6500m HOV Project

Stage 1: A-4500 HOV

Project Execution Plan

Document Control No.: 0000000 10-November-2009

Document Control Sheet

Date Originator Description 08-29-09 S. Humphris Initial Draft 09-05-09 S. Humphris Rev: Edits by C. German, D. Fornari 11-10-09 S. Humphris Edits by C. Van Dover

A-4500 HOV Project i Project Execution Pan

Table of Contents

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Document Control Sheet i Table of Contents ii Executive Summary 1 1.0 Introduction and Background to the 6500m HOV Project 2 1.1 Community Activity Towards a New 6500m HOV 3 2.0 Science Mission Requirements 5 2.1 Unique Capabilities of Human-Occupied Vehicles 5 2.2 Future Science Missions 8 2.3 Capacity for Education, Outreach and Recruitment 15 2.4 Expected Science Capabilities of the 6500m HOV 15 2.5 Mapping Science Requirements to Technical Requirements 17 3.0 Progress to Date 19 3.1 NSF-WHOI Cooperative Agreement 19 3.2 Construction of the Personnel Sphere 20 3.3 Lessons from the Lockheed-Martin Contract 22 4.0 Vehicle Design and Construction 24 4.1 General Approach 24 4.1.1 Other Requirements 24 4.1.2 Systems Engineering 25 4.1.3 Analysis of Alternatives 26 4.2 Vehicle Design 36 4.3 A-4500 HOV Construction Plan 36 4.3.1 Pre-construction Procurement and Fabrication 37 4.3.2 Demobilization and Disassembly of Alvin 38 4.3.3 Refurbishment, Servicing and New Construction 38 4.3.4 Assembly of the A-4500 HOV 39 4.3.5 High Bay Testing and Remobilization 38 4.4 A-4500 HOV ABS Classification Plan 39 5.0 Project Management 41 5.1 Organizational Structure 41 5.2 Internal Advisory Structure 43 5.3 Community Advisory Structure 43

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5.4 Work Breakdown Structure 44 5.5 Project Monitoring and Control 45 5.6 Configuration Management and Change Control 47 5.7 Quality Assurance and Quality Control 47 5.8 Procurement Plan 48 5.9 Risk Management 49 5.10 Scope Management 51 5.11 Environmental Health and Safety 51 6.0 Transition to Operations Plan 52 6.1 Vehicle Test Plan 53 6.2 Operational Crew Training 54 6.3 Rescue Vehicle Test Plan 54 6.4 Science Test Plan 55 6.5 Estimate of Operational Costs 56

7.0 References and Supporting Documents 57

Appendix A. NDSF Available Scientific Equipment and Current and Future User-Provided Equipment 59

Appendix B. Science Traceability Matrix 63

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Executive Summary

Woods Hole Oceanographic Institution (WHOI) will design and build a replacement for the current Human Occupied Vehicle (HOV) Alvin under a Cooperative Agreement with the National Science Foundation. WHOI expertise, in conjunction with expertise acquired from other engineering and management groups inside and outside the Institution, will be used to execute this Project. WHOI will design and build an HOV with a 6500 m depth capability in two stages to be consistent with available technology and funding. During Stage 1 (hereafter referred to as the A-4500 HOV Project), the 4500 m-rated DSV Alvin will be significantly enhanced and a new, larger personnel sphere currently under construction will be installed. This new sphere will allow for larger fields of view for scientists, including complete overlap with the pilot’s view of the deep ocean and seafloor, thereby immediately providing a significant improvement over the existing Alvin’s capabilities. In addition, the A-4500 HOV will have new interior electronics, improved lighting, and advanced camera and video systems. The new command and control system will increase efficiency and productivity of vehicle operations. In Stage 2 (hereafter referred to as the A-6500 HOV Project), as additional funding becomes available and lithium ion battery technology matures and is proven for safe use in human-occupied vehicles, the changes necessary to increase working time and extend the depth rating of the submarine to 6500 m would be accomplished.

The 6500 m HOV will be designed and constructed to achieve the full spectrum of the U.S. deep submergence scientific community’s diverse and multi-disciplinary requirements which span a range of geographic settings, and seafloor and water column environments. The 6500m HOV will provide unique and state-of-the-art scientific capabilities essential to observational deep- submergence research, and the flexibility to deploy a variety of sensors, conduct in situ experiments, and undertake synchronous observations – all of which are essential to 21st century oceanographic science. Given the scope of the project, WHOI will endeavor to execute this project in accordance with the “intent” of the NSF Large Facilities Manual (LFM) requirements even though this project is not funded through the NSF Major Research Equipment and Facilities Construction (MREFC) account.

The Project Execution Plan (PEP) describes how WHOI will manage this project during Stage 1, and provides order of magnitude estimates to achieve Stage 2 of the project. This project is somewhat unusual in that the Preliminary Design Review is being held after construction has begun. The total estimated cost for the preferred Stage 1 A-4500 HOV design is $35,174,894 (including contingency), of which $16,145,537 has been expended on the project as of 31 October 2009.

The PEP establishes the roles and responsibilities of the project team members and describes the manner in which the Project will be managed and controlled. The PEP describes the project 1

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management tools, techniques and procedures that will be implemented for ensuring that the Project meets its goals and objectives. This first version of the PEP was created to support the Preliminary Design Review and will be modified as the Project moves forward. The philosophy in writing this PEP is to incorporate a number of existing (or planned) supporting documents by reference. This allows the supporting documents to be updated without impacting the PEP.

1.0 Introduction and Background to the 6500m HOV Project

Great advances in scientific knowledge that fundamentally improve humanity are born from direct observations. There are many examples of this axiom. What if Thomas Jefferson had opted for some indirect way to explore the American west instead of sending Lewis and Clark on their famous expedition? The richness of that direct experience with the environment, and the direct observations of nature, native civilizations, and the spatial context and continuity of the landforms, rivers, and mountains achieved the historical impact it did precisely because those explorers were immersed in the settings they were mapping and studying. Similarly, to paraphrase Allyn Vine, one of the engineers who developed the Alvin submersible, the Royal Society of London could not have chosen a better ‘instrument’ than Charles Darwin to make observations in the Galápagos Islands. Immersed in the unique natural setting of the Galápagos and observing the birds and other animals interacting with their environment provided the stimulation for his ideas on natural selection. In each of these examples, talented individuals making detailed direct observations changed the course of history and science.

Direct observation of the ocean floor provides the last great frontier on this planet for exploration and discovery. Seminal observations made in the late 1970s by scientists using the HOV Alvin in the Galápagos Rift ushered in an entirely new perspective on how animals can adapt and survive in some of the most hostile environments on this planet. This discovery precipitated scientific debate that continues to this day regarding how life-forming processes initiated on this planet and how they may exist elsewhere in our solar system. The discovery of hydrothermal vents and the Figure 1.1 Gray area denotes areas that Alvin can operate. The new 6500m HOV will be able to operate in the gray, yellow and red areas, direct observations of the increasing accessibility to 98% of the seafloor. myriad processes associated 2

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with chemosynthetic processes in the deep ocean revolutionized not only the biological sciences but oceanography in general. These discoveries paved the way for over 40 years of focused research along ocean plate boundaries and along continental margins. They have helped establish new lines of scientific inquiry that have had important societal and economic consequences.

The deep ocean and seafloor beyond 4500 m water depth (the current limit of the HOV Alvin) is unquestionably the 21st century’s frontier on this planet. The construction of a new 6500 m submersible to replace the HOV Alvin has the same potential as the HMS Beagle that transported Darwin to the Galápagos – the opportunity to explore and make discoveries. With the significant advances in underwater technology, we can now provide the tools to explore and study the diverse properties and processes that are present in that environment. This will undoubtedly provide new and important insights into a plethora of biological, chemical, geological and physical processes. Constructing a new 6500m HOV will ensure that U.S. scientists and students have the means to make direct observations over 98% of the seafloor and the overlying water column – a major improvement from the 65% that is now within reach of the HOV Alvin (Figure 1.1).

1.1 Community Activities Towards a New 6500m HOV

Deep submergence science is a diverse field of study involving biological, chemical, geological and physical oceanography. Observations and measurements are made at and near the seafloor, and in the vast mid-water environment from the edges of the continents to the deepest and most remote regions of the world’s oceans. The diverse nature of deep submergence science requires the use of a mix of approaches, platforms, and tools, including human occupied vehicles (HOVs), remotely operated vehicles (ROVs), and autonomous underwater vehicles (AUVs) [Fryer et al., 2002].

For more than 15 years, the broad community of scientists exploring the deep ocean and seafloor have worked closely with the relevant federal agencies – the National Science Foundation (NSF), the National Oceanic and Atmospheric Administration (NOAA), and the Office of Naval Research (ONR) – and with the National Deep Submergence Facility (NDSF) operator at WHOI to improve vehicle systems that permit observations, sampling, and comprehensive data collection at or near the seafloor.

Three specific meetings – the Global Abyss Workshop in 1992, the DESCEND Workshop in 1999, and the NOAA-sponsored LINK Symposium in 2002 – together with several ad hoc and formal committees have solicited community input on future deep submergence facility needs. These deliberations have considered various improvements to U.S. deep submergence vehicle facilities, priorities for required upgrades, and methods for implementing them. A key result of this focused community planning was the development of the more capable ROV Jason 2, which was designed and built by NDSF and WHOI’s Deep Submergence Lab (DSL) engineers and placed in service in summer 2002. Another key result of the U.S. community’s assessment of 3

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future deep submergence needs was the recommendation that the NDSF undertake a study to identify key issues regarding the replacement of Alvin with a new, deeper-diving HOV to better serve the needs of U.S. scientists and national strategic interests [NRC, 2004]. In 2002, NSF and NOAA funded a conceptual design study for a replacement 6500m HOV, and detailed engineering specifications for the design and construction of a new HOV were produced by Southwest Research Institute (SwRI). As part of this planning effort, the New Alvin Design Advisory Committee (NADAC) was constituted through discussions between NDSF, DESSC (DEep Submergence Science Committee), and UNOLS (University-National Oceanographic Laboratory Systems). The NADAC was charged with providing community input in developing mission requirements and functional specifications for science-related features of the new HOV and its operational characteristics.

In 2003, the NSF’s Division of Ocean Sciences asked the National Academy of Sciences to evaluate the future directions and facility requirements for deep submergence science and to examine the range of potential applicable technologies that could support basic research in the deep sea. The National Research Council report, entitled "Future Needs in Deep Submergence Science", found that the best approach to deep submergence science is to use a combination of tools, including AUVs, ROVs, and HOVs [NRC, 2004]. Calling HOVs a "significant lynchpin in the nation’s oceanographic research effort" [p. 5, NRC, 2004], the Committee recommended that NSF-OCE construct a new, more capable HOV with improved visibility, neutral buoyancy capability, increased payload, extended time at routine working depths, and other important science and operational design features. The report discussed various options for obtaining a new deeper diving HOV and recommended that constructing an HOV capable of operating at significantly greater depths (6,000 m plus) be undertaken only if this capability can be delivered for a relatively small increase in cost and risk [NRC, 2004].

In 2004, in response to the identified needs of the U.S. deep submergence science community, WHOI proposed, and received initial funding from NSF through Cooperative Agreement OCE- 0433409 to design and build a new, state-of-the-art 6500 m research submersible for the U.S. oceanographic community to replace the HOV Alvin. In order to ensure community oversight and input as the project proceeded, NSF created the HOV Replacement Oversight Committee (RHOC). The NSF charge to RHOC included obtaining community input and advice on all aspects of the design and construction of the new 6500m HOV, and providing advice on the establishment of design and budget priorities to ensure the project remains within the agreed scope and cost. RHOC is very active and has bi-weekly communications with NSF and WHOI. Through its activities, it continues to keep the scientific community involved in the project.

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2.0 Science Mission Requirements

2.1 Unique Capabilities of Human Occupied Vehicles

The foundations of deep submergence science were primarily built through detailed, careful observations made by researchers looking out of Alvin’s viewports. As Alvin’s capabilities and routine use for scientific research increased in the mid-1970s and through the 1980s, additional HOVs like the Pisces and Johnson SeaLink also provided U.S. scientists with routine access to the seafloor, albeit to shallower depths. Internationally, submersibles like Cyana, which was developed and operated by IFREMER (France) in the early 1970s, also helped to usher in routine access to seafloor and oceanographic research areas.

Table 2.1. Human Occupied Vehicles (HOVs) for Deep Sea Research and Exploration (Vehicles that can operate at depths ≥1000 m)

Maximum Vehicle Operating Organization Operating Depth (m) HOV (under construction) COMRA, China 7,000

Shinkai 6500 JAMSTEC, Japan 6,500

MIR I & II P.P. Shirshov Institute of Oceanology, Russia 6,000

Nautile IFREMER, France 6,000

HOV (planned) NIO, India 4,500

Alvin NDSF, WHOI, USA 4,500

Pisces IV HURL, USA 2,170

Pisces V HURL, USA 2,090

Johnson-Sea-Link I & II HBOI, USA 1,000

Notes: COMRA – China Ocean Mineral Resources R & D Association; JAMSTEC – Japan Marine Science & Technology Center; IFREMER – French Institute for Research and Exploitation of the Sea; NIO – National NDSF, WHOI – National Deep Submergence Facility, Woods Hole Oceanographic Institution, USA; HURL – Institute of Oceanography; Hawaii Undersea Research Laboratory; HBOI – Harbor Branch Oceanographic Institution, USA.

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Since the mid-1970s, a range of research submersibles has been developed for academic, industrial and strategic needs of various nations – primarily the USA, France, Japan and Russia (Table 2.1).

With the accelerated pace of robotics engineering for many deep water industrial and strategic applications, ROV and AUV technology for oceanographic research has also advanced rapidly in the past ~15 years. These vehicles are now playing an increasingly important role in deep submergence science both in maximizing efficiency during multi-vehicle operations, as well as significantly increasing the geographic areas in which oceanographic science at all depth levels can be accomplished. However, HOVs retain unique advantages for conducting scientific observations and sampling in the deep ocean, and they will continue to play a significant role in providing direct access to deep ocean environments, where observations of biological, chemical, and geological phenomena and sampling are important. In addition, maintaining an array of vehicle types has been shown to be both cost and mission effective for conducting nested surveys for both exploratory and site-specific studies where time-series research is conducted (e.g., Shank et al., 2003).

HOVs provide several key advantages that must be maintained in order to keep U.S. deep submergence science in a leadership position. These include direct observations that are key to cognitive recognition of crucial relationships in seafloor processes, direct sampling targeted at understanding those phenomena, freedom of maneuverability to ‘walk the outcrop’ or observe animal behavior, similar to what scientists do on land, and finally the potential for discovery and instilling a unique sense of ‘being there’, which has enormous capacity for recruiting the next generation of U.S. ocean scientists and engineers, as well as engaging the wider general public. In this section, we discuss those unique attributes that are most important for future HOV science missions.

Three-dimensional and contextual observations: As most field scientists will attest, there is no substitute for direct observation. Scientists working in Alvin consistently describe the perspective gained by looking directly out of Alvin’s viewport at the three-dimensional seafloor environment as both unsurpassed and essential. Just as geologists on land need to “walk the outcrop” to see stratigraphic and cross-cutting relationships that can be mapped and interpreted, or field biologists need to observe complex faunal interactions, direct observation of the outcrops and animals from Alvin and sampling in complex terrains provide the best way to accurately investigate and sample the seafloor. Biologists, chemists and geologists all need to place observations of individual organisms and features in the broader three-dimensional context, which can range from the characteristics of the local environment over length-scales of tens of meters down to more detailed animal-animal or other process-specific (e.g. fluid/mineral/rock) interactions (Figure 2.1). Scientists exploring the deep ocean often encounter completely unfamiliar environments, complex features, and dynamic physical and biological processes. It is essential, whenever this occurs, that they can develop a sufficiently thorough understanding of their situation rapidly, make informed decisions on how to proceed and with what priorities. 6

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The argument that such human presence is important to maximize scientific returns does not rest solely on the testimony of a wide range of experienced HOV and ROV science-users and operators, however. It is also supported by a large body of independent and peer- reviewed research in the cognitive and neurological sciences. For example, the manner in which the human brain assimilates and interprets spatially arranged information as found in complex 3-D settings (including those Figure 2.1. Panorama and close-ups of a vent ecosystem at the Bio141 encountered at the seafloor) site on the East Pacific Rise. Biologists need to place their observations draws on a combination of of organism interactions in the context of the entire ecosystem and its senses, and allows in situ environment. (Photo credit: T. Shank, R. Lutz) observers to place objects in a spatial realm almost automatically (Arsenault and Ware, 2004; Jones et el., 2004; Knapp and Loomis, 2004). This does not happen when one is watching a video screen, whether in pursuit of deep submergence research or in a range of other applications, ranging from the most exotic (deep space exploration) to the more mundane (domestic video-game consoles).

Nevertheless, as pointed out in the National Academies Report (NRC, 2004), the original configuration of the view ports in Alvin, with minimal overlap between the fields of view of the pilot and two observers, would need to be significantly improved in any new HOV to optimize observation capabilities and pilot-observer interactions during the manipulations and sampling that have emerged as key facets of deep submergence science over the past four decades of HOV studies in diverse seafloor environments.

Maneuverability: Without a constraining tether, an HOV can move much more quickly over a wide seafloor area than an ROV, with the observers and pilot interacting in a very focused manner to fully characterize the terrain or observe and sample subtle biological, chemical, or geological features. In addition, maneuvering in tight quarters for observations, sampling, or instrument deployment – for example, around hydrothermal vent fields with multiple tall chimneys and high-temperature fluids, or around complex installations such as instrumented boreholes and seafloor observatories – is frequently required, and the lack of a tether to manage in these situations offers a distinct advantage to HOVs over ROVs.

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Payload: Alvin has been the workhorse for deep submergence research. It has been used as a ‘test-bed’ for developing a wide array of scientific instrumentation and for recovering a variety of geological, biological, and chemical/fluid samples. Because of its large lift capacity and its variable ballasting capability to offset payload, Alvin has enabled recovery of very large rock samples, and has carried large payloads of complex sampling instrumentation to and from the seafloor. Having the ability to surface quickly with large payloads has also been an important capability, particularly for hydrothermal vent biological collections, where samples have to be brought to the surface immediately after sampling to preserve tissues, and to conduct experiments on animals in special laboratory apparatus. This capability is unmatched by other types of deep submergence vehicles, and leads to more efficient and higher quality sampling for a range of science investigators.

Maintaining a Diverse Suite of Deep Submergence Assets for U.S. Scientists: The U.S. oceanographic community has led the world in providing routine access to the seafloor through a diverse suite of vehicles operated by WHOI’s National Deep Submergence Facility (NDSF) over the past ~15 years. Since the advent of ROV and AUV technologies, many of which were initially developed by collaborations between WHOI engineers and scientists, use of a combination of vehicles during a single field program to address a wide disciplinary range of field problems in the deep ocean has become routine and has proven to be extremely mission- and cost-effective. For example, a particularly powerful strategy has been to deploy an AUV during HOV battery recharge to survey an area of the seafloor, and then to use the results to focus the HOV dive the following day on a critical area or feature. Hence, HOVs play a critical synergistic role in the mix of vehicle assets that can be applied to conducting experiments at sites of repeat investigations, as well as fostering discovery and allowing more efficient exploration in areas where no direct observations have been made previously. This latter point is important because there is still a vast ‘inner space’ remaining to be explored, and HOVs will help to provide both the access and crucial direct observations that will pave the way for more detailed studies at various sites in the future. The pattern of exploration using an HOV and subsequent follow-on programs using various deep submergence vehicles is one that has paid significant scientific dividends and is likely to continue throughout the next generation of research scientists.

2.2 Future Science Missions

Over the past four decades, Alvin has provided routine and reliable access to the deep seafloor to conduct observational, sampling, and mapping studies. Through this capability, Alvin has played a key role in revolutionizing our understanding of seafloor geologic processes and benthic ecosystems, and in making important discoveries about the biological, chemical and geological processes that shape our planet to depths less than 4500 m. The new 6500m HOV will enable new areas of scientific research in deep-sea trenches, deep slow-spreading mid-ocean ridges and transform faults, and abyssal environments, by making them accessible to direct observations by

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an un-tethered HOV capable of carrying two scientific observers and large scientific payloads.

Figure 2.2 shows the areas where Alvin has conducted dives over more than 40 years. The focus of the 4,554 Alvin dives to date has largely been on multidisciplinary research along the US continental margins and at mid-ocean ridges (MOR) in the Atlantic and eastern Pacific, most of which are in the 2000 m to 3000 m depth range. This traditional MOR research will undoubtedly continue, as many important Figure 2.2. Locations of Alvin dives over the last four questions and geographic areas remain to decades. be studied beyond those that have been the focus of the NSF Ridge 2000 Program (http://www.ridge2000.org) and MARGINS Program (http://www.nsf-margins.org/index.html).

The increased depth capability of a new 6500m HOV will provide new opportunities for U.S. scientists to study and observe ocean and sea floor processes and collect samples in areas that have long been inaccessible to them. It will be the only U.S. vehicle capable of the direct 3-D observations that are necessary for determining and documenting geological, chemical, and biological relationships, and the only HOV worldwide that brings two observers to the seafloor on each dive – an essential tool for training the next-generation of deep ocean scientists as well as maximizing the breadth of expertise available at any one time at the deep sea floor. Chapter 2 of the NRC report “Future Needs in Deep Submergence Science” (NRC, 2004) enumerates many scientific questions that require access to the deep ocean, and addresses how a new HOV can play an important role in fostering these studies. Some of these deep areas that could be studied with a 6500m HOV are within the U.S. Exclusive Economic Zone, primarily in the Pacific U.S. Territories and Hawaii, Alaska, and around Puerto Rico. We highlight below some of the science missions and some of the geologic settings (Figure 2.3) that are especially relevant to the continued need to directly observe and sample the seafloor and deep ocean using the new 6500m HOV.

Mid-ocean ridge processes: In the last 15 years, capabilities of mid-ocean ridge (MOR) studies have evolved from exploration and sampling to include in situ experimentation and long-term monitoring. This has been made possible through development of new sensors and samplers deployed from submersibles, as well as improved camera systems and bottom imaging capabilities. With its emphasis on understanding the linkages within MOR magmatic-tectonic- hydrothermal-biological systems, the NSF Ridge 2000 Program has focused multiple cruises on

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Figure 2.3. Tectonic and oceanic regimes where deep submergence science will be focused in the coming decades. These include active plate margins along oceanic trenches to 6500 m depth; mid-ocean ridge crest at all spreading rates, including very slow, that are deeper than 4500 m; deep transform faults; seamounts; abyssal plains; and the vast midwater and bathyal portions of the global ocean. three “integrated study sites” (the East Pacific Rise at 8-11°N; Endeavour Segment, Juan de Fuca Ridge; and the Eastern Lau Spreading Center, Lau Basin), all of which are in water depths of 1700-3000 m. At the same time, new discoveries along slower spreading and deeper ridge crests have posed quite distinct new scientific questions ranging from the nature of seafloor spreading (Escartin et al., 2008) to the extremes for physico-chemical processes in seafloor fluid flow (Koschinsky et al., 2008), and even the conditions necessary for the origins of life (McCollom and Seewald, 2007). Consequently, while MOR research will continue to rely heavily on HOVs for their unsurpassed observational and sampling capabilities, their facility to easily explore new sites, and their ability to deploy and recover instrumentation at a wide range of study sites, there will be increasing demand from the MOR scientific community to investigate sites in deeper water to >6000 m. For example, ultra-slow spreading ridges, pull-apart basins, oceanic transforms, and propagating rifts all represent geologic regimes that provide unique windows into the deeper portions of the oceanic lithosphere. There, exposures of upper mantle rock assemblages can be observed and sampled, and where hydrothermal circulation through such rocks (e.g., on the Mid-Atlantic Ridge and Mid-Cayman Spreading Center) can provide unique insights into the origins of life on Earth (e.g., McCollom, 2007). The discovery of the off-axis Lost City vent field with very alkaline pH (10-11 vs. 3-4 at most known vent fields (Kelley et al., 2005)) highlights the need for exploration of geologically different areas of the seafloor. Given the subsequent finding of ever deeper off-axis activity (e.g., Melchert et al., 2008), being able to

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explore sites at deep depths off-axis using HOVs will be important to 21st century deep submergence research.

Ridge flank hydrothermal processes: A volume equivalent to the entire ocean cycles through ridge crest and ridge flank hydrothermal systems every 1-3 million years. This flux of fluid and heat greatly affects the thermal evolution of the lithosphere and the alteration history of the ocean crust, influences the chemistry of seawater, and supports a significant sub-seafloor microbial biosphere. The extent of this sub-seafloor biosphere within oceanic sediment and crust is currently unknown, and open to speculation. It has been estimated that as much as two-thirds of the Earth’s microbial population may live in oceanic sediment and crust, but global geochemical budgets and associated benthic and microbial communities, especially in the vast ridge flank regions (generally lying between 4500 and 5500 m depth), remain largely unknown. The deepest known vent sites to date, for example, were recently found in ~5000 m of water on the southern flank of Loihi Seamount, Hawaii. This site, discovered by the ROV Jason 2, remains beyond the reach of Alvin. Precision sampling of fluids, substrates, micro- and macrobiology, and detailed mapping of the hydrothermal activity beyond the axial region of the MORs will be increasingly important in the future. Boreholes are being instrumented for short- and longer-term monitoring of variations in fluid flow and chemistry (e.g., the ODP/IODP Hydrogeology transect on the Juan de Fuca Ridge), and deep submergence vehicles (both HOVs and ROVs) will be required to service these observatories.

Continental margin processes: The MARGINS program coordinates interdisciplinary investigations of four fundamental initiatives; the Seismogenic Zone Experiment, the Subduction Factory, Rupturing Continental Lithosphere, and Sediment Dynamics and Strata Formation (Source to Sink). Deep submergence vehicles, including HOVs, can play a key role in research in each of these initiatives. Fluid and rock sampling in accretionary wedges, and in forearc, arc and back-arc regions are key operational requirements for these studies that can be met by the new 6500m HOV. In order to investigate the evolution of some backarc basins, a deep diving submersible is needed as many of the active spreading segments in these areas are deeper than 4500 m. Slope instability at both accretionary convergent margins and passive rifted margins is of increasing interest but still poorly understood. The toes of many of these slides occur at depths in excess of 4500 m. To observe field relationships and map the distal portions of these slides, and to sample material that could be dated, submersibles with a greater depth Figure 2.4. Gas hydrates are crystalline capability are needed. solids consisting of gas molecules, usually Gas hydrate occurrence and formation: Methane (gas) hydrates methane, each (Figure 2.4), which are found extensively in the seafloor at continental surrounded by a cage of water molecules. margins, contain about 3,000 times more methane than in the

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atmosphere and represent a major reservoir for carbon in the global system, as well as a major threat for global change should they become destabilized. Gas hydrates are important for several reasons: as a potential cause of large-scale instability that can trigger submarine landslides, the source of a powerful greenhouse gas that may be significant to both past and future rapid climate change, as well as a potential future energy resource. Field studies of gas hydrate deposits require detailed observations and characterization of the deposits, their geologic setting, and the biological communities they host, and precise in situ chemical and biological sensing and sampling. All of these can be accomplished most efficiently utilizing an HOV with the depth and enhanced observational characteristics of the proposed new 6500m HOV.

Biodiversity in marine ecosystems: To date, only a fraction of the world’s marine species have been taxonomically identified. Little is known about the abundance of organisms, their ecological functions, and how vast areas of the ocean are interconnected through biological interactions. Of particular importance are direct 3-D observations of in situ behavior and interactions between animals that can best be accomplished with an HOV. Much of the water column is inaccessible to Alvin, however, because safety considerations preclude the vehicle from being launched in any area where the total water depth is greater than 4500 m, even when the proposed mid-water dive-study depths are significantly less than 4500 m. Similarly, much of the research to date on benthic ecosystems has had to be focused on the continental rise/slope, at MOR crests, and at various chemosynthetic settings (e.g. vents, cold seeps, whale falls) that occur at seafloor depths shallower than 4500 m. On the abyssal plains, however, we know that (a) populations appear to be remarkably uniform over huge areas, and (b) that biodiversity and species richness appears to be much greater than at sites close to high-biomass hotspots such has hydrothermal vents. This has led to widespread speculation about the causes of these patterns of biodiversity, but there has been too little exploration and sampling of this environment to sustain robust tests of many scientific hypotheses.

Exploration of this vast ecosystem, which makes up over half the seafloor, using new deep submergence Figure 2.5. HFI* map (www.coml.org) showing how biodiversity "hotspots" to the vehicles is certain to yield novel life forms and help west and east in the South Pacific are answer fundamental questions about evolution and separated by areas devoid of data. Colors (red high) show predicted numbers of adaptation of species and communities to conditions of distinct species in a random sample of 50 extreme isolation and food limitation. Sampling of observations; white areas are still waiting delicate animals (many of which cannot be collected for collection of 50+ observations. (*HFI: Hurlbert’s First Index is a sample-size with nets) throughout the water column and on the independent proxy for species richness.) seafloor (best done by an HOV) will be critical in this

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effort. An illustration of the magnitude of this problem is shown in the maps of recorded diversity across the South Pacific – Earth’s largest ocean basin and the single, largest contiguous ecosystem that can sustain life on our planet (Figure 2.5). This recent Census of Marine Life (http://www.coml.org/) compilation reveals that areas showing the highest recorded intensities of species richness in the Western and Eastern Pacific lie immediately adjacent to white spaces (grid space 5°x5° box) which denote areas of insufficient data (<50 observations in the history of oceanography) to generate a credible assessment. The depth to the seafloor in these regions is, with few exceptions, greater than the 4500 m depth range that Alvin can presently reach, but are almost entirely within the range of the new 6500m HOV.

Deep sea corals: Deep-sea corals are colonial cnidarians commonly associated with seamounts around the world (Figure 2.6). They take a variety of forms within the Hydrozoa (Stylasteridae) and the Anthozoa (Scleractinia Antipatharia, Zoantharia, and Alcyonaria). It is now becoming widely recognized that deep-sea corals are providing new avenues for research and ocean resource management. They are providing fertile opportunities to understand the formation and maintenance of biodiversity, fundamental insights into community ecology, insights into the management of fisheries resource structure, paleo-archives of water mass chemistry, and past climate change. Corals are increasingly recognized as important components of seamount ecology because they provide habitat structure for associated species, including commercially important fish populations. Taken together, deep-sea corals are an important intersection of science, management, and public outreach. They are a flagship species for an ecosystem in need of conservation, capturing people’s interest and attention worldwide.

Deep-sea corals grow very slowly—on the order of an eighth of an inch per year— with many living for thousands of years (oldest living marine species is a black coral at more than 4,000 years old).

Unlike shallow-water tropical corals, Figure 2.6. Enallopsammia hard coral near the summit of which need photosynthetic algae and Lyman Seamount in the North Atlantic. These and other sunlight to grow, deep-sea corals can live cold-water corals provide habitat for diverse suites of in high and mid-latitudes, and at depths species, including shrimp, brittle stars, and crabs. where sunlight cannot penetrate. Deep-sea Historical multi-national fisheries activities on nearby seamounts have completely denuded such communities corals get energy from small marine from their summits. plankton and host more than an estimated (DASS 2005, NOAA OE, URI, and IFE) 1,300 different species of animals, often unique to their locations. 13

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These deep-sea coral communities are rich in providing habitat structure on seamounts, making them productive fishing grounds. This puts them at risk from particularly destructive fishing practices, including trawling that leaves a swath of destruction. Some countries have banned trawl fishing within their exclusive economic zones, but seamounts in international waters are harder to protect.

Current needs in cold-water coral research include understanding the genetic connectivity- links between populations, how coral host communities of invertebrates, rates of coral growth and colonization, as well as understanding on how changing climate and ocean circulation patterns could affect these populations. All of these require observations of their habitat and sampling. Such knowledge is critical to inform and guide policymakers, so that they can make effective decisions to manage and protect this diverse and valuable cold-water resource in the deep ocean.

Support for large science initiatives: In addition to opening up new areas for research as described above, the new 6500m HOV will also provide key infrastructure support for two major geoscience initiatives: IODP (Integrated Ocean Drilling Program; http://www.iodp.org/) and the new Ocean Observatory Initiative (OOI; http://www.orionprogram.org/OOI/default.html). IODP is a multi-platform, international drilling program aimed at addressing a wide variety of scientific problems from studies of past climate change to solid earth cycles and geodynamics. A key element of IODP is the long-term instrumentation of selected boreholes with seismometers, strain meters, and CORKS for hydrogeological studies. Deep submergence vehicles, including both HOVs and ROVs, have historically been used to service these borehole laboratories and retrieve data from the autonomously recording instruments. We foresee that deeper CORKS, related to active margin processes at depths >4500 m, will be an important venue for the 6500 m HOV.

The OOI is designed to enable new scientific approaches to study critical processes that occur at temporal and spatial scales that cannot be effectively sampled or studied using research ships. One element of this program is the Regional Cabled Observatory that will instrument across the Juan de Fuca tectonic plate with nodes at Axial Seamount and Hydrate Ridge. A permanent seafloor cable will connect seafloor nodes that will provide power and high bandwidth for instruments and sensors. Installation and routine servicing of primary node components of this seafloor observatory infrastructure are likely to be undertaken primarily using commercial, purpose-built ROVs because of power and lift capacity requirements. However, because HOVs are un-tethered, and because they have multiple sampling and observational characteristics, they will be very useful in some instances for conducting scientific investigations at, and peripheral to, observatory sites, as well as establishing experiments, testing equipment, and installing precisely-located sensors that form part of the OOI seafloor observatories in areas of complex topography (e.g., a hydrothermal field).

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2.3 Capacity for Education, Outreach, and Recruitment

Earth’s vast ocean basins remain a great frontier for science and exploration. Deep oceans cover more than half of our entire planet, and the mystery of what lies beneath their waves continues to capture the imagination of people of all ages. One of the primary ways that the public and several generations of students and scientists have gained this appreciation is through the access granted via human presence in submersibles, directly observing and recording the extraordinary terrains (Figure 2.7), animals, and processes at the oceans’ depths. Alvin is undoubtedly the most widely known Figure 2.7. The Brimstone Pit eruptive vent on SW Rota Seamount (water depth ocean research vehicle in the world. The hundreds of of 522m) emits billowing clouds of articles that have appeared in newspapers and magazines dispersed droplets of molten sulfur, large bubbles of CO2, and an episodic rain of over the past four decades, and the dozens of television small lava fragments. and radio reports of Alvin’s work, testify to the enduring interest by the public in human exploration of the hostile (From http://nwrota2009.blogspot.com/) and unfamiliar world of the deep sea.

Increasingly, scientists on expeditions are communicating with students and the public through websites, blogs, and video links to museums, aquaria, etc. Alvin has been an enormously successful ambassador for ocean research to students and the general public, and a new HOV with improved communications, depth, and scientific capabilities would continue to be an essential tool for educating students and the public about the deep ocean environment and its relevance both for the Earth System as a whole and to key socio-economic priorities for the 21st century, from access to mineral resources to anthropogenic impacts on the pristine deep ocean interior.

2.4 Expected Science Capabilities of the 6500m HOV

The state-of-the-art capabilities afforded by the new 6500m HOV will directly address concerns that U.S. deep submergence systems have been falling technologically behind those of other countries (e.g. France, Russia, Japan, China) for more than a decade, and will help maintain U.S. pre-eminence in oceanographic research.

Apart from an increased depth capability, the deep submergence research community identified a number of other improvements that would optimize science and operational capabilities. These include increased bottom time and battery capacity, significantly improved visibility with five observation view ports, three of which have overlapping forward views, and an increase in interior

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space and payload capacity. An important component of the conceptual and preliminary engineering study, done in collaboration with the New Alvin Design Advisory Committee (NADAC), was dedicated to arriving at the best viewport arrangement, placement, and size to optimize science and operational capabilities. The new 6500m HOV will have the best observational view port arrangements of any deep diving submarine currently in operation.

In summary, the improvements identified by the deep submergence research community to optimize scientific capabilities were:

• a depth capability to 6500 m – increasing access from 65% to 98% of the seafloor and the overlying water column • larger personnel sphere with improved interior ergonomics • increased battery capacity • increased bottom time at routine operating depths (greater than Alvin’s current mean on-bottom time of ~5.5 hrs) • better visibility and overlapping viewing areas afforded by more and larger observer view ports and optimal placement of view ports between the pilot and two observers. • improved interior electronics • increased science payloads • improved lighting and imaging systems • automatic position keeping • increased thruster horsepower thereby improving maneuverability • increased hydraulic plant capacity thereby improving manipulator performance • improved data collection, logging, and interface capability to science instruments • enhanced mid-water research capability. Other desirable features identified were: • reduced seabed disturbance • multi-purpose, large capacity seawater ballast system (for trim, variable ballast, ascent/descent • elimination of the mercury trim system. These desired improvements map directly into the technical requirements as discussed in Section 2.5. 16

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An important attribute of Alvin is its flexibility in being able to interface with/carry a wide variety of equipment. While some of that equipment and instrumentation is available through the NDSF (Appendix A), many scientists provide equipment customized for their particular purpose. Community input on present and known future scientific equipment needs was collected in 2009, and includes both current equipment as well as equipment/instruments still in design. Appendix A documents user-provided equipment deployed from NDSF vehicles between 2007-2009, as well as the recent community input. This is used to inform the design of the science interfaces, power requirements, and science equipment storage/placement areas for the 6500m HOV.

2.5 Mapping Science Requirements to Technical Requirements

As has been demonstrated in the previous sections, deep submergence research is multi- disciplinary in nature and complex in its approach. There is a wide range of environments that remain to be investigated throughout the vast depths of the oceans. However, the range of operations employed in pursuit of current and future scientific questions focused on marine geology and geophysics, chemical, biological, and even physical oceanographic processes commonly require significant overlap.

We have identified the following seven “type” ocean settings that the new 6500m HOV must be prepared to investigate:

1. Mid-ocean ridge crests (including back arc spreading centers) and transform faults 2. Mid-ocean ridge flanks 3. Ocean continental margins 4. Abyssal plains 5. Seamounts 6. Deep-sea trenches 7. Mid-water column Some of these environments require a 6500 m depth capability, while for others, it would be beneficial, and for one, it is not required. The Table below summarizes those relationships.

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1 Ridge/Transforms Slow-spreading ridges & transforms exceed 4500m 2 Ridge Flanks Most ridge flanks descend rapidly below 4500m 3 Ocean Margins By definition, ocean margins are shallower than 4500m 4 Abyssal Plains Abyssal plains' average depth is ~5,500m 5 Seamounts Studies extend from the photic zone to the abyssal seafloor 6 Trenches Extend beyond the depths of even the abyssal plains 7 Open Ocean Needed to dive throughout the open ocean interior*

No Requirement Benefical Essential

* HOVs can only be launched in waters that are shallower than the vehicle's maximum depth limits. Thus, the vast majority of the oceans' volume (deep ocean basin interiors) is "off limits" to Alvin

Specific future research objectives for just one of these “type” localities could run to many pages of well-argued scientific rationale. But in all seven “type” settings, the scientific operations and, hence, the functional capabilities of the new 6500m HOV overlap significantly (with the exception that geological investigations are unlikely to be required in the water column). Hence, in order to map scientific requirements to technical requirements, we have identified a series of seven characteristic scientific capabilities that the new 6500m HOV will need to demonstrate to be able to achieve the full spectrum of the U.S. deep submergence science community’s diverse and multidisciplinary scientific goals:

A. In situ direct observations of the deep-ocean and seafloor down to depths of 6500 m, including both water column and seafloor biological communities B. High-resolution imaging and recording/documentation of observations C. Systematic exploration of previously un-investigated regions of the deep ocean’s water column and seafloor D. Systematic surveys of the seabed, including benthic biological communities (via mapping sonars, other geophysical tools, cameras) and the overlying water column, including pelagic biological communities (via oceanographic sensors, sonars, cameras). E. Sampling (geological, geochemical, biological/microbiological) at sites of specific interest at the seafloor and in the overlying water column. F. Interaction with instrumentation at the seafloor including science-user provided instrument packages and larger (e.g. OOI, borehole) installations. G. Descent to the seafloor, transit between work areas, ascent to support ship.

To fully meet the widest range of goals for the U.S. deep submergence science community, the 6500m HOV should ultimately be able to provide all of these key “characteristic scientific capabilities” (A-G) in all of our targeted ocean settings (1-7). Consequently, in the science 18

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traceability matrix (Appendix B) that we have developed for this project, we have used the alphanumeric coding presented here (1, 3; A, F, etc.) to link how the scientific mission requirements map to specific technical requirements for the 6500m HOV.

3.0 Progress to Date

3.1 NSF-WHOI Cooperative Agreement

In 2004, in response to the identified needs of the U.S. deep submergence science community, WHOI proposed, and received initial funding from NSF through Cooperative Agreement OCE- 0433409 to design and build a new, state-of-the-art 6500 m research submersible for the U.S. oceanographic community to replace the HOV Alvin. The proposed 4-year design and construction project was divided into two phases. Phase 1 involved the design and construction of a titanium personnel sphere rated for a maximum depth capability of 6500 m. Phase 1 is currently underway and delivery of the sphere is scheduled for March 2011. Phase 2 was intended to be the completion of the 6500m design, with inclusion of the remaining submersible components and the construction of the vehicle.

A competitive bid process culminated in a contract award to Lockheed Martin for a submersible design for this vehicle in June 2007. A Preliminary Design Review for a vehicle designed by Lockheed-Martin was held in November 2007, and cost estimates for the detailed design and construction were provided in January 2008. The cost estimates proved prohibitive: the cost of the entire project was estimated at ~$50M without contingency compared with ~$22M requested in the original proposal. Consequently, in July 2008, WHOI proposed that an alternative lower cost, staged approach to the construction of the 6500 m HOV be pursued. In Stage 1 (hereafter referred to as the A-4500 HOV), the 4500 m-rated DSV Alvin would be significantly enhanced with the new, larger personnel sphere currently under construction, new interior electronics, improved lighting, and advanced camera and video systems, and a new lithium-ion battery system. In Stage 2 (hereafter referred to as the A-6500 HOV), as additional funding became available, the changes necessary to extend the depth rating of the submarine to 6500 m would be accomplished. The first stage of this approach would give the U.S. deep submergence science community a vehicle that satisfies most of the goals of the originally proposed HOV, while maintaining the option of upgrading to a 6500 m depth capability at a later date. As representatives of the scientific community, both RHOC and DESSC endorsed this approach.

Because the A-4500 HOV involves modifying the existing Alvin, and because it was anticipated that costs could be reduced by conducting the project in-house, WHOI proposed to utilize the expertise of the Alvin Engineering and Operations Group and the Deep Submergence Laboratory at WHOI to lead this engineering effort. These groups’ many years of experience designing, building, and operating deep submergence vehicles (Alvin, Jason, Jason 2, ABE, Sentry, Nereus)

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was envisaged to provide a strong engineering foundation for the project. In response to WHOI’s proposed staged approach, NSF authorized WHOI to develop a preliminary design for the A- 4500 HOV. In addition, NSF determined that, although the project was funded through the Division of Ocean Sciences, its scope and budget were of sufficient magnitude that WHOI should execute the project in accordance with the intent of the NSF Large Facilities Manual (LFM) requirements, which are applied to projects funded through the NSF Major Research Equipment and Facilities Construction (MREFC) account.

3.2 Construction of the Personnel Sphere

The successful, on-going construction of the personnel sphere represents a significant accomplishment and a major step forward for the 6500m HOV project. This was the first time that a project involving forging and welding of such thick titanium had ever been undertaken in the U.S., and hence the design and fabrication challenges of this “first of its kind” endeavor were extremely high risk.

The Personnel Sphere Construction Plan documents the history of this project, its schedule, cost, and the path forward to an expected completion date of March 2011. The prime Figure 3.1. Two 36" hemisphere Ti alloy ingots and 1 contractor for the personnel sphere insert ingot. construction is Southwest Research Institute (SwRI) in Texas. Design of the hull and material characterization of the titanium began in August 2005. With successful completion of the forging of the two hemispheres, stress relief of these hemispheres and the girth weld in August 2009 to produce the sphere, about 85% of the design and construction of the sphere has been completed. While the remaining tasks are lengthy, there is only one major technical risk (insert machining and welding) to be retired.

While the project has been technically successful, it has not been without its challenges in terms of cost and schedule. Many of the engineering and construction processes necessary had not been developed, or needed to be significantly modified, to address the size and materials being used, specifically titanium alloy Ti 6Al-4V ELI. The required review by the classifying entity (American Bureau of Shipping) to ensure the safety of the human occupied sphere at 6500 meters has taken a significantly increased effort. The significant cost of raw materials – $1M for the titanium required for sphere forging alone – precluded manufacturing pre-production items 20

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that could be used for destructive testing to prove design or fabrication processes, and required stringent engineering efforts and sample items to be employed to validate the design and fabrication processes to avoid fatal errors during construction. With all the delays, the girth weld was completed approximately four months later than scheduled, causing the schedule to completion to be re- baselined. In order to ensure delivery of the sphere in accordance with the new schedule, WHOI has implemented a number of additional aggressive management tools to monitor progress on the sphere. These are detailed in the Personnel Figure 3.2. Forging of a hemisphere in June 2008. Sphere Construction Plan.

Costs have also escalated due to a number of factors, including the cost of titanium alloy ingot, which quadrupled in three years, additional stress relief procedures for the personnel sphere required by ABS, additional oversight and management of construction, and the delayed schedule resulted in modifications to the contract to a current value of $8,298,779. A final contract modification will be required to complete the project at a currently estimated cost of ~$9.58M.

The personnel sphere is now on the critical path for the project. Our original intention was to begin the construction in October 2010 when the current HOV Alvin is scheduled to begin its regular overhaul. Delivery of the schedule in March 2011 would result in a long period of time without a human-occupied deep submergence vehicle for use by the U.S. community, which is not acceptable. Hence, our proposed plan for the construction of the A-4500 HOV is to begin the project on 1 April 2011, thereby keeping Alvin in Figure 3.3. The sphere after a successful service until that time (Alvin’s NAVSEA girth weld in August 2009 certification runs out in May 2011). The A-4500 HOV Construction Plan timeline shows that assembly of the vehicle begins at the beginning of

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Month 4 (i.e. July 2011), and hence that is the deadline by which the personnel sphere would be needed so as not to delay the project. With aggressive monitoring of the project, WHOI will try to ensure that the March 2011 delivery date is maintained.

3.3 Lessons from the Lockheed-Martin Contract

In March 2007 after issuance of an RFP, WHOI signed a contract with Lockheed Martin for CLIN0001 for preliminary vehicle design and cost estimate for a 6500m HOV, with CLIN0002 (detailed design and construction) being left as an unexecuted option. The design portion was executed as a cost plus fixed fee "alpha" contract. The goal of the "alpha" mechanism was to ensure WHOI's involvement in design decisions; to work in partnership and leverage WHOI's experience in deep submergence to reduce costs.

A Preliminary Design Review was held in Riviera Beach, FL, in November of 2007. At that time, the cost of CLIN0002 was not developed as many of the design decisions required analysis by WHOI at PDR. A bridge contract with Lockheed Martin was issued in order to develop cost estimates for CLIN0002 for delivery in early of 2008.

The detailed cost estimates developed by Lockheed Martin were received in January 2008. This estimate, initially a fixed price option for CLIN0002, would have put the cost of the entire 6500 m HOV project at ~$50M – more than double the available funds. Lockheed Martin was tasked to re-work the estimate as a cost plus incentive fee decreasing the risk to Lockheed Martin. While this decreased the estimate by approximately $3.5M, the estimate for the detailed design and construction was still beyond the budgeted funds.

In response, WHOI proposed to NSF that an alternative lower cost, staged approach to the construction of the 6500 m HOV be pursued. As this option was being analyzed, Lockheed Martin’s bridge support was continued and they were tasked to continue work and analysis that would be applicable to either the proposed PDR design or an upgraded Alvin. An upgrade feasibility study that would point to design and features in the PDR design that could be used in an upgraded Alvin was the resulting deliverable.

By mid-August of 2008, it was determined that Lockheed Martin had completed their analysis and a stop work order was issued. Total expenditures for the Lockheed Martin RHOV preliminary design and the bridge task totaled $5,188,706.

Design work by WHOI on the A-4500 HOV has built upon many of the designs and engineering studies conducted as part of the Lockheed Martin contract. Of particular importance is the extensive weight and balance analysis they performed to determine that the concept of 22

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“upgrading” Alvin was feasible. Their analysis demonstrated that a vehicle with the new personnel sphere fitted to the modified Alvin frame, and with lead-acid batteries as the energy source, was feasible.

Lockheed Martin also studied the feasibility of eliminating the drop weights and instead using water for the descent and ascent ballasting. Using water would reduce the impact of Alvin weights dumped around dive sites. WHOI specifications called for symmetrical 6500 m vertical transit times in 2.5 hrs, requiring a descent and ascent rate of 44 m/min. Design studies included consideration of increased variable ballast pumping rates and a larger saltwater ballast tank which increased the energy requirements of the main battery. Computational fluid dynamics were used to analyze the flow, drag and speed with various hull designs to achieve an efficient hydrodynamic shape that was capable of achieving the necessary vertical velocities. These studies determined that using water for descent and ascent was possible, but not practical due to the energy constraints imposed by lead-acid batteries. In addition, for dives to deeper depths, weights would still be needed to achieve the specified ascent and descent rates. Hence, the elimination of the steel drop weights was not possible.

The mercury trim system was studied as part of the descent rate requirement because trim would contribute to the descent rate. Elimination of the mercury system would also address the concern of the potential environmental hazards of mercury spills. Lockheed Martin investigated replacing the mercury system with sliding dead weights of either tungsten or steel, even though they felt the mercury trim system was the best approach. The weights would be adjustable as necessary to deal with the increased buoyancy at depth, and could be jettisoned as part of an emergency ascent. Such a system would require a new frame designed to accommodate the sliding weights. However, the use of Alvin’s frame in the new vehicle’s design precludes this option because it physically cannot accommodate the sliding weight design.

Lockheed-Martin also proposed a VB sphere replacement concept that has been the basis of the WHOI design. Lockheed proposed a single 36” OD sphere. Our arrangement, proposed for the A-6500 HOV, uses two spheres of similar design but 28” OD.

The life support analysis and design performed by Lockheed Martin remains the current design for the system, and will be used for the ABS submission. In addition, the personnel sphere internal arrangement effort continues as a contract to Bill Lytle of Lockheed Martin.

The manipulator placement and swing-arm mounting system devised by Lockheed Martin was the product of extensive analysis to reconcile the competing requirements for manipulator visibility and unobstructed viewing. The WHOI design uses this system as a starting point and builds on it with further analysis to optimize manipulator placement and workspace design.

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In total, while the design presented at PDR was too costly to proceed with, the efforts WHOI and Lockheed Martin put into that design and subsequent analysis has allowed the current design to move forward in a shortened time frame. While the alpha contracting effort did not result in the hoped for decrease in contract cost, WHOI was able to retire many of the design risks associated with an upgraded Alvin, and it provided many of the building blocks used to generate the current vehicle design.

4.0 A-4500 HOV Vehicle Design and Construction

All the previous sections of this Project Execution Plan have discussed the overall 6500m HOV Project. The rest of the document is focused on the Stage 1 A-4500 HOV Project, but includes appropriate reference to the upgrade to the A-6500 HOV. This section discusses the general approach WHOI is taking to the design of the vehicle, how the characteristics of the proposed vehicle design were derived, and what science capabilities defined by the community will and will not be met by the A-4500 HOV, and the general plan for construction of the A-4500 HOV.

4.1 General Approach

4.1.1 Other Requirements

Besides the scientific mission requirements defined by the community and enumerated in Section 2.4, the design and construction of the A-4500 HOV must meet two other types of requirements.

Operational Requirements

Five requirements have been defined that the new A-4500 HOV must adhere to for its operations:

• A crew of 3 (1 pilot and 2 scientists) – similar to the configuration of Alvin that has been so successful for the past four decades

• A daily single dive routine, permitting other operations to be carried out during battery charging

• An operational support team similar in size to that for Alvin so that future operations can be kept to cost and logistical levels that are similar to those for Alvin

• Use of R/V Atlantis as the support ship without major modifications to the hull or the launch and recovery A-frame system.

• Flexibility in scientific and operational systems to support multidisciplinary research.

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ABS Classification Requirements

The new vehicle will be classified in accordance with the ABS Rules for Building and Classing Underwater Vehicles, Systems and Hyperbaric Facilities, 2002 (UWVS). This will require approval of design, manufacturing and survey plans by ABS before construction of any component can begin, as well as inspections at specific stages of the project. The ABS Classification Plan is discussed further in Section 4.4.

4.1.2 Systems Engineering

The WHOI team will employ a Systems Engineering approach in designing the HOV. The WHOI approach to Systems Engineering is documented in the A-4500 HOV Systems Engineering, Integration and Testing Plan. It describes the Systems Engineering process by which WHOI will move from requirements to features and design, and will then track those requirements as designs change with increased knowledge and experience. This document also describes the process by which WHOI will manage integration of subsystems into a complete submersible, ready for commissioning and transition into operations.

The design and implementation of the vehicle’s many systems and parts are tightly related and interconnected. The various systems are being designed by multiple engineers and teams; hence, integrating the designs together successfully depends on the correctness and robustness of their requirements, and design and specification of the interface between them. This engineering process is driven primarily through a common understanding of the design, as facilitated by coordination meetings and face-to-face interactions. It is incumbent on the designers to ensure that requirements issues are considered and properly accommodated. This is, by nature, an iterative process.

Figure 4.1 Systems Engineering Paths 25

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As represented in Figure 4.1, the Systems Engineering process begins with planning activities represented by the collection of system requirements developed from science, ABS, and operations requirements. These map into features and designs, which the engineering team iteratively refines to satisfy these requirements. If necessary, there may be opportunities to negotiate or relax requirements to support the system features or designs. Once designs are complete, they are prototyped, constructed, integrated and tested. This is an iterative process that further improves the design’s quality.

The Technical Director is responsible for all technical aspects of the project. He will establish the technical and engineering objectives and will provide the necessary guidance to a group of system engineering leads who report directly to him. The Technical Director is the Design Authority for this project. The Design Authority is the person responsible for establishing the design requirements and ensuring that design output meets those requirements. The design authority is responsible for design control and ultimate technical adequacy of the system engineering design process.

4.1.3 Analysis of Alternatives for HOV Design

WHOI has identified a range of alternatives for the HOV design, including various alternatives for the A-4500 HOV, and then the desired final A-6500 HOV. We have examined these options in light of the overall schedule, technology availability, and their anticipated costs, while endeavoring to include as many of the desires of the scientific user community as practicable within each alternative (see Section 2.4).

A key component in meeting several of the desired capabilities is increased battery capacity. A review of recent Alvin dive history shows that dives are terminated in approximately equal proportions by operational constraints, completion of planned activities, and depletion of available power (see Appendix I in the A-4500 HOV Engineering Plan). We have made an assessment of the overall availability and suitability of a number of battery types that might be used in the HOV (see Appendix II in the A-4500 HOV Engineering Plan). This assessment shows that the only viable technology available in the timeframe required to support the new A- 4500 HOV that also meets our safety and cost considerations is lead-acid batteries. While Li- chemistry batteries rated at 80kW-hr would be the preferred choice, additional development work is necessary before it can be demonstrated that they are safe for use in a human-occupied submersible. However, as the technology becomes proven, and when funding allows, Li- chemistry batteries are planned for installation in the A-6500 HOV.

The use of lead-acid batteries has important implications for the A-4500 HOV because of the additional weight of the new 6500 m personnel sphere. To assess the impact of their use, we performed an energy analysis (Appendix I of the A-4500 HOV Engineering Plan) for the vehicle alternatives using lead-acid batteries and shown that there will be an additional requirement of 5.3% and 7.7% of the total energy presently available; i.e., a decrease of 18 to 25 minutes in the

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present 5.5 hours of working time. The decrease in working time only applies to those dives whose duration is limited by battery capacity. Historically this amounts to approximately 30% of all dives. However, adherence to strict energy management principles during the dive should provide working times equivalent to the current Alvin.

A-4500 HOV Vehicle Design

The approach we have taken is to begin with a design that includes the minimum modifications necessary to add the new personnel sphere to the current vehicle (Base Vehicle), and then consider a series of options to upscope the vehicle to add science and engineering capabilities. Table 4-1 presents the Base Option for the A-4500 HOV design and then presents a series of options to upscope the vehicle in its scientific and engineering capabilities to the Preferred A-4500 HOV Option. The series of options are displayed from left to right in the recommended order of incorporation. The Preferred A- 4500 HOV represents the option that we are recommending for the project based on maximizing the vehicle’s scientific capabilities consistent with our analysis of the overall schedule, technology availability, and anticipated costs.

Table 4-1. Options that Comprise the Preferred A-4500 HOV Design

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Base Vehicle (A-4500 HOV)

This option includes only those modifications needed to add the new personnel sphere. It will include the new penetrators required by the new sphere. Two of these penetrators will include optical fibers for high bandwidth data transmissions since the cost differential between copper and fiber penetrators is minimal (approximately $6,000). Because of the new personnel sphere, new designs for much of the fixed buoyancy, the main ballast system soft tanks, manipulator mounts, science basket, life support system, and internal arrangement will be required. Existing 4500 meter rated syntactic foam and components will be reused as permissible, and any new syntactic foam will be 4500 meter rated. This option will use the current Alvin lead-acid batteries (2) rated at 40kW-hr and the power system will be based on a 120 volt DC bus.

There will be no upgrades to major science or operational systems, nor to the lighting and imaging systems. The existing mix of arc lights, incandescent and small, low power LEDs, and the existing camera systems (including the new HD camera soon to be installed on Alvin) will be installed on the A-4500 HOV. Light locations will be designed to optimize the lighting available in the field of view around the submersible.

Upscope Options

1. Command and Control Enhancements plus New Power and Data Bottles: The Command and Control System is that part of the submersible that allows the pilot (and potentially the observers) to interact with and control components external to the personnel sphere, as well as components that require integration of multiple inputs and outputs. Other tasks of the Command and Control System are to automate repetitive tasks and to provide assistance to the pilots and observers in safely accomplishing their tasks. Addition of this new Command and Control System will simplify dive activities through automated heading, altitude, depth, and position keeping capabilities, which will be particularly helpful during manipulation activities. In addition, it will provide more flexibility in interfacing with instruments both carried by the submersible and installed on the seafloor, as well as greater bandwidth for scientific data collection and logging.

2. Replacement of all 4500 m Syntactic Foam with 6500 m Syntactic Foam: Replacement of all 4500 m syntactic foam with 6500 m syntactic foam during construction of the A-4500 HOV represents a cost savings of nearly $1M to the project in the long-term since it will avoid the need to purchase the 4500 m syntactic foam required to float the new personnel sphere in the Base Vehicle.

3. Lighting and Imaging Options: Observations and documentation of observations are key to the HOV capabilities required by the scientific community. Options for illumination and imaging have been developed that serially improve the capabilities of the A-4500 HOV. The series of options are also displayed from left to right in the recommended order of incorporation. 28

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Illumination: The new personnel sphere design represents a significant increase in the observer and pilot’s field of view as a result of the larger viewports and their placement. Illumination in this increased field of view could be significantly enhanced. This option would replace all the lights with LED arrays, initially operable in normal operations on/off power efficient mode. The goal is to provide twice the amount of illumination currently available from the present HMI lights, and also improve the beam pattern and uniformity of the illumination field. Present estimates indicate that the increased efficiency of LED lights, coupled with improved reflector designs, will use the same or lower electrical power.

Imaging Option 1 – Internal Video Infrastructure: The internal video infrastructure is the foundation for present and future upgrades to imaging system components. The internal video system accommodates all external camera signals (both recommended options and future options) and internal computer displays, and distributes them to recorders, monitors and data overlay subsystems. It uses the submersible’s master timing controller to synchronize cameras and lights as necessary. It includes: • Camera command and control system: Controls all external camera and lens functions, and provides pan and tilt, zoom and focus control. It also provides acquisition of still images or frame-grabs. • Video routing system: The router interfaces the camera, recorder and computer display source feeds to the monitors and recording devices in the personnel sphere. • Recording systems: In-hull HDTV recorders with time-code and auxiliary data input capabilities. • Monitoring and display system: Consists of the displays used by the pilot and observers when controlling the external cameras. • Synchronization and time code generation system: Provides synchronization and time signals as necessary to all imaging hardware in the personnel sphere as well as the external cameras and lighting system.

Imaging Option 2 – New HD Camera and Upgrade of Existing HD Camera; Upgrade to Shipboard Data Duplication System: This includes purchase of a second primary single chip HDTV (1920 x 1080 resolution) camera to provide a second camera for forward imaging. In addition, the existing HDTV camera’s imaging sensor will be upgraded to match the capabilities of the new camera. The sensor upgrade will provide increased light sensitivity and superior color characteristics. Both of these cameras will be used in digital mode (the existing one will be upgraded from analog to digital) – this requires the internal infrastructure described in Imaging Option 1. In addition, the Data Duplication System on board the R/V Atlantis will be upgraded to allow duplication of HD still and motion images. This will require a number of recorder/playback machines identical to that used in the personnel sphere.

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Imaging Option 3 – Ramped and Strobed Mode LED Lighting; External Still Image Storage Capability: This includes addition of ramped and strobed operational modes for the high intensity LED lights. In the ramped mode, the LED light output intensity is ramped up briefly during times when still images are acquired or when beneficial to science activities. It will also include provision of conventional strobed still imagery which allows for the most efficiency when continuous lighting is not required. In addition, an external still image storage capability will be provided allowing capture and storage of still images from the motion video before the format conversion required for video signal transfer into the personnel sphere. This provides the means for obtaining still images having the highest resolution possible with the installed cameras.

Imaging Option 4 – Upgrade of Shipboard Science Processing Station: This will be upgraded and supplemented in order to accommodate the HD format used by the submersible’s video systems and to provide the increased bandwidth necessary for managing the volume of digital image data to be generated. A Non-Linear Editing System will be added that will allow HD conversion to PC/Mac format so that scientists without the means to view and edit HD imagery leave the ship with imagery they can use.

Construction of the Base Option for the A-4500 HOV is not preferred because, although it provides the larger personnel sphere (18% increase in internal volume), improved ergonomics, better viewing and overlapping fields of view between the pilot and scientists (through 5 viewports), and higher through hull bandwidth data link via the fiber optic penetrators – all of which are significant improvements compared to Alvin – it does not improve the documentation of observations, data collection, and interfacing capabilities with scientific instrumentation that is critical to optimizing the scientific value of the submersible. In addition, the overall total cost to get to the desired A-6500 HOV would increase as some components (e.g., 4500 m rated syntactic foam) that are purchased for this option would have to be replaced for the A-6500 HOV.

Based on engineering analysis and assessment, consideration of the need to present a design that relies on proven technology, cost, and schedule, and providing as many improvements for scientific use as is feasible under these constraints, our Preferred Option for the design of the A- 4500 HOV enhances the submersible with the following additions:

• Command and Control System, and 6500 m power and data bottles • All new 6500 m Syntactic foam • LED lights operable in normal on/off, ramped and strobed modes • Imaging options 1-4: -- internal video infrastructure -- new HD camera and upgraded existing HD camera; upgrade to shipboard duplicating system -- external still image storage capability

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-- upgrade of shipboard science processing station.

Other options considered for the A-4500 HOV included additional imaging capabilities and replacement of the six variable ballast spheres with two larger spheres. Imaging capabilities and enhancements to the processing software available to the scientists on board ship can be added in a piecemeal fashion as funding becomes available. The variable ballast system within Alvin has proven to be effective and trouble free over many years. Replacement of the spheres is not recommended for the A-4500 HOV because, based upon preliminary design information, the two new spheres are expected to be considerably heavier than the existing six spheres. The new spheres must be located near the vehicle’s center of gravity in order to prevent ballast changes from affecting trim. This makes their weight a substantial issue when added to the requirement to float both the new personnel sphere and the existing lead-acid batteries. However, it should be noted that approval for continued use of the existing spheres will need to be obtained from ABS. Their use at 4500 m requires a minimum internal pressure, and it will be necessary to show ABS engineers that the design includes the safeguards necessary to ensure that this minimum pressure is maintained. This should not be difficult; internal pressure monitoring has been part of the Alvin operational procedures for the past 40 years.

The science capabilities that are met with the Preferred A-4500 HOV design are shown in Table 4.2. The new personnel sphere provides much improved fields of view for the pilot and observers and better interior ergonomics. Illumination objectives to provide twice the amount of illumination compared with the current Alvin illumination system are met. The new command and control system provides improved interior electronics and will go some way to improving position keeping and maneuverability. The goal of improved imaging systems is partially met, although ultra-high resolution imaging and mosaicing will be added for the A-6500 HOV. The goals that are not met by the A-4500 HOV – apart from a depth capability of 6500 m – are all related to the continuation of use of lead-acid batteries, which is necessary until Li ion battery technology matures and they are deemed safe for use in human-occupied vehicles. Table 4.2 demonstrates that the Preferred A-4500 HOV will meet significant science capabilities desired by the scientific community.

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Table 4.2 Science and Engineering Options that Comprise the Preferred A-4500 HOV Design

Imaging Option 2 - Command and Imaging Option 3 - New HD Camera, Imaging Option 4 -- Control Imaging Option 1 - Ramped and Strobed All New 6500 m Illumination Upgrade of Existing Upgrade of Preferred A-4500 Base A-4500 HOV Enhancements; New Internal Video LED Lights; External Syntactic Foam Enhancements Camera; Upgrade to Shipboard Science HOV Power and Data Infrastructure Still Image Storage Shipboard Data Processing Station Bottles Capability Duplication System larger personnel sphere with improved interior ergonomics

Increased Field of View for pilot's and observers

Improved illumination

Improved imaging systems

Improved data collection, logging, and interface capability

Improved interior electronics

Automatic position keeping

Increased thruster horsepower and better maneuverability

Enhanced mid-water research capability

Increased science payloads

Increased battery capacity

Increased on-bottom time

Increased hydraulic plant capacity (improved manipulator performance)

Increased operating Depth to 6500 meters

Upscope cost impact _ $1,112,506 $1,097,088 $197,427 $568,560 $356,660 $479,053 $91,750 $3,902,741

LEGEND - Relative to ALVIN

No Improved Capability

Some Improved Capability

Fully Improved Capability

32 A-4500 HOV Project Project Execution Plan

A-6500 Vehicle Design

Table 4.3 presents the additional options proposed for the final A-6500 HOV. It starts with the Preferred A-4500 HOV design derived in the previous section and then adds science and engineering capabilities. These include additional imaging and image processing capabilities, replacement of the variable ballast spheres, Li-ion batteries (which mitigate the weight issue for the new VB spheres because they are considerably lighter than the lead-acid batteries), and new motors and thrusters, including a lateral thruster.

Table 4-3. Options that Upgrade the Preferred A-4500 HOV Design to the A-6500 HOV

Imaging Option 5 – Still Image Mosaic Processing Tools: The Shipboard Science Processing Station will be further upgraded to include still image mosaic processing tools that will enable scientists to create mosaics while at sea.

Imaging Option 6 -- Addition of New Manipulator Video and Still Cameras and Mosaic Camera: This would provide a highly specialized 6500 m HDTV video camera and an ultra- high resolution digital still camera that would both have resolution and fidelity superior to that of the normal HD captured still images. These would be mounted on either of the manipulators

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when required by the science observers. In addition, down-looking HD cameras – one color and one more sensitive black and white – would be added to acquire quality still and motion imagery for the creation of seafloor mosaics. They would be mounted to allow collection of stereoscopic image pairs.

Imaging Option 7 – Addition of Software Tools for HD Editing: An HDTV Non- Linear Editing System, including a RAID Storage System and HD compatible monitors, will be added to the Shipboard Science Processing Station.

4. Variable Ballast Sphere Replacement: Replacement of the six VB spheres that are not adequate for 6500 m with two larger VB spheres designed and certified for the higher pressures.

5. Li-Ion Batteries: Replacement of the lead-acid batteries with lighter Li-ion batteries that will provide 80 kW-hr and enable an upgrade to a 240 volts electrical system.

6. New Motors, Thrusters and Lateral Thrusters: The 240 volts electrical system will allow for new thrusters, as well as addition of a lateral thruster, that will significantly improve maneuverability.

7. Upgrade of Remaining 4500 m Components to 6500 m Depth Capability: This includes a new hydraulic system, as well as replacement shrouds and fringes.

Imaging Option 5 is an upgrade to the shipboard science processing station, and hence can be added as funds permit and as science priorities are evaluated. Imaging Options 6 and 7 both add additional cameras (and therefore weight and bulk) to the A-4500 HOV, and hence could be more easily added as part of the upgrade to the A-6500 HOV when lighter Li-ion batteries are installed.

Table 4.4 lists the science capabilities desired by the scientific community and demonstrates that the final A-6500 HOV will meet all the science capabilities desired by the scientific community.

A-4500 HOV Project 34 Project Execution Plan Table 4.4 Upgrades in Science Capabilities from the Preferred A-4500 HOV Design to the A-6500 HOV

Imaging Option 6: Imaging Option 5: Still Addition of New Imaging Option 7: New Motors, Upgrade of Variable Ballast Preferred A-4500 HOV Image Mosaic Manipulator Video and Addition of Software Li-ion Batteries Thrusters and Remaining 6500m A-6500 HOV Sphere Replacement Processing Tools Still Cameras and Tools for HD Editing Lateral Thruster Components Mosaic Camera

larger personnel sphere with improved interior ergonomics

Increased Field of View for pilot's and observers

Improved illumination

Improved imaging systems

Improved data collection, logging, and interface capability

Improved interior electronics

Automatic position keeping

Increased thruster horsepower and better maneuverability

Enhanced mid-water research capability

Increased science payloads

Increased battery capacity

Increased on-bottom time

Increased hydraulic plant capacity (improved manipulator performance)

Increased operating Depth to 6500 meters

Upscope Cost Impact - $50,463 $1,002,576 $88,750 $2,075,159 $4,699,200 $255,135 $506,000 $8,677,283

LEGEND - Relative to ALVIN

No Improved Capability

Some Improved Capability

Fully Improved Capability

35 A-4500 HOV Project Project Execution Plan

4.2 Vehicle Design

The Analysis of Alternatives discussed above presented the preferred vehicle design that we propose for the A-4500 HOV, and indicated the science requirements that would be met by that design. The design provides the larger personnel sphere (18% increase in internal volume), improved ergonomics, better viewing and overlapping fields of view between the pilot and scientists (through 5 viewports), higher through hull bandwidth data link via the fiber optic penetrators, improved electrical system reliability contributing to greater vehicle availability, improved lighting and imaging capabilities, plus improved data logging and science equipment interfaces. The science requirements that will not be met with this design are those that require additional energy. Those requirements will be accomplished through the installation of lithium- based batteries in the A-6500 HOV when that technology become mature and is proven safe for human-occupied vehicle application.

The HOV Engineering Plan details the general engineering approach and preliminary design of the A-4500 HOV and indicates what additional modifications will be needed to upgrade to the A-6500 HOV. It discusses each system or component in turn and presents the preliminary design of each component.

Figure 4.2. Preliminary design of the A-4500 HOV showing installation of the 6500 meter personnel sphere with the required flotation material.

4.3 A-4500 HOV Vehicle Construction Plan

The A-4500 HOV Vehicle Construction Plan describes the team, the tasks, and schedule for fabrication of components, tear down of Alvin, and assembly and testing of the A-4500 HOV. It

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also includes detailed timelines for completion of all tasks associated with construction. Figure 4.3 illustrates the currently expected gross breakdown of tasking and servicing requirements on a timeline basis. This is based on our experience with the time it has taken in the past to do similar tasks for Alvin.

Figure 4.3 Gross breakdown of fabrication, construction and testing of the A-4500 HOV

Construction of the A-4500 HOV will be carried out in facilities at WHOI with the majority of work being done by WHOI personnel. The Manager of the Submarine Engineering and Operations Group (SE&OG), who is the Integration Lead/Operations Liaison/ Safety Manager for the A-4500 HOV Project, will direct, and be responsible for, the construction of the A-4500 HOV. Because the operations team will eventually be solely responsible for the repair, maintenance and operations of the vehicle, they will perform the majority of the construction. This philosophy in past overhauls of Alvin has made the team extremely knowledgeable about the vehicle on a system and sub-system level. Such knowledge has been critical to Alvin’s past operational and reliability record and will significantly shorten the Transition to Operations period that would have been required if the HOV had been built under contract by an outside party.

4.3.1 Pre-construction Procurement and Fabrication

Preconstruction Procurement and Fabrication includes purchase, assembly, and testing of items such as data and power bottle assemblies, fixed and soft ballast system components, command and control hardware, frame modification components and wiring harnesses. Completion of some of these tasks to schedule will require approval of funding for long lead-time items, such as syntactic foam, prior to the Final Design Review.

WHOI has acquired a fiberglass sphere mock-up of the new 6500 m personnel sphere. Internal design and layout of the personnel sphere is already underway using the mock-up. The sphere

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mock-up has an equipment frame on which existing and new internal sphere electrical panels and equipment will be attached. We plan to have approximately 80% of the required sphere outfit completed in the mock-up sphere, including support frame structure (bird cage), life support systems, control and data systems, and interior wiring harness.

4.3.2 Demobilization and Disassembly of Alvin

Demobilization and disassembly will essentially mirror activities that are done during every Alvin major overhaul period. Once R/V Atlantis arrives in Woods Hole, Alvin and its shipboard shop and support equipment will be moved from the ship into WHOI’s High Bay facility on the dock. Once setup is completed, a total strip down of the vehicle will begin. Major system components will be removed as a unit package; e.g., junction boxes and pump assemblies, and placed onto purpose-built stands and frames for further teardown and work once the submersible has been completely stripped. Once disassembled, the frame would normally undergo and complete inspection but, because significant frame modifications will be required to accommodate the new personnel sphere, the vendor performing those modifications will also do the general inspection as well.

4.3.3 Refurbishment, Servicing and New Construction

Following the complete disassembly of the vehicle, maintenance and servicing of reusable system components (e.g., VB system, Hg trim system, propulsion, etc.) will begin. Inspection Reports are used as the controlling work package document and define the extent and compliance criteria of the system and sub-system work to be carried out, the Maintenance Manual procedure criteria to be used, and post-maintenance testing requirements. The A-4500 HOV ABS Classification Plan will also mandate any additional requirements for the scope of work that may be required over and above the established maintenance procedures.

4.3.4 Assembly of the A-4500 HOV

Once the frame has been modified, accepted and returned by the vendor, we will begin the process of reassembly of the system components onto the vehicle. The assembly approach includes installing individual components on to the frame, as well as sub-assembly of systems that are then installed as a single unit. The assembly schedule will be dictated by many factors but the most significant will be ABS witnessed inspections. A clearer understanding of those requirements will be realized in the next several months. Dependent on the progress of bird cage electrical testing, the internal sphere systems may be fully installed prior to mating the new sphere to the frame.

4.3.5 High Bay Testing and Remobilization

Once a complete end-to-end submersible systems’ “ring out” with fully powered test is completed, detailed unmanned testing in the High Bay will commence to verify the habitability

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of the submersible prior to human occupancy. Once approved for human testing, a series of short and long “deck dives” are then conducted. All testing will be carried out by a qualified pilot in the sphere with either the Expedition Leader or Operations Group Manager in overall charge of the program. The culmination of the High Bay test program will be ABS approval to begin tethered wet testing from the WHOI pier.

As dictated by engineering and ABS classification requirements, a comprehensive testing program will be carried out as part of the construction and transition program. Individual test criteria for systems and sub systems will be detailed in the classification plan or as part of the Inspection Report work package requirements. Testing requirements will be revised and additional requirements added as the A-4500 HOV Program Execution Plan (PEP) develops.

4.4 A-4500 HOV ABS Classification Plan

The A-4500 HOV project will be executed in accordance with the ABS Rules for Building and Classing Underwater Vehicles, Systems and Hyperbaric Facilities, 2002 (UWVS). WHOI will collaborate with ABS to develop a comprehensive Scope of Classification (SOC) document for the A-4500 HOV that identifies all critical systems and components of the vehicle according to the UWVS rules. The A-4500 HOV ABS Classification Plan outlines the procedures that are on- going and that will be needed in the future to obtain ABS approval and certification.

All items identified in the vehicle SOC will be categorized into one or more of the following submission groups:

1. Existing Equipment 2. General Group 3. Mechanical Equipment Group 4. Pressure Hull Group 5. Pressure Vessel Group 6. Ballast Group 7. Electrical Installations Group 8. Emergency Systems Group 9. Propulsion Group 10. Launch and Recovery System (LARS) Group 11. Life Support Systems Group 12. Procedures & Test Group 13. Manuals Group

The Submission Tracking Sheet (Appendix A of the ABS Classification Plan) lists the submission reports that WHOI will generate. This tracking sheet provides the required insight to ensure that those engineering documents generated as part of the design process are approved by

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ABS in a timely manner. The submission tracking spreadsheet also provides the required insight to ensure that hardware components are accepted/approved by ABS in a time frame that supports the vehicle construction plan. These documents will be drafted and submitted during the Final Design Phase of the project once an approved vehicle design has been determined.

For each submission group, the responsible engineer will be designated to manage the ABS requirements throughout the design and build process. This individual will ensure that all applicable rules specified by UWVS section 1/7 “Submissions of Plans, Calculations, Data and Test Results” are met, and will generate the required detailed submission report for internal review. All reports are stand-alone documents that will be submitted independently as they become available. After internal approval, documents will be forwarded to the ABS Engineering group and the ABS Survey group by the Classification Lead – the single point of contact between WHOI and ABS.

There are two exceptions. The first is the personnel sphere (Group 4) that has been designed and is being constructed by the Southwest Research Institute (SwRI) under ABS survey for 6500 m operations. All submissions regarding the classification of the sphere are being generated and submitted by SwRI in accordance with their separate and independent classification program. The second exception is the launch and recovery system (LARS) on the A-4500 HOV support vessel, the R/V Atlantis (Group 10). The A-Frame launch and recovery system was designed and built under ABS survey by Caley Hydraulics Ltd. The LARS system has been certified and operated by NAVSEA since its original commissioning on board R/V Atlantis II in 1985. ABS classification of the LARS is not required by UWVS. Hence, WHOI will continue to certify and operate the system under NAVSEA-9290 certification.

When a report has been approved by ABS, construction of the system and/or components may begin. When the results of all in-process surveys and testing for a component or system, as defined by the approved manufacturing plan, are available, the applicable submission group report will be appended to include this objective quality evidence (OQE) as needed. The appended report will be reviewed by WHOI and resubmitted to the ABS Engineering group and the ABS Survey group for final classification.

Apart from new components, WHOI will incorporate existing hardware that will be “cross- decked” from the current HOV Alvin. These systems or components were designed, constructed and operated under NAVSEA-9290 standards. These components are considered to have been designed, built, and operated under the survey of a “Recognized Flag State” and are considered to be acceptable for use within the ABS classified design. WHOI has discussed the incorporation of NAVSEA-certified equipment into the A-4500 HOV with ABS. They have determined that systems of this nature will be identified and documented in accordance with UWVS in the applicable submission report, and they will be evaluated by ABS on a case-by-case basis.

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5.0 Project Management

Construction of the A-4500 HOV is managed through a Cooperative Agreement between the NSF and Woods Hole Oceanographic Institution. The A-4500 HOV project management structure and approach is detailed in the A-4500 HOV Project Management Plan and has been organized to create a structure that will efficiently provide support and clear lines of authority for the construction project. The Principal Investigator(s) have overall responsibility for the oversight of the project.

5.1 Organizational Structure The project management structure created for this project is depicted in Figure 5-1.

Figure 5-1. The A-4500 HOV Project Management Structure

An important feature of this structure is the relation between the Principal Investigator and the National Science Foundation, plus the external oversight committee (the HOV Replacement Oversight Committee – RHOC) that includes a representative from the Deep Submergence Science Committee (DESSC). This relationship ensures that the needs of the science community will be met to the maximum extent practicable within the funding provided. Another important 41

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aspect of this structure is the direct reporting relationship of the Project Manager to the Principal Investigator, and the direct line of communication with the President and Director of WHOI. In addition, there is a direct link between the PI and the National Deep Submergence Facility (NDSF), including the Chief Scientist for Deep Submergence (CSDS), at WHOI. This will ensure that the project considers and does not lose sight of the vehicle capabilities and characteristics needed by the scientific community.

The Project Management Team, consisting of the PI, the Project Manager, Assistant Project Manager, Technical Director, Business Manager, and the Integration Lead/Operations Liaison/Safety Manager, has extensive program management experience and substantial technical expertise in submersible engineering and operations. The Team has been set up so that each function that is tied to the schedule, and the commitment to maintain the schedule with zero cost over-runs, is represented. Collectively, they are responsible for directing and executing the project.

The Principal Investigator is directly responsible to the NSF and to WHOI’s President and Director for the successful completion of the project. The Project Manager reports directly to the Principal Investigator and has the overall responsibility, and is accountable for, managing and executing the project. He has the authority to make engineering trades and other decisions that are within cost, schedule and budget. However, the Project Manager will alert the Principal Investigator of any situation for which a decision: • adversely affects safety • changes policy • impacts the scientific capabilities of the vehicle.

He is assisted in this role by the Assistant Project Manager, who will maintain the master schedule, manage the outside major contracts, and coordinate various other activities, including compliance as applicable with the American Bureau of Shipping’s (ABS) Rules for Building and Classing Underwater Vehicles, Systems and Hyperbaric Facilities 2002 and subsequent amendments. Reporting directly to the Project Manager is the Technical Director, the Business Manager, and the Operations Liaison/ Safety Manager. The Technical Director is responsible for all technical aspects of the project. He will establish the technical and engineering objectives and will provide the necessary guidance to a group of team leaders who report directly to him. The Technical Director is the Design Authority for this project. The Business Manager is responsible for compiling and tracking the project budget and costs. The Business Manager is also responsible for procurement and document management. For the major outside contracts, WHOI’s Director of Procurement will provide the necessary contractual support to ensure that all contract-related documents are in place and to ensure compliance with WHOI’s Subcontracting Plan. The Integration Lead/Operations Liaison/Safety Manager is responsible for

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managing construction of the A-4500 HOV, and provides the linkage to the submersible operations group, the ship operations group (as it pertains to submersible operations from the R/V Atlantis), and to the science user community. This relationship will ensure that the engineering and construction of the vehicle will fully consider the real world operating constraints, concerns, and interfaces necessary for successful operations at sea. In addition, he acts as the A-4500 HOV Project’s Safety Manager, ensuring compliance of personnel with the A-4500 HOV Project Environmental Health and Safety Plan.

5.2 Internal Advisory Structure

An A-4500 HOV Internal Oversight Committee (HOV IOC) has been established to provide high-level review and advice as the project proceeds. This relationship allows the project to take advantage of the resident experience of additional WHOI professionals, who can provide independent and objective oversight of the project and ensure that lessons learned from other WHOI projects are considered. The Committee will meet no less than quarterly, and more frequently as necessary, and will report directly to the President and Director of WHOI.

WHOI also has a Deep Submergence Advisory Committee (DSAC) that is charged with providing advice on matters relating to the operation and management of the National Deep Submergence Facility (NDSF) and associated deep submergence science at WHOI. Chaired by the Chief Scientist for Deep Submergence, the Committee meets quarterly and is briefed on the status of construction and will also be consulted on decisions that need to be made that will impact the capabilities and future operations of the vehicle.

5.3 Community Advisory Structure

Community oversight of, and input to, the project is achieved through the HOV Replacement Oversight Committee (RHOC) which was established by NSF in 2004. The RHOC is charged with obtaining community input and advice on all aspects of the design and construction of the A-4500 HOV, and also providing advice on the establishment of design and budget priorities to ensure the project remains within the agreed scope and cost. WHOI consults RHOC on all major issues that impact the scientific community in terms of the capabilities of the vehicle prior to any decisions being made. This is done through bi-weekly teleconferences to keep RHOC members and NSF apprised of the project’s status and to receive their continued guidance, and formal yearly meetings to discuss the project’s performance both at the summary level and at the detail level.

While RHOC reports to NSF, the Deep Submergence Science Committee (DESSC) is a standing Committee of the University - National Oceanographic Laboratory System (UNOLS). DESSC provides advisory responsibilities for the National Deep Submergence Facility, and hence they 43

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can act as an advisory body for this project. Communications with DESSC occurs through two avenues. First, the Chair of DESSC is a member of RHOC, and hence participates in the bi- weekly teleconferences. Second, presentations are made at the bi-annual DESSC meetings that provide an update to the community on progress on the project.

5.4 Work Breakdown Structure

The A-4500 HOV Project scope is broken down in accordance with the Alvin sub-assembly breakdown structure (Figure 5.2). The vehicle breakdown represents the major systems on the submarine. The WBS top level is broken into project management, certification/classification, the A-4500 HOV, support equipment, construction, and integration and test.

Figure 5.2. A-4500 HOV Work Breakdown Structure at the Top Level

The second level depicts the major vehicle systems components. Work packages are called out by technical discipline and priced as such to ensure that all scope is included in the project. It is

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used as a common base for all project planning, phasing, scheduling, budgeting, cost accounting, and reporting of performance during the life of the project.

The full WBS has been incorporated into Primavera Project Planner (P3) 3.1. The WBS dictionary is described in detail in the A-4500 HOV Work Breakdown Structure and Dictionary.

5.5 Project Monitoring and Control

The project control management system is presented in the A-4500 HOV Project Management Plan. It consists of planning, monitoring and controlling scope, schedule, cost and resources. Planning consists of development of the work breakdown structure, schedule and cost estimate. Monitoring consists of schedule updates, cost accumulation and earned value calculations in order to determine relevant variances in a timely manner. Controlling the project is the result of variance analysis and implementation of appropriate corrective action through the change management process.

Key project organization components include the Work Breakdown Structure (WBS), organizational breakdown structure (OBS) and responsibility assignment matrix (RAM). These structures will serve as the basis of planning and managing this project. The OBS illustrates this configuration and delineates technical responsibilities. At the intersection of both of these structures lies a RAM and associated control accounts. Control accounts are visible manageable pieces of work with clear lines of responsibility. They are the building blocks for planning and earned value management reporting. Control accounts exist during the planning, executing, monitoring and controlling phases of the project so that the cost estimate can be traced and tracked horizontally throughout the project lifecycle.

During the initiation and planning phase, the project team organized, developed a critical path schedule, and prepared a bottom up estimate. These were combined into Primavera Project Planner (P3) 3.1 to create a cost and resource loaded Integrated Master Schedule (IMS), which will be used as the basis for our earned value management system (EVMS). The IMS was also used to generate cash flow projections and staffing charts. All data was imported into Oracle’s Primavera Risk Analysis in order to calculate contingency for each work package. A complete discussion on contingency can be found in the A-4500 HOV Risk Management Plan.

The summary schedule (Figure 5.3) shows a portion of the project scope by work breakdown structure.

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Figure 5.3 Part of the Summary Schedule by WBS

Financial reports will be organized so that the control account manager (technical lead) is able to examine actual costs against technical progress and schedule to quickly identify variances from the plan. The control account manager can then use his authority over the specific resources, identify who will execute the activities to take the appropriate corrective actions. This configuration allows each technical lead to act quickly to resolve or elevate problems and opportunities. Figure 5.4 shows the project monitoring and control process that will be implemented for the project. The role of the Change Control Board is discussed more fully in the A-4500 HOV Configuration and Management Plan.

Figure 5.4 Project Monitoring and Control Process

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5.6 Configuration Management and Change Control

The A-4500 HOV Configuration Management Plan (CMP) formally establishes the activities, responsibilities, processes, and methods used to maintain the configuration of the A-4500 HOV project and to manage changes to the scope and design of the vehicle. Starting with the accepted design at the Preliminary Design Review, the design and capability, cost, and schedule control accounts (often referred to as baselines) will be set. These accepted parameters will be referred to as the Accepted Control Account (ACA). The A-4500 Configuration Management Plan documents the configuration management process that will: 1) ensure there is a disciplined process that involves both management and technical direction to design and build the A-4500 HOV in accordance with the ACA, and 2) manage changes to the ACA within established guidelines.

The management element of the configuration control process includes the preparation, justification, evaluation, coordination, disposition, and implementation of proposed engineering configuration items or program technical data changes and/or deviation from the requirements. The systematic change management process is progressive and evolves with the maturity and complexity of the program. The CMP defines change classes, and outlines how changes (e.g. engineering, policy, statement of work, controlled program/design documents, etc.) to the ACA are requested, assessed, and considered. It defines membership of the Change Control Board and defines which changes must be forwarded to the NSF for approval.

The document management system is described in the plan. Using the systems engineering approach, WHOI will create documents (drawings, calculation sheets, system diagrams, procurement specifications, etc.) that will define the A-4500 HOV in sufficient detail to allow construction and operation of the submersible. Management of these documents in a manner that ensures traceability and consistency is essential for a successful project. WHOI will employ the Synergis Adept documentation management system, which provides control over drawings, specifications, process instructions, and maintenance, operating, and emergency procedures and all changes thereto. All changes will be technically justified, accomplished with assurance of quality and safety, economically feasible, and adequately approved and documented. Since the NDSF (of which the A-4500 HOV will be a part) utilizes Synergis Adept document management software to catalog, archive and control digital system documentation, the A-4500 HOV project will use the same document management software for compatibility with other NDSF systems.

5.7 Quality Assurance and Quality Control

Quality management is documented in the A-4500 HOV Quality Management Plan, which is built upon procedures and processes currently employed in the Alvin Quality Program approved by NAVSEA. The main goal of the Quality Management Plan is to ensure that the quality of

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hardware, instruments, sensors, and services to be provided for the A-4500 HOV Project is of superior quality. The quality of the components for the project will be measured at the project level by implementation of a cost efficient quality system. The Quality Management Plan specifies the quality management organization, its goals and objectives, and procedures during vehicle design and construction. It provides details on the governance, roles and responsibilities, training, evaluation criteria, records, acceptance procedures, and audits. This plan will be shared with all personnel to form an understanding of the integrated quality management system. All personnel will use this quality management plan as a reference and as guidance for strategic, enterprise-level quality management and governance.

The responsibility for the overall quality assurance of the A-4500 HOV lies with the Quality Manager (i.e., the Business Manager) who is part of the Project Management Team, and who reports directly to the Project Manager. The A-4500 HOV Project will be executed by WHOI personnel, all members of the team currently responsible for Alvin submersible operations. This group administers, and strictly adheres to, the Alvin Quality Program that is directly responsible for over 45 years of safe, successful deep submergence operations.

5.8 Procurement Plan

Procurement procedures are described in the A-4500 HOV Procurement Plan and build on procurement policies, procedures, and resources of the WHOI Procurement Department. WHOI receives substantial funding from federal agencies and is therefore obligated to maintain a federally-approved purchasing system. The WHOI Procurement Department is tasked with ensuring purchases meet federal requirements regarding the expenditure of awarded funds, as well as ensuring goods and services are obtained in a timely, cost effective manner. WHOI procures about $21.5M of material annually and has a well-established base of dependable suppliers. It is anticipated that many of the materials required for this project will be purchased from vendors in this pool.

The A-4500 HOV Business Manager is responsible for all project procurement tasks, including specification, ordering, receipt, and quality control inspection, the latter in accordance with the A-4500 HOV Project Quality Management Plan. The A-4500 HOV Project acquisition process for products and services will in general follow this sequence: • Definition of requirements • RFP/RFQ development (as required) • Potential vendor evaluation • Negotiations (as required) • Procurement approval (as required) • Purchase The acquisition of materials and services for the project will be in accordance with the purchasing procedures and policies of WHOI. Supplier management will be predicated on pre- contract planning, a competitive selection process to obtain the best subcontractors and suppliers 48

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possible, use of proven controls and processes to ensure success, and an unwavering commitment to the quality of the final product. Make or buy decisions will be made as the design details are finalized. Vendor selection and monitoring will take place in accordance with standard Institution procedures. Volume purchases will be made and commercial off-the-shelf (COTS) products selected whenever possible to reduce costs.

Purchasing procedures shall ensure that products purchased satisfy science requirements, design criteria and the operational needs of the integrated system. Purchasing lead times will be evaluated in terms of defined integrated master schedule milestones. To provide adequate oversight and control of A-4500 HOV Project purchasing-related processes, the Project Management Team (PMT) will conduct regular reviews/audits of the purchasing system.

5.9 Risk Management

A formal risk management plan has been implemented for the A-4500 HOV Project. This plan is described in the A-4500 HOV Risk Management Plan. This plan follows an accepted standard risk management approach of planning, identifying potential risks, assessment, analysis and developing mitigation strategies or handling. The risks addressed by this plan are associated with logistical, programmatic or technical problems that could affect cost, schedule, and scope of the A-4500 HOV Project throughout the life of the project, but does not include risks associated with the personnel sphere construction. Risks associated with that aspect of the project are detailed in the Personnel Sphere Construction Plan. The A-4500 HOV Risk Management Plan is augmented and supported by the overall project management procedures for the A-4500 HOV Project, including Earned Value Management, Configuration Management, Contingency Management, Documentation Controls, and Financial Controls.

The A-4500 HOV Risk Management Plan is intended to give the A-4500 HOV Project Management Team a tool to: • Define an adequate contingency for the remaining work to be done • Provide guidance to the Project Manager (PM), particularly for areas of risk tracking and mitigation • Assist with development of acquisition strategies for risk mitigation • Provide guidance for staff requirements during the project.

The risk management strategy for the A-4500 HOV Project will utilize risk planning, assessment, handling, monitoring and reporting. Figure 5.5 depicts the elements of action defined in the A-4500 HOV Risk Management Plan.

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Figure 5.5. Basic Elements of the A-4500 HOV Risk Management Strategy The Project Manager (PM) is the overall risk management lead. He provides updates to the Principal Investigator, the NSF, and the internal and external advisory committees. The PM consults with all participants on methods of handling risk, and manages use of contingency funds.

Risk was initially assessed and planned for during an A-4500 HOV Project Risk Assessment, conducted in parallel with the development of the Project Execution Plan and in consultation with RHOC and NSF, who reviewed all project aspects to identify potential areas risk. This expertise also exists, in part, within the A-4500 HOV Project Team, but the internal and external advisory committees provided a new and independent look at risk issues and a formal means to facilitate the initial risk assessment.

Thirty-four individual risks were identified and detailed in risk assessment sheets, of which more than one-half risks will be resolved prior to the start of fabrication and construction of the A- 4500 HOV. The risks are assessed in terms of associated project costs before and after handling plans are accomplished. Costs of risk resolutions were estimated for best case, likely case, and worst case occurrences. These data were analyzed using Primavera Risk Analysis tools. For this project, the Project Management Team has selected a 95% confidence level for estimating the contingency budget amount which equates to $3.45M.

Schedule delay costs are based on the project burn rate during the phase(s) that apply. The schedule contingency was calculated by importing the cost loaded schedule into Primavera Risk Analysis. The entire schedule was analyzed using a Monte Carlo simulation with the following settings: best case of 85%, most likely 100%, and worst case of 125%. This analysis yielded a finish date of 03/19/12. All of the schedule delays are accounted for in the cost assessments

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5.10 Scope Management

The Project Manager has the responsibility for ensuring that the scope of the A-4500 HOV Project is clearly defined and understood by all members of the team. The detail scope of work that was provided to the Project Team when work began was verified to be consistent with the scope described in the Cooperative Agreement (CA). Changes that were considered during the development of the preliminary design were evaluated by the Project Management Team to ensure that they were necessary and in compliance with the technical scope and budget authorized by NSF in the CA.

Based on the terms of the authorization expected to follow PDR, the Project Manager will ensure that the scope of work provided to the team for the final design effort is consistent with these terms. As the final design develops, it will be reviewed at the weekly project meetings to ensure that the scope continues to remain on track. The approach that the Team takes for the final design will also be reviewed at the biweekly briefings with NSF and RHOC.

At the point where the project’s Accepted Control Account (i.e., baseline) is established, the baseline will come under the control of the Configuration Management System. From that point forward, changes in scope will be carefully reviewed to ensure that they are consistent with the project’s goals and stay within the project’s budget and schedule.

“Scope Creep” will be carefully monitored over the life of the project. Equally important will be the Project’s Estimate-at-Completion (EAC). In the unlikely event that the EAC may put the approved budget and schedule in jeopardy, de-scoping of the project will be evaluated. Any plans to de-scope the project will be reviewed with the RHOC for their advice and approval. The overriding responsibility of the Project Manager is to ensure that the project’s end result does not jeopardize NSF’s zero cost overrun policy.

5.11 Environmental Health and Safety

Environmental Health and Safety (EH&S) is a critical concern for the A-4500 HOV project. Our approach to EH&S is documented in a comprehensive A-4500 HOV Environmental Health and Safety Plan incorporated by reference. It encourages the health and safety of personnel throughout activities associated with the design, construction and operation of both the A-4500 HOV and the future modifications to create the A-6500 HOV. It encompasses not only policies and procedures for the new submersible vehicle, but also policies and procedures currently in place for work conducted at WHOI and on board the R/V Atlantis. The Plan establishes a systematic health and safety program to provide a means to identify and eliminate or control identified health and safety risks, and to provide an assessment of those risks in the use of the submersible.

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The total health and safety activity will ensure that an acceptable risk level is achieved by providing insight into the system design and activities, and that the SE&OG Project Manager can certify that the operational system is safe to utilize. This will be accomplished by health and safety training, hazard identification, hazard elimination or hazard control, and the management/technical approaches used to minimize the risk of mishaps. Rapid reporting of safety accidents/incidents and correction of the cause of the accident/incident is also a priority. An audit program will be established for the project, and will include periodic surveys of hazardous project activities by the project team leads, and health and safety audits of any areas by the WHOI EH&S staff at their discretion. Following transition to operations, an annual system audit program by a team of internal and external individuals, as is currently in place for sustaining Navy certification, will be maintained and will coincide with ABS annual and special inspection/survey requirements.

The A-4500 HOV project will comply with all applicable Federal, state, institutional, ABS, American Society of Mechanical Engineers, U.S Coast Guard, and University-National Oceanographic Laboratory Systems (UNOLS) EH&S policies, procedures and requirements. The A-4500 HOV Project team, WHOI EH&S office staff, as well as outside independent auditors as required, will review areas needing personnel training and certification relating to hazardous operations. Training will be conducted by organizations and personnel best qualified to do so, and/or by organizations having operational responsibility. Personnel training shall comply with OSHA and ANSI standards as defined or required and monitored by the WHOI EH&S Office. Project team leads and the SE&OG Manager will assure that such requirements are met.

6.0 Transition to Operations Plan

The A-4500 HOV Transition to Operations Plan document, incorporated by reference, establishes the methodology, procedures, and processes by which the A-4500 HOV will be brought into operations for the scientific community. The Plan builds on the experience, procedures, and policies of WHOI’s Submersible Engineering & Operations Group (SE&OG) with the testing and acceptance of the HOV Alvin after major overhauls that are conducted every five years. More than 80% of the SE&OG have participated in the last six of these spanning more than twenty years.

A 2 month transition plan has been developed for the A-4500 HOV consisting of one month of vehicle testing for acceptance and classification by ABS, followed by a 3-4 week science acceptance and shakedown cruise.

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6.1 Vehicle Test Plan

Formulation of a vehicle test plan for the A-4500 HOV is based on historically successful previous sea trials, mandatory ABS Classification Plan requirements, and other requirements of Federal, State or Local requirements that are applicable. Testing of the vehicle will occur in a sequence of steps, beginning with a full electrical checkout when the vehicle is nearing the end of its construction. Once completed, the vehicle will move into the sea trial phase of classification. This begins with detailed unmanned testing of the vehicle out of the water to verify the habitability of the submersible prior to human occupancy. Once approved for human testing, a series of short and long “deck dives” will then be conducted.

In water sea trials will commence following successful completion of all prerequisite testing as a result of incorporation of new systems and system modifications, successful controlled dry environment testing, and with ABS concurrence. Dockside trails are expected to last 5-7 days and will be conducted from the R/V Atlantis. While the ships is still tied to the WHOI pier, a series of controlled tethered lowerings from the submersible’s launch and recovery A-frame will be made. Foremost among these first dives is to conduct inclining experiments to verify the weight and stability calculations, both surfaced and submerged. Also conducted during these first tethered dives is a full operational power up and systems operation of the vehicle. With ABS approval, the vehicle will progress to a series of shallow untethered harbor dives in Woods Hole to continue testing of the systems and to familiarize the pilots with new devices and equipment.

Open ocean trials will take place in Bermuda. Initially, untethered harbor testing will be continued in the slightly deeper depths of that location, primarily for sonar and acoustic communications tests. Trials will then move into open water beginning with day trips from St. George’s to shallow water (25 to 100 meters) on the northern end of the island. The primary goal of the shallow water phase is to verify complete system operability in “safe haven” depths while also allowing oil-compensated components and cabling to acclimate to progressively high ambient water pressures. It also allows progressive testing of the watertight integrity of pressure vessel seals.

Following a short number of shallow water dives, the submersible will be moved to slightly deeper water on the island slopes (200 – 250 meters). From this point, the vehicle will be driven down slope to deeper waters during the course of any particular dive, typically 750 – 1000 meter depth gains per dive. At specific depth benchmarks, it is anticipated that ABS inspector(s) will be required to observe and agree that testing requirements to that point have been met before continuing as part of the open water certification plan.

Once dives to water depths of 3000 to 3500 meters have been accomplished, multi-day excursions from St. George’s will be required because of support ship transit times to the deep water areas. 53

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Final culmination of the sea trials will be dives to operational depths that are witnessed by ABS, and the issuance of a classing certificate for the vehicle. Receipt of the class certificate from ABS will be considered the milestone point of the activation process.

6.2 Operational Crew Training

An important aspect of the A-4500 HOV project is that the SE&OG, who will eventually operate and maintain the vehicle on behalf of the National Deep Submergence Facility, will perform the majority of the assembly of the new vehicle. This, together with the fact that many of Alvin’s systems will be utilized on the A-4500 HOV, ensures that the team will be intimately familiar with the vehicle on a system and sub-system level. Such knowledge is critical to maintaining a strong operational and reliability record.

During the design process for the A-4500 HOV, systems engineers will be required to develop training guides and curricula specific to all new systems that will be incorporated in the vehicle. Training of the operational crew will begin during construction of the A-4500 HOV through weekly meetings for formal training on specific systems that comprise the vehicle.

During harbor and open water sea trials, the SE&OG Manager and Alvin Expedition Leader will be designated as the Chief Test Pilots. Until such time that the sea trials are completed, accepted and certified, all diving operations will have one of the Chief Test Pilots and either a qualified pilot or advanced pilot in training present in the submersible. Once the vehicle is ABS classified, additional dives will be made as part of the pilot currency and certification process. The Chief Test Pilots will observe dives made by the remaining certified pilots, and certify them as qualified to operate the A-4500 HOV as pilot in command for single pilot operations.

6.3 Rescue Vehicle Test Plan

A key design factor of the A-4500 HOV is that it will not be releasable from the main submersible structure as a final emergency personnel recovery measure in case of vehicle stranding on the sea floor. Because of this, a rescue system vehicle is currently in design and fabrication at WHOI (Figure 6.1). This vehicle will be required to be tested and operable as part of the final ABS classification requirements.

This rescue system will be installed aboard R/V Atlantis and become a permanent part of the submersible system support equipment. It will be operated and maintained by the HOV operational crew and be purpose-specific – that is, ABS will require that the rescue vehicle be operable in order to conduct submersible diving operations, so no other use will be allowed.

In concert with the detailed submersible sea trials and acceptance, trials of the rescue vehicle will be held in parallel with the open water sea trials of the submersible. These trials and tests will be 54

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Figure 6.1 Preliminary Design of the Rescue Vehicle conducted as part of night operations and will establish the rescue system’s operability on deployed test bed weights up to full classification depth.

6.4 Science Test Plan

Following ABS Sea Trials and system classification, a comprehensive science sea trials program will be carried out to verify the operability and viability of the submersible systems to support the science user end goals. WHOI’s Chief Scientist for Deep Submergence will lead the effort to design and propose a research cruise that tests the seven scientific capabilities identified as critical to scientific operations (i.e., observations, imaging, exploration, surveying, sampling, interacting with instrumentation, transiting). These trials will be multidisciplinary in nature to ensure the full spectrum of past and future science users and their requirements can be supported. The culmination of this Acceptance Trials program will be a Determination and Statement of Operational Readiness, at which time the vehicle and all support systems will be Commissioned.

The Science Test Plan for the A-4500 HOV builds upon a cruise scenario that was developed by the UK’s ISIS ROV program to enable both pilots and scientists to become familiar with that 55

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vehicle’s capabilities. It will provide opportunities for collection of data and deployment of a range of equipment in a variety of environments.

Details of the plan are described in the A-4500 HOV Transition to Operations Plan document and are summarized here. The ship will sail from Bermuda toward the Azores and known hydrothermal vent sites. Initial dives will work on flat, sedimented abyssal terrain and will test observational, exploration, imaging, bathymetric surveying, transiting, and sampling capabilities in sedimented environments, as well as collect metadata for post-dive QC processing of in situ sensors, video and still camera data, and submersible systems data. These will be followed by dives either on rocky terrain near the Mid-Atlantic Ridge or on the flanks of a seamount to demonstrate working and sampling in hard substrates, and surveying and imaging over more complex terrain. The final phase of the Science Test Plan will be conducted at a previously well- explored hydrothermal site where now familiar science tasks will be repeated, in addition to maneuvering tests and operating around large structures, and more complex sampling of hydrothermal fluids and substrates. At the completion of the science trials cruise, the submersible will be commissioned into science operational readiness status. R/V Atlantis will return to a port of convenience and the new A- 4500 HOV will be ready to commence funded science operations.

6.5 Estimate of Operational Costs

The 10-year average operations cost for the HOV Alvin has been $2.2M. One of the operational requirements for the new A-4500 HOV was an operational support team similar in size to that for Alvin so that future operations would incur cost and logistical levels similar to those for the current vehicle. This requirement is achieved with the A-4500 HOV.

An estimated operating budget for the A-4500 HOV is presented in the A-4500 HOV Transition to Operations Plan. The estimated cost for operations in 2012 is $2.54M – not significantly different from the projected operating costs of Alvin ($2.4M) assuming an inflation rate of 3%. Because the A-4500 HOV will largely be made up of existing systems, only two factors have any significant impact on future budgeting. One of these is maintaining ABS classification, which requires annual and special (every 3 years) sustaining surveys and certification. (Note that maintenance of certification and class for Alvin was a cost borne by Naval Sea Systems Command (NAVSEA), and so did not impact operations costs.) Our estimate of ~$15K for an annual survey and ~$35K for the 3-year survey are based on a poll of other facility operators that have ABS classification.

The second factor is recording media for the digital multibeam mapping system and upgraded HD imaging systems. The simplest solution for the multibeam data is to download data on to portable terabyte hard drives – a cost of about $10K per year. Although the format to be used for the HD imaging is not yet defined, a survey of current costs of candidate recording media indicates an annual cost of ~$113K. 56

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7.0 References and Supporting Documents

References

Arsenault, R. and Ware, C., 2004. The importance of stereo and eye-coupled perspective for eye-hand coordination in fish tank VR. Presence, 13, 549-559.

Escartin, J., Smith, D.K., Cann, J., Schouten, H., Langmuir, C.H. & Escrig, S., 2008. Central role of detachment faults in accretion of slow-spreading oceanic lithosphere. Nature, 455, 790-794.

Fryer, P., Fornari, D. and Perfit, M. 2002. Future Research Directions in Deep Submergence Science, Marine Technology Society Journal, 33(4), 74-4.

Jones, M.B., Kennedy, R.S. and Stanney, K.M., 2004. Towards systematic control of cybersickness. Presence, 13, 589-600.

Kelley, D.S., Karson, J.A., Früh-Green, G.L., et al, 2005. A serpentinite-hosted ecosystem: the Lost City hydrothermal field. Science, 307, 1428-1434.

Knapp, J.M. and Loomis, J.M., 2004. Limited field of view of head-mounted displays is not the cause of distance underestimation in virtual environments. Presence, 13, 572-277.

Koschinsky, A., et al., 2008. Hydrothermal venting at pressure-temperature conditions above the critical point of seawater, 5°S on the Mid-Atlantic Ridge. Geology, 36, 615-618.

McCollom, T.M., 2007. Geochemical Constraints on Sources of Metabolic Energy for Chemolithoautotrophy in Ultramafic-hosted Deep-sea Hydrothermal Systems. Astrobiology, 7, 933-950.

McCollom, T.M. and Seewald, J.S., 2007. Abiotic synthesis of organic compounds in deep-sea hydrothermal environments. Chemical Reviews, 107, 382-401.

Melchert, B., Devey, C.W., German, C.R. Lackschewitz, K.S., Seifert, R., Walter, M., Mertens, C., Yoerger, D.R., Baker, E.T., Paulick, H., Nakamura, K., 2008. First evidence for high- temperature off-axis venting of deep crustal/mantle heat: The Nibelungen hydrothermal field, southern Mid-Atlantic Ridge. Earth Planet. Sci.Lett., 275, 61-69.

National Research Council of the National Academies, Future Needs in Deep Submergence Science, Occupied and Unoccupied Vehicles in Basic Ocean Research, The National Academies Press, Washington, D.C., 2004. Published as a result of the Committee on Future Needs in Deep Submergence Science. Tasked by the Ocean Studies Board, Division of Earth and Life Studies, National Research Council of the National Academies.

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Shank, T., Fornari, D., Yoerger, D., Bradley, A., Hammond, S., Humphris, S., Scheirer, D., Collier, R., Reysenbach, A.L., Ding, K., Lupton, J., Butterfield, D., Olson, E., Lilley, M., Seyfried, W., and Participants on R/V Atlantis/Alvin/ABE Galápagos Rift Expedition (AT7- 13), 2003. Deep submergence synergy - Alvin and ABE explore the Galápagos Rift at 86°W. EOS, Trans. Amer. Geophys. Un., 84, 425, 432-433.

Supporting Documents

Sphere Construction Plan A-4500 HOV Systems Engineering Plan A-4500 HOV Engineering Plan A-4500 HOV Construction Plan A-4500 HOV Transition to Operations Plan A-4500 HOV ABS Classification Plan A-4500 HOV Project Management Plan A-4500 HOV Work Breakdown Structure and Dictionary A-4500 HOV Integrated Master Schedule A-4500 HOV Risk Management Plan A-4500 HOV Configuration Management Plan A-4500 HOV Procurement Plan A-4500 HOV Quality Management Plan A-4500 HOV Environmental Health and Safety Plan

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Appendix A. NDSF Available Scientific Equipment and Current and Future User-Provided Equipment

Table 1. Scientific Equipment for Alvin Available Through the NDSF External Cameras 1 ea. Port and Stbd observer controllable single chip color cameras located on the forward sponson and mounted on individual observer controlled pan and tilt 3 chip color camera pilot-controlled mounted on the stbd manipulator Low light color camera mounted down-looking in the fwd battery bay use for bottom approaches and video mosaics Low light rear looking b/w camera for pilot manouvering Low light b/w basket camera External DSC forward looking (can optionally be mounted down looking on basket for photo mosaics) Internal Cameras 2 ea. Observer DSC Canon Power Shot G7 cameras 1 ea Nikon D1 SLR DSC 2 ea Sony HDR-HC9 MiniDV HiDef video cameras Profiling Sonars Reson 7125 SeaBat multi beam sonar 1 ea. (Backup spare) Imagenix 881 profiling sonar Sun West CTFM fwd scanning sonar 1 ea. (backup spare) Tritech Seaking S8540 dual frequency scanning sonar Lights (Currently mounted configuration but variable) 3 ea. 400W HMI (1 hard mount fwd looking ;1 ea on P&T's with cameras) 1 ea, lower and 3 ea. upper port and starboard observer LEDs (~ = 200W) 100W QI basket light 100W QI down looking light Temperature Measuring Devices High and Low Temperature Probes Inductively Coupled Link (ICL) Temperature Probe Heat Flow Probes: 1 meter and 0.66 meters

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Sampling and Data Collection Equipment Magnetometer Major Ti - Water Samplers Niskin Bottles Portable CTD Push Cores Scoop Nets Small Capacity Slurp Samplers Large Capacity Slurp Samplers: 1) Multi-chamber Rotary Collection Sampler 2) Single Chamber Slurp Sampler 3) High Volume Fish Sampler Hydraulically-driven Slurp/ Fluid Pump Sample Storage Biological Sample Boxes: 1) 12” x 12” x 12” 2) 12” x 14” x 12” Custom Science Baskets

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Table 2. Current and Future User-Provided Equipment Deployed from NDSF Vehicles

Interfaced to Vehicle (power/comms) Hydrothermal fluid/particle sampler In situ chemical sensor(s) – various designs and purposes Temperature/chloride monitor with ICL Mass spectrometer(s) – various designs and purposes Geocompass Geodetic sensor system Cameras: 1) NGO 3CCD HDTV camera 2) Stereoscopic 3D HDTV camera 3) HDTV Science Utility Camera 4) Multi-spectral UV Camera 5) Digital still camera Optical communications system for use on CORKS CORK data-downloader Rock drill SUPR in situ particle sampler 14 chamber suction sampler

Autonomous pCO2 sampler ALOHA cabled observatory system In situ DNA blender/fixer Impeller pump samplers

Carried By/Interacted With From Vehicle Gas-tight fluid samplers McLane remote access sampler moorings McLane sediment trap moorings Rock scoop samplers Stand-alone acoustic monitoring moorings Bush Master samplers HDTV Offload EX Prototype Camera Temperature sensor array SIPPER – 12 channel discrete micro water sampler – with temp probe ARTY – 6 chamber RNA preservation biosampler Deep Ocean Mass Spectrometer (DOMS) Insulated bio boxes with inserts Colonization (sediment) trays and other substrates (wood, rock, tubes) Ekman style box corers and 8.3 cm diameter tube corers

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Multi-chambered collection boxes (insulated w/ water-tight seal) Flux meters Seafloor cementers for ODP holes

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Appendix B. Science Traceability Matrix

Deep submergence research is multi-disciplinary in nature and complex in its approach. While the range of settings throughout the vast depths of the oceans that remain to be investigated are widely varied, the range of operations that are brought to bear in pursuit of these scientific goals, from Marine Geology and Geophysics to Chemical, Biological and even Physical Oceanographic studies tend to show significant overlap.

In terms of study areas that the new 6500m HOV should be prepared to investigate, we have identified the following 7 “type” deep ocean settings:

1. Mid Ocean Ridge crests (including Back Arcs) and Transform Faults

2. Mid-Ocean Ridge Flanks

3. Ocean Margins

4. Abyssal Plains

5. Seamounts

6. Deep-Sea Trenches

7. Mid-Ocean Water Column

The specific research objectives that we anticipate for the future, even for just one of these “type” localities, could run to many pages of well-argued scientific rationale. But in all seven types of setting, the scientific operations and, hence, the functional capabilities of the future 6500m HOV overlap significantly (with the exception that geological investigations are unlikely to be required in mid-water column). For the traceability matrix that accompanies this text, therefore, we have identified a series of 7 characteristic scientific capabilities that the 6500m HOV will need to demonstrate to be able to achieve the full spectrum of the U.S. deep submergence science community’s diverse and multi-disciplinary scientific goals:-

A. Observations in situ of the deep ocean and seafloor including both oceanic and seafloor biological communities. B. High resolution imaging and recording/documentation of observations. C. Systematic exploration of previously un-investigated regions of the deep ocean and seafloor. D. Systematic surveys of the seabed, including benthic biological communities (via mapping sonars, other geophysical tools, cameras) and the overlying water column, including pelagic biological communities (via oceanographic sensors, sonars, cameras). E. Sampling (geological, geochemical, biological) at sites of specific interest at the seafloor and in the overlying water column.

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F. Interaction with instrumentation at the seafloor including science-user provided instrument packages and larger (e.g. OOI) installations. G. Descent to the seafloor, transit between work areas, ascent to support ship.

To fully meet the widest range of goals for our end-user US deep submergence science community, the replacement HOV should ultimately be able to provide all of these key “characteristic scientific capabilities” (A-G) in all of our targeted deep-ocean settings (1-7). In the accompanying traceability matrix, therefore, we have used the alphanumeric coding presented here (1, 3; A, F, etc) to link how the scientific mission requirements cascade down to specific technical requirements for the RHOV and also highlight which technical solutions address which specific different scientific needs.

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Appendix B. Science Traceability Matrix (Shaded Columns will not be Satisfied by the A-4500 HOV)

Science Functional Science Mission VCR Vehicle Characteristics Technical Solutions REQ # Drivers Requirements # Requirements Satisfied By

A, C; 1-7 Carry two scientific observers. 1 Personnel sphere able to carry two 1.1 Personnel sphere volume to be the same or 1.1 New personnel sphere 18% greater in volume scientific observers. greater than present Alvin. Interior arrangement than Alvin's. Personnel sphere interior to be similar to present Alvin. arrangement designed by an ergonomics expert for simultaneous occupancy by 3 persons.

1.2 Vehicle operation to be managed by a single 1.2 Reduced control system complexity a major goal pilot. The science systems shall have controls of the Command & Control System design, which accessible to science personnel without pilot is to include the following capabilities: automatic assistance. heading control, automated position control (including station keeping), simplified science systems controls accessible to observers. Touch screen graphical interfaces utilized for routine science and operational control.

A-G; 6,7 (1-5) Operate at 6500 meters water depth. 2 6500 meter dive depth capability. 2.1 All vehicle components designed for 6500 2.1 Personnel sphere and other submersible meters. components meeting 6500m requirements of ABS and NAVSEA standards. Completed vehicle ABS classed.

A-G; 1-7 Increased working time at routine operating 3 Increased stored energy capacity (see 3.1 Replace existing batteries with those having 3.1 Installation of lithium-ion batteries once proven depths (greater than Alvin’s current mean on- Energy Trade Analysis in Engineering a higher capacity when available. safe for HOV applications. Primary voltage bottom or working time of ~5 hrs). Plan). increase from 120 to 240 volts.

4 Increased efficiency of available energy 4.1 Higher efficiency components, particularly 4.1 High efficiency LED lights used as replacements utilization. those associated with the lighting systems. for existing HMI and quartz lamps.

4.2 Higher efficiency components, particularly 4.2 Replacement 240 volt motor controllers. those associated with the high horsepower electric motors. 5 Reduce time required for ascent and 5.1 Increase ascent and descent weights. 5.1 Increased capacity of ascent and descent service descent. weight releases. 5.2 Minimize vertical hydrodynamic drag. 5.2 Optimization of hydrodynamic shape during design of fixed buoyancy system. 6 Increased pilot & observer comfort. 6.1 Improved personnel sphere internal 6.1 Frequent evaluation of the interior design by ergonomics. pilots and scientists utilizing the full scale mock- up. A-G; 1-7 Efficient transit between seafloor sites. 7 Forward speed of at least 1 knot at neutral 7.1 Minimal hydrodynamic drag. 7.1 Optimization of hydrodynamic shape with minimal buoyancy. frontal area and clean installation of lights and cameras.

7.2 Existing or improved propulsion system 7.2 Replace motors and controllers when primary performance. voltage increased to 240 volts.

A; 1-7 Direct visual observation of seafloor and 8 Larger viewports with better placement 8.1 6500 m personnel sphere viewport size and 8.1 New 6500 m sphere incorporating three 7" and vertical structures. than those of Alvin. Overlapping fields of placement. two 5" viewports with locations optimized for view between pilot and both observers science applications. with minimal forward-looking "dead zone" visible only to pilot.

A-4500 HOV Project Project Execution Pan 65 9 Lighting adequate to illuminate seafloor 9.1 Lighting to be approximately double that 9.1 Light number and placement based on analysis of observed from all viewports. available with the present Alvin. fields of view provided by improved viewports.

10 Unobstructed observer views except during 10.1 Viewport placement and science 10.1 Careful design of forward work area including manipulator use. basket/manipulator mount design. analysis of possible viewing obstructions caused by manipulator locations. A-G, 1-7 Ability to capture observer commentary 11 In-hull audio recording capability. 11.1 Transfer voice recording capability from 11.1 System designed to capture voice commentary of during diving operations. Alvin. both observers and pilot during diving operations.

A-F; 1-6 Maneuverability in tight situations around 12 Provide pilot with good situation awareness 12.1 Provide enhanced situational awareness 12.1 Transfer of Alvin's existing rear facing video structures, and ability to hold position. capability. video capability. cameras and lights plus additional cameras as necessary due to vehicle configurational changes.

13 Vehicle propulsion system designed for 13.1 Provide automated position keeping, 13.1 Capabilities incorporated in design of Command & slow speed maneuverability. heading and depth control to facilitate slow Control System. speed maneuverability.

13.2 Improved propulsion system including 13.2 Forward lateral thruster to be added when addition of forward lateral thruster. primary voltage can be increased to 240 volts.

14 Resistant to damage during slow speed 14.1 Protective skins - strong or easily replaced. 14.1 Skins equivalent in strength to those presently in maneuvering around structures. use on Alvin.

15 No overhang at front of vehicle that would 15.1 Minimal forebody syntactic foam 15.1 Utilization of fixed buoyancy syntactic foam preclude work around vertical structures. requirement (minimal forward weight and/or having the minimum density available for the minimal foam density). rated depth. Careful consideration of the tradeoff between vehicle width and length with the goal of reducing the flotation material required in the brow.

E, F; 107 Simplified vehicle control during manipulation 16 Automated heading control and position 16.1 Incorporation of computer controlled 16.1 Capability incorporated in design of Command and periods. keeping. propulsion system with heading and dynamic Control System. position control capabilities.

B; 1-7 Collection of high-resolution still and video 17 State of the art video system and still 17.1 Increased lighting. 17.1 Illumination system utilizing high efficiency LED imagery. imagery, including lighting and image lamps allowing high definition video imagery to be storage. obtained over the entire viewport field of view.

17.2 High definition video cameras and 17.2 Port and stbd brow mounted HD video cameras on supporting equipment. pan & tilt mechanisms.

17.2.1 Additional HD camera for manipulator mounting (interface cables allowing use with either manipulator to be permanently installed).

17.3 High quality image recording systems. 17.3 Video and still image recording systems that preserve the image quality while utilizing a recording media that facilitates post-dive transfer to high quality distribution and archiving duplication facilities.

A-4500 HOV Project Project Execution Pan 66 17.4 High quality still image acquisition 17.4 Lighting sufficient to allow high quality images to capability. be obtained from any of the installed HD video cameras.

17.4.1 Ann ultra-high resolution still camera is to be provided for mounting on either of the two manipulators.

17.5. Photo-mosaic capability. 17.5 Two down-looking photo-mosaic cameras and pulsed or strobed LED lights.

17.6. Optical fiber hull penetrators with fibers 17.6 6500 meterpersonnel sphere with 16 penetrators; dedicated to high resolution video data two having six single mode optical fibers, four of transfers. which available for use by the high definition video system. C, D; 1-6 Mapping (horizontal/vertical) of site-specific 18 Ability to deploy high-resolution near- 18.1 Identified mounting space and optical fiber 18.1 Transfer of Reson bathymetry system from Alvin. features (seafloor, topography, water-column bottom bathymetry mapping system when available for use with down-looking mapping plumes). requested. sonar.

C, D; 1-7 Capability to utilize a range of scientific 19 Continued support for existing science 19.1 Flexible design of instrumentation interface 19.1 Flexible design of instrumentation interface sensors, both standard and user-supplied. instrumentation plus the ability to add including pre-installed wiring. including pre-installed wiring. Available internal-to- additional instrumentation on a per-dive external high-bandwidth data transmission path basis. for add-on instrumentation.

20 High bandwidth through-hull data 20.1 Addition of optical fiber hull penetrators 20.1 Two optical fibers for use with science communications. with fibers dedicated to science instrumentation instrumentation (over and above those utilized by applications. the imaging system).

21 Internal control and monitoring of external 21.1 Existing or improved power distribution and 21.1 Project designed power and data interface instrumentation power. control system with at least four independent circuitry with modular expansion capability. power and data channels.

22 In-hull science instrumentation mounting 22.1 Maintain suitable unassigned shelf and 19" 22.1 Carefully considered internal arrangement, space. rack space as part of the internal arrangement verified with full scale mock-up. plan. E; 1-7 Ability to obtain documented geologic, 23 Grasp, pick-up and store samples and 23.1 Alvin's present pair of manipulators 23.1 Installation of existing 7 function, position feed- chemical & biological samples. Ability to instruments. positioned to provide overlapping work area in back, articulated manipulators in a location deploy, retrieve, and service seafloor clear view of the pilot, observers and video allowing maximum manipulation workspace instruments/experiments, including those cameras. without compromising pilot and observer views. located at sea floor observatories. Manipulator workspace within the pilot and observer viewing areas in front of the submersible and their operation within the field of view of at least one of the video cameras.

24 Sample basket capable of dive-specific 24.1 Design to provide a modular science basket 24.1 Sample basket to accept various easily configuration. configuration easily optimized for varying dive constructed or modified modular attachments specific payloads. similar to Alvin's existing basket assembly.

25 Data, electrical & hydraulic power Flexible data, electrical & hydraulic power 25.1 Multiple high and low bandwidth data channels connections for use with basket-loaded connections at the science basket with the plus varying, controllable power sources science equipment. necessary ground fault monitoring and incorporated in Power and Data System design. disconnect capability. Hydraulic power available in the manner presently utilized on Alvin.

A-4500 HOV Project Project Execution Pan 67 A, B, D, E; 1-7 Enhanced capability to conduct mid-water 26 VB system capable of obtaining neutral 26.1 Existing Alvin variable ballast system 26.1 New Li chemistry batteries once proven safe for surveys and sampling buoyancy at any depth in the water coupled with increased available energy. HOV applications. column multiple times.

B, C, D, F; 1-7 Efficient data collection and logging system 27 Data collection and logging system with a 27.1 Redesign of existing data collection 27.1 Upgraded data collection system with with flexible interface requirements configurable display capability and a hardware and software to incorporate high- enhancements necessary to utilize fiber optic means for rapid post-dive downloading. bandwidth data capability. penetrator capability for high-bandwidth applications. Utilization of video system's time standard in order to ensure synchronization. Data and image display capability modeled on the existing Alvin frame-grabber.

28 Ability to correlate position and similar 28.1 Interface between data logging system and 28.1 Data logger with network data path to the data with imagery. navigation system allowing position information navigation computer, both of which are to be logged in conjunction with other data synchronized to the time base utilized by the items. video system. 29 Flexible, easily used event entry and 29.1 Ability for observers to enter event 29.1 Incorporation of Alvin's existing Ethernet based logging capability. information for time stamping and eventual wireless event logging system. addition to the data log files.

30 Time efficient post-dive data downloading. 30.1 Removable data and image storage media 30.1 Data and image storage media selected with to improve post-dive data access. consideration for the need to provide data products to the science party as quickly as possible after completion of a dive.

A-G; 1-6 ± 7 Adequate navigation precision to find specific 30 Long-baseline acoustic navigation system. 30.1 Alvin's present DVLVAV software with 30.1 Existing DVLNAV software transferred from Alvin. sites and support mapping enhancements under test on other NDSL vehicles. 31 Acoustic beacon location system. 31.1 Alvin's existing Homer Probe acoustic 31.1 Existing Homer Pro hardware and software location system. transferred from Alvin.

31.2 USBL navigation system 31.2 Utilization of existing USBL navigation and data transfer system aboard Atlantis.

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