2.5 SRP Section 3.8.4 Other Seismic Category I Structures, Revision 2, March 2007

SRP Section 3.8.4 specifies overall acceptable design procedures for the design of SC-I 

structures other than those internal structures that support and protect the NSSS and peripherals.

Generally, the RGs, Industry Codes, and ASME Codes cited above apply. 

SRP Sections 3.8.1 through 3.8.4 specify loads and load combinations directly or with reference 

to the documents cited above. Appendix A to SRP Section 3.8.4 specifies requirements for 

reinforced masonry walls in safety-related structures. Un-reinforced masonry is prohibited for new 

design. Guidance is also provided in SRP Section 3.8.4 for other types of structures, such as 

retaining walls and water control structures that could have an effect on plant safety. This 

guidance is by reference to industrial standards. 

Other structures that are not classified as safety related are designed and constructed to 

conventional building standards such as the National Building Code with reference to standard 

ASCE 7, the Uniform Building Code, or other building codes that are specified by local building 
71

authorities. These codes are designed to prevent collapse and loss of life for a specified 

earthquake ground motion that may be lower than the safe shutdown earthquake (SSE) ground 

motion for safety-related structural design. 

Other structures that are safety-related, but may not necessarily be classified as SC-I, are to be 

designed for the SSE. SRP Section 3.2.1.3 requires that “those SSCs not identified as SC-I, but 

whose failure could reduce the function of any SC-I feature to an unacceptable safety level or 

result in incapacitating injury to control room personnel, have been identified for analysis to assure 

they will not fail during an SSE.” 

Generally, in terms of seismic loading conditions, the significant issue of load combination 

important to this study is the inclusion of loss-of-coolant accident (LOCA) loads in combination 

with seismic loading conditions. LOCA loads directly applied or their indirect effect, e.g., induced 

vibrations, are to be combined with seismic loads, the operating basis earthquake (OBE) ground 

motion (if applicable) and the SSE. 

6.2.6 Japan Practice (Pre-2006) 

For Pre-2006, the guideline JEAG 4601-1987 provides overall guidelines for acceptance criteria 

and load combinations. For Classes As and A SSCs, Table 6-3 summarizes these criteria where 

the nomenclature includes the following: 

• Normal loads (e.g., dead load, live load, earth pressure, water pressure) 

• Operating loads 

• Accident loads 

• Earthquake and other environmental loads (Earthquake ground motion loads are S1* and S2, 

where S1* is the envelope of the S1 dynamic response and the static loads) 

The loads induced by earthquake motions and by other dynamic events need not be combined by 

absolute sum, if it can be shown that the peaks of the loads do not overlap in time. 

6.2.7 Japan Practice (Post-2006) 

The NSC RG (2006) provides overall guidance on the design requirements for Class S structures. 

• Envelope of seismic design forces and moments for the Sd earthquake ground motion and 

the static analysis results. Load combinations (Sd* + Normal loads + Operating loads) and 

allowable limits parallel those of the S1* for the Pre-2006 criteria. 

• The seismic design forces/moments for the Ss are treated in combination with the normal 

loads and operating loads as for the S2 criteria for the Pre-2006 criteria. The acceptance 

criteria are that there should be adequate safety margin when compared to ultimate 

strength of buildings and structures. 

For Classes B and C structures, allowable stresses based on a suitable standard building code 

applies. Table 6-4 itemizes the load combinations and allowable limits for the Post-2006 criteria. 
72

Table 6-3 Load combination and allowable limits (JEAG 4601-1987)

Class

Structure 

Load Combinations Allowable Limits 

As

S1* + Normal loads + Operating loads + 

Accident Loads(1)

and

S2 + Normal loads + Operating loads

Should have safety margin with 

respect to the ultimate strength 

capacity 

As and A S1* + Normal loads + Operating loads Short term allowable stress based on a 

suitable Standard Building Code 

B Static seismic force for Class B + Normal 

loads + Operating loads Same as above

C Static seismic force for Class C + Normal 

loads + Operating loads Same as above

Notes:

(1) Even for a phenomenon that may not be caused by earthquake, if the phenomenon lasts over the 

long period of time when an accident takes place, the load due to this phenomenon should be 

combined with the S1*. The requirement for the combination is a function of the duration of the 

independent accident event and the probability of its occurrence. In all cases, operating loads are 

dependent on the state of the facility. 

S1* - Envelope of S1 dynamic loads and static loads

Table 6-4 Load combination and allowable limits (JEAC 4601-2008)

Class

Buildings and Structures 

Load Combinations Allowable Limits 

S Ss + Normal loads + Operating loads Should have safety margin with respect 

to the ultimate strength capacity 

S Sd* + Normal loads + Operating loads Short term allowable stress based on a 

suitable Standard Building Code 

B Static seismic force for Class B (1.5CI) + 

Normal loads + Operating loads Same as above

C Static seismic force for Class C (1.0CI) + 

Normal loads + Operating loads Same as above

Notes:

Sd* - Envelope of Sd dynamic loads and static loads (3CI) 
73

6.3 U.S. and Japan Structural Design Considerations 

Seismic Loads 

Areas where the U.S. practice is more conservative than Japanese practice include:

• Three components of ground motion considered to act simultaneously 

• Envelope of three soil cases used

Areas where Japanese practice is more conservative than U.S. practice include:

• Structure damping values 

Structure Design 

Some details of the allowable stress and deformation limits are provided in Chapter 5 of JEAG 

4601-1987. However, a meaningful discussion of the similarities and differences between these 

criteria with that of the United States is best performed by selecting a number of specific situations 

and comparing the loads to be considered, load combinations to be considered, classification of 

the structures, and the design details. Initial effort in this regard is the Kashiwazaki-Kariwa 

Research Initiative for Seismic Margin Assessment (KARISMA) benchmark project that was 

conducted as part of an International Atomic Energy Agency Extra Budgetary project. Additional 

benchmark studies could be extremely helpful. If such studies were to be performed, a selection 

of samples to be studied should range over the typical situations encountered in the design of 

pressurized-water reactor and boiling-water reactor configurations. 

One difference that is apparent is the U.S. requirement to consider the combined loadings of 

seismic and LOCA for design. LOCA loads used in design may be directly or indirectly induced 

and they are influenced by elements such as leak before break provisions. The Japanese practice 

is that the S1 earthquake loads should be combined with accident loads for long duration accident 

states. The criteria for combining of S1 seismic loads and loads resulting from accident states 

depends on the probability of occurrence of the accident and its duration. The U.S. practice 

should generally lead to more conservatism. 

75

7 SUBSYSTEM ANALYSIS AND DESIGN

AND EVALUATION METHODS

7.1 General

Generally, the U.S. practice of seismic analysis and design and qualification of subsystems is 

consistent from the most recent operating plants (vintage 1980s to 1990s) to new plants currently 

being designed, the majority of which are Certified Designs. Differences are in the lack of explicit 

design for the operating basis earthquake (OBE) ground motion (OBE ≤ 0.33 x SSE (Safe 

Shutdown Earthquake) for new plants) 1

. The discussion in this section is organized according to 

type of subsystem and the U.S. and Japan practice for existing plants is discussed for each. The 

following references are applicable to the U.S. practice:

• NUREG-0800 (Formerly NUREG-75-087), “Standard Review Plan (SRP),” Office of 

Nuclear Reactor Regulation

• Regulatory Guide (RG) 1.60, “Design Response Spectra for Seismic Design of Nuclear 

Power Plants,” Revision 1, 1973

• RG 1.61, “Damping Values for Seismic Design of Nuclear Power Plants,” Revision 1, 

March 2007

• RG 1.92, “Combining Modal Responses and Spatial Components in Seismic Response 

Analysis,” Revision 2, 2006

• ASCE/SEI 43-05, “Seismic Design for Structures, Systems and Components in Nuclear 

Facilities,” American Society of Civil Engineers/Structural Engineering Institute, 2005

• ASCE 4-98, “Seismic Analysis of Safety-Related Nuclear Structures and Commentary,” 

American Society of Civil Engineers, 2000 (in revision 2010) 

• AISC, “Specifications for the Design, Fabrication and Erection of Structural Steel for 

Buildings,” 8th Edition, American Institute of Steel Construction, 1980

• ASME Boiler and Pressure Vessel Code, Section III, “Rules for Construction of Nuclear 

Power Plant Components,” Division I, American Society of Mechanical Engineers, 2004 

(including Addenda) 

• IEEE Standard 344-2004, “IEEE Recommended Practice for Seismic Qualification of 

Class 1E Equipment for Nuclear Power Generating Stations,” Institute of Electrical and 

Electronics Engineers, Inc., 2004

• IEEE Standard 323-2003, “Standard for Qualifying Class 1E Equipment for Nuclear Power 

Generating Stations,” Institute of Electrical and Electronics Engineers, Inc., 2003 

• NUREG/CR-3660, “Probability of Pipe Failure in the Reactor Coolant Loops of 

Westinghouse Pressurized Water Reactor (PWR) Plants,” Volumes 1-4, July 1985

• NUREG/CR-4792, “Probability of Failure in Boiling Water Reactor (BWR) Reactor Coolant 

Piping,” Volumes 1-4, December 1988 

 

1 SSE is the safe shutdown earthquake ground motion
76

7.2 Generating Seismic Response for Subsystem Design and Qualification 

Section 5 discussed the soil-structure interaction (SSI) and structure response portion of the 

process. For analysis of decoupled subsystems, in-structure response spectra (ISRS) define the 

input motion. Additionally, relative motions at various locations in the structures are available to 

analyze multi-supported subsystems. 

7.2.1 U.S. Approach Pre-2007 

Before 2007, Seismic Category I (SC-I) components were required to be designed for the OBE and 

SSE ground motions using either dynamic response analysis procedures or a conservative static 

coefficient method. Dynamic analysis, if performed, uses ISRS or earthquake acceleration time 

series as input motion. If in-structure time histories from the SSI and structure response analyses 

are used, procedures are required to account for the uncertainty in these input motions. These 

procedures are required to address enveloping, smoothing, peak broadening, and filling in valleys 

with equivalent approaches to those used for the ISRS. For the conservative static coefficient 

approach, the static coefficient is defined as 1.5 times the peak spectral acceleration of the ISRS at 

the appropriate damping values for the equipment. If the component can be shown to be rigid, the 

zero period acceleration can be used as the static coefficient. Also, it is common practice for the 

specifications for equipment, such as pumps and valves, to require a design for a static coefficient 

ranging from 3g up to 6g regardless of the ISRS demand. Post-2007, the OBE design requirement 

has been removed when the OBE ≤ 0.33 x SSE for new nuclear power plants (NPPs). 

7.2.2 Japan Approach Pre-2006 

The general philosophy in the Japan Electric Association (JEA) guidance document JEAG 

4601-1987 is that the components and subsystems should be stiff. The term “stiff” is defined as 

the first natural frequency of the component and subsystem is higher than the dominant frequency 

range of the input ISRS. It is assumed that the component or subsystem is “stiff” if the first natural 

frequency is greater than 20 Hz. If components and subsystems are stiff, their response to 

earthquake ground motions would be reasonably low, especially if the components or subsystems 

are mounted low in the structure. The guideline JEAG 4601-1987 requires that both a static 

design and dynamic design analysis be conducted for Class As and A components. 

• Class As components are to be designed or evaluated for three different seismic demands.

The basic design is for the dynamic response to the S1 earthquake ground motion with an 

alternate static design analysis using horizontal and vertical static coefficients. In addition, 

the dynamic response for the S2 earthquake ground motion is to be evaluated relative to 

higher allowable stresses to assure that excessive deformation does not occur or that 

function would not be substantially degraded. 

• For class A components, the dynamic response to the S1 earthquake ground motion is 

calculated and compared to allowable stresses and the alternate static design analysis is 

performed. The resulting seismic design is governed by the more severe of the dynamic or 

static demand. 

• Class B components are designed using static analysis equal to 1⁄2 of the static analysis 

requirements for class A components. An exception is, if the fundamental frequency is in 

the highly amplified portion of the ISRS, the dynamic response to 1⁄2 of the S1 earthquake 

ground motion is used for comparison to the static coefficient. 
77

Table 7-1 compares the U.S. seismic demand for the OBE and SSE for SC-I equipment with the 

JEAG 4601-1987 requirements for Classes As, A, and B. 

Table 7-1 U.S. and JEAG 4601 subsystem design response parameters

Seismic Class

Static Analysis Dynamic Analysis

Horizontal Vertical Horizontal Vertical

U.S. Category 1 1.5

(Peak Sa) 

1.5

(Peak Sa) OBE & SSE ISRS OBE & SSE ISRS

JEAG Class As S2 ISRS 1⁄2 of Peak S2 Ground 

Motion

JEAG Class A, As 3.6CI 1.2CV S1 ISRS 1⁄2 of Peak S1 Ground 

Motion

JEAG Class B 1.8CI

Not 

specified

1⁄2 of S1 ISRS only 

if component in 

resonance with 

structure

Not specified

Notes: 

The static coefficients CI and CV in the above table are 0.2g and 0.3g respectively.

Sa is spectral acceleration

If equipment is stiff, the static coefficient design for Class A components may govern the design 

depending upon the response of the structure housing the equipment. Use of 1.5 times the peak 

of the response spectrum for U.S. static design is always conservative and is usually avoided 

unless the equipment is compact and inherently rugged and it is easy to show that resulting 

stresses are low. 

The dynamic analysis methods employed in U.S. and Japanese design are very similar. The 

notable variations are in the damping values and the method of combining the three directions of 

earthquake ground-shaking components. 

7.2.3 Damping Values in U.S. and Japan Practice

Damping values used in U.S. designs are specified in U.S. Nuclear Regulatory Commission (NRC) 

RG 1.61, “Damping Values for Seismic Design of Nuclear Power Plants.” RG 1.61 as it was 

originally published did not provide guidance for damping of mechanical and electrical equipment, 

cable raceways and heating, ventilation, and air conditioning (HVAC) ducting. Revision 1 to RG 1.61

includes damping values for these components and subsystems. Existing designs employed various 

damping values for these components and subsystems, which were accepted by the NRC during 

the licensing process. Some early designs used very conservative damping values relative to the 

values that were contained in the initial issuance of RG 1.61 in 1973.

In the time frame of the 1987 publication of JEAG 4601, the Japanese damping values were 

generally more conservative than the U.S. damping values. Table 7-2 compares damping values 

of U.S. and Japanese practice in 1987 and damping values currently specified in RG 1.61.
78

Table 7-2 Damping values used in operating U.S. plant designs, new U.S. plant designs, 

and JEAG 4601-1987

Equipment Pre 2007 U.S.

(SSE)

Current U.S.

(SSE)

JAEG 1987 Class A and As 

Piping (S1 and S2

Earthquake)

Piping

2% ≤ 30 cm (12 in)

3% > 30 cm (12 in)

Variable 5% to 2%*

4% (all 

diameters)

Variable 5% to 

2%*

0.5% to 2.5%

Mechanical 

Equipment 2% to 3% ** 3% 1%

Electrical 

Equipment 2% to 3% ** 3% 4%

Primary Coolant 

System (PWR)

4% based on NSSS 

supplier testing 4% 3% 

Equipment Supports 2% to 3%** 3% 2%

Welded Steel 

Supports 4% 4% 1%

Cable Trays Case by case** 7% to 10% 5%

Ducting Case by case** 4% to 10% 2.5%

Fluid Sloshing 0.5% 0.5% 0.5%

Note: Current U.S. damping values are from values in RG 1.61, rev. 1

* Variable damping of 5 percent up to 10 Hz and varying linearly to 2 percent at 20 Hz may be used with envelope 

response spectrum analysis and RG 1.60 ground motion input spectrum.

** Values were not specified in RG 1.61. Damping values were agreed upon in the licensing process. In general, 

equipment damping was equivalent to piping damping. Damping for cable trays and HVAC ducting were 

negotiated with regulators depending upon time frame and particular design details since different design details 

warranted different damping values.

The variation in piping damping in JEAG 4601-1987 depends on how the piping is supported and 

if it is insulated. Table 7-3 summarizes the conditions associated with the different damping 

values. In some cases, the JEAG 4601-1987 damping was more liberal than RG 1.61 but in most 

cases, it is more conservative. It should be noted that damping in the original version of RG 1.61

for the OBE ground motion was lower and in the case of piping, often the OBE ground motion

governed the design as a result of the high response to low damping and the lower allowable 

stress for OBE load combinations which was 1⁄2 of the stress allowed for SSE load combinations.

The introduction of the variable damping from 5 percent to 2 percent for piping systems was 

applicable to both OBE and SSE response and eliminated the situation where OBE ground motion 

governed piping design. After the introduction of the variable damping, some U.S. utilities 

reevaluated their piping using the higher variable damping and were able to remove snubbers and 

avoid the costly inspection and maintenance associated with installed snubbers.
79

Table 7-3 Damping values for piping in JEAG 4601-1987 for class A and As piping

Piping Type

Damping Constant 

for Design (%)

With 

Insulation

Without 

Insulation

I Piping systems supported mainly by frame 

restraints and snubbers with four or more supports 2.5 2.0

II Piping systems with snubbers, frame restraints, rod 

hangers, etc. with four or more supports (excluding 

anchors and U-bolts), and not belonging to Type I

1.5 1.0

III Piping systems not belonging to Piping Type I or II 1.0 0.5

Damping values have been revised in JAEC 4601-2008 and include damping for the vertical 

direction to reflect that dynamic analysis is now required for the vertical direction. Tables 7-4 and 

7-5 show the current damping values for equipment and piping, respectively.

7.2.4 Earthquake Components of Motion Used in Design

Pre- and Post-2007, the U.S. practice is to consider three components of earthquake input motion 

(two horizontal and the vertical) for design and qualification. The U.S. practice for combination of 

responses due to each of the three earthquake components is specified in RG 1.92, “Combining 

Modal Responses and Spatial Components in Seismic Response Analysis.” The latest revision 

provides for the three components of response due to the three earthquake input motions to be 

combined by square root sum of the squares (SRSS) or by absolute sum of 100-40-40 

combination of response to the three earthquake input motions. In this latter case, the governing 

case of the 100-40-40 combination is used. In general, the response results are comparable. The 

advantage of the 100-40-40 combination is that the combination can be applied to the load 

components or the resulting stresses whereas, in the SRSS combination, the end item of interest 

is to be combined by SRSS. Often, designers had inappropriately applied the SRSS combination 

to the load components, thus inadvertently calculating a vector of the three components in phase.

Use of the 100-40-40 rule is less confusing. Prior to the issuance of RG 1.92 in 1974, early U.S.

practice was to combine the worst horizontal response with the vertical response by absolute 

sum. This combination can, however, be un-conservative. 

The guidelines in JEAG 4601-1987 require the response of the dynamic horizontal component to 

be combined with a vertical static coefficient by absolute sum. It is assumed that the requirement 

is to base the design on the worst combination of one horizontal component with the vertical static 

coefficient. The vertical static coefficient is based on 1⁄2 of the peak horizontal ground motion. If the 

plant components are stiff and the structure is stiff in the vertical direction, the static coefficient 

appears reasonable, but if a flexible plant component is on a flexible floor, the actual vertical 

dynamic response would be significantly greater than predicted by the static coefficient. In 

general, the vertical component of earthquake has little influence on the seismic design but in 

some cases the vertical component response can be high and influence the design. JEAG 

4601-1987 refers to research that shows no significant effect of the method of earthquake 

component combination, but details are not provided. 
80

JAEG 4601-2008 provides the following guidance for combination of earthquake components. 

When dynamic analysis is conducted for three components of earthquake motion, the 

combination of responses may be by SRSS or the 100-40-40 rule or, in the case of time history 

analysis, the combination is by algebraic sum at each time step. When static analysis is 

conducted, the combination is by absolute sum of horizontal and vertical components. 

Table 7-4 Damping values for equipment in JAEC 4601-2008 

Equipment Damping Constant for Design (%)

Horizontal Vertical

Reactor Fuel Assembly (PWR) -

(1) 1.0

Reactor Fuel Assembly (BWR) 7.0 1.0

Control Rod Drive Mechanism (PWR) 5.0 1.0

Control Rod Drive Mechanism (BWR) 3.5 1.0

Air Ducting (Welded Steel with Rectangular or Circular 

Section) 2.5 2.5

Cable Tray (Steel Solid Type or Ladder Type) 5.0 5.0

Self-standing Closed Type Electrical Panel 4.0 1.0

Crane (Overhead and Refueling) 2.0 1.5-2.0

Primary Cooling System (PWR, Steam Generator, 

Reactor Pump and Piping) 3.0 1.0

Extracting Tube for Core Monitor (PWR) 2.5 2.5

Steam Generator Heat Transfer Tube (PWR) 8.0 (out of plane)

15.0 (in plane) 1.0

Spent Fuel Storage Rack (PWR, Angle type cell) 5.0 (f<20Hz)

3.0 (20Hz≤f<30Hz) 1.0

Spent Fuel Storage Rack (PWR, Can type cell) 7.0 (f(2)

<20Hz)

5.0 (20Hz≤f<30Hz) 1.0

Mechanical Equipment 1.0 1.0

Welded Steel Structures 1.0 1.0

Bolted or Riveted Steel Structures 2.0 2.0

Notes:

(1) Displacement dependent (e.g., equivalent damping value at 10mm is 10 to 15 percent) 

(2) First natural frequency
81

Table 7-5 Damping values for piping in JAEC 4601-2008

Piping Type Damping Constant for Design (%)

With Insulation Without Insulation

I Piping system supported mainly by frame 

restraints and snubbers with four or more 

supports

3.0 2.0

II Piping systems with snubbers, frame 

restraints and rod hangers, etc. with four or 

more supports (excluding anchors and 

U-bolts), and not belonging to Type I 

2.0 1.0

III Piping systems supported with four or more 

U-bolts set on the frame structure bearing the 

dead weight of horizontal piping 

3.0 2.0

IV Not belonging to Piping Type I, II, or III 1.5 0.5

7.3 Subsystem Design and Qualification 

The ASME Boiler and Pressure Vessel code is utilized in the United States as well as in many 

other countries. Some exceptions are applied by NRC in RG 1.193, “Availability of Electric Power 

Sources,” for code cases. Acceptance and non-acceptance of specific parts of codes and 

standards are listed in Title 10 of the Code of Federal Regulations (10 CFR) 50.55a, “Codes and 

Standards.” Appendix N of the ASME code for dynamic analysis is overridden by RGs in cases 

where RGs and other regulatory positions are more conservative than the criteria in Appendix N.

In 10 CFR 50.55a(b)(1) (iii), seismic design of piping, the NRC did not accept the ASME code 

rules in NB-3200, NB-3600, NC-3600 and ND-3600 beyond the 1993 addenda. This had been a 

controversial issue for a number of years and industry felt strongly that the 2001 edition of the 

code and beyond more realistically addressed the inherent margin in reversing dynamic loads, 

such as produced by earthquakes. The NRC maintained its position that the version of Section III 

of the code for seismic design of piping beyond the 1993 addenda did not adequately address the 

issues identified in NUREG/CR-5361 [NRC 1998] and determined that they were unacceptable.

Regulations in 10 CFR 55a(b)(1)(iii) now accept the ASME code Subarticles NB-3200 from the 

2004 edition through the 2008 addenda and NB-3600, NC-3600, and ND-3600 for the seismic 

design of piping with minor changes. 

Qualification of equipment by testing is covered by Institute of Electrical and Electronics Engineers

(IEEE) standard 344. This standard is accepted by the NRC in RG 1.100, “Seismic Qualification of 

Electric and Mechanical Equipment for Nuclear Power Plants,” except the provision for 

qualification by seismic experience. While seismic experience is not flatly rejected, the applicant is 

required to demonstrate the applicability, which would likely not be possible in light of the 

guidance in SECY-93-087 [NRC 1993] that the high confidence of low probability of failure (known 

as HCLPF) value be 1.67 times the SSE. 

The U.S. practice for design has been to conduct linear elastic analysis for the OBE and SSE and 

compare the resulting response to allowable stresses that are typically less than yield for the OBE 

and beyond yield for the SSE. The ASME code has provisions for limit analysis and plastic 

instability analysis with appropriate response limits but such analyses are rarely done. Only 

primary stresses are checked for the SSE. For the OBE, primary stresses are checked for ASME 

Class 1, 2, and 3 components and piping and secondary stress checks and fatigue analysis are 
82

conducted for ASME Class 1 components and piping. Class 2 and 3 components and piping do 

not require secondary stress checks and fatigue analysis since they typically have few extreme 

cycles of temperature and mechanical load. 

The philosophy of JEAG 4601-1987 is that the equipment should remain essentially elastic (stress 

state IIIAS) for the S1 earthquake ground motion but for the S2 earthquake ground motion, 

non-linear analysis is encouraged and the allowable stresses (stress state IVAS) are beyond yield.

Also, for Class As and Class A equipment subjected to the S1 and S2 earthquake ground motions, 

secondary stresses are to be evaluated and fatigue analysis is required. 

Following is a discussion of the similarities and differences between U.S. and JEAG 4601-1987 

design requirements for vessels, piping, component supports and for electrical and 

Instrumentation and Control (I&C) equipment. 

7.3.1 Pressure Vessel Design Criteria 

Pressure vessel seismic design criteria in ASME codes and JEAG 4601 are very similar. JEAG 

Type 1 components are those that constitute the primary coolant system. The analogous 

classification in ASME is Class 1 components. JEAG Type 2 vessels are steel containment, which 

is analogous to ASME Subsection MC for steel containment. JEAG Type 3 components are 

safety-related components that are not Type 1 or 2 and are analogous to ASME Class 2 and 3 

components. 

Table 7-6 shows the stress checks required for stress classes IIIAS and IVAS for Type 1 and Type 

3 vessels (equivalent to ASME Class 1 and Classes 2 and 3). Stress state IIIAS allowable stresses 

must generally be met for the S1 ground motion and stress state IVAS must be met for the S2

ground motion. 

Note that the requirement for secondary stress analysis and fatigue analysis for stress state IVAS 

for Type 1 components would employ the S2 ground motion (equivalent to SSE). Because the 

range of seismic stress (plus to minus) is evaluated for secondary and peak stresses as opposed 

to the maximum stress for primary stress evaluation, the secondary and peak stresses could 

govern if evaluated for the S2 earthquake ground motion. Evaluation of secondary and peak 

stresses for the S2 ground motion appears to be a mistranslation of JEAG 4601 as it would not be 

in keeping with the basic design philosophy of designing for S1 ground motions and evaluating for 

S2 ground motions to assure that excessive deformations do not occur and that function is not 

significantly degraded. The ASME code does not require evaluation of secondary stresses or 

fatigue analysis for the SSE ground motion on the basis that the SSE ground motion would almost 

certainly not occur more than once during the life of the plant and the objective is to assure that 

the equipment and subsystems remain functional for safe shutdown but not necessarily be able to 

be placed back into service after the earthquake. Per information provided by JEA, the cyclic 

stress for the SS ground motion is counted in the fatigue analysis. 

The JEAG 4601-1987 allowable stresses for primary membrane and primary local membrane plus 

primary bending for vessels appear to be very similar to the U.S. ASME code allowable stresses.

Table 7-7 compares the allowable stresses for JEAG 4601 Type 1 and 3 vessels subjected to the 

S2 earthquake ground motion to the ASME code allowable stresses for ASME Class 1 vessels 

and ASME Class 2 and 3 vessels subjected to the SSE.
83

Table 7-6 Allowable stresses for JEAG Type 1, Type 3, and Type 4 vessels for stress 

states IIIAS and IVAS 

Stress Class

Type of 

Vessel

Stress 

State

Primary General 

Membrane

Primary 

Membrane + 

Primary 

Bending 

Stress

Primary + 

Secondary 

Stress

Primary + 

Secondary + 

Peak Stress

Type 

1 

IIIAS 

[Sy or 2/3 Su]

(1)

for ASS or HNA 1.2 

Sm

1.5 times the

left column

3 Sm (2) Fatigue usage 

factor <1.0(3)

IVAS 

2/3 Su

for ASS or HNA

[2/3 Su or 2.4 Sm]

(1)

1.5 times the

left column

Type 

3 & 4

IIIAS [Sy or 0.6Su]

(1)

for ASS or HNA 1.2 S

1.5 times the

left column Fatigue usage factor <1.0

If primary + secondary stress < 2Sy

(2), 

the fatigue analysis is not needed IVAS 0.6 Su 1.5 times the

left column

Notes:

1 The lesser value is applicable 

2 Evaluation is made for seismic stress range only

3 Fatigue usage factor from seismic motion only. To be added to usage factor from operating states I and II

Su=Ultimate tensile strength

Sy=Yield strength

ASS=Austenitic stainless steel 

HNA=High nickel alloy 

Sm=Allowable stress for Type 1 components (equivalent to ASME Class 1)

S =Allowable stress for Type 3 components (equivalent to ASME Classes 2 & 3) 

Table 7-7 Allowable stresses for carbon steel vessels from JEAG 4601-1987 and ASME

Type of Stress JEAG

Type 1

ASME

Class 1

JEAG

Type 3

ASME

Class 2 and 3 

Primary membrane 2/3 Sult 0.7 Sult 0.6 Sult 2 S*

Primary local membrane + primary bending Sult 1.05 Sult 0.9 Sult 2.4 S*

Notes:

*S is the allowable stress for ASME Class 2 and 3 vessels defined as the lesser of 5/8 of yield and 1/4 of ultimate.

Later ASME code stress tables define the allowable stress, S, as the lesser of 2/3 of yield or the ultimate strength 

divided by 3.5. Most existing plants were designed using the earlier version of S.

Stress limits for austenitic stainless steel vessels and high nickel alloy vessels are slightly different 

due to the lower ratio of yield stress to ultimate strength, but the comparisons in Table 7-7 for 

carbon steel are approximately applicable to austenitic stainless steel vessels and high nickel 

alloy vessels. 
84

The guidelines in JEAG 4601-1987 are slightly more conservative for Type 1 vessels and slightly 

less conservative for Type 3 Vessels. The allowable stress criteria are considered to be 

comparable. 

JAEC 4601-2008 has changed the stress limit designations from IIIAS and IVAS to CS and DS. 

Table 7-8 provides the JEAC 4601-2008 limits. 

Table 7-8 Allowable stresses for JEAC Type 1, Type 3, and Type 4 vessels for stress 

states CS and DS

Stress Class

Type of 

Vessel 

Stress 

State

Primary General 

Membrane

Primary Membrane 

+ Primary Bending 

Stress

Primary + 

Secondary 

Stress Range

Primary + 

Secondary + 

Peak Stress

Type 1

Cs 

[Sv or 2/3 Su]

(1)

for ASS or HNA 

1.2 Sm

αtimes the

left column

3 Sm (2) Fatigue usage 

factor <1.0

Ds 

2/3 Su

for ASS or HNA

[2/3 Su or 2.4 

Sm]

(1)

αtimes the

left column

Type 3 & 4

Cs 

[Sv or 0.6Su]

(1)

for ASS or HNA 

1.2 S

1.5 times the

left column Fatigue usage factor <1.0

If primary + secondary stress < 

2Sv

(2), the fatigue analysis is not 

D needed s 0.6 Su 1.5 times the

left column

Notes: 

(1) The lesser value is applicable

(2) Evaluation is made for seismic stress range only

7.3.2 Piping Design Requirements

Piping stress equations and allowable stresses are comparable. Table 7-9 compares piping stress 

equations in JEAG 4601-1987 to those in the ASME code.
85

Table 7-9 Stress equations in JEAG 4601-1987 and ASME code 

Design Standard Piping Stress Equation

JEAG Type 1 B1PDo

200t

+

B2Mip

Zi

ASME Class 1 B1PDo

2t

+ B2Doo

MA+MB

2I

JEAG Type 3 PDo

400t

+ 0.75i

MAMB

Z

ASME Class 2 and 3 B1PDo

2t

+ B2Doo

MA + MB

2I

Notes: 

The definition of the parameters is provided in the paragraph below.

The formulation for JEAG Type 1 and ASME Class 1 are essentially identical. The B1 and B2 factor 

are stress indices taken from the ASME code. Mip in the JEAG formula is the bending moment due 

to mechanical load including the earthquake inertia effects whereas MA and MB in the ASME 

formula are the dead weight and seismic bending moments. Z is equal to 2I/Do. The difference in 

the 2t and 200t results from the use of kgf/cm2 for pressure in JEAG 4601 with t in mm whereas in 

the ASME formula, the pressure is in psi and t is in inches. Thus, the equations for piping stress 

are identical. 

The JEAG formula for Type 3 piping is essentially the same as the ASME code for Class 2 and 3 

piping up to about the mid-1980s where a stress intensification factor (i) was used instead of a B2

stress index. Stress intensification factors were originally developed from displacement controlled 

low cycle fatigue tests to simulate stress cycles resulting from restraint of thermal expansion. The 

0.75i factor was applied for seismic inertia design recognizing that the number of cycles from 

seismic loading was significantly less than the basic value of 2000 cycles that was inherent in the 

development of (i) from the low cycle fatigue tests. The B2 stress indices are based on analytical 

and experimental stress analysis and for elbows are about twice the value of (i) so in this respect, 

the ASME code, after about the mid 1980s, is more conservative than JEAG 4601-1987 for Type 

3 piping. However, most ASME Class 2 and 3 piping in U.S. plants was designed using the 

formula shown for JEAG Type 3 piping. Very few designs for Class 2 and 3 piping were 

conducted using the B2 indices. It is therefore concluded that the Japanese and U.S. design 

criteria for Type 3 piping and ASME Class 2 and 3 piping were equivalent. 

As discussed in the first paragraph of Section 7.3, after an extensive review of dynamic tests of 

piping fittings, the ASME code was changed in 1994 to increase the allowable stress in piping by

a factor of 1.5 for reversed dynamic loads. This was not accepted by the NRC. In the 2001 

revision of the ASME code, the B2 stress indices were reduced by a factor of 1.5 for elbows and 

tees and the pre 1994 stress limit was retained. This revision was still not accepted by the NRC 

and the Code of Federal Regulations restricted the design of piping to the 1993 and earlier ASME 

codes. The revision of the ASME code in 2006 addressed NRC concerns and the ASME code 

from 2006 to 2008 is now acceptable to the NRC with some slight modifications. This controversy 

did not affect existing nuclear plants since all piping design was completed by 1993. Thus, current 
86

ASME code requirements for piping design that are accepted by the NRC are more liberal for 

cases where elbows and tees govern support placement than the ASME code in effect when 

JEAG 4601-1987 was developed. 

The ASME and JEAG criteria for allowable stresses for piping are very similar. Table 7-10

compares allowable stresses for ASME code piping subjected to SSE load combinations to the 

criteria in JEAG 4601-1987 for evaluation to the S2 earthquake ground motion. 

Table 7-10 Allowable stresses in the ASME code and JEAG 4601 for load combinations 

with SSE ground motion and with the S2 ground motion

Loading JEAG Type 1 

Piping (S2) 

ASME Class 1 

Piping (SSE)

JEAG Type 3 

Piping (S2) 

ASME Class 2 and 3 

Piping (SSE)

Pressure + 

Bending From 

Dead Load and

Seismic

3 Sm or

2.4 Sm if torsion

> 0.73 Sm

Lesser of 3 Sm

or 2 Sy

0.9 Sult

Lesser of 3S

or 2 Sy

It can be seen from the above table that JEAG Type 1 piping allowable stress is essentially the 

same with some extra conditions employed in the case of very large torsion stress in the JEAG 

criteria and for some cases in the ASME code for austenitic stainless steel at elevated 

temperature where 3 Sm can exceed 2 Sy. 

In the case of JEAG Type 3 piping versus ASME Class 2 and 3, the 0.9 Sult could be higher than 

3S in cases where S is governed by 1⁄4 of the ultimate strength. In general, the stress criteria are 

the same for the extreme loading case of S2 or SSE earthquake ground motion. 

The allowable stresses for piping in JEAC 4601-2008 are shown in Table 7-11.

Table 7-11 Allowable stresses for piping in JAEC 4601-2008

Stress Class

Type of 

Vessel

Stress 

State

Primary Stress

(Membrane + 

Bending)

Primary Stress 

(Torsion, Bending + 

Torsion)

Primary + 

Secondary 

Stress

Range(1)

Primary + 

Secondary + 

Peak Stress

Type 1

Cs Minimum of [2.25 Sm or 

1.8 Sy]

Torsion Stress: 0.55 Sm

If unsatisfied, Bending & 

Torsion Stress: 1.8 Sm

3 Sm

Fatigue 

usage factor 

<1.0

Ds 

When short term 

mechanical load other 

than earthquake is 

considered(2)

min[3 Sm or 2 Sy] 

Torsion Stress: 0.73 Sm

If unsatisfied, Bending & 

Torsion Stress: 2.4 Sm

Type 3 

& 4 Cs 

When short term 

mechanical load other 

than earthquake is 

considered: 

- 2 Sy 

Fatigue 

usage factor 

<1.0
87

min[2.25 Sh or 1.8 Sy]

When short term 

mechanical load other 

than earthquake is not 

considered: Sy 

Or 1.2 Sh 

for ASS or HNA 

Ds 

When short term 

mechanical load other 

than earthquake is 

considered(2): 

min[3 Sh or 2 Sy] 

- 

Notes: (1) Only for the load due to Ss or Sd

(2) Unnecessary when short term mechanical load other than earthquake is not considered

Overall, piping design has varied significantly over the 40 years of NPP design. Theoretically, 

there is a significant difference in the piping stress equations used for ASME Class 2 and 3 

designs. However, the seismic response analysis has tended to compensate for the differences in 

equations (e.g., lower damping in the time frame of using (i) instead of B2). Also, piping has been 

shown by earthquake experience to be robust regardless of the design. Thus, piping designed to 

the varying seismic regulatory requirements that have prevailed over the last 40 years is 

considered to be robust in terms of its low contribution to risk. 

7.3.3 Design and Qualification of Equipment Supports 

JEAG 4601 has allowable stresses for support structures subjected to the S1 and S2 earthquakes.

The ASME code has design criteria for component supports that vary depending on whether the 

support is linear or a plate and shell type support. Linear support criteria are patterned after the 

AISC code whereas plate and shell type support criteria are patterned after the ASME criteria for 

vessels. Supports for non-ASME components are typically designed to AISC requirements. Table 

7-12 compares the JEAG allowable stress for stress states IIIAS and IVAS to the allowable stress in 

the ASME code for linear supports and plate and shell supports and to AISC allowable stresses for 

load combinations including the SSE ground motion. Note that the NRC Standard Review Plan 

Limits the AISC plastic design stress used for SSE load combinations to 1.6 times the working 

stress allowable rather than the 1.7 factor in the AISC code. 
88

Table 7-12 Allowable stress for component supports in JEAG 4601, ASME and AISC

Loading Member 

Type

JEAG 

Support 

Structure

ASME Linear

Support

ASME Plate & 

Shell Type 

Support, 

Membrane 

Stress

AISC

Designed 

Support for 

Non-ASME 

Components

Dead

+ 

Restraint of 

Thermal 

Expansion

+ 

Seismic

Structural 1.5(1.2) f(i)* Lesser of 1.2 

Sy or 0.7 Su

Lesser of 0.7 Su or 

2.4 Sm

1.6 times working 

stress allowable

Bolt 

tension 1.5(1.2) f(i)* Lesser of Syor 0.7 Su

Lesser of Sy or 

0.7Su 1.6 times working 

stress allowable

Bolt 

shear 1.5(1.2) f(i)* Lesser of 0.6 Sy or 0.42 Su

Lesser of 0.6 Sy or 

0.42 Su

1.6 times working 

stress allowable

Notes:

*The allowable stress f(i) is for tension (ft), shear (fs), compression (fc), bending (fb) and bearing (fp) as given in [MITI 

1980]. f(i) is not defined in JAEG 4601 but is believed to be similar to the AISC working stress allowable for 

comparable loading conditions. The MITI Technical Guidelines have been changed to [JSME 2003]. 

If one assumes that f(i) is the same as the AISC allowable working stress, then 1.5(1.2) = 1.8 

times f(i) is higher than the 1.6 increase factor allowed by NRC on AISC allowable working stress.

For linear supports, the ASME code limit for a typical structural steel like A36 would be limited by 

0.7 Fult = 40.6 ksi. If f(i) is 0.6 Fy as in AISC, the limiting stress would be 38.9 ksi for JEAG and 

34.56 ksi for AISC, which are both less than ASME for linear supports. If the same material is 

used for a plate and shell type support and the loading is in membrane, the allowable would be 

governed by 2.4 Sm = 34.8 ksi which is lower than the allowable stress for tension in JEAG 4601 

or for ASME linear supports but equivalent to 1.6 times AISC. There are many variations in the 

margin of component supports depending on material, failure mode, and configuration but it 

appears that there is no significant difference in margin between JEAG, ASME, and AISC 

designed component supports. 

There are no changes in JEAC 4601-2008 in component support allowable stresses from JEAG 

4601-1987 except that the stress categories IIIAS and IVAS have been changed to CS and DS,

respectively. 

JEAC 4601-2008 has also added criteria for seismic design methods utilizing energy absorption 

effects from a supporting system of mechanical equipment and piping. Typical supporting systems 

investigated are frame restraints with plastic deformation, vibration controlling supports, and 

energy absorbers such as elastic-plastic dampers, friction dampers and lead extrusion dampers 

for piping and lead extrusion dampers for PWR primary cooling system components. 
89

7.3.4 Equipment Qualified by Test 

For all operating reactors in the United States, equipment qualified by test is governed by the 

criteria of IEEE Standards 323 and 344. IEEE 323 is the master document and IEEE 344 covers 

seismic testing. In general, the testing must be multi-axis and multi-frequency wherein the test 

response spectrum (TRS) envelopes the required response spectrum (RRS) by at least 10

percent. Recent risk based recommendations in ASCE 43-05 recommend that the TRS be 40

percent greater than the RRS to assure factors of safety consistent with those for structural and 

equipment seismic design, thus maintaining a consistent seismic risk. JEAG 4601 has little detail 

on qualification by test. In both cases, a resonant search is made by slow sine sweep testing. In 

the case of JEAG, it merely states that sine wave or sine beat testing is to be done at the resonant 

frequencies observed during the resonant search. This is an acceptable method in IEEE 344 as 

long as it can be shown to be applicable, but is generally not accepted by the NRC. The practice 

in the United States in 1987 was to perform two or three axis broad frequency tests with the TRS 

exceeding the RRS. 

The recommended practice in IEEE 344 for seismic qualification by testing is endorsed in NRC 

RG 1.100 with some exceptions. The NRC has not accepted the provisions for qualification by 

seismic experience or testing experience. RG 1.100 also accepts the provisions in ASME QME-1 

[ASME 2012] for qualification of active mechanical equipment by analysis or test with the same 

non-acceptance of the provisions for use of seismic experience. 

JEAG refers to proving tests that have been done but it is not clear from the description that their 

method of testing and amplitude of testing is equivalent to U.S. standards. Table 7-13 briefly 

compares the JEAG 4601 stated testing requirements with those of IEEE 344. 

Table 7-13 Qualification of electrical and control equipment by testing

Type of Test JEAG US IEEE 323 and 344

Resonant Search Sine sweep Sine sweep

Qualification Test Sine Wave or Sine Beat* Multi-axis and multi-frequency

TRS ≥ 1.1 RRS

Notes:

* The wording in JEAG 4601 implies that the testing is single axis, single frequency at resonant frequencies 

determined during the resonant search. This is theoretically acceptable for single degree of freedom systems that 

have no cross coupled response from different earthquake directions or as long as the testing level is significantly 

higher than the in-structure response spectra at the equipment location. This method of testing is generally not 

acceptable to the NRC. In fact, one of the key issues for resolution in the USI A-46 program was the fact that such 

single frequency, single axis testing had been conducted on older U.S. NPPs and the validity of such testing was 

not defendable.

There was a supplement to JEAG 4601-1987 issued in 1991 that enhances the description of

qualification by testing. JEAC 4601-2008 has not changed the description of qualification testing.

The details of the supplement to JEAG 4601 in 1991 are not specifically known, but it is described 

that electrical panels are qualified by analysis or test and electrical components are tested either 

mounted in the panels or individually. The international practice for qualification by testing 

generally follows the recommended practice in IEEE 344 and it is judged that the Japanese 

qualification by testing generally complies with IEEE 344. 
90

At the time of this writing, as a result of the NRC 50.54(f) Request for Information Letter 

[NRC 2012c], the Electric Power Research Institute (EPRI), is conducting a testing program on 

potentially high-frequency sensitive equipment for screening and risk-assessment purposes [EPRI 

2012b]. This testing program is broken into 2 phases, with the first being focused (in part) on 

using a wide variety of testing motions in order to investigate the benefits and drawbacks to each 

method. This testing program, once completed, may provide additional insights into methods for 

optimizing qualification testing of equipment. 

7.3.5 Load Combinations 

Load combinations in U.S. plants are defined in the SRP. In general, LOCA-induced transient and 

steady state loads following a LOCA are combined with the SSE by 

square-root-of-the-sum-of-the-squares (SRSS) and evaluated relative to ASME Level D Service 

allowable stresses. In PWRs, the LOCA load effects are principally confined to piping and 

equipment inside containment but in BWRs, the loads resulting from LOCA propagate through the 

suppression pool and into the containment structure. These hydrodynamic loads can affect piping 

and equipment attached to containment or equipment, such as valves, in piping systems outside 

of containment if the piping is attached to containment. 

The JEAG 4601-1987 criteria do not combine LOCA-induced transient or steady state loads with 

the S2 earthquake ground motion. The non-transient LOCA loads are included in load 

combinations that include the S1 earthquake ground motion. This can result in a significant 

difference in the margin in the primary system because much of the margin in existing U.S.

primary systems is because of the design for combined LOCA transient loading and SSE (Safe 

Shutdown Earthquake). 

Table 7-14 compares some typical load combinations for U.S. PWRs and BWRs with load 

combinations specified in JEAG 4601. 

The load combination of SSE and LOCA in U.S. plants is by SRSS. The addition of non-transient 

LOCA loads to S1 earthquake loads in Japanese plants is assumed to be by absolute sum. Without 

knowing the magnitude of the S1 and non-transient loads compared to the SRSS of SSE and LOCA 

transient loads, no clear decision can be made regarding the conservatism or un-conservatism of 

one design criteria versus the other. It seems intuitive though that U.S. policy of combining LOCA 

transient loads with SSE loads by SRSS would result in greater design margin. 

The commentary of the Nuclear Safety Commission (NSC) RG states that: “the loads by the 

possible earthquake originated events and the long-standing loads in the wake of accidents shall 

be combined with the seismic loads, even if the accidents are not caused directly by the 

earthquakes. However, the loads under accident conditions may not be necessary to consider 

combining with the seismic loads, if the probability of the concurrent loads is extremely low when 

considering the occurrence probability of this accidental event, its duration time, and the 

exceedance probability of the earthquake.” The Japan Nuclear Energy Safety Organization 

(JNES) has provided a further description of the combination. The S1 (Sd) earthquake loads are 

combined with accident condition loads depending on the probability of occurrence of the accident 

and the duration of the accident loading condition. Long duration accident loads of moderate 

probability are to be combined with the S1 earthquake loads whereas short duration low probability 

accident loads are not combined. The specific requirements for these load combinations are not 

well understood from the description provided by JNES. 
91

Table 7-14 Example load combinations for ASME Level D service loads and stress state 

IVAS in JEAG 4601-1987

NPP Type Load Combinations

U.S. PWR D + P + M + (LOCA2 + SSE2)

1/2

U.S. BWR D + P + M + (HYDRO2 + SSE2)

1/2

JEAG Class As D + PL + ML + S1

JEAG Class As D + P + M + S2

JEAG Class As D + PD + MD + S2

where: 

D 

P 

PL

PD

M 

ML

MD 

LOCA 

HYDRO

dead load

normal operating pressure load

non-transient pressure load after LOCA

mechanical pressure load from operating state I or II or max design pressure load

mechanical load in normal operating state

non-transient mechanical load after LOCA

mechanical load in operating state I or II or mechanical design load 

transient or steady state loss-of-coolant accident load

transient or steady state suppression pool hydrodynamic loads

7.3.6 Most Important Similarities and Differences in U.S. and Japan Criteria and 

Parameters 

For subsystems and components, four important seismic design parameters are more 

conservatively treated by U.S. criteria than by Japan criteria (JEAG 4601-1987). 

7.3.6.1 Qualification by Testing

The U.S. criteria for qualification by testing emphasize multi-axis, multi-frequency testing to 

assure that the component input is representative of a three-dimensional earthquake input.

JEAG 4601 has little detail about testing but it is implied that single axis, single frequency 

sine beat or sine wave testing is conducted at the resonant frequencies determined during a 

sine sweep resonant search. This type of testing is only valid if it can be shown that the 

component is in fact a single degree of freedom system sensitive to one direction of input 

only or, if significant over testing is conducted to envelop multi-mode, multi-direction 

response. This type of testing was conducted in early U.S. NPPs and became one of the 

critical issues to be resolved in the USI A-46 program. This method of testing is generally 

not acceptable to the NRC. 
92

7.3.6.2 Load Combinations

The Japanese seismic design criteria do not require that LOCA transient loads be combined with 

the S1 or S2 earthquake loads. The loading from LOCA that occurs after the initial transient loading 

is combined with the S1 earthquake load by absolute sum. U.S. practice is to combine all 

contributions from LOCA loading with the SSE by SRSS. Depending on whether the plant is a 

PWR or BWR, and what item is being evaluated, it is unknown whether the U.S. or Japanese 

criteria are more conservative. In the United States, load combination program (as described in 

NUREG/CR-3660 “Probability of Pipe Failure in the Reactor Coolant Loops of Westinghouse 

Pressurized Water Reactor (PWR) Plants,” [NRC 1985a] and NUREG/CR-4792, “Probability of 

Failure in Boiling Water Reactor (BWR) Reactor Coolant Piping,” [NRC 1988]), it was shown that 

the primary coolant system supports had a large margin relative to the SSE. This large margin 

was present due to the fact that the primary system supports were designed for LOCA plus SSE.

Thus, the probability of a seismic-induced LOCA was very low. Currently, for existing and new 

plants, leak before break (LBB) analyses, in conjunction with in-service inspection requirements, 

limit the requirement for the combination of LOCA and SSE loading conditions for primary 

systems. Designs that do not combine LOCA and SSE could have significantly less margin for 

seismic-induced LOCA, if LBB criteria are not met. Quantification of the difference in seismic risk 

between U.S. and Japanese designs would require studies of the margin in the Japanese designs 

relative to U.S. designs and probabilistic studies to assess the seismic risk significance. 

7.3.6.3 Combination of Earthquake Components 

As discussed above, the JEAG 4601 criteria specifies the combination of horizontal and vertical 

earthquake components by absolute sum. The description is unclear, but if one horizontal 

component at a time is combined with the vertical component, the result could be un-conservative.

As an example, a square anchor bolt pattern subjected to two horizontal components of earthquake 

would have tension from the two components equal to about 1.4 times the tension from one 

horizontal component. Because the vertical component of earthquake is a static coefficient based 

on 1⁄2 of the horizontal ground motion, the addition of the vertical component by absolute sum does 

not increase the bolt tension by any significant amount. 

7.3.6.4 Vertical Component of Earthquake

The vertical component of earthquake loading utilized in a dynamic analysis is taken as a static 

coefficient based on 1⁄2 of the horizontal ground motion acceleration. For components mounted on 

flexible floors, the static coefficient based on ground motion would underestimate the vertical 

demand on the component. Also, if the component or subsystem is in resonance with the 

structure, the vertical response could be further amplified. Vertical acceleration usually does not 

have a significant effect on seismic design, but in some cases the design details could be much 

different if dynamic vertical response is considered.
93

8 APPROACHES AND REQUIREMENTS FOR ASSESSING BEYONDDESIGN-BASIS GROUND MOTION EVENTS

8.1 Background

There is worldwide recognition that there is a small probability that earthquakes may occur that 

produce ground motions at a nuclear power plant (NPP) site that exceed the design-basis 

earthquake ground motion of the site. There is a regulatory need to evaluate NPPs for ground 

motions greater than the design-basis motions, in order to provide confidence that there is no “cliff 

edge effect” (i.e., that ground motions slightly greater than the design-basis motions do not lead to

significant failures in the plant) and to demonstrate that the risk for potential seismic sources is 

acceptably low. 

In addition to identifying potential “cliff edge effects” and assessing seismic risk, there may be 

numerous other reasons to perform beyond design-basis evaluations. Other reasons for 

performing such evaluations are an increase in the perceived seismic hazard at the site; 

investigating the potential for inadequate seismic design (generally due to the vintage of the 

plant); new technical findings (e.g., vulnerability of selected structures, non-structural elements 

such as masonry walls, systems, or components such as relays); new experience from actual 

earthquakes; periodic safety reviews (for countries that require them); and long term operation.

The U.S. nuclear power industry (U.S. Nuclear Regulatory Commission (NRC) and licensees) has 

promptly addressed a number of these issues if and when they arose. For the currently operating 

U.S. NPPs, issues affecting the performance of structures, systems, and components (SSCs) 

have been addressed in the Individual Plant Examination of External Events (IPEEE) program 

(Generic Letter (GL) 88-20, Supplement 4 [NRC 1991]), USI A-46 (GL 87-02 [NRC 1987], [SQUG 

1992]), IEB 80-11 [NRC 1980], IEB 79-14 [NRC 1979c], IEB 79-07 [NRC 1979b], and IEB 79-02

[NRC 1979a]. Currently, operating reactors in the United States are reevaluating seismic and 

flooding hazard and risk in response to perceived increases in seismic hazard at U.S. NPP sites 

[NRC 2010c, 2011, and 2012c]. 

Generally, beyond design-basis evaluations have been performed using methodologies of the 

seismic probabilistic risk assessment (PRA) [ASME/ANS 2003, ASME/ANS 2009, EPRI 1994, 

EPRI 2009, and NRC 2009b], PRA-based seismic margin assessment (SMA) [NRC 1991a, NRC 

2012d], Electric Power Research Institute (EPRI) deterministic SMA [EPRI 1991, EPRI 2003], or 

design-basis re-constitution. 

8.2 U.S. Criteria 

Evaluation of beyond design-basis ground motions has been conducted in the United States for all 

operating NPPs in the IPEEE program [NRC 1991a, NRC 1991b]. In the IPEEE program, 

licensees conducted either a seismic probabilistic risk assessment (SPRA) to determine a point 

estimate of core damage frequency or a seismic margin assessment (SMA), which could be either 

deterministic [NRC 1991a] or probabilistic [NRC 1985b]. The target in either case was to 

demonstrate a high confidence of low probability of failure (HCLPF) value of 0.3g peak ground 

acceleration (PGA) for most sites and 0.5g PGA for a few sites in higher seismicity areas. 

For new NPPs to be licensed in the United States, a seismic margin of 1.67 times the 

design-basis ground motion is required to be demonstrated [NRC 1993]. 

For new NPPs, the U.S. practice for design certification and combined operating licenses is to 

perform a PRA-based SMA to determine a lower bound on plant capacity referred to as a 
94

plant-level HCLPF. In this process, the PRA methodology utilizing event trees and fault trees is 

applied, but the resulting plant conditional probability of failure is not convolved with a hazard to 

obtain core damage frequency. While a PRA-based SMA can be used during the design and 

licensing process for new reactors in the United States, a seismic PRA must be completed and 

accepted by the NRC prior to loading fuel in a new NPP [NRC 2008b and 2010b]. The certified 

seismic design response spectrum (CSDRS) is the basis for determining fragilities and HCLPFs of 

the structures, systems, and components (SSCs) that are modeled. The requirement is that the 

Certified Design be demonstrated to have a plant level HCLPF at least 1.67 times the CSDRS. 

For SSCs located in the balance of the NPP that are designed to site-specific ground motions 

(i.e., the ground motion response spectrum or GMRS), the same requirement is imposed (i.e., that 

a plant level HCLPF be demonstrated to be at least 1.67 times the GMRS). This requirement may 

be satisfied by demonstrating that these SSCs individually satisfy the requirement of HCLPFs at 

least 1.67 times the GMRS. However, the requirement is for the plant HCLPF to be at least 1.67 

times the GMRS, not for individual SSCs to be so. 

For new designs, there is likely to be conservatism in the response analysis and design process.

A seismic PRA or PRA-based SMA quantifies this conservatism and its effect on safety goals.

There is some risk that, for new designs that meet only the minimum design requirements, there 

may not be sufficient conservatism in some of the most important SSC designs and the desired 

seismic safety goals may not be achieved. The U.S. addresses this by requiring that a specific 

margin be designed into the safety-related SSCs. As previously discussed, the U.S. goal is to 

have a plant level HCLPF that is at least 1.67 times the Certified Design basis and the design 

certification applicants are addressing this by conducting first a PRA-based SMA and finally a 

seismic PRA. Japan does not specify a target margin and suggests that the probability of 

exceeding the design-basis ground motion be examined but does not currently provide any 

guidance on the decisions that are to be made based on the exceedance probability. 

8.3 Japan Criteria 

The Nuclear Safety Commission (NSC) Regulatory Guide (RG) of September 19, 2006, 

recognizes the possibility of beyond design-basis earthquake ground motions occurring and 

denotes the potential consequences as “residual risk.” Consideration of residual risk is now a 

requirement. The preferred guidance for determining residual risk is that published by the Atomic 

Energy Society of Japan (AESJ) [AESJ 2007]. This seismic probabilistic safety assessment 

(SPSA)1 standard is currently being translated into English by the NRC as part of the NRC-JNES 

bi-lateral seismic cooperation program. While the AESJ guidance addresses plant risk through a 

seismic probabilistic safety assessment (PSA) approach, the guidelines within JEAG 4601-1987 

[NRC 1994] do not specifically address the possibility of larger than S2 ground motions occurring.

Reevaluations of existing plants are ongoing and it is understood that larger ground motions may 

need to be considered. It is clear from the recent good seismic performance of Japan’s NPPs

when subjected to larger than design-basis earthquake motions that significant margin is 

introduced into the design process. 

For Japanese new designs for NPPs being offered to other countries, seismic margin and seismic 

PRA approaches are being implemented to demonstrate margin. 

 

1 SPSA is equivalent to SPRA in the United States.
95

8.4 Similarities and Differences in U.S. and Japan Criteria 

The United States requires a beyond-design-basis earthquake evaluation for operating and new 

NPPs. Existing plants have been evaluated for the IPEEE program to verify that no “cliff-edge 

effects” exist and current activities are underway to reevaluate seismic hazard and risk for the 

U.S. fleet. New plants are required to demonstrate seismic margin above the SSE ground motion

of a plant-level HCLPF of 1.67 times the DBE. This demonstration is to occur during the Certified 

Design phase and verified once a site has been identified and site-specific features are to be 

designed. In addition, after construction, an in-plant evaluation is required to assure that no 

hazards have been introduced during the installation and construction phases and a PRA 

accepted by the NRC is required prior to fuel loading. 

Pre-2006, Japan did not consider beyond-design-basis earthquake ground motions in their 

evaluations. Post-2006, “residual risk” has been identified as a condition to be considered and the 

guidance from AESJ has been chosen as the preferred approach to assessments [AESJ 2007]. 

Regardless, it is not completely clear how beyond-design-basis earthquake motions and the 

residual risk determined by SPSA will be treated within Japan. It is expected that JEAC 4601 or 

JEAG 4601 will provide guidance in this regard. To date, evaluations of existing NPPs for newly 

defined design-basis ground motions have been to existing design criteria (i.e., a design or 

licensing basis re-constitution at some level of detail). 

97

9 SEISMIC INSTRUMENTATION REQUIREMENTS

9.1 General

9.1.1 Overview of Seismic Data Acquisition System

A seismic data acquisition system (SDAS) is a complete seismic monitoring system consisting of 

sensors, and data acquisition units (DAUs) that acquire, store, and transmit digital data from one 

or more systems, including communication hardware and software. 

For new nuclear power plant (NPP) applications, the current state-of-practice is for sensors to be 

accelerometers. In general, the considerations important in an SDAS are discussed below. 

• Robustness. Equipment should operate reliably over long periods of time (i.e., at least 10

years in the environment of the NPP (site and in-structure)). This environment could 

include ranges of temperature, high humidity, dust, and/or other conditions. This may lead 

to requirements for protection against these environmental factors, such as thermal 

insulation, cases or covers, etc. Instrument output should be unaffected by reasonable 

changes in magnetic fields and atmospheric pressure; and reasonable levels of radio 

frequency interference. 

• Measurement type. Acceleration, velocity, displacement, deformation, strain, and 

Damage Indicating Parameters (e.g., Standard Cumulative Absolute Velocity (CAV), 

Japan Meteorological Agency (JMA) Intensity, or others) should be considered. Time 

varying quantities should be recorded as time histories. Peak values of time varying 

quantities may also be recorded for specific applications, such as an Automatic Seismic 

Trip System (ASTS), or manual shutdown. Derived quantities, such as Standard CAV, 

JMA Intensity, or other Damage Indicating Parameters may be useful in determining the 

expected level of damage in the nuclear installation and may define whether an operating 

plant may continue operating or should be shut down within the time frame required by 

regulations after an earthquake. For purposes of this section, the discussion focuses on 

acceleration time series. 

• Directions of recorded motions. In general, for nuclear installations, three directions of 

motion (two horizontal and the vertical) should be recorded. These triaxial sensors, 

including the free-field instrument, should be aligned in the principle directions of the 

installation for ease of use in subsequent evaluations of the structures, systems, and 

components. It is most convenient if these directions coincide with the principal directions 

of analytical models of the structures, systems, and components (SSCs). 

• Dynamic range. The dynamic range of the system is the range of amplitudes that can be 

accurately measured, bounded below by system and site noise or digital resolution, and 

bounded above by the sensor. The dynamic range is typically defined as the signal to 

noise ratio. Dynamic range is measured in decibels (dB) and equivalent bits. 

• Frequency range or bandwidth. The frequency range is the range of frequencies that 

can be accurately reproduced by the recorded data. The overall bandwidth is a function of 

the system (i.e., sensors, cabling, and digitizer bandwidth). Minimum frequency range is 

0.02 to 50 Hz with DC to 100 Hz desirable. Typically, the low frequency range is at 0.01 

Hz. The minimum sampling rate should be 200 samples per second. 
98

• Cross-axis sensitivity. The cross-axis sensitivity is the sensitivity of the measurements in 

one direction to motions in the other two directions. Cross-axis sensitivity should be as low 

as possible. It is usually measured as a ratio of amplitude of motion to that of the main 

direction of interest. 

• Absolute timing accuracy. The recorded motion from multiple instruments should be 

based on a common time scale (instruments should be interconnected). These records 

are appropriately correlated in time for further data assessments. For example, in the 

free-field, the assessment of ground motion incoherency could be made based on the 

recorded data from an array of instruments. On the foundation, rotations of the foundation 

(rocking and torsion) can be derived from multiple instrument recordings to permit 

post-earthquake dynamic analyses of structures subjected to appropriately correlated 

base translations and rotations. In-structure instruments recording motions correlated in 

time with free-field and basemat motions can be interrogated to determine structure 

dynamic characteristics from transfer functions derived from the Fourier transforms of the 

recorded motions. 

• Pre-event memory. Pre-event memory times should be sufficient to capture the P-wave 

motions, when the sensor is triggered to save data by the S-wave motions. A minimum of 

30 seconds is recommended. 

• Recording capacity. Recording capacity should be adequate to capture the entire 

free-field record and the free vibration response of the structure after the strong shaking 

has reached a minimum level. 

• Multiple event recordings. There should be adequate provisions to permit recording and 

data capture of multiple events that may occur within a short time interval, such as a few 

hours. 

Table 9-1 summarizes the performance characteristics of seismic instrumentation systems from 

the 1970s to the current state-of-practice. Although Table 9-1 and the ensuing discussion 

emphasize United States (U.S.) practice, these are general requirements, which are or will be 

adhered to in many countries. 

• Early vintage systems were analog with very limited capability to meet the current 

objectives as itemized above. Early vintage systems may have included response 

spectrum recorders – basically scratch plate devices to directly record response spectral 

ordinates for comparison with design-basis earthquake ground motion parameters. It 

should be noted that scratch plates in NPPs were intended for post-earthquake 

engineering reviews and not for assessment of shut down or restart requirements. 

Because of the two-dimensional nature of scratch plates, the error in measurement of 

ground motion is nearly universally unconservative because out of plane motion causes 

the arms to lift off the plate (and not record) or to dig into the plate (and not move freely).

• The evolution from the early vintage systems to today is shown in Table 9-1. In the United 

States, guidance for seismic instrumentation of NPPs was first issued in the early 1970s 

and denoted a Safety Guide. In April 1974, a revision of the Safety Guide was issued as 

NRC Regulatory Guide (RG) 1.12, “Nuclear Power Plant Instrumentation for Earthquakes,” 

Revision 1. NRC RG 1.12, Revision 1, was revised and issued as Revision 2 in March 

1997. Currently, NRC RG 1.12 is under revision. In all cases, revisions were made to 

accommodate changes in the state-of-knowledge of earthquakes and their characteristics 

and changes in the areas of instrumentation systems. 
99

• The current state-of-practice for SDAS in NPPs is defined in Table 9-1, Column 5, titled 

“2009 Commercial NPP Systems.” Considering the characteristics itemized above, 

systems identified by the parameters of Column 5 meet or exceed all of the requirements 

specified.1

 

• Table 9-1, Columns 6 and 7 identify minimum requirements for two classes of seismic 

instrumentation (Class A and B) as defined by the U.S. Advanced National Seismic 

System (ANSS), which is run by the U.S. Geological Survey. Class A instruments are 

sensors and DAU at or near the state-of-the-art. Class B is one step down from the 

state-of-the-art. Both Class A and B closely match the units described in Column 5, with 

some exceptions. The system requirements of Columns 5, 6, and 7 indicate the current 

state-of-practice. 

Table 9-1 NPP seismic instrumentation performance (Courtesy of Prof. Nigbor, 2010)

Performance 

Parameter

70s-Vintage, 

Kinemetrics 

SMA-3

RG 1.12 

Rev. 2 

1997

ANSI/ANS 

2.2-2002

2009 

Commercial 

NPP Systems 

Advanced 

National 

Seismic 

System 

Class B

Advanced 

National 

Seismic 

System 

Class A

Dynamic Range

(dB) 40 60 60 86-108 >86 >110

Dynamic Range

(equiv. bits) 7 10 10 16-18 ≥16 ≥20

Full-Scale

(g) 1 1 1 3-4 3.5 3.5

Frequency Range

(Hz) 0.2-30 0.2-50 0.02-50 0-50 0.1-35 0.02-50

Sample Rate

(samples/ sec) Analog 200 200 200+ 200(min.) 200(min.)

Cross-Axis Sensitivity

(g/g) 0.03 Not 

specified 0.03 0.01 0.01 0.01

Absolute Timing 

Accuracy

(msec)

No timing Not 

specified

Adequate 

to 

differentiate 

main shock

<1 with GPS <1 <1

Pre-event Memory

(seconds) 0 3 3 99 or greater ≥60 ≥60

Recording Capacity

(minutes) 10 25 25 >100 ≥60 ≥60

 

1 Currently Kinemetrics, Syscom, and GeoSig are certified for NPPs in the United States. 
100

9.1.2 Automatic Seismic Trip Systems 

There are many factors to consider when deciding whether an automatic seismic trip system 

(ASTS) is needed or appropriate for a NPP. Several considerations and their advantages and 

disadvantages are: 

• The level, frequency, and duration of earthquake activity at the NPP site. An 

automatic system is rarely justifiable for sites in areas of low seismic activity. Moderate to 

high seismic areas are more likely to have an ASTS. 

• The seismic capacity of NPP systems compared to the probability of the 

design-basis ground motion occurring at the site. Automatic systems could be used 

as an additional protective measure, particularly in the case of increases in the perception 

of the seismic hazard at the site or when the seismic design-basis has been increased. 

• Safety considerations relating to spurious scrams. An automatic system should not be 

used in places with high levels of ambient noise, including noise induced by other plant 

equipment; spurious scrams may have a negative impact on the perception of the public on 

the reliability of the plant, especially if it leads to a loss of electricity in the public’s daily life. 

• Effects of the superposition of earthquake acceleration on the seismic transient 

induced by an automatic scram. In some cases, a combination of earthquake 

acceleration and seismic transient may be more challenging to plant safety than the 

scenario of an earthquake affecting the plant at full power. 

• Broad ranging safety issues relating to the region if the plant shuts down 

immediately following an earthquake. In some regions with a limited electricity grid and 

few seismically qualified power generation plants, the availability of power in an 

emergency could be essential, and an automatic scram should therefore be used only if it 

is ascertained that there is a challenge to the safety of the plant. This does not, however, 

imply that the Operating Basis Earthquake (OBE) ground motion is exceeded in which 

case the regulatory requirements apply.

• Level of operator confidence and reliability. For a nonautomatic system, the operator 

plays an important part in the decisions on post-earthquake actions and therefore should 

be adequately trained for this contingency. 

• Operator acceptance and appreciation. For large ground motions, in times of high 

stress with many things happening onsite and offsite (such as concerns for family and 

friends), operators may appreciate the decision being automated. 

• Public acceptance. Public acceptance is an important aspect which may influence the 

decision on the approach to adopt. The installation of an automatic trip system may be 

perceived either positively as an additional safety system or negatively as a lack of 

confidence in the seismic design level and the seismic safety of the installation. Public 

opinion depends heavily on the level of experience and education of the population with 

regard to earthquake events. The impact of spurious trips—if perceived directly by the 

public due to a perturbation in the supply of electricity—will probably impact negatively on 

the public perception of the reliability of the plant.

In the United States and Japan, there is some similarity in requirements for ASTS insofar as that for

NPPs in areas of high seismicity, ASTS has been employed. In all NPPs in Japan, a country of high 

seismic areas, ASTS is required. Whereas, in the United States, only two sites, both in areas of high 

seismicity, have ASTS. For NPPs sited in moderate seismic areas, ASTS is not required. 
101

9.2 U.S. Practice 

9.2.1 Seismic Instrumentation in the United States

Several events mark changes in the seismic instrumentation requirements for existing NPPs in the 

United States. 

9.2.1.1 Requirements and guidance from 1973 to 1997

10 CFR 100 Appendix A 

On November 13, 1973, the Atomic Energy Commission (AEC), predecessor to the NRC, issued

Appendix A, “Seismic and Geologic Siting Criteria for Nuclear Power Plants,” to Title 10, Part 100 

of the Code of Federal Regulations (10 CFR Part 100), “Reactor Site Criteria,” effective December 

13, 1973. The regulations require licensees to provide suitable instrumentation so that the seismic 

response of NPP features important to safety can be determined promptly to permit comparison of 

such response with that used as the design basis (Paragraph VI(a)(3)), and to shut down the NPP 

if vibratory ground motion exceeding that of the OBE ground motion occurs (Paragraph V(a)(2)). 

The Supplementary Information to the final regulation (38 FR 31279, Item 6e) included a 

statement that a footnote was added to Section 50.36(c)(2) of 10 CFR Part 50, “Domestic 

Licensing of Production and Utilization Facilities,” to assure that each NPP is aware of the limiting 

condition of operation which is imposed under Section V(2) of Appendix A, “Seismic and Geologic 

Siting Criteria for Nuclear Power Plants,” to 10 CFR Part 100 (if vibratory ground motion 

exceeding the OBE ground motion occurs, shutdown of the NPP will be required). At that time, it 

was the intention of the Commission to treat the OBE ground motion level as a limiting condition 

of operation. From the statement in the Supplementary Information, the Commission directed 

applicants to specifically review 10 CFR Part 100 to be aware of this intention in complying with 

the requirements of 10 CFR 50.36, “Technical Specifications.” Thus, the requirement to shut down 

if ground motion exceeding the OBE level occurs was expected to be implemented by being 

included among the technical specifications submitted by applicants after the adoption of 

Appendix A. In fact, many applicants did not include OBE ground motion exceedance shutdown 

requirements in their technical specifications.

Regulatory Guide 1.12

Revision 1 of RG 1.12, “Instrumentation for Earthquakes,” was issued in April 19742 and describes 

seismic instrumentation acceptable to the AEC staff as satisfying the requirements of Appendix A to 

10 CFR Part 100. The guide endorses, with exception, a variety of earthquake instrumentation types 

mounted on both structures and equipment that are specified in American Nuclear Society Standard 

ANSI N 18.5, “Earthquake Instrumentation Criteria for Nuclear Power Plants.” 

The obligation of the licensee was as stated. If the plant did not shut down as a direct or indirect 

result of the earthquake shaking and if the licensee did not include OBE ground motion shutdown 

requirements in their technical specifications, then the decision to shut down the plant was to be 

made by the NRC when provided all available information. There is no other provision in 10 CFR 

 

2 The current version of this RG is [NRC 1997]
102

Part 50 that requires the licensee to shut down the plant. Therefore, it has been determined that 

the shutdown is an NRC initiated event. 

9.2.1.2 Requirements and guidance from 1997 to Present 

10 CFR 50, Appendix S 

The NRC issued Appendix S, “Earthquake Engineering Criteria for Nuclear Power Plants,” to 

10 CFR Part 50, “Domestic Licensing of Production and Utilization Facilities,” on 

December 11, 1996 (61 FR 65157), effective January 10, 1997. Appendix S to Part 50, 

“Earthquake Engineering Criteria for Nuclear Power Plants,” requires licensees to provide suitable 

instrumentation so that the seismic response of NPP features important to safety can be 

determined promptly to permit comparison of such response with that used as the design-basis 

(Paragraph IV(a)(4)): 

“(4) Required Seismic Instrumentation. Suitable instrumentation must be provided so that 

the seismic response of nuclear power plant features important to safety can be evaluated 

promptly after an earthquake.” 

and to shut down the nuclear power plant if vibratory ground motion exceeding that of the OBE 

ground motion or significant plant damage occurs (Paragraph IV(a)(3)): 

“(3) Required Plant Shutdown. If vibratory ground motion exceeding that of the Operating 

Basis Earthquake Ground Motion or if significant plant damage occurs, the licensee must 

shut down the nuclear power plant. If systems, structures, or components necessary for 

the safe shutdown of the nuclear power plant are not available after the occurrence of the 

Operating Basis Earthquake Ground Motion, the licensee must consult with the 

Commission and must propose a plan for the timely, safe shutdown of the nuclear power 

plant. Prior to resuming operations, the licensee must demonstrate to the Commission that 

no functional damage has occurred to those features necessary for continued operation 

without undue risk to the health and safety of the public and the licensing basis is 

maintained.” 

Licensees of NPPs that are subject to the earthquake engineering criteria in Appendix S to 

10 CFR Part 50 are required by 10 CFR 50.54(ff), “Conditions of Licenses,” to shut down the plant 

if the criteria in Paragraph IV(a)(3) of Appendix S are exceeded (OBE vibratory ground motion or 

significant plant damage). Shutdown initiated by significant plant damage was not included in 

Appendix A to Part 100. 

Regulatory Guide 1.12 Revision 2

Revision 2 of RG 1.12, “Nuclear Power Plant Instrumentation for Earthquakes,” was issued in 

March 1997. This RG describes seismic instrumentation acceptable to the NRC staff to satisfy the 

requirements of Appendix S to 10 CFR Part 50. The consensus standard available at that time, 

ANSI/ANS.2.2-1988, “Earthquake Instrumentation Criteria for Nuclear Power Plants,” was not 

endorsed by the NRC staff because it utilized a variety of earthquake instrumentation types 

mounted on both structures and equipment3

. Experience has shown that data obtained from 

instrumentation located on equipment and piping is contaminated by the vibratory motion 

 

3 The most recent version of the standard is [ANSI/ANS 2002].
103

associated with normal plant operation. Therefore, the NRC issued a government-unique 

standard (RG 1.12) describing a single instrument type (triaxial time-history accelerograph), which

is mounted on structures, not equipment

Regulatory Guide 1.166 

RG 1.166, “Pre-Earthquake Planning and Immediate Nuclear Power Plant Operator 

Post-Earthquake Actions,” issued March 1997, provides guidance acceptable to the NRC staff for 

a timely evaluation of the recorded instrumentation data after an earthquake, and for determining 

whether plant shutdown is required. 

• The evaluation to determine whether the OBE ground motion was exceeded should be 

performed using data obtained from the three components of the free-field ground motion 

(i.e., two horizontal and one vertical). The evaluation may be performed on uncorrected 

earthquake records. It was found in a study of uncorrected versus corrected earthquake 

records (see EPRI NP-5930 [EPRI 1988]) that the use of uncorrected records is 

conservative. The evaluation should consist of a check of the response spectrum and CAV 

and a check on the operability of the instrumentation. This evaluation should take place 

within 4 hours of the earthquake. 

• Pre-earthquake planning includes the selection of a cross-section of safety and non-safety 

related equipment to be inspected in the event the earthquake exceeds the OBE ground 

motion using the guidelines in Section 5.3.1 of EPRI NP-6695, “Guidelines for Nuclear 

Plant Response to an Earthquake” [EPRI 1989]. The results of baseline visual inspections 

of this equipment should be documented in reports, photographs, etc. 

• The evaluation to determine whether “significant plant damage” has occurred should be 

performed using the guidelines that are specified in Sections 4.3.1 (with noted exception) and 

4.3.2 of EPRI NP-6695. The inspections should be similar to those performed by plant 

operators during their normal daily rounds. It is important that the walkdown inspections be 

performed by plant operators familiar with the equipment to be inspected in order to know if 

the physical appearance, leak rates, vibrations levels, and other related attributes have 

changed. 

Regulatory Guide 1.167 

RG 1.167, “Restart of a Nuclear Power Plant Shutdown by a Seismic Event,” [NRC 1997] 

provides guidance acceptable to the NRC staff for performing inspections and tests of NPP 

equipment and structures prior to restart of a plant that has been shut down by a seismic event. 

IAEA Safety Report 66, “Earthquake Preparedness and Response for Nuclear Power Plants,” was 

recently published in 2011, [IAEA 2011]. This report provides an overall methodology addressing 

pre-earthquake planning and post-earthquake actions for NPPs and includes lessons learned 

from activities related to the restart of the Kashiwazaki-Kariwa NPP. This methodology builds on 

the U.S. NRC RGs 1.166 and 1.167 and EPRI NP-6695, including recommended actions to be 

performed if ground motion exceeds the equivalent of the SSE ground motion. This is the first time 

that beyond SSE ground motions are specifically addressed in nuclear guidance. An update to 

EPRI NP-6695 [EPRI 2012a] was completed in 2012, which took into account some aspects of 

IAEA Safety Report 66. 
104

Standard Review Plan Section 3.7.4, “Seismic Instrumentation”

NUREG-0800, “Standard Review Plan for the Review of Safety Analysis Reports for Nuclear 

Power Plants,” (also known as the SRP) was updated and published as Revision 2 in 2007.

Section 3.7.4 of the SRP incorporates Revision 2 of RG 1.12 and RG 1.166. 

The requirements and guidance of 10 CFR 50, Appendix S, SRP Section 3.7.4, and related RGs 

1.12, 1.166, and 1.167 define the current state-of-practice in the United States. 

If an NPP license is governed by 10 CFR 50, Appendix S, the above criteria apply. In this case, 

the obligation of the licensee is to determine if the OBE ground motion exceedance has occurred 

and, if so, take appropriate action to shut down the plant, if the plant did not shut down as a direct

or indirect result of the earthquake shaking. 

9.2.1.3 Current Criteria for New Plants

New plants, as characterized by their Design Certification Documents, adhere to the requirements 

and guidance discussed above, but with a number of exceptions or issues not addressed. 

The NRC is considering a revision to RG 1.12 to incorporate changes in the state of the practice 

in seismic instrumentation and the lessons learned from actual earthquake experiences, 

particularly in Japan. A technical approach document, “Technical Approach, Revision of 

Regulatory Guidance for Nuclear Power Plant Instrumentation for Earthquakes,” [ISL 2012] is 

under review by the U.S. NRC as a first step in the revision process. In parallel, the American 

Nuclear Society (ANS) has formed a committee to revise standard ANSI/ANS 2.2, “Earthquake 

Instrumentation Criteria for Nuclear Power Plants.” 

9.2.2 Automatic Seismic Trip Systems in the United States

In the United States, the implementation of an ASTS is not addressed in the regulations. Hence, 

its implementation would be a plant-specific consideration and decision. 

In the early 1980s, the NRC funded a study performed by Lawrence Livermore National 

Laboratory, “On the Advisability of an Automatic Seismic Scram” [NRC 1981]. The approach was 

to use available models and data to assess the change in a risk metric (specifically core damage 

frequency (CDF)) when an ASTS is installed at a plant. Existing information on plant accident 

sequences and plant behavior was extracted from Safety Analysis Reports and used in 

conjunction with probabilistic risk assessment (PRA) systems models to assess the advantages of 

an ASTS. Specific information on timing of loading conditions induced in systems due to reactor 

trips was used along with the timing of earthquake-induced stresses and deformations to assess 

the impact. Also, the required time of control rod insertion played a role. A realistic analysis for a 

specific site and plant requires site-specific and plant-specific data. Such data was not available 

for the study and generic data for a hypothetical plant was used. 

A decision-tree modeling approach was used to compare the risks (CDF) of employing an ASTS 

compared to not employing an ASTS. For the hypothetical plant, and using data from many 

sources, the results showed that an ASTS would reduce the probability of an earthquake-induced 

core damage event by about a factor of three. Partially offsetting this advantage was the 

disadvantage of inadvertent reactor trips. This study is 30-years old. All aspects of NPP design 

have significantly changed in the ensuing three decades. If it were deemed necessary to revisit 

the decision to require ASTS for all plants or a subset of plants, a study using similar tools for 
105

current designs and existing sites could be performed to provide additional information for 

decisionmaking. 

Only two plants in the United States have ASTS: Diablo Canyon Power Plant and San Onofre 

Nuclear Generating Station. Both are in areas of high seismicity. 

9.3 Japan Practice 

9.3.1 Seismic Instrumentation in Japan

There are no legal seismic instrumentation requirements in Japan separate from those for the 

ASTS (Section 9.3.2). In addition to the seismic instrumentation requirements for ASTS, the 

licensee decides on the number and type of instruments and their placement in the free-field and

on the structures (with approval of the regulator). Generally, the focus is on instruments to record 

acceleration time histories. Also, there is a focus on recording three components of motion.

Typical practice in Japan is the installation of free-field instruments on the soil or rock free surface 

and downhole instruments to a depth of 300 or 400 m. Downhole instruments are intended to 

provide information on motions at depth to compare with design-basis ground motion 

specifications that are at depth on hypothetical outcrops. On-foundation and in-structure 

instruments range in number from 5 to many 10s of instruments per unit. 

Generally, the instruments are maintained regularly and tested for operability multiple times per 

year. If instrumentation systems do not meet the guidelines of Section 10.1, upgrades will be 

implemented over the next years. These upgrades will especially address lessons learned from

the NCO earthquake with regard to not over-writing main shock records with aftershock data and 

ensuring data transmission capability to decisionmakers. 

9.3.2 Automatic Seismic Trip Systems in Japan

NPP units in Japan are required to have in place an ASTS. Appendix A contains the relevant legal 

requirements and the implementation guidelines as stated in JEAG 4601-1987. 

Overall requirements are for the system to have redundancy, independence from other reactor 

systems, qualification to seismic plus other loading conditions, testability (to assure operability), 

and logic for shutdown that accounts for multiple exceedances before shutdown is initiated. The 

trigger point for shutdown is peak accelerations less than or equal to about 70 to 90 percent of the 

S1 in terms of pre-2006 nomenclature and likely about 70 to 90 percent of the Sd (the OBE ground 

motion equivalent). 

The decision to require ASTS for NPP units in Japan is supported by a number of factors: 

• Lessons learned from actual earthquakes. The example of a lesson learned from an 

actual earthquake is the experience of Mr. Yoshitaka Irisawa, Shift Supervisor, 

Kashiwazaki-Kariwa Nuclear Power Plant, Unit 4, when the Niigata-ken Chūetsu-Oki 

earthquake occurred on July 1, 2007 [Irisawa 2009]. In summary, Mr. Irisawa praised the 

“Success of the Scram” as it promptly shutdown the reactor and consequently calmed the 

operating staff, which led to their being able to perform their other duties in a calm and 

professional manner. Mr. Irisawa and staff were commended by the Japan Society of 

Mechanical Engineering for their outstanding contribution to the reactor safety. 

• Scramability. The term “scramability” refers to the demonstrated ability of the control rods 

to be inserted during the earthquake shaking of the plant. This phenomenon encompasses 
106

two aspects of plant shutdown. The first is the ability of the control rods to be inserted into 

the core in the required time taking into account the seismic demand imposed on the core, 

control rods, and control rod insertion system. This seismic demand includes relative 

deformations of the core on the control rod channels. The second aspect is the load 

combination of the reactor scram and loads imposed by transients or other events. Both 

aspects are important. An automatic seismic system set at trigger levels less than the Sd

(OBE) or Ss (SSE) is expected to cause control rod insertion to be completed before 

strong shaking occurs and before loading conditions from consequential events are 

imposed on the core, control rods, and control rod insertion system. 

Given the performance history and the judgment of Japanese regulators and licensees, it is highly 

unlikely that the requirement for ASTS will be relaxed in the future. 

9.4 Similarities and Differences in U.S. and Japan Practice 

Seismic Instrumentation 

The U.S. practice for seismic instrumentation is generally significantly less rigorous than that of 

Japan4

. As described in Section 9.2, seismic instrumentation for existing NPP units appears to be less 

prescriptive with more decisions left to the licensee. This practice meets the legal requirements of the 

United States. For new plants, a review of the Certified Design documentation generally commits to 

RG 1.12, Revision 2, requirements, but with some exceptions. However, the NRC is considering a 

revision to U.S. NRC RG 1.12, which is likely to address issues such as those itemized in Section 9.1 

that are not addressed in the current RG. In addition, typical new plant configurations have many 

structures founded on a very large basemat (termed a nuclear island), which adds new elements to 

the decisionmaking process (e.g., the number and placement of sensors may change). 

The practice in Japan is to install numerous instruments to capture the free-field and in-structure 

motions due to actual earthquakes. They also install downhole instruments. Their practice adheres to 

many of the principles of Section 9.1 with commitments to improve those areas where improvement is 

necessary. Due to the high seismic activity in Japan, these practices are prudent. 

A more robust approach to seismic instrumentation systems in the United States may be prudent 

particularly given the experience at the North Anna Power Plant (NAPP) after the 2011 Mineral, 

Virginia, earthquake [NRC 2013]. If the ground motion and induced structure response during an 

earthquake are not accurately recorded, the structural response cannot be determined with 

confidence, or if the ground motions cannot be determined quickly (as was the case at NAPP), very 

difficult shutdown and restart decisions will need to be made by the NRC and the licensee. At least a 

minimum level of seismic instrumentation with assurance of its operability when an earthquake occurs 

should be ensured. 

Automatic Seismic Trip System 

The philosophy of requiring automatic scram systems differs for the United States and Japan. In the 

United States, on a plant-specific basis (typically, in high seismic areas), automatic scram systems 

may be required for some NPPs. In Japan, ASTS is required for all NPP units. It should be noted that 

 

4 The only notable exception is the U.S. requirement of a nuclear-specific certification of seismic monitoring 

instrumentation that accounts for the unique needs of NPPs, such as radiation resistance.
107

all Japanese plants are located in areas of high seismicity. It is unlikely that the respective 

philosophies will change in the near future. 

109

10 SUMMARY AND CONCLUSIONS

Globally, the two countries considered to have the most developed seismic design standards and 

calculational methods for nuclear facilities with emphasis on nuclear power plants (NPPs) are the 

United States and Japan. Thousands of person-years of effort over 5 decades have been devoted 

to developing these standards and methods for nuclear facilities. In addition, Japan has 

experienced several earthquakes that have directly affected NPPs with ground motions exceeding 

the S1 or S2, and in some cases significantly exceeding the S2. In these cases, minimal or no 

damage to safety-related structures, systems, and components (SSCs) was observed. Even for 

the 2011 Tōhoku earthquake, evidence suggests that damage of safety-related SSCs due to 

ground motion was not significant at any of the affected NPPs. Further, field experiments and 

laboratory testing in the United States, Japan, and Taiwan over this same period have illuminated 

aspects of the standards and the conservatism contained therein. All of these factors have led to 

the evolution of seismic design standards and calculational methods over the five decades. The 

lesson learned from the aggregate of these experiences is that seismic design of NPPs in the 

United States and Japan has been demonstrated to be highly effective when tested by actual 

earthquake shaking. 

In this context, a review and comparison of the state of practice in the United States and Japan is

appropriate. The United States, Japan, and other countries can learn from these experiences and 

introduce appropriate changes to their seismic design standards and calculational methods. It is 

important to note, however, that seismic hazard assessment and seismic design must always be 

considered in the context of the seismo-tectonic environment in which the country exists. Nearly 

the entire country of Japan is situated in an area of high seismicity and both subduction and active 

crustal mechanisms are at work. The United States, in contrast, is highly varied with seismicity 

rates that range from very high to very low across its territory and with nearly every 

seismo-tectonic environment found within its borders. It should be expected, therefore, that 

differences in assessment, design, and regulatory approaches exist between the two countries.

Seismic design and qualification is a complicated process with a significant number of interrelated 

parameters and required analytical steps. The comparison of different seismic design and 

qualification criteria requires the careful consideration of each of these interrelated parameters 

and analyses. As might be expected, the overall conclusion from this review of the U.S. and 

Japanese criteria is that there are a number of more conservative and less conservative 

parameters within each of these national seismic criteria with respect to the other. The 

identification of these differences provides valuable insights into both the reasons for differing 

responses to actual earthquakes within the United States and in Japan, and the areas where 

changes may be recommended in future revisions to the seismic design codes and standards 

within both countries. Because of the analytical and computational complexities inherent in the 

seismic design process, it is not possible to conclude which criteria (U.S. or Japan) may be more 

conservative overall without examining specific designs for a unique plant application. 

There is also the question of the conservatism integrated into the process of defining the 

design-basis ground motions starting with the seismic hazard analysis. The very different 

approaches for seismic hazard analysis, as well as the fault displacement hazard analysis, in the 

United States and Japan would need to be analyzed to fully appreciate the conservatism that may 

exist in a design of a plant located at a particular site. Currently both countries are reevaluating

seismic hazard at operating reactor sites. It is worth noting, though, that the use of the term 

“conservative” has less meaning for the probabilistic seismic hazard assessment (PSHA) used in 

the United States. First, the objective of PSHA is an accurate assessment of the probability of a 

particular ground motion, with a full accounting of uncertainty. Second, because all ground 
110

motions have associated probabilities, it is unclear what an assessment of conservatism would be 

against in terms of the baseline value. 

Conservatism in NPP design is appropriate. However, excess conservatism in one aspect of the 

design may have a negative impact on the overall safety of the plant. An example of this point is 

the conflict between adding piping supports to increase the dynamic characteristics (natural 

frequencies) of a piping system, which simultaneously increases the stress in the piping system 

caused by thermal loads. The overall effect on safety is not apparent. 

One way to quantify differences in implementation of the seismic analysis, design, and 

qualification processes for the United States and Japan is to perform a pilot study whereby a 

given design is compared step-by-step to quantify the conservatism or unconservatism in each 

step. An abbreviated effort in this regard is being performed for the International Atomic Energy 

Agency Extra-Budgetary Kashiwazaki-Kariwa Research Initiative for Seismic Margin Assessment 

(or KARISMA) project. 

The key comparisons of Sections 3 through 7 are summarized in Tables 10-1 through 10-5, which 

are expansions of those presented by Kassawara [2008]. Sections 8 and 9 are summarized below. 

In summary, some elements of the seismic design process can be clearly defined as being more 

or less conservative and the relative conservatism of other elements cannot be defined without 

more specific comparisons. The comparison of Japan Pre-2006 and the U.S. Pre-2007 criteria is 

significant because it is these criteria that applied to the analysis, design, and qualification of 

operating plants in Japan (prior to any upgrading that occurred because of the new seismic 

design-basis earthquake ground motion definitions) and the United States, and are summarized 

below. In both cases, experience has shown that the level of conservatism in seismic design in 

NPPs in the United States and Japan against any particular design ground motion is high.

Elements of the seismic analysis, design, and qualification processes for which Japan is 

more conservative than the United States (Japan Pre-2006 compared to U.S. Pre-2007) 

• Structure damping values used in linear analysis are lower in Japan than in the United 

States. 

• Damping values for some equipment, components, and piping are lower in Japan than in 

the United States. 

• Implementation, testing and maintenance of modern seismic instrumentation systems are 

required in Japan and not in the United States. 

• Testing for equipment seismic performance and fragility is performed in Japan, while proof 

testing is performed in the United States. 

Elements of the seismic analysis, design, and qualification processes for which the United 

States is more conservative than Japan (Japan Pre-2006 compared to U.S. Pre-2007) 

• All safety-related SSCs (Seismic Category I) are designed to safe shutdown earthquake 

(SSE) ground motion (by comparison, under the Japan criteria safety-related equipment is 

designed to S1 and only a subset is assessed for functionality under the S2 ground 

motion). 

• Soil-structure-interaction (SSI) analyses to determine the structure response are 

performed for soil and soft rock sites. The structure response used for design, including as
111

input to subsystems, is defined as the envelope of the responses for three soil profile 

cases in the United States; only a best estimate soil profile is considered in Japan.

• In-structure response spectra are developed with peaks broadened ±15 percent in the 

United States as compared to ±10 percent in Japan. 

• Three components of earthquake ground motion are considered simultaneously in the SSI 

analyses.

• All combinations of loss-of-coolant accident (LOCA) loadings are combined with the SSE 

ground motions.

• Equipment qualification testing is required.

• Beyond design-basis ground motion evaluations are required for new plants; acceptance 

criteria for new plants, plant-level high confidence of low probability of failure (HCLPF) 

values must be greater than 1.67 times the design-basis ground motion. A seismic 

probabilistic risk assessment (SPRA) is required prior to loading of fuel in new reactors.

• For existing plants, similar (though early vintage) beyond design-basis assessment 

procedures were previously implemented and assessments performed during the 

Individual Plant Examination of External Events (IPEEE) program in the last 1990s. These 

assessment approaches subsequently matured and expanded into a number of tools that 

now exist for a variety of design, assessment, and operational uses. The current 

risk-informed performance-based operational and regulatory framework is a direct result of 

that early work and the lessons learned. Licensees are now in the process of reassessing

the seismic hazard for all U.S. operating reactors and the U.S. Nuclear Regulatory 

Commission (NRC) will use the beyond design-basis tools for those NPPs whose new 

estimated ground motion exceeds the original design.

Elements of the seismic analysis, design, and qualification processes for which the 

relative conservatism is currently unknown (Japan Pre-2006 compared to U.S. Pre-2007) 

• Probability of occurrence of peak values of design ground motion (e.g., Peak Ground 

Acceleration (PGA), Peak Ground Velocity, and Peak Ground Displacement) for the 

operating reactors is currently unknown, although analyses to determine this information 

are underway. 

• In Japan, maximum of static and dynamic loads are used for design (e.g., a static loading 

of 0.6g for structures and 0.72g for equipment, piping, etc.) 

• In the United States, the minimum design ground motion at foundation level in the free-field 

has a minimum PGA of 0.1g anchoring a spectral shape appropriate for foundation level 

(outcrop or in-column motion). Most commonly a RG 1.60 (“Design Response Spectra for 

Seismic Design of Nuclear Power Plants”) spectrum anchored at a 0.1g PGA is used. 

• Automatic Seismic Trip Systems are required for all NPP units in Japan.

Elements of the seismic analysis, design, and qualification processes that are very 

favorable for Japan in reducing uncertainty in dynamic behavior of SSCs and verifying 

seismic capacity 

• Extensive testing program to verify behavior of soil-structure systems (SSI phenomena 

and methods of analysis) 
112

• Extensive testing program to define the stiffness, nonlinear behavior, and capacity of 

structure elements, e.g., shear walls 

• Extensive testing program to define the behavior of equipment, piping, and other 

components

Other elements of the seismic criteria are judged to be similar in conservatism. 

Perspective 

Historically, both the U.S. and the Japanese practices have used deterministic approaches in all 

aspects of the seismic analysis, design, and regulation. However, over the years, and particularly 

in connection with the new reactors, the U.S. practices are moving toward a more 

performance-based, risk-informed regulatory framework. The Japanese practice has recently 

begun to look at very limited aspects of risk-informed considerations. Its practice is still basically 

deterministic. The following describes how the risk-informed aspects are currently being used and 

provides a brief comparison of the two practices. 

Japan has introduced the “residual risk” concept in 2006; however, the approach taken in seismic 

hazard assessment and seismic design is still inherently deterministic in nature. As in the most 

deterministic practices, the focus in Japan is on assuring that a high level of conservatism exists

at every step in the design process, such that Japanese NPPs have significant margin above the 

design-basis earthquake (DBE) ground motion used. There is an assumption that the DBE ground 

motion used is sufficiently rare for the site of interest.

By contrast, the U.S. uses a mixed approach. For existing operating NPPs, meeting the NRC’s 

seismic-safety regulations still means meeting a complex set of deterministic regulations that are 

demonstrated by deterministic evaluations. This includes how the design-basis earthquake (the 

SSE) still in use was selected, although a probabilistic reevaluation of that SSE is now under way 

for all existing plants. For new designs, the same set of deterministic regulations, demonstrated by 

deterministic analyses, is still in place, except that the selection of the SSE for a new plant must 

follow a probabilistic seismic hazard approach tied to a specific annual frequency of exceedance.

What is new is that the regulatory evaluation of the design, which uses deterministic criteria similar 

to those used for the existing operating plants, is supplemented by a risk-informed and 

performance-based evaluation of the seismic adequacy of the plant-as-a-whole. This evaluation 

provides a clearer way to understand conservatisms inherent in the design and provides an 

opportunity to risk-inform the entire design practice. 

These two philosophies are so different that the relative conservatism of the outcomes of the two 

approaches cannot be known a priori. The conservatism of any regulatory framework for an NPP 

can only be assessed through a comparison of the true response of the NPP against the true 

hazard at its site. A seismic probabilistic risk assessment provides a means to evaluate the 

conservatisms. 

Although for new plants the United States relies in part on a performance-based, risk-informed 

framework, the process of seismic analysis, seismic design, and seismic qualification of SSCs is 

deterministic by choice and the practicality of design. Deterministic procedures (methods and 

parameter values) are developed and evaluated to assure that the implementation of seismic 

analysis, seismic design, and seismic qualification for SSCs leads to SSC seismic performance 

that meets the risk guidelines. 

A comparison of the results of the deterministic seismic analysis, design, and qualification process 

step-by-step is less satisfying than a comparison of SPRA results; however, it is still a valuable 

exercise. The end result is a comparison of the design loading conditions for SSCs, including 

loads, in-structure response spectra (ISRS) for qualification of equipment, components, and 
113

distribution systems, and other design quantities. This comparison could be conditional on the 

DBE or include the effects of the DBE. The end result quantifies the degree of relative 

conservatism introduced in various steps of the seismic analysis chain by U.S. procedures 

compared to the procedures of Japan. The end result could also be interpreted in the risk 

framework as a surrogate for core damage frequency (CDF) or large early release frequency 

(LERF), such as onset of inelastic deformation. This is a very valuable and practical assessment 

process recognizing the multi-disciplinary nature of the process. 

For the above reasons, the discussions in this document are framed to provide clarity and insights into 

the similarities and differences of the two regulatory approaches and frameworks. This document does 

not, and cannot, provide a strict “apples to apples” comparison of each step in the process.
114

Table 10-1 Elements of design-basis earthquake ground motion in the United States and 

Japan in operating and new reactors 

Elements of the 

Process

Japan

Pre-2006 Design

Japan

Post-2006 

Design

U.S.

Pre-2007 

Design

U.S.

Post-2007 Design

Seismic Hazard 

Analysis 

Deterministic, 

Empirical GMPE

(ground motion 

prediction 

equation), and 

Fault Simulation

Deterministic, 

Empirical GMPE, 

and Fault 

Simulation; 

Probabilistic for 

Residual Risk 

Evaluation 

Deterministic 

with 

Supporting 

Probabilistic 

Analysis

PSHA with 

Application of senior 

seismic hazard 

analysis committee 

(SSHAC) Level 3 or 4; 

SSHAC level 2 

studies may be used 

to update regional 

SSHAC 3 or 4 studies 

if the underlying 

regional model is still 

valid.

Spectral Shape

Standard 

Response Spectra 

Shapes (based on 

M, d)

To be determined

Generally 

RG 1.60 or 

similar 

spectrum 

Probabilistic seismic 

hazard analysis 

(PSHA) with site 

response analysis

incorporated as 

appropriate

Design-Basis Ground 

Motion

S1 Maximum 

Design 

Earthquake and 

S2 Extreme 

Design 

Earthquake

Ss (Design-Basis 

Ground Motion) 

and Sd (Elastic 

Design Ground 

Motion)

Operating 

Basis 

Earthquake 

(OBE) 

Ground 

Motion and 

Safe 

Shutdown 

Earthquake 

(SSE) 

Ground 

Motion

Certified Seismic 

Design Response 

Spectra (for Certified 

Design) and ground 

motion response 

spectra (GMRS) 

site-specific hazard 

with minimum (below) 

used for non-standard 

design and of 

assessing suitability of 

certified design (and 

to design the balance 

of plant.

Control Point

Free Surface of 

Base Stratum 

(Rock)

Free Surface of 

Base Stratum 

(Rock)

Top of Grade 

(TOG) or 

Rock Outcrop 

for Layered 

Sites

Actual or hypothetical 

rock outcrop or TOG 

as defined in 

RG 1.208 

Spatial Components Horizontal + 

Vertical (statically)

Horizontal + 

Vertical

Three 

Components Three Components

Minimum Earthquake

Scenario M = 6.5, Dhyp = 10 

Minimum Ground 

Motion

Static Applied 

Load

Static Applied 

Load

10 CFR 50, Appendix 

S (0.1g + spectral 

shape at foundation)
115

Table 10-2 Elements of SSI and structure response in the United States and Japan in 

operating and new reactors

Elements 

of the 

Process

Japan

Pre-2006

Design

Japan

Post-2006

Design

U.S.

Pre-2007 Design

U.S.

Post-2007 Design

Input 

Motion

Derived from S1 and 

S2 specified on Base 

Stratum (with 1D

wave propagation 

theory applied to 

propagate motion to 

other locations, if 

necessary); 

Recorded time 

histories or artificially 

generated; 

Horizontal 

component

Assume to be 

derived from Ss and 

Sd specified on Base 

Stratum (with 1D 

wave theory applied 

to propagate motion 

to other locations, if 

necessary); Assume 

recorded time 

histories or artificially 

generated; 

Horizontal and 

vertical components.

Defined TOG or on 

outcrop of competent 

material (1D-wave 

propagation theory to 

propagate to other 

locations, if 

necessary); three 

components (two 

horizontal and the 

vertical)

Defined TOG, FIRS, 

or other locations 

taking into account 

site response

analyses from hard 

rock to location of 

interest; three 

components (two 

horizontal and the 

vertical).

Soil Profiles Equivalent Linear 

Best Estimate

Assume Equivalent 

Linear Best Estimate

Three soil profiles

(equivalent linear) 

BE, UB =(1+COV) 

BE, LB=BE/(1+COV)

Envelope results

Three soil profiles 

(equivalent 

linear) - BE, 

UB=(1+COV)BE, 

LB=BE/(1+COV)

Envelope results

Structure 

Damping

Specified – relatively 

low To be determined RG 1.61 RG 1.61

Nonlinear

Behavior of

Soil-Structu

re Interface

Sliding and Uplift 

Analyzed for Class 

As Structures for S2

To be determined

Check for Sliding, 

Uplift, Separation 

(Separation modeled

equivalent linearly)

Check for Sliding, 

Uplift, Separation 

(Separation modeled

equivalent linearly)

Nonlinear 

Behavior

of Structure

Nonlinear Structure 

Behavior Analyzed 

for Class As

Structures for S2

Nonlinear Structure

Behavior to be 

Analyzed for Class S 

Structures for Ss

Modeled as 

Equivalent Linear

Modeled as 

Equivalent Linear

Structure 

Responses

Dynamic 

Forces/Moments to 

be Combined with 

Static Vertical 

Component;

In-structure response 

spectra (ISRS) peak 

broadened ± 10% 

and smoothed 

(horizontal only).

Dynamic 

Forces/Moments for 

Horizontal and 

Vertical Input 

Motions. ISRS to be 

determined.

Envelope of three 

soil cases; Dynamic 

Forces/Moments for 

Two Horizontal and 

the Vertical Input 

Motions combined by 

Algebraic Sum, 

SRSS,100/40/40, 

others; ISRS

envelope of three 

soil cases, peak 

broadened +/- 15%, 

smoothed and 

valleys filled in.

Envelope of three 

soil cases; Dynamic 

Forces/Moments for

Two Horizontal and 

the Vertical Input 

Motions combined by 

Algebraic Sum, 

SRSS, 100/40/40, 

others;

ISRS envelope of 

three soil cases, 

peak broadened 

±15%, smoothed and 

valleys filled in.
116

Table 10-3 Seismic classifications in the United States and Japan in operating and new 

reactors 

Japan

Pre-2006

Japan

Post-2006

U.S.

Pre-2007 Design

U.S.

Post-2007 Design

Seismic Classification

Classes As, A, B and C 

Classes As and A 

designed to maximum 

of S1 and static 

Class As evaluated to 

S2 

Classes B and C 

designed to static loads 

Classes S, B, and C; 

Class S is combination 

of Classes As and A 

SSCs and some Class 

B equipment; 

Class S SSCs 

elastically designed to 

maximum of EDGM Sd

and static;

Class S evaluated to 

Ss; 

Classes B and C 

unchanged 

Seismic Categories –

I and –II and 

non-seismic; 

SC–I designed to 

OBE and SSE; 

SC–II evaluated to 

assure no failure, 

which would cause 

failure to SC–I SSCs; 

Non-seismic SSCs 

designed to industrial 

standards 

Seismic Categories

–I and –II and 

non-seismic; 

SC–I designed to 

SSE; 

SC–II evaluated to 

assure no failure, 

which would cause 

failure to SC–I 

SSCs; 

Non-seismic SSCs 

designed to 

industrial standards

Table 10-4 Structure design in the United States and Japan in operating and new reactors

Japan

Pre-2006

Japan

Post-2006

U.S.

Pre-2007 Design

U.S.

Post-2007 

Design

Structure Loads See Table 6-1 See Table 6-2 

Envelope of three 

soil cases; 

Dynamic 

Forces/Moments 

for Two 

Horizontal and 

the Vertical Input 

Motions 

combined by 

Algebraic Sum, 

SRSS, 100/40/40, 

others

Envelope of three 

soil cases; 

Dynamic 

Forces/Moments 

for Two 

Horizontal and 

the Vertical Input 

Motions 

combined by 

Algebraic Sum, 

SRSS, 100/40/40, 

others

Structure Design

S1* - Suitable 

Standard Building 

Code

S2 – demonstrate 

margin to ultimate 

strength for Class 

As SSCs 

Sd - Suitable 

Standard Building 

Code

Ss – demonstrate 

margin to ultimate 

strength for Class 

S SSCs 

NRC SRP and 

RGs, Industry 

Codes 

NRC SRP and 

RGs, Industry 

Codes
117

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A-1

APPENDIX A 

SUMMARY OF KEY LEGAL REQUIREMENTS 

AND GUIDELINES IN JAPAN

Table A-1 Legal requirements and guidelines in Japan in place at the time of the 2011

Tōhoku earthquake

Governing 

Organization

Codes or 

Guides Provisions

Nuclear Safety 

Commission of 

Japan 

(NSC)

“Regulatory 

Guide for 

Reviewing 

Safety 

Design of 

Light Water 

Nuclear 

Power 

Reactor 

Facilities”

Guidelines 34 to 40: “Safety Protection System” 

Guideline 34: Redundancy of the safety protection system

The safety protection system shall be designed to be redundant 

such that it does not lose its safety protection function even when a 

malfunction of a piece of equipment or subsystem that makes up 

the safety protection system occurs, or when a piece of equipment 

or a subsystem is removed from service. 

Guideline 35: Independence of the safety protection system

The safety protection system shall be designed so that elements 

that make up the system are separated from one another. 

Independence of the elements should be considered to the extent 

practicable so the safety protection system does not lose its safety 

protection function at the time of normal operation, maintenance, 

tests, and abnormal conditions. 

Guideline 36: Function of safety protection system at the time 

of a transient

The safety protection system shall be designed to detect an 

abnormal condition should an abnormal transient occur during 

normal operation. The safety protection system should 

automatically activate appropriate systems including the reactor 

shutdown system, and the allowable design limit of the fuel should 

not be exceeded. 

Guideline 37: Function of safety protection system at the time 

of an accident

The safety protection system shall be designed to detect an 

abnormal condition at the time of an accident and to automatically 

activate reactor shutdown system and engineered safety features.
A-2

Table A-1 Legal requirements and guidelines in Japan in place at the time of the 2011 

Tōhoku earthquake (continued)

Governing 

Organization

Codes or 

Guides Provisions

Nuclear Safety 

Commission 

of Japan

(NSC) 

“Regulator

y Guide for 

Reviewing 

Safety 

Design 

of Light 

Water 

Nuclear 

Power 

Reactor 

Facilities”

Guideline 38: Function of safety protection system at 

the time of a malfunction

The safety protection system shall be designed so that the 

reactor is brought to a safe condition even if loss of power, 

system cutoff, or other unfavorable conditions occur.

Guideline 39: Separation of safety protection system 

from measurement and control systems

The safety protection system shall be designed to be 

functionally independent from measurement and control 

systems so as not to lose inadvertently its safety protection 

function due to the measurement and control systems if it 

shares a part of the system with measurement and control 

systems. 

Guideline 40: Testability of safety protection system

The safety protection system shall be designed so that it can

be tested at regular intervals during reactor operation and so 

that each subsystem can be tested independently to check 

that integrity and redundancy are maintained. 

Ministry of 

Economy, 

Trade, and 

Industry 

(METI) 

METI 

Ordinance 

Number 62 

(before 

Jan 2006

revision)

Article 22: "Emergency Shutdown Features" 

At a nuclear power plant (NPP), features with the following 

functions shall be installed: 

• Systems and components to detect, without fail, the 

possibility that the reactor may be unable to continue to 

operate safely due to significant increase of thermal 

output of the reactor, significant decrease of the removal 

capability of the heat generated in the reactor pressure 

vessel, or occurrence of earthquake ground motions

• Systems and components needed to shut down the 

reactor operation automatically and promptly such that 

the allowable fuel damage limit is never exceeded

Interpretation

In the “Interpretation” of Article 22, it was also stated that one 

of the conditions that may adversely affect safe operation of 

the reactor is “excessive earthquake acceleration.” So it was 

believed that it was legally required to scram the reactor with 

a signal from the seismic trigger (acceleration) in Japan. 
A-3

Table A-1 Legal requirements and guidelines in Japan in place at the time of the 2011 

Tōhoku earthquake (continued)

Governing 

Organization

Codes or 

Guides Provisions

Ministry of 

Economy, 

Trade, and 

Industry 

(METI)

METI 

Ordinance 

Number 62

(after

Jan 2006

revision)

Article 22: "Safety Protection Features" 

An NPP shall design the safety protection features to 

address the criteria below.

1. In the event of an abnormal transient during operation or

a disruption of the reactor operation due to an occurrence 

of earthquake, the safety protection features (in 

cooperation with the reactor shutdown systems and the 

engineered safety features) shall function in order to keep 

the reactor below the allowable fuel damage limit. 

2. Equipment or subsystem that make up the system are to

be redundant so that the safety protection system does

not lose its safety protection function even when a single 

malfunction to the equipment or subsystem might occur, 

or when equipment or subsystem are removed from 

service. 

(Criteria 3 through 7 are not applicable here) 

Interpretation

In the “Interpretation” of Article 22, it is stated that the 

function of the safety protection features shall be confirmed 

to meet the specifications and safety evaluation conditions in 

the established licensing documents. Additionally, "Double 1 

out of 2" logic is described as one example to meet the 

requirement of Item 2. (See the figure at the end of this table 

for an example of Double 1 out of 2 logic)
A-4

Table A-1 Legal requirements and guidelines in Japan in place at the time of the 2011 

Tōhoku earthquake (continued)

Governing 

Organization

Codes or 

Guides Provisions

Japan Electric 

Association 

(JEA)

JEAG

4601-1987

(Endorsed 

by the 

Nuclear 

and 

Industrial 

Safety 

Agency of 

Japan) 

Attachment 3: "Earthquake detecting equipment"

In an NPP, if the nuclear reactor cannot continue to operate 

safely, this state must be detected by a safety protection 

system and the operation of the nuclear reactor must be shut 

down automatically. During an earthquake, if certain 

abnormal phenomena caused by the earthquake take place 

such that the nuclear reactor cannot continue to be operated 

safely, the nuclear reactor must be shut down by this safety 

protection system.

In the case where the seismic motion is greater than the 

design seismic motion for the safety-related equipment, the 

nuclear reaction should be shut down in order to effectively 

ensure the safety of the NPP. For this purpose, an 

earthquake motion-detecting system that can shut down the 

nuclear reactor (if the earthquake motion is above a certain 

shaking level) must be installed in the NPP as a safety 

protection system. 

For the earthquake-motion detecting system, the location of 

the seismometer (also called “seismic trigger” below), the 

SCRAM triggering level, and the earthquake SCRAM logic 

circuit are as follows: 

(1) Location of seismic trigger

The location of the seismic trigger of the earthquake-motion 

detecting system should be determined with consideration of

the objective for which the seismic motion is to be detected. 

The selected location should be easily accessible for 

maintenance and inspection activities. The location should 

be chosen to ensure, with high reliability, that the motions 

observed by the monitoring equipment could be effectively 

used to meet the objective. As a result, the seismic trigger 

should be located on the same floor as the equipment

important to safety that it is intended to protect. 

Specifically, in a building that contains equipment important 

to safety, the seismic trigger is oriented in the horizontal 

direction and located on the lowest story of the building in 

order to effectively detect the seismic motion input to the 

building. In some cases, a seismic trigger, oriented in the 

horizontal direction, is also located on a “typical” floor on an

upper floor, and a seismic trigger oriented in the vertical 

direction is also located on a “typical” floor. 

(2) Earthquake SCRAM acceleration level
A-5

Table A-1 Legal requirements and guidelines in Japan in place at the time of the 2011 

Tōhoku earthquake (continued)

Governing 

Organization

Codes or 

Guides Provisions

The SCRAM trigger level is the predetermined acceleration 

value at which the nuclear reactor is shut down automatically 

by the earthquake detection system. To meet its stated 

purpose, the system must be able to reliably detect seismic 

accelerations near or exceeding the amplitude of the S1

seismic design motion because this is seismic design level 

of interest to the equipment important to safety. 

(3) Earthquake SCRAM logic circuit

The earthquake-motion detection device is a safety 

protection system that can automatically stop the nuclear 

reactor quickly after an earthquake takes place. Based on 

the basic design guideline of the safety protection system, 

the earthquake scram logic circuit may have the form of 

"double 1 out of 2" or the form of "2 out of 3," as shown in 

the figure below. 





NUREG/CR-7230 Seismic Design Standards and Calculational Methods in the United States and Japan May 2017