The following proposal suggests that the application of autonomous undersea systems (AUS) is best accomplished by leveraging available systems and technology. A Consortium approach is seen as the best mechanism to bring about the required synergy between the user community and the system developers. The Consortium will be international in scope ensuring full use and exchange of all available research and technology efforts, experiences, and insights. The Consortium provides an organization that, through sharing of resources and available technology, can provide systems to meet the initial needs of the user community as they search for new technologies required to meet their program goals. The Consortium will compile, analyze and archive background information required to support the coordination of national and international research and technology development efforts. It will also organize and develop the educational activities required to provide skilled professionals, trained in the area of autonomous undersea systems technology.

Introduction

In the last few years, macroeconomic problems have severely constrained the resources available to basic research, technology development, and engineering programs. "Growth in R&D funding has not kept pace with inflation. R&D expenditures have been shrinking in recent years..." [S&E Indicators; NSF]. This fact, among others, emphasizes the need to efficiently structure our investments in research. New methods of organizing needed research and technology development must be considered.

The conduct of science and engineering research is undergoing great change. The boundaries of the disciplines have become hazy as more and more research questions cross traditional disciplinary lines. As science and engineering change, organizations that support and perform research must change. The classic example of the individual researcher must be broadened. Many of the research problems of today demand that individual researchers pool their expertise to provide the spectrum of talent necessary to develop needed solutions. The focus must be on the team, not the individual. Organizational structures must be put in place that encourage the team approach (both within academia and industry) to problem solving but recognize the need for individual autonomy.

The proposed Consortium is directed at establishing a framework which emphasizes substantive linkages between members of the research and development community residing in industry, universities, not-for-profit and federal research organizations. It seeks to build on the synergism which is possible when effective and beneficial communication and cooperation is established between those involved in the search for new knowledge, those driven by the needs of the marketplace, and those who must rely on available technology to meet operational goals. The trend in today's restricted budget environments is to consolidate resources. Industry is consolidating in order to be competitive in the international arena. The AUS Consortium provides an opportunity to consolidate existing AUV resources to leverage them into a critical mass to meet the needs of users.

Within this context, the following proposal seeks to establish a Consortium of individuals and organizations interested in research, development, application, commercialization, and operational use of Autonomous Undersea Systems and technology.

I. The Concept

A recent study, sponsored by the Marine Board of the National Academy of Sciences, was tasked to consider the role of "Undersea Vehicles and National Need"[NAS report]. One of the recommendations of that report was that the development of this technology should be undertaken in a cooperative manner such that available resources were coordinated to bring about the maximum return on research investment. Similar support for the emergence of AUS technology can be seen in the "Technology Foresight (Marine Panel) report to the UK government in 1997." AUS received considerable weight in the MAST III program within Framework IV and 'marine technologies' looks set to be a banner heading in Framework V.

A "Basic Research White Paper" published this year by R&D Magazine and supported by IBM, Lucent Technologies, SRI, and Microsoft Research resulted in eight recommendations for action to support the future of basic research. One of those recommendations suggests that "industry and government should explore alternative investment options such as research consortia and university partnerships to maximize their research investments."

"Federal cooperative technology programs have mushroomed in the past 15 years, a trend reflecting major changes in US S&T policy. That is the federal role in S&T programs has been extended beyond the traditional funding of mission-oriented R&D. It now includes support at speeding the development, application, and commercialization of new technologies likely to contribute to economic growth..." [Science & Engineering Indicators 1996; NSF]. Autonomous systems are recognized as one of those technologies likely to have significant impact in the next millennium.

In an earlier report from a group tasked to identify the research agenda appropriate for effective utilization of the Exclusive Economic Zone (EEZ). Five different areas were defined such as "Mineral Resources", "Living Resources", etc. In all of those areas, it was believed that one of the critical issues was the utilization of underwater robotics or autonomous undersea systems (AUS) technology. The availability of these systems may well pace the effective economic utilization of the ocean. In addition to this, there is a growing interest and utilization of AUS technology within the NAVY; the concept of "shipless" oceanography is possible only through the use of autonomous sampling systems and technologies.

This growing interest and understanding of the critical role which AUV technology must play in the effective utilization of the ocean resources presents a unique opportunity for research excitement as well as economic reward. The question remains, however, why, if there is such interest and need, has there not been a significant utilization of these systems by the user community?

The future of AUVs rests on the ability of the development community to attract the user. It is possible to envision fleets of these systems roaming the ocean collecting needed data and information to better understand the ocean processes that effect so dramatically the climate of our planet. It is clear, however, that along with the engineering and technology development that is being accomplished, a parallel effort must be undertaken to inform and educate the user community of the potential of these systems. As many have realized, the AUV is not an evolutionary development of technology. It is a revolutionary jump forward. Even space satellite systems are in contact with the earth bound user almost constantly. In the ocean this is not possible. To utilize these autonomous systems, the user's confidence of a system must be high. This confidence will exist only in a user well versed in the system; its limitations and its capabilities where the questions of cost, reliability, and complexity have been answered. These answers will be determined only when AUS technology has been proven through operational experience. Since the level of R&D funding is not expected to dramatically increase, it is essential that all available resources be applied in the most cost effective way to ensure the revolution in AUVs is achieved. This Consortium provides the mechanism to achieve the necessary critical mass for success. This concept will provide the confidence in the user community, will demonstrate the reliability of the AUV systems, and will most definitely demonstrate the cost effectiveness of using AUVs to achieve the objectives of the customers.

A Consortium is proposed that is uniquely configured to leverage existing resources. The AUS Consortium is meant to provide an organization that, through sharing of resources and available technology, will be able to provide systems to undertake operations for the user community that, over time, will verify the performance of these systems and provide confidence within the user community as to the real potential of AUS in meeting their program goals.

II. Vision, Goals and Objectives of the AUS Consortium

The central purpose of the AUS Consortium is fourfold: (1) To encourage the maturation of Autonomous Undersea Vehicle (AUV) Systems technology from research through development to commercialization, (2) to encourage routine operational use by demonstrating system reliability and acquiring operational data that proves cost effectiveness, (3) to foster and encourage expanded utilization of AUV technology for the responsible exploitation of ocean resources and other applications, and (4) to provide new and needed autonomous systems and technologies for the 21^st century.

The role of the AUS Consortium is to move AUV technology from its current state of prototype systems to a level where the potential user community has evaluation data available to make decisions as to the applicability of these systems for their program needs. This new and revolutionary technology promises to significantly increase our ability to understand and responsibly exploit ocean resources. Revolutionary jumps in technology, however, normally require large investments in capital and human resources. The ocean community is comprised of many small industries with limited resources. A new method of bringing the resources required to move AUV technology from its current level to operational maturity is required. The consortium approach can provide the structure for accomplishing this goal.

Some facts to consider:

The AUV community, for the most part, consists of many widely dispersed, small groups of individuals (mostly within academia and non-profit research organizations) interested in technology. Most existing AUS systems exist within research groups that lack the infrastructure to support actual operational use of the system or where required personnel must come from the existing research staff. Many of these researchers may not have the interest or at-sea operational experience appropriate for routine AUV data gathering operations. Special modifications required for an operation (e.g. new sensors) may be outside existing areas of expertise. The focus of the existing AUV community is on research or technology development, not on the issues associated with at-sea operations and equipment maintenance or identifying and educating a potential user community.

AUV technology is a systems technology. As with any system, there is a significant amount of effort required to bring a prototype testbed up to an operational system. Issues such as documentation, logistics support, routine maintenance, among other issues, are important factors usually overlooked. Although not technically demanding, these issues require time and resources not routinely available in a small research groups but readily available in industry.

The user community would like to evaluate the potential of affordable AUVs but have limited information with which to make that evaluation. Available vehicles in the past have been too expensive to be useful to most users. Affordable vehicles are not easily obtained to try new ideas or techniques. This limits interest in considering the use of this new technology even though it may provide an optimum solution to program needs. Without this ability to evaluate this new technology and, in so doing, gain confidence in its capabilities, it is impossible to determine its real potential. The AUS Consortium can overcome this limitation by developing programs that provide systems for evaluation.

The AUS Consortium is a "virtual" enterprise which exploits the advantages of today's telecommunication infrastructure and information management technology. The AUS Consortium brings together the resources to provide the market with a range and depth of capabilities not available, nor cost effective, from a single source. Its structure can remain flexible with the ability to provide only the services required by the market and capable of remaining on the leading edge of technology. The AUS Consortium is able to accomplish this through its consortium members and their relationships with other synergistic partners. A consortium is established because its members "individually" have limited finances and/or areas of expertise. The AUS Consortium will optimize these resources for all parties and provide synergy. It serves as the centralized unit for the entire endeavor giving its members greater voice/influence in the pursuit of dollars (grants and contracts) since its membership in the Consortium greatly increases its technology development capabilities. It also provides greater reach by acting as a technology and operational repository that is international in scope and dedicated to single theme. (In other words, it is good for the customer, it is good for the members, and it is good for the technology.)

To achieve success, three goals have been defined and a number of objectives associated with those goals have been identified. The basic tenet of the proposed organization is that cooperation among and between AUS researchers and the potential user community is essential if this new technology is to reach its full potential.

Strategic Goals

To encourage, develop, organize, and coordinate educational, research, and operational programs and activities that further the application of autonomous systems technology in addressing real world problems.

• Objective: Identify and educate user communities as to the utility of AUVs by making systems, technologies and operational support available for use by individuals in those communities, through the utilization of existing (community-wide) AUVs. In addition, provide basic test bed capabilities to member organizations (including at-sea elements) needed to assess new sensors, subsystems, and operational modes and for operational programs in support of the ocean sciences and other user communities.



• Objective: Develop an undergraduate seminar course for the marine engineering, oceanographic, and other related curriculums that addresses AUVs as tools for conducting a variety of tasks such as undersea cable/pipeline inspection, salvage operations, and real time environmental data collecting for weather prediction. This course will be made available to all academic institutions.



• Objective: Develop a presentation on AUV technology and AUV capabilities that can be used at civic organizations, high schools, and other activities that will enable the public at large to understand and appreciate AUV capabilities and their cost effectiveness in many applications.

To establish programs and mechanisms that foster the interaction of the potential user community with the technology development community and potential system and technology providers.

• Objective: Develop a WWW site and communications infrastructure that makes the following information available to all Consortium members: what's happening when; user programs underway; program opportunities; results of current and previous programs; listings of available data, information, publications and ongoing research and technology development efforts.



• Objective: Provide mechanisms for coordinating member research such as compiling and analyzing information describing ongoing research and user need, and maintaining a database of activities and funding.



• Objective: Through the use of Consortium members, organize, undertake, and coordinate team-based efforts such as research and technology development, program management, studies, analyses, and operational programs.



• Objective: Establish procedures to facilitate faculty consulting; graduate and undergraduate research and/or work experience with consortia member organizations. Develop a program that provides project experience for undergraduate students in the development and operation of AUV systems. This program will provide opportunities for students to work with industry and user communities to develop systems and technology required in ongoing technology development and operational programs.



• Objective: Continue sponsoring a bi-annual Symposium on Unmanned Untethered Submersible Technology.

To actively encourage and support the development of new industries which will exploit the economic opportunities resulting from the effective utilization of autonomous undersea systems and technology by providing mechanisms that allow sharing of financial and development risk among team members through the leveraging of existing resources and the coordination of new development efforts.

• Objective: Undertake the development of needed technology for AUV systems which focus on important long term research problems where advances would benefit much of the R&D community. These projects will be determined by the members of the Consortium.



• Objective: Establish a program office (PO) which provides a single point for all organizations (technical, operational, academic, non-profit, profit) to become aware of the latest developments in AUV technology and the availability of vehicle(s) to meet the needs of industry. Industry would go to the PO with a need, the PO would match the need with the technology/hardware. A system gets developed and is made known to the PO and the PO makes the operational community aware of the new technology. This PO will also organize ad hoc groups that will meet as required and will be comprised of the leading experts in AUV technology and industry representatives. This Think Tank will provide services to the community as required to evaluate new technology or emerging markets.



• Objective: Establish a conference and/or workshops focused on industry needs. Industry addresses their needs and the AUV community explains the capabilities of AUVs. These meetings will showcase the available technology and the needs of industry and will represent a 50/50 mix of technology and operational needs.



• Objective: Provide unique research, development, and operational support capabilities to Consortium members. Provide logistic support for member organizations such as technical support personnel and equipment, system maintenance, documentation, spares, insurance, contracting documents, agreements, etc.

III. An Organizational Strategy for the AUS Consortium

The AUS Consortium as a Consortium of Institutions: The AUS Consortium is a member organization composed of individuals, institutions and organizations that seek to collaborate and engage in the programs and activities of the organization. Such members will be institutions that engage in one or more of the fundamental program of the AUS Consortium; research, education, operations, and/or knowledge transfer;

Oversight Role of Member Institutions in the AUS Consortium: A Board of Trustees, composed of one member each from those institutions and organizations that formally join the AUS Consortium. This Board will have the primary responsibility to set goals and objectives, program strategy, and management policy;

A Program of the Autonomous Undersea Systems Institute: The AUS Consortium will be a program of the Autonomous Undersea Systems Institute (AUSI), which is a not-for-profit corporation; 501 (c)3, chartered in the State of New Hampshire. The Autonomous Undersea Systems Institute is the established legal entity under which the AUS Consortium is established.

The AUS Consortium will be composed of four semi-autonomous operating units: (1) a knowledge and technology transfer activity, entitled The Office of Undersea Systems Information and Communications (OUSIC), and (2) a unit dedicated to developing connections with industry and the private sector, entitled The Office of Industrial Programs (OIP); and (3) an operational group able to provide support for AUV operations (OSG), and (4) an educational unit, entitled The Office of Undersea Systems Education (OUSE).

The Autonomous Undersea Systems Institute as the Administrative Unit: It will be the legal entity that will enable governments, industry, and other legal entities to engage AUSI on behalf of the AUS Consortium in contracts or grants (or other instruments of financial agreement) to address projects, program, or activities agreed upon by the AUS Consortium board of trustees. All employees of the four Consortium components will be employees of the Autonomous Undersea Systems Institute, guided by a uniform set of personnel policies. Overall personnel policies shall be approved by the Autonomous Undersea Systems Institute board of directors;

Oversight Role of the Board of Trustees of the AUS Consortium: A Board of Trustees will set the AUS Consortium goals, objectives, and program strategy. The Board will develop its own Terms of Reference to guide its activities, but initially it will elect its own Chairman and other Officers as needed. It may, as needed, appoint workgroups to fulfill its mandate. Each member institution will appoint one trustee member. The President of the AUS Consortium is appointed by the Consortium's board trustees;

Scope of the AUS Consortium Programs and Activities: The AUS Consortium will engage in programs, projects and activities funded primarily through grants, contracts, or other legal instruments that address the overall goals and objectives of the Consortium. The individual components (initially the four noted herein) shall be responsible for the development and implementation of such programs, projects and activities. Hence, the Director of each unit shall be responsible for the overall management and administration of the individual unit;

Management of the AUS Consortium's Operating Units: Each of the four components of AUS (Education, Knowledge and Information Transfer, Operations, and Industrial Programs) will be lead by a Director who reports to, and is appointed by, the President of the AUS Consortium.

Research Commitment: The AUS Consortium remains, as its first priority, committed to a research and advance technology development strategy that seeks to support the ocean sciences and to advance new ocean technologies for autonomous undersea systems. The AUS Consortium may act as a path to other research centers or, through its member organizations, provide the research necessary to meet established program goals. The research function can be as program manager alone or, working with Consortium research organizations, provide the full range of research required by a customer, whichever is the most cost effective or most appropriate to obtain the results required.

A Commitment to Knowledge Transfer (OUSIS): The AUS Consortium will initiate and sustain programs and activities that seek, as their basic purpose, to transfer new knowledge and the products of discovery both to other colleagues in the fields associated with autonomous systems and to industry, business, and to the public at large. OUSIS is the organization responsible for providing the tools necessary to transfer knowledge within the research, technology development and user communities. This group will be responsible for the Unmanned Untethered Submersible Technology Symposium conducted no-less frequently then bi-annually as well as to encourage, support, and team with other forums where AUS technology is being discussed. This group will also provide a newsletter and a web site as a means for transferring knowledge to both the subscribers and the general public. Special focus seminars and courses will be developed as determined by community interest.

A Commitment to Interface with Industry (OIP): The AUS Consortium will undertake a focused effort to engage appropriate industries and businesses in collaborative programs and activities that advance the goals and objectives of the Consortium. OIP provides the outreach to industries needing further information concerning the tools available to conduct autonomous missions. This group also provides lectures and seminars to academia, non-profits, and for-profit organizations to enable a better understanding of the need for ocean research and the capabilities of autonomous vehicles to conduct ocean research.

A Commitment to Operational Systems (OSG): The AUS Consortium seeks to develop, operate, manage, and maintain operational autonomous undersea systems that support both (1) scientific research programs and (2) applied development and application activities within the framework of undersea operations. The Operations and Service Group (OSG) is an organization that provides a range of service for the user community. Through a variety of arrangements with member organizations that have capabilities to meet the needs of diverse user programs, the Consortium will provide the services required to meet program goals. The type of service the Consortium can provide is limited only by the capabilities that exist within the member organizations. This will provide users with a single organization capable of providing a range of services. It gives the user the capability for "One Stop Shopping."

A Commitment to Education (OUSE): The AUS Consortium will develop, in concert with its research and operations programs, activities that will support the Consortium's interests in both university-based education and programs that support K-12 and related educational experiences.

IV. Membership in the Consortium

Membership in the Consortium is open to all organizations. The annual membership fee will be $1,000 for non-profit organizations and academic institutions; and $2,000 for industrial and other for-profit organizations. A special category has been established for those organizations providing $5,000. These members will be considered "Plank Holders" of the Consortium and will be so recognized on Consortium publications and WWW site. Individual memberships where the individual is not considered as a member of an organization described above will be considered on a case by case basis by the board of directors. The board of directors of the AUS Consortium have the discretion to grant membership to contributing individuals if they so choose.

V. Liability of Members, Directors, and Officers of the AUS Consortium

The Directors and Officers of the Consortium shall be indemnified by the Consortium to the fullest extent permissible under the laws of this state.