1. SUBSAFE and the NASA / Navy Benchmarking Exchange
CAPT(s) S. E. Iwanowicz, USN
Director of Submarine Safety & Quality Assurance
Naval Sea Systems Command

2. Agenda Origins of SUBSAFE Program Overview
Origins of the NASA / Navy Benchmarking Exchange Program
Questions

3. Origins

4. USS THRESHER (SSN-593) was launched in 1960.
The first ship of her class
the leading edge of US submarine technology:
combining nuclear power with a modern hull design;
including many newly-designed components and equipment.
She was fast, quiet, and deep diving

5. While engaged in a deep test dive
April 10, 1963:
While engaged in a deep test dive
approximately 200 miles off the northeast coast of the
United States,
THRESHER was lost at sea with all aboard
112 Officers and Enlisted;
17 civilians
died

6. USS THRESHER Investigations
Court of Inquiry
Design Appraisal Board
Congressional Committee Hearings
Focus:
Design
Construction
Operation

7. Investigation Results
“… too far, too fast…”
Deficient Specifications
Deficient Shipbuilding and Maintenance Practices
Incomplete or Non-Existent Records
Work Accomplished
Critical Materials
Critical Processes
Deficient Operational Procedures

8. Investigation Conclusions
Catastrophic Flooding in the Engine Room
Unable to secure from flooding
Salt water spray on electrical switchboards
Loss of propulsion power
Unable to blow Main Ballast Tanks

9. Inception of SUBSAFE
“the 20 December 1963 Letter” established Submarine Safety Certification Criterion
Defined the basic foundation and structure of the program that is still in place today:
Design Requirements
Initial SUBSAFE Certification Requirements & Process
Certification Continuity Requirements and Process

10. Purpose & Focus
The purpose of the SUBSAFE Program is to provide “maximum reasonable assurance” of:
Hull integrity to preclude flooding
Operability and integrity of critical systems and components to control and recover from a flooding casualty

11. “Maximum Reasonable Assurance”
Achieved by:
Initial SUBSAFE Certification
Each submarine meets SUBSAFE requirements upon delivery to the Navy
Maintaining SUBSAFE Certification
Required throughout the life of the submarine
The SUBSAFE Certification status of a submarine is fundamental to its mission capability

12. Establishing & Maintaining SUBSAFE Certification
The Triad:
Audits
Re-Entry Control
URO/MRC Program
All atop a
Base of SUBSAFE Technical Requirements
Maximum reasonable assurance is achieved through establishing the initial certification and then by maintaining it through the life of the submarine

13. SUBSAFE Program Success
1915 – 1963
16 submarines lost to non-combat causes
1915: USS F-4 (SS-23)
1917: USS F-4 (SS-20)
1920: USS H-1 (SS-28)
USS S-5 (SS-110)
1923: USS O-5 (SS-66)
1926: USS S-51 (SS-162)
1927: USS S-4 (SS-109)
1939: USS SQUALUS (SS-192)
1941: USS O-9 (SS-70)
1942: USS S-26 (SS-131)
USS R-19 (SS-96)
1943: USS R-12 (SS-89)
1944: USS S-28 (SS-133)
1949: USS COCHINO (SS-345)
1958: USS STICKLEBACK (SS-415)
1963: USS THRESHER (SSN-593)
Present
1 submarine lost to non-combat causes
1968: USS SCORPION (SSN-598)
SCORPION was not SUBSAFE certified
Loss would not have been prevented by the SUBSAFE Program
NO SUBSAFE-CERTIFIED SUBMARINE HAS EVER BEEN LOST
SUBSAFE Program inception after THRESHER was lost

14. Video
The THRESHER Disaster

15. 2. SUBSAFE Overview
“trust, but verify…”

16. SUBSAFE Culture The SUBSAFE Program provides:
a thorough and systematic approach to quality
a philosophy and an attitude that permeates the entire submarine community
SUBSAFE Technical Requirements:
applied at design inception
carried through to purchasing, material receipt, and assembly / installation
examined & included at the component level, the system level, the interactions between systems, and aggregate effects (DFSs)
included in maintenance / modernization and operating parameters

17. SUBSAFE Culture Work Discipline Material Control Documentation
Knowledge / Training
Compliance
Material Control
Correct Material Installed Correctly
Documentation
Design Products
Objective Quality Evidence (OQE)

18. LOK &Training Annual NAVSEA SUBSAFE Training
Provides an overview of the SUBSAFE program.
Covers deficiencies and trends encountered throughout the previous years.
Discusses the necessity to avoid complacency in your job and how to effectively implement long-term corrective and preventive actions to resolve problems.

19. LOK & Training Activity Based Training
Activity-specific training plans are established to concentrate on areas that require additional attention.
Activity-specific training plans are reviewed for compliance during Functional Audits.
LOK assessments are performed during Functional Audits

20. Material Control & Documentation
Objective Quality Evidence
Certification is strictly based on OQE
OQE is any statement of fact pertaining to the quality of a product or service based on observations, measurements, or tests which can be verified.
either quantitative or qualitative
OQE is defined from technical requirements
Based on the integrity & responsibility of individuals
OQE provides verifiable evidence that deliberate steps were taken to comply with requirements

21. Trust, but Verify SUBSAFE Audits
SUBSAFE Certification Audits review the Objective Quality Evidence associated with an individual ship to ensure that the material condition of that specific submarine is satisfactory for sea trial and unrestricted operations
SUBSAFE Functional Audits review the policies, procedures, and practices used by activities to perform SUBSAFE work to ensure that they comply with SUBSAFE requirements

22. Vertical Audits & Horizontal Audits
An intensive examination of the documentation that was used to SUBSAFE certify components from receipt through final installation.
Horizontal Audit: the parts equaling the whole
In SUBSAFE Certification Audits specific areas of the SUBSAFE boundary are audited.
Examples are, Hull Structure, Piping, Testing, Configuration Management, etc.
The results of auditing these specific areas provides an overall picture of the work performed on a specific hull.

23. SUBSAFE Culture
The SUBSAFE program relies upon recruiting, training, and retaining highly qualified people who are held personally accountable and responsible for safety
In the SUBSAFE program, complacency is addressed by:
Performing periodic rigorous audits of all SUBSAFE Activities & Products
Maintaining command level visibility
Maintaining the independent authority of the SUBSAFE Program Director – accountable for safety, not cost or schedule

24. Main Points
The SUBSAFE Program permeates all levels of the submarine community: the Fleet, shipbuilders, maintenance providers, NAVSEA, Operational Commanders, etc.
They believe in it and understand it.
Oversight and enforcement of Program tenets are vital to continued success
The entire program is based on personal responsibility & personal accountability - without it, you are lost
Compliance verification & OQE are fundamental to certification for URO
Talented dedicated people & good training are key
Vigilance, vigilance, vigilance – FIGHT COMPLACENCY
The more complex a system, the more assurance you need
Team effort & x-pollination pay big dividends
Continual assaults on the Program from real-world constraints
The real challenge is to properly manage the non-conformances

25. 3. Origins of the NASA / Navy Benchmarking Exchange Program

26. NNBE Beginnings
NASA/Navy Benchmarking Exchange (NNBE) initiated by NASA Administrator letter to Secretary of the Navy dated 13 Jun 02
Purpose:
identify practices and procedures and share lessons learned in NASA’s human space flight program and the Navy’s submarine program
Focus:
safety and mission assurance policies, processes, accountability, and control measures

27. Similarities Extreme environments High energy systems
Required integration of complex systems in highly complex vehicles.
Highest levels of safety & reliability must be maintained for craft to perform their missions, often over long periods of time.
Design, testing, operation, and maintenance of the craft require firm technical basis and compliance verification.
Critical systems exist whose failure or lack of operation will have catastrophic consequences.

28. Differences Operating environments Cultural environments
Degrees of reliance on evolution and legacy of design
Weight and volume criticalities
Safety and mission assurance requirements management
Verification and compliance approaches

29. NNBE Audits & Projects Program
MOA signed 15 Feb 05
Reciprocal rights to participate in audits & projects
Conducted at the invitation of the party of the program or project
Provides a learning opportunity for each party

30. MOA between NAVSEA and NASA
Responsibilities:
NAVSEA to provide opportunity for NASA participation in audits
Provide read ahead material, on-site space, establish number of participants
NASA to provide opportunities for Navy participation in review and assessment of
NASA Engineering and QA audits
Headquarters-led institutional and programmatic audits
MOA reviewed every two years for the purpose of
Reaffirming organizational commitment
Share lessons learned to strengthen each others audit objectives

31. NNBE Scope
NNBE team to closely examined two aspects of submarine safety
New design / construction (initial certification)
Maintenance & Modernization (sustaining certification)
Major Themes
Management & Organization
Safety Requirements (technical and administrative)
Safety Implementation Processes
Safety Compliance Verification Processes
Safety Certification Processes

32. Phase 1 NASA learns about the Navy
Visits & activities coordinated by NAVSEA 07Q:
NAVSEA HQ
NAVSEA 08 Brief (1 Oct 02)
SUBSAFE Working Group (17 Sept 02)
PMS450
NAVSEA 05
PMS392
SUPSHIP GROTON SSFA (23 Sept 02)
EB CORP (16 Oct 02)
PNSY (21Oct 02)
SUBMEPP (22 Oct 02)
SHAPEC (23 Oct 02)
NAVSEALOGCEN
(23 Oct 02)

33. Key Observations of SUBSAFE Processes
Excerpts from NNBE reports:
Clearly documented and achievable safety requirements, with minimal use of waivers or tailoring
A centralized technical authority and a large operational experience base facilitate continuous learning and improvement in design, manufacturing, and operations.
Enables evolutionary design (from one ship class to next)
Requirements implemented through capable and carefully controlled processes

34. Key Observations of SUBSAFE Processes
Compliance is verified through rigorous in-line management control and assurance processes
Compliance is also verified independently of program management by a separate compliance verification organization
Strong submarine community-wide safety culture with emphasis (training & awareness) on understanding and learning from past failures

35. Phase 2 Navy learns about NASA
Visits coordinated by NASA office of Safety & Mission Assurance:
NASA HQ (5 Nov 02)
Johnson Space Center (JSC-1) (5 Nov 02)
Kennedy Space Center (KSC-1) (7 Jan 03)
Observed Flight Readiness Review for COLUMBIA launch (9 Jan 03)

36. The bitterness of poor quality lingers long after the sweetness of meeting a schedule is forgotten

37. 4. Questions