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1
Introduction
HIGHLIGHTS
This chapter
· Introduces deep submergence science as a specific subset of
ocean science (to establish its importance as well as the vagueness
of the current definition of deep submergence science)
· Describes the nature of assets used (to demonstrate the variety
and distribution of platforms available; i.e., the "mix" of technology)
· Discusses the nature, role, and organization of the National
Deep Submergence Facility (to establish how its "management" can
foster or limit scientific inquiry)
· Introduces the problem as described by the statement of task
(to clarify the breadth of the task)
· Describes the organization of the report (to demonstrate that
a logical approach was used and to foreshadow the committee's
conclusions)
Major advances in the understanding of the oceans have been
achieved in the last 40 years. Thanks to a combination of careful planning
and serendipity, ocean scientists have revolutionized the view of life on
Earth, changed understanding of global tectonic processes and the role of
the oceans in climate change, uncovered lost relics of human history, and
discovered hundreds of new species.
9
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FUTURE NEEDS IN DEEP SUBMERGENCE SCIENCE
Much of this exciting science was made possible through the use of
deep-diving submersibles (see Box 1-1, Plate la,b), including the well-
known human-operated vehicle (HOV) Alvin, first launched nearly 40
years ago. Despite the excellent maintenance that has allowed Alvin to
make more than 3,600 safe dives and modifications allowing it to take a
pilot and two scientists to depths of 4,500m, periodic calls for its replace-
ment have occurred. These calls have been prompted by a part of the
ocean science community that would like more capable vehicles, defined
variously, but including one with better visibility; faster transit time to
and from the surface, which would result in increased bottom time; and
greater depth capabilities (Brown et al., 2000~. Although significant im-
provements have also been made in the design and operation of remotely
operated vehicles (ROVs), autonomous underwater vehicles (AUVs), and
a variety of in situ remote sensing and sampling instruments, the deepest
part of the water column and bottom remains just beyond the reach of
science.
The United States has been a dominant player in ocean sciences for
at least 50 years. Since World War II, and throughout the Cold War, the
Office of Naval Research (ONR) has been a major driver and fonder of
this research. ONR financed the construction of much of the equipment
and instrumentation required, including deep-diving vehicles such as
Alvin, which is owned by the U.S. Navy but operated by the National
Deep Submergence Facility (NDSF) as a civilian research asset.
The United States is not the only nation active in the deep ocean. More
than 200 human-occupied deep submergence vehicles (DSVs)~ have been
built worldwide since World War II, with only a few of them dedicated to
scientific research. Japan, France, and Russia all operate their own deep-
diving research HOVs (the French Nautile, which descends to 6,000m; the
Japanese Shinkai 6500, going to depths of 6,500m; and the Russian Mir I
and Mir II, which are capable of reaching 6,000m). In addition, the U.S.
Navy's Sea Cliff submersible replaced Trieste II in 1982 and was the first
6,000-m non-bathyscaph HOV. Although several U.S. entities operate
submersibles at depths up to 1,000m, very few can exceed that depth and
only the Alvin can dive below 2,000m. The focus of the U.S. Navy has
shifted away from deep water over the last 10 years in response to geopo-
litical developments that call for greater focus on littoral environments.
iThe term "DSV" has traditionally been used to signify a human-occupied deep submers-
ible. As the nature of these assets has diversified however, other more descriptive terms
have been employed to define specific submersible types (e.g., occupied-unoccupied, re-
motely operated, tethered-untethered). The currently accepted definition of DSV, and the
one used in this report, connotes any deep submergence vehicle whether it is human occu-
pied, remotely controlled, or autonomous in its operation.
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INTRODUCTION
11
Thus, ONR has reduced its focus on, and support for, deep submergence
science.
DEEP SUBMERGENCE SCIENCE
Deep submergence science is defined both scientifically and opera-
tionally. Based on scientific criteria, the deep sea is defined as beginning
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FUTURE NEEDS IN DEEP SUBMERGENCE SCIENCE
at 150 to 200m (or the lower limit of the epipelagic zone) (Marshall, 1979;
Herring, 2002~. The operational definition of deep submergence has been
arbitrarily set at depths greater than 1,500 to 2,000m, based primarily on
the depth capabilities of Alvin and Jason II. As a result of this operational
definition and funding history, Alvin, Jason II, and other assets that are
part of NDSF (see Plate 2) are the only submersibles in the University-
National Oceanographic Laboratory System (UNOLS) and thus eligible
for National Science Foundation (NSF) support from operations funds.
NSF's Ocean Sciences Division (OCE) research funding supports projects
in deep submergence science at depths shallower than 1,500m (e.g., some
of the RIDGE program research, deep-sea larval biology, gas hydrate re-
search, and studies conducted in midwater environments), for which both
NDSF and non-NDSF platforms are used. Several HOVs and ROVs are
available and appropriate for work at depths shallower than 1,500m, but
mechanisms for funding these assets as part of NSF/OCE research pro-
posals are perceived to discriminate against their use (UNOLS, 1999~.
Because deep submergence science is often conducted at depths much
shallower than 1,500m, the committee has adopted the scientific defini-
tion of deep sea (i.e., the area of the ocean greater than 200m) as the basis
for its recommendations concerning future needs in deep submergence
science. Plate 3 depicts the depths of the oceans' basins and graphically
represents the areas in which Alvin is capable of diving. Chapter 2 docu-
ments the diverse nature and significance of deep submergence science
and discusses the geographic and water column depth ranges in which
this science has to be conducted.
Techniques for sampling the ocean's depths have evolved over the
last century and have generally involved sending a sampling instrument
to a point within the water column or to the bottom of the ocean and then
retrieving it. Charles Darwin on the Beagle, using a simple dredge low-
ered by a hand line, was one of the first to systematically collect samples
from deepwater benthic communities. Today there are many ways of col-
lecting samples from the water column as well as the bottom of the ocean,
but these methods all have their limitations. Nets and dredges are apt to
damage specimens, especially if they are gelatinous (e.g., jellyfish), and
provide little to no context of the surrounding area from which the sample
was taken. Additionally, this sampling process is difficult if not impos-
sible to carry out during special events (e.g., hydrothermal vent activity)
or situations that require the researcher to exercise extraordinarily fine
control (e.g., capturing a fish; inserting a water chemistry sensor into the
outflow from a hydrothermal vent if the probe is off by as much as 1 cm,
the data will not be valid). This human dimension of submersible con-
trol which includes, for example, sensory-motor skills, reflexes, prop-
rioception (the sensory feedback often referred to as "muscle memory"
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INTRODUCTION
13
for specific tasks), and the pilot's and scientist's ability to develop a cogni-
tive map of the area in which they are working is applicable to both
HOVs and ROVs. Piloting either type of vehicle demands intense concen-
tration and the ability to exert fine control over the vehicle to obtain exact
and specific data and samples.
The scientific need to visit the deep ocean, obtain intact samples (in
contrast to trawls, for example, which most often damage or destroy speci-
mens), conduct experiments, and view a location in real time has spurred
the development of deep submergence vehicles. Whether visiting these
depths in person in an HOV or remotely with an ROV, there is a clear and
legitimate scientific imperative to continue to develop those technologies
that will allow visitation of the deep ocean.
Deep submergence science requires a level of sophistication and a tech-
nology that can withstand the immense pressures found as ocean depth
increases. For humans to directly investigate depths below 300m requires
the use of a 1-atmosphere (aim) chamber (i.e., the pressure within the cham-
ber is 1 aim, or that found at sea level), made from glass, steel, massive cast
acrylics, or titanium. These are currently the only materials strong enough
to withstand the crushing weight of the sea and allow a human to pilot the
vehicle with no special protection other than the vehicle itself. Remotely
operated and autonomous vehicles do not require any special chamber to
protect a human occupant and thus are not constrained by any life-support
systems, which make them less expensive to build and certify. Conversely,
an HOV has a person on the scene at depth as opposed to a relatively inex-
pensive ROV equipped with sensors and cameras.
The choices are expensive life-support systems to protect a person
viewing the scene through a viewport, versus less expensive remote ve-
hicles that have image capture systems with a human operator on the
surface. Although this study does not attempt to answer the question of
which system is better in all situations, the strengths and limitations of
HOVs, ROVs, and AUVs are considered. It can be said, however, that
although ROVs and AUVs could undoubtedly become more sophisti-
cated, possibly supplanting the need for human scientists to directly carry
out deep ocean research in many instances, the added value of human
perspectives will remain significant.
The National Deep Submergence Facility
The Woods Hole Oceanographic Institution (WHOI) has operated the
primary U.S. deep water research HOV, Alvin, since 1964, initially sup-
ported by a mix of short-term research and engineering contracts and
grants. In 1974, the "significance of maintaining a core deep submergence
operational team was recognized by ONR, NOAA [the National Oceanic
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4
FUTURE NEEDS IN DEEP SUBMERGENCE SCIENCE
and Atmospheric Administration] and NSF . . . when they established the
National Deep Submergence Facility (NDSF) at WHOI and formulated a
Memorandum of Agreement (MOA) to share the operating costs of the
facility" (UNOLS, 1994~. This agreement was later revised to provide a
safety net of minimum facility funding to maintain the core capability if
research funding for use of the capability dropped too low.
Three years before the formation of the NDSF, UNOLS was estab-
lished, with assistance from NSF and ONR, to coordinate U.S. oceano-
graphic research ship schedules and facilities. The 1972 UNOLS charter
includes provisions for national oceanographic facilities, of which NDSF
is a prime example. Consequently, a standing committee of UNOLS, the
DEep Submergence Science Committee (DESSC) currently has primary
science community advisory responsibilities for the NDSF. UNOLS also
coordinates the scheduling of support ships required for submergence
operations. In sum, the NDSF was initially formed by MOA among the
three primary deep submergence funding agencies, and it also has clear
formal links within UNOLS. The vast majority of NDSF vehicle time is
funded by NSF/OCE, NOAA's National Undersea Research Program
(NURP), and activities of NOAA's Office of Ocean Exploration. Among
these programs, NSF/OCE accounts for nearly 80 percent of NDSF ve-
hicle operation days.
Deep Submergence Vehicles
Human-Occupied Vehicles
The Alvin, NDSF's only operating HOV, is a three-person vehicle (one
pilot and two scientific observers) capable of diving to 4,500m and re-
maining submerged for 10 hours under normal conditions and up to 72
hours on emergency power. The typical dive profile for Alvin is to leave
the sea surface by allowing water to enter the main ballast tanks and liter-
ally sink under her own weight to the desired depth, usually the ocean
bottom. She carries steel plates that make her negatively buoyant for the
descent, and some of these are released when the desired dive depth is
reached, resulting in neutral buoyancy. The remaining plates are carried
throughout the dive and are dropped to obtain positive buoyancy for re-
turn to the surface. Once Alvin achieves neutral buoyancy at a desired
depth, the variable ballast system allows adjustment of the vehicle's
weight by plus or minus 250 pounds for vertical excursions between dif-
ferent operating depths, usually limited to a 1,000-m-depth range due to
time and battery power constraints. Observations are made through three
small viewports (one in front and one on each side), as well as with a
number of video cameras coupled to multiple in-hull monitors. The Alvin
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INTRODUCTION
15
also has a viewport on the bottom that is no longer used for viewing.
However, it is equipped with a sensor to ensure that the acrylic port mate-
rial does not melt when maneuvering around hot vents. In addition to a
pair of manipulator arms, various scientific payloads may be attached to
the front of Alvin for collecting samples and performing experiments. The
greatest drawbacks to the Alvin are (1) the visibility is limited (viewports
are small and not optimally placed for many viewing requirements); (2)
the sphere is cramped (observers and pilots must squeeze into awkward
positions in order to share available space not occupied by internal sys-
tem components); and (3) the lead-acid battery energy source can result in
power-related dive limitations.
Remotely Operated Vehicles
ROVs are unoccupied, tethered submersibles with an umbilical cable
that runs from the pilot (either onboard a mother ship, on land, or even on
an HOV) to the ROV. In the United States, the Navy first developed this
technology. Major commercial use of ROVs began with the development
of the North Sea offshore oil and gas industry in the mid-1970s.
The umbilical cable carries power, pilot control input, and feedback
from sensors and video cameras. Because a wireless signal quickly fades,
reflects, and is otherwise attenuated under water, the only reliable means of
accurately controlling a remote underwater vehicle is through an umbilical
cable. While increased bandwidth in acoustic communications and im-
proved task-level control have made remote control of untethered remote
vehicles a possibility in the future (NRC, 1996), this technology will likely
not include video feed, and thus not provide high-level feedback, reducing
the applications for wireless control. Typically, an ROV will have cameras,
video transmitted live to the pilot to aid in navigation, high-intensity lights,
thrusters for control, manipulators, and a basket or platform for mounting
equipment. The operation and control room accommodates several scien-
tists that view the images and interact, in real time, with each other and
with the pilot. While most ROVs have a manipulator arm, their functional-
ity can vary dramatically. Some of the drawbacks of ROVs center around
the problems associated with operating the vehicle remotely: (1) a cognitive
mapping difficulty caused by lack of on-scene navigation; (2) the tether,
which can hamper operation, especially in trenches, on walls, and in areas
where entanglement may occur; (3) the need for higher-definition cameras
and three-dimensional feedback that would attempt to mimic navigation in
an HOV; and (4) the lack of a visual feedback mechanism comparable to the
human eye, which can make precision piloting extremely difficult (e.g.,
navigating in reference to pycnoclines that can be seen only as a "shimmer"
in the water). Furthermore, tether movement can cause turbulence, which
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FUTURE NEEDS IN DEEP SUBMERGENCE SCIENCE
can set off bioluminescent displays that prohibit accurate characterization
of the in situ light field. Finally, multiple organisms or particles in three-
dimensional space cannot be identified or quantified while either the water
mass or the DSV is moving because of focusing and pan-tilt limitations not
imposed upon the human eye. Conversely, ROVs offer many benefits in-
cluding reduced risk to human operators, enhanced potential for collabora-
tion through real-time sharing of information with surface ship and scien-
tists ashore, and virtually limitless bottom time. The best use of the vehicle,
however, may differ from mission to mission depending on the needs of
the principal investigator.
Autonomous Underwater Vehicles
An AUV is an unoccupied, untethered, usually programmable under-
water vehicle that is capable of roaming the ocean depths without pilot
input. Although AUVs have been under development for several decades,
they have progressed more slowly than ROVs, due mainly to technologi-
cal challenges associated with their power sources and control. In the
1960s and 1970s, AUV development was funded primarily by the military
for missions to search large areas under ice and in deep water over long
time periods (NRC, 1996~. It is only recently that applications have turned
toward oceanographic science.
The AUV carries instruments that map the seafloor and measure a
variety of physical and chemical ocean properties; they may transmit that
information via a temporary connection to the launching station, surface
at intervals to upload information via satellites, or store the information
to be retrieved only when the AUV is physically recovered. By virtue of
their relatively small size, limited capacity for scientific payloads, and
autonomous nature, AUVs do not have the range of capabilities of HOVs
and ROVs. They are, however, better suited for reconnoitering large areas
of the ocean that could take years to cover by other means. AUVs are thus
frequently used to identify prospective regions of interest that can be ex-
plored further with HOVs or ROVs.
SCOPE OF THIS REPORT
Over the last 20 years, a number of workshops have been held in
which members of the U.S. deep submergence scientific community have
discussed research priorities and assembled a "wish list" for needed new
equipment (UNOLS, 1990, 1999~. High on their list is a new, state-of-the-
art HOV capable of descending to 6,000m or more. Deeper-diving AUVs
and ROVs are also in demand. NSF/OCE is interested in assisting this
very productive segment of the ocean sciences community and asked the
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INTRODUCTION
17
National Academies to carry out an independent, objective assessment of
the scientific and engineering needs and opportunities before making such
a large infrastructure commitment (the formal statement of task can be
seen in Box 1-2~. In addition to the fiscal constraints specified in the state-
ment of task, NSF/OCE indicated that capital investment will have to be
made in the next two fiscal years if a new HOV is to be built during this
decade (J. Yoder, National Science Foundation, Arlington, Va., written
communication, 2003~. Plans are currently under way to begin implemen-
tation of the research fleet upgrades recommended in a Federal Oceano-
graphic Facilities Committee2 report published in December 2001 and
2The Federal Oceanographic Facilities Committee is a federal interagency committee that
operates as part of the National Ocean Partnership Program created by Congress in 1997
through enactment of Public Law 201-104.
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FUTURE NEEDS IN DEEP SUBMERGENCE SCIENCE
entitled Charting the Futurefor the National Academic Research Fleet: A Long
Range Plan for Renewal (Federal Oceanographic Facilities Committee, Na-
tional Oceanographic Partnership Program, 2001~. NSF/OCE is planning
to cover the costs of constructing one Regional Class ship every two years
beginning in FY 2006.
The purpose of this study is to provide NSF with recommendations
for its consideration regarding activities to provide infrastructure support
through NDSF or other means for basic research at depth in the oceans.
As such, the discussions in this report are designed to inform this ques-
tion and are not intended to provide an exhaustive account of all research-
related activities carried out at depth or a complete account of all the po-
tential assets that exist. The discussion of assets in this report is limited,
therefore, to those that establish whether adequate DSVs exist within or
without the NSDF. Furthermore any recommendations made in this re-
port are above and beyond the needs of other large programs such as
NSF's Ocean Observatories Initiative or activities falling within the realm
of ocean exploration.
Approach and Information Needs
To evaluate future directions of deep submergence science in the
United States, as well as the facility requirements and range of deep sub-
mergence technologies needed to conduct this science, a number of issues
had to be considered. In an effort to evaluate options, the committee chose
to systematically examine the question in terms of scientific need, techni-
cal requirements, necessary capabilities, and appropriate capacity. As the
capabilities of both HOVs and unoccupied vehicles evolve, the demand
for these platforms will also evolve (for example, if the enhancements rec-
ommended in Chapter 4 for NDSF's HOV are followed, the user base for
that HOV will likely diversify and expand). The committee has declined
to be drawn into a rhetorical debate about the proper mix of platforms 10
to 20 years in the future.
The DESCEND (Developing Submergence SCiencE for the Next De-
cade) report identified a number of laudable scientific goals but did not
specify the unique role that deep submergence science would play or spe-
cifically what capabilities are needed to support targeted research to
achieve these goals (UNOLS, 1999~. There is a general and detailed list of
desired capabilities, but these are not mapped to specific research initia-
tives. Input from the deep submergence community and a variety of
oceanographic disciplines helped determine the science requirements, the
geographic locations, depth ranges, and the current and future technolo-
gies needed for deep submergence science.
Understanding the limitations imposed on research carried out in the
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INTRODUCTION
19
deep ocean requires knowledge of the mechanisms for awarding research
funds and providing access to needed technology (e.g., as currently un-
derstood, obtaining funding and obtaining access to equipment involve
separate processes). While Alvin and Jason II are currently oversubscribed,
suggesting that demand exceeds availability, information on the pattern
of use, criteria used to evaluate requests, rate of request denials, and rela-
tionship of scheduling access to resources maintained by NDSF was ex-
amined. Similarly, information on the funding proposal review processes
used by NSF, likely level of funds to support research, and proposal suc-
cess rates was also considered.
The technical capabilities for conducting deep submergence science
have been examined extensively. Documents such as a 2001 article in the
Marine Technology Society Journal on the development of undersea tech-
nologies (Rona, 2001), the 1999 DESCEND report (UNOLS, 1999), Under-
sea Vehicles and National Needs (NRC, 1996), The Global Abyss report
(UNOLS, 1994), and Submersible Science Study for the l 990s (UNOLS, 1990)
offer insights into the thinking of at least some subset of the user commu-
nity. The present study expands on the perceived research needs and ca-
pabilities for the future. For example, the role of unique capabilities to
enable high-priority science (i.e., how factors like human presence versus
extended bottom time or range enable specific research efforts) is dis-
cussed and evaluated with respect to determining the depth capabilities
and pattern of use for Alvin and other deep submersibles. Threshold
depths and their corresponding geologic features (e.g., continental slope,
abyssal plain, mid-ocean ridges, and deep trenches) are evaluated as an
aid in determining the needs for deep ocean research platforms within the
United States. The strengths and limitations of using HOVs, ROVs, and
AUVs are discussed in detail to help specify the future needs for deep
submergence assets as mapped to specific mission goals.
As the only NDSF HOV, Alvin's capabilities, strengths, and limita-
tions have been evaluated (e.g., visibility, payload, bottom time, maneu-
verability) and recommendations made that consider deep submergence
needs weighed against respective costs and benefits. Within the overall
context of deep submergence science, use of Alvin is considered only as a
component of an entire suite of DSV assets. In consideration of deep sub-
mergence needs and Alvin's important role, various options are provided
that range from keeping Alvin as is, to improving it, to replacing it with a
variety of different configurations. These replacement or modification
options offer a range of improvements (e.g., improved bottom time, ma-
nipulator dexterity, data transmission, payload, and visibility) at various
cost levels.
With adequate maintenance, Alvin could operate well into the fore-
seeable future. Although near-term replacement of Alvin may not be nec-
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FUTURE NEEDS IN DEEP SUBMERGENCE SCIENCE
essary, there is reason to believe that expanded capabilities are needed to
support deep ocean research more fully. Potential construction costs for
its replacement, as well as alternative designs and subsystem replace-
ments for its upgrade, with consideration of annual maintenance and op-
erating costs, are presented to inform a decision on whether to maintain,
upgrade, or replace the Alvin.
Early in the study, the potential role of a full-ocean-depth HOV was
raised. During subsequent discussions it was concluded that giving seri-
ous consideration to the potential construction and viability of an 11,000-
m HOV was beyond the scope of the charge to the committee. The design
and construction of such a vessel cannot be completed within the two-to
three-year time frame NSF/OCE currently has to fund and initiate the
construction of a possible HOV. For example, all of the existing deep-
diving HOVs are designed around a sphere. To develop an HOV using
proven designs and materials with similar occupant volume, while in-
creasing the depth capability from 6,500 to 11,000m, would require dou-
bling the weight of the sphere. For the new 6,500-m DSV, the titanium
hull weight is approximately 11,000 pounds, or one-third the total HOV
weight of 32,000 pounds. Doubling the sphere weight would nearly
double the full-ocean-depth HOV weight and would place it well beyond
the capacity of the support ship Atlantis. Modifying the Atlantis to handle
a vehicle of such weight would place the total cost well beyond the NSF
budget. Even if all of the components necessary to build an 11,000m HOV
were available off the shelf, there is no certification test facility for such
pressures. Given these limitations, it is simply not feasible for NSF to de-
sign and build a full-ocean-depth HOV for $25 million in two years. Given
the short time available to provide NSF with advice, the committee fo-
cused on examining feasible options. Therefore, design approaches and
the scientific value of a full-ocean-depth vehicle were not explored.
The potential utilization of non-U.S. facilities (e.g., HOVs from the
Japanese Marine Science and Technology Center and the French Institute
for Exploration of the Sea) was explored, but except for the Russian Mirs,
which are available for lease, this option does not appear to be practical.
The principal impediment is that the vehicles and their support vessels
are typically fully scheduled with the needs of their home countries.
ORGANIZATION OF THE REPORT
The main focus of this report is to provide the evidence and argu-
ments needed, as well as a range of options, to evaluate the greatest deep
submergence vehicle capability for a set dollar amount. These issues are
discussed at length and provide NSF with a list of possibilities for main-
taining and improving NDSF assets.
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INTRODUCTION
21
Chapter 2 begins by defining deep submergence science. It documents
the diverse nature of deep submergence science and describes the types
of science conducted in the deep ocean as well as the geographic locations
for current and proposed research. The hazards and difficulties of work-
ing at depth are outlined and the suite of available deep submergence
platforms is introduced.
Chapter 3 further documents the strengths and limitations of various
platform designs within the current suite of NDSF assets. An analysis of
the number, suitability, and distribution of existing deep submergence
assets (including non-NDSF vehicles) is made to support calls for expan-
sion of available assets by improving current vehicles as well as adding
other assets.
Chapter 4 explores the options for providing greater capabilities over
a broader geographic range and articulates the justification for improving
access to, and the utilization of, the nation's deep submergence assets.
Additionally, options for upgrading individual components of ROVs and
HOVs are presented as they relate to general mission goals. The chapter's
focus is on improving the overall capability of the deep submergence fleet,
including the standardization of tool sets and interfaces to be used on a
broader range of deep-diving vehicles, HOVs and ROVs combined.
Chapter 5 brings together the individual findings to provide a coher-
ent vision of how the agencies should support deep submergence science
in the next 10-20 years.
Appendix A contains biographical sketches of members of the Com-
mittee on Future Needs in Deep Submergence Science. Although acro-
nyms used in this report are redefined in each chapter, a complete list is
provided in Appendix B. Appendix C contains a list of AUVs and their
home institutions. Appendix D is a table of Jason II and the proposed HOV
estimated subsystem weights and costs.
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Representative terms from entire chapter:
submergence science
