The Northern Sea RouteThe shortest sea route linking East Asia and EuropeThe Ship and Ocean FoundationAbout the BibliographyThis book is the English-language version of "Hokkyokukai Koro", an instructional reportoriginally written in Japanese about research on the Northern Sea Route. In the Japanese version,an abridged bibliography was provided to avoid burdening the Japanese reader. This Englishversion is faithfully translated from the Japanese and therefore the provided bibliography is not inaccordance with prevailing English-language convention.The Northern Sea Route-The shortest sea route linking East Asia and Europe－Supervised by Hiromitsu KitagawaPublished by Yoshio KonPrinted by SenkoshaCopyright © 2001 SHIP & OCEAN FOUNDATIONAll Right Reserved. ISBN 4-88404-027-9SHIP & OCEAN FOUNDATION15-16, Toranomon 1-chome, Minato-ku, Tokyo 105-0001, JAPANTEL:81-3-3502-1828 FAX:81-3-3502-2033 URL:https://www.spf.orgPrefacePrefaceYohei SasakawaChairman of the Steering Committee of Sponsors ofInternational Northern Sea Route ProgramWhat images does the phrase "Arctic Ocean" bring to mind? An ocean covered with vast sheets of ice. Avast, white wilderness, whose night sky is often illuminated by the unearthly kaleidoscope of the aurora. Boththese images suggest a harsh but ethereal natural beauty, where human activity is but a distant rumor.Viewed from directly above the North Pole, the Arctic Ocean is a closed sea, hemmed in by the great NorthAmerican and Eurasian continents and the barren island of Greenland. Russia, the United States and Canadaface each other around this circle of ice-infested water. For this reason, the Arctic Ocean held a position ofcrucial strategic importance during the cold war--so much so that the Soviet Union kept its northern coastcompletely off limits to other countries.The Arctic Ocean was opened to the world in 1987, when the then Secretary General of the SovietCommunist Party, Mikhail Gorbachev, declared the Arctic Ocean an international entity. With this dramatic shiftin attitude, the Arctic Ocean was transformed from a barrier between Europe and Asia into the shortest sea lanelinking the two great regions.It is now eight years ago that Terje Johhannessen, Norway's Ambassador to Japan, stated that "Norwaywould like to conduct joint research with Russia on the possibility of year-round operation of the Northern SeaRoute (NSR), and we sincerely hope that Japan will be an equal partner in this program." Upon listening to theAmbassador's arguments, I agreed to collaborate in all aspects of the projects, stating thatFor centuries, most of the myths about sailing conditions along the Northern Sea Route have been groundedon incomplete understanding of the historical route. The wealth of data that Russia has amassed on the naturaland social environment in the Arctic Ocean holds out an extraordinary opportunity. By accessing this valuabledata and constructing a basis for further survey and research efforts and seconding the necessary personnel,Japan and Russia can seize the chance to promote the cultural exchange between them to develop a timely andhistoric international project.The three principal cooperative partners, the Fridtjof Nansen Institute (FNI) in Norway, the Central MarineResearch and Design Institute (CNIIMF) in Russia and the Ship & Ocean Foundation (SOF) in Japan, formedan international joint project called the International Northern Sea Route Programme (INSROP). The mission ofthis program was to shatter the myths about the NSR and replace them with scientific knowledge over a six-yearperiod beginning in 1993.The fruits of this six-year labor are prodigious. Some 390 front-line researchers from 14 countries took part,creating a corpus of 167 reports on the natural, social, economic and legal environment of the NSR that waswidely hailed as the 20th century's last great legacy of comprehensive research results. In addition to historicaland statistical data, project participants gathered the latest information on the Arctic region at frequent intervals,Prefaceconstructing the world's foremost geographical information system on the Arctic Ocean. This valuable resourcewill be used not only for upcoming academic research but as a storehouse of relevant information to guidedecision-making on a wide range of social and economic issues. Japan believes that the collaboration will alsoestablish a pattern of private-sector diplomacy that strongly supports diplomacy among the participatinggovernments, deepening the relationship of trust between Japan and Russia across a broad front.Thanks to the results of this research program, it is now clear that it is technologically feasible to keep anorthern sea route (NSR) open not only during the summer months, but even in the depth of winter, with thesupport of icebreakers. Moreover, this research has highlighted the issues that must be addressed in the future tobring the NSR to fruition as a shipping route. At the International NSR Users' Forum held last year in Norway,Russia declared its intention to take concerted steps to apply this new knowledge.If the NSR becomes a commercial reality, East Asia and Europe will be connected by a sea route that isroughly half as long as the southern route through the Suez Canal. The economic benefits would be huge, andthe existence of two routes instead of the sole route currently available will represent a tremendous boost to thesecurity of international shipping. In addition, the Arctic region is rich in natural resources that would contributehandsomely to the world economy if brought to market.This book is a compilation of data focusing on the results of the International Northern Sea RouteProgramme (INSROP) and on those of the collaborative domestic research project (JANSROP) supported bythe Nippon Foundation. Particular attention is focused on the results of an experimental voyage through theNSR aboard the Kandalaksha, a Russian icebreaking cargo vessel. I am confident that this volume will proveuseful for students of the NSR as well as for individuals and organizations involved in shipping and trade andfor government decision-makers.Finally, I wish to express my most sincere gratitude to a long list of talented individuals. I am grateful forthe assistance of the many people in Japan and from numerous countries involved in INSROP. The members ofthe Japan Northern Sea Route Project Research Committee, and particularly Yuzuru Fujita, Professor Emeritusof University of Tokyo and Chair of the Committee, offered their unstinting advice and cooperation, and I thankthem sincerely. This book would also not have been possible without such worthy contributors as ProfessorHiromitsu Kitagawa of Hokkaido University. To all of the people mentioned above and numerous others, Iextend my most sincere thanks.March 1, 2000CONTENTSCONTENTS1. Introduction...................................................................................................................12. Background to the NSR......................................................................................................52.1 Historical Background ................................................................................................................................. 52.1.1 From ancient times to the voyage of Nordenskjold .............................................................................. 52.1.2 From Nordenskjold to the Russian Revolution................................................................................... 102.1.3 The Russian Revolution and its aftermath .......................................................................................... 112.2 Political and Social Background................................................................................................................ 132.3 Economic and Shipping Background......................................................................................................... 142.4 Technological background...................................................................................................................... 163. Natural Conditions in the NSR............................................................................................193.1 Natural Conditions in the Arctic ................................................................................................................ 193.1.1 Physiography of the Arctic Ocean ................................................................................................... 193.1.2 The Midnight Sun and Temperatures in the Arctic Ocean .................................................................. 203.1.3 The Aurora Borealis and Magnetic Storms ......................................................................................... 213.1.4 The Ozone Hole at the North Pole and the Increase in Harmful UV Radiation.................................. 223.1.5 The Arctic Air Mass and Tracks of Polar Cyclones ............................................................................ 243.1.6 Arctic Stratus (Clouds) and Arctic Haze ............................................................................................. 253.1.7 Seasonal Changes in Albedo............................................................................................................... 263.1.8 Glacial Periods and Ice Sheets in the Northern Hemisphere............................................................... 273.1.9 Permafrost........................................................................................................................................... 283.1.10 Subarctic Coniferous Flora ............................................................................................................... 293.1.11 Mineral Resources ............................................................................................................................ 303.2 Characteristics of the Arctic Ocean............................................................................................................ 313.2.1 Rivers Flowing into the Arctic Ocean................................................................................................. 313.2.2 Oceanic Structure and Deep Water Formation in the Arctic Ocean .................................................... 323.2.3 Sea Ice................................................................................................................................................. 333.2.4 The Extent of Sea Ice in the Northern Hemisphere............................................................................. 343.2.5 Ocean Currents and Ice Drifts in the Arctic Ocean............................................................................. 353.3 Natural Conditions in the NSR.................................................................................................................. 363.3.1 Geographical Environment ................................................................................................................. 363.3.2 Low-salinity Water.............................................................................................................................. 373.3.3 Sea Ice................................................................................................................................................. 383.3.4 Precipitation and Snow Cover ............................................................................................................ 403.3.5 Puddles................................................................................................................................................ 413.3.6 Pressure ridges.................................................................................................................................... 423.3.7 Ocean Currents and Tides ................................................................................................................... 43CONTENTS3.3.8 Marine Life ......................................................................................................................................... 434. Technological Aspects of NSR Navigation..............................................................................454.1 Ice-transiting Ships .................................................................................................................................... 454.1.1 Requirements for Icebreaking Ships ................................................................................................... 454.1.2 Icebreaking Ships in Russia ................................................................................................................ 514.1.3 Research and Development in Icebreaking Ships............................................................................... 574.2 Routes and Aids to Navigation .................................................................................................................. 644.2.1 Features of the NSR and Route Selection ........................................................................................... 644.2.2 Aids to Navigation .............................................................................................................................. 714.3 NSR Rules and Procedures ........................................................................................................................ 794.3.1 Administration .................................................................................................................................... 804.3.2 Procedure for requesting permission to navigate the NSR.................................................................. 814.3.3 Technical requirements for ships ........................................................................................................ 814.3.4 Navigational requirements.................................................................................................................. 844.3.5 Control of Ship Routes and Selection of Routes................................................................................. 844.3.6 Evaluation in Terms of International Law........................................................................................... 854.3.7 Conclusion.......................................................................................................................................... 894.4 Evaluation of Economic Viability.............................................................................................................. 894.4.1 Changes in Shipping Volume.............................................................................................................. 904.4.2 Present State of Shipping .................................................................................................................... 914.4.3 Potential for Transit Traffic on the NSR ............................................................................................. 924.4.4 Cost simulation ................................................................................................................................... 934.5 Environmental Impact and Preservation .................................................................................................. 1114.5.1 Structure of the Arctic Ocean............................................................................................................ 1114.5.2 Indigenous Peoples and the Ecosystem in the Arctic Ocean............................................................. 1124.5.3 Activity in the NSR and Environmental Factors............................................................................... 1154.5.4 Environmental Impact Assessments.................................................................................................. 1174.5.5 Environmental regulations................................................................................................................ 1214.5.6 Conclusion........................................................................................................................................ 1284.6 Geographic Information System.............................................................................................................. 1284.6.1 Introduction ...................................................................................................................................... 1284.6.2 System Features and Composition.................................................................................................... 1294.6.3 Contents of the Database .................................................................................................................. 1294.6.4 Application Examples....................................................................................................................... 1325. Experimental Voyage through Northern Sea Route...................................................................1355.1 Introduction ............................................................................................................................................. 1355.2 Test Planning ........................................................................................................................................... 1355.3 Test Results.............................................................................................................................................. 1375.4 Conclusions ............................................................................................................................................. 146CONTENTS6. Issues to be Resolved for NSR Operation..............................................................................1476.1 Related Technology ................................................................................................................................. 1476.2 Operation System..................................................................................................................................... 1496.3 Economic, Social and Political Systems for the NSR.............................................................................. 1496.3.1 The Economy.................................................................................................................................... 1496.3.2 Society, Politics and Legislation ....................................................................................................... 1526.4 Insurance.................................................................................................................................................. 1566.5 Natural and Biological Environment ....................................................................................................... 1566.6 Concluding Remarks ............................................................................................................................... 1587. Perspective on the NSR...................................................................................................1598. Postscript...................................................................................................................163Reference Materials..........................................................................................................165Appendix......................................................................................................................169The Northern Sea Route－1－1. IntroductionThe quest for a sea passage across the Arctic Ocean, linking Europe to the Far East, began with the Age ofCommerce in the 15th century, when great seafaring European powers emerged seeking trade routes to theOrient. Over the ensuing centuries the Arctic passage yielded itself gradually, as the objectives of its pioneersshifted from whaling and sealing to prospecting for precious metals and other natural resources, and later toscientific exploration. As understanding of this vast, forbidding region unfolded, explorers deepened theirknowledge of the geographical problems of the Arctic Ocean and its natural conditions.One of the most vital sea routes between the Far East and Europe is the Southern Sea Route, which threadsthrough the Straits of Malacca and across the Indian Ocean to pass through the Suez Canal. A northern passage,crossing the Bering Sea into the Barents Sea of Russia's far north and hugging Russia's Arctic shore, wouldconstitute a mere 60% of the distance of its southern counterpart. Given the intense competition prevailing inthe world shipping market, the potential economic benefits of exploiting this Northern Sea Route (NSR) wouldbe enormous. The irresistible attraction of such a route drives this age-old quest into the present day.The obstacles, however, are daunting. The natural environment of the Arctic Ocean is too hostile forfreighters without resort to sophisticated shipbuilding technology and extensive support systems. Without theremarkable advances in shipbuilding and navigation of recent years, commercial exploitation of this routewould be inconceivable. The first task for prospective Arctic seafarers, then, is to gain an accurate picture of theNorth's forbidding natural environment. Once an accurate assessment is made, the next task is developtechnologies to design and construct ships capable of navigating the ice-covered seas and satellite-basedsystems to provide current information on ice conditions, and to put into effect the technological, political andlegal framework needed to support NSR shipping.For many years, Russia's northern seas were off limits to the outside world. With the advent of perestroikain Russia, however, interest in opening up the polar ocean as an international shipping zone has been rekindled,spurring impressive strides in the development of requisite technologies. Today, for the first time, tangiblepreparations are under way to link Europe and the Far East with the NSR as a viable shipping lane.Another powerful draw for Arctic shipping is the region's vast energy resources. In a world whereenvironmental issues are increasingly pressing and hold a persistently high public profile, demand is growingfor the development of new sources of energy to satisfy the world's prodigious thirst for energy, drivingresource developers into ever more inhospitable corners of the earth, including the polar regions. Also attractingintense interest is Russia's rich trove of energy resources. Already, the development of oil and gas fields is underway in such remote places as the Barents Sea and the Sea of Okhotsk around Sakhalin Island. Moreover, theinfluence and importance of the Arctic region on global climate, weather and ecosystem of the earth is widelyrecognized. An urgent priority in this project is the conquest of the various natural conditions that obstructacademic surveying and research, so that valuable and significant data can be collected to contribute to ourknowledge of this vast region.The authors believe that, when these recent polar initiatives are taken into account, the technological,economic and political case for development of the NSR as a shipping route is strong and credible. To supportthe informed examination of Japan's energy policy for the 21st century and shipping trends, a clear accountingof the conditions required to blaze this new trail in maritime trade is urgently needed.To that end, in 1993 the Ship & Ocean Foundation (SOF) gained the support of The Nippon Foundation toparticipate in the launch of INSROP. This project is the brainchild of three national agencies: the SOF in Japan,1. Introduction－2－the Fridtjof Nansen Institute (FNI) in Norway and the Central Marine Research and Design Institute (CNIIMF)in Russia.A couple of organizational structures were required to ensure a clear and consistent focus in INSROP'sactivities. To coordinate the various opinions of the three national bodies listed above, INSROP established aSteering Committee of Sponsors (SCS). Presiding over this committee is Yohei Sasagawa, chair of TheNippon Foundation. At the same time, INSROP set up a Joint Research Committee to coordinate specificresearch details and issues and to propose and adjust research plans.The SOF has established a Japan Committee for the Northern Sea Route Project (JANSROP), headed bychair Yuzuru Fujita, Professor Emeritus of University of Tokyo. Consisting of prominent persons active in thefields of shipbuilding, shipping, meteorology, energy and polar research, this committee is responsible forpromoting progress in the INSROP international collaborative project. In parallel with its work on the INSROPproject, JANSROP is pressing ahead with survey and research effort on optimum design of NSR cargo vessels.This project enjoyed the benefits of extensive studies on icebreaking oil tankers for transport of energyresources in the Beaufort Sea as a springboard for Japan's ongoing development of polar-sea shippingtechnologies, while continuing to build on the results of INSROP's navigation technology.JANSROP has conducted a wide range of valuable projects, including the development of vessels optimizedfor NSR navigation; analysis of the performance of propellers for ice-transiting vessels and research on theinterference between ice and the propellers; research on the interference between the ice pack and ocean waves;analysis of actual ice data; and prediction of ice-floe behaviors. In 1995, to compare these research results withactual in-site data, JANSROP chartered the icebreaking cargo ship M/V Kandalaksha, owned by MurmanskShipping Co. in Russia, and conducted an experimental voyage via the NSR with Russian crew, together withJapanese, Russian and Canadian researchers. This mission gathered basic data for the establishment of safe andefficient NSR navigation. This sea trial was also able to confirm that a short route between Yokohama and theport of Kirkenes in Norway could be negotiated, providing in-depth experience and understanding of the state ofthe natural environment in the Arctic Ocean.A detailed discussion of INSROP is provided in Appendix 1. Here we offer a brief overview.INSROP consisted of two phases: Phase I, which was executed between 1993 and 1995; and Phase II,which covered the years 1997 and 1998. During the interim phase of 1996, an international evaluatingcommittee was established, consisting of a neutral assembly of learned persons. This committee examined andevaluated the results of Phase I, then consulted with respect to the necessity of Phase II, directions in researchand the order of precedence of the various research issues to determine the details of the plan for Phase II.Phase I research activities were divided into the following four sub-programs of the NSR. Each of the issuesexamined and mooted by the JRC was entrusted to specialists from the participating countries, who conductedindividual survey and research efforts.* Sub-program I : Natural conditions and Ice Navigation* Sub-program II : Environmental Factors* Sub-program III : Trade and Commercial Shipping Aspects* Sub-program IV : Political, Legal and Strategic FactorsThese individual research issues were submitted to the FNI, which serves as the secretariat of INSROP,within a given time-frame as a discussion paper. Outside specialists were then called upon to evaluate anddeliberate on the details of the research. A revised version of the document, containing additions, revisions andcomments by these outside specialists, was then published as an INSROP working paper (WP).In Phase II, the research performed in Phase I was supplemented and most of the results of the researchThe Northern Sea Route－3－conducted by INSROP are collated to form a geographical information system about the NSR, called theINSROP Geographic Information System (INSROP GIS). This INSROP GIS was used in conductingsimulations of NSR operation, to provide comprehensive evaluation. The NSR operation simulations werecarried out by a number of specialists both within and outside the INSROP community, to afford a general ideaof how NSR ships should be designed and indicate the economic viability of operations. Simulations wereconducted to select routes; assess the state of sea ice in each zone into which the NSR was divided andsubdivided; develop a navigational support system; forecast commodities and their movement; and take intoaccount environmental impact and legal and legislative issues. This method enabled detailed study of variousoperation modes and the potential profitability of operations.In the end some 167 working papers were produced in Phases I and II (Appendix 7) and an IntegrationBook (WP-167), a comprehensive compilation of INSROP's research, was published in book form by a Dutchpublishing company. These documents are today held at the facilities of the SOF.In writing this book the authors hope to build a bridge linking Russia with the nations of both Europe andthe Far East, and to present a picture of a future economic zone encompassing the Russian Far East and the FarEast Asia that may one day compare well with the European Union. Based on the research results of INSROPand JANSROP, this volume outlines the history of the NSR, the natural conditions faced by the project, variousoperating technologies, and future issues.1. Introduction－4－The Northern Sea Route－5－2. Background to the NSRHistory reveals that the opening of a single sea route can send shock waves around the world, transformingthe economic, social, legal and even political systems of the countries affected. When Vasco da Gama roundedthe Cape of Good Hope on the southern tip of Africa in a long and grueling sea voyage, he ushered in severalcenturies of lucrative trade that produced turbulent social conditions throughout Africa and Asia and profoundlyaffected the nations of Europe.Today, when the facts about our small planet are so well publicized, some observers have suggested that theimmediate impact on the world economy of the opening of an NSR would not be as powerful as that of theopening of the southern route and construction of the Suez Canal. In the long term, however, as resources aredeveloped in regions adjacent to the route, the possibility is undeniable that the NSR may one day redraw themap of the global economy.To assess the potential value and impact of the opening of this new commercial shipping route, a wide rangeof perspectives is needed. We have to look at the relevant history, covering not only the natural conditions in theaffected land and sea areas but social aspects as well. Equally important is a clear assessment of progress in thedevelopment of nautical technology.Motives for the opening of new sea routes throughout history2.1 Historical Background2.1.1 From ancient times to the voyage of NordenskjoldIt is impossible to have a fruitful discussion of the present state of matters involving natural phenomena orhuman affairs, or to forecast their development in the future, without an adequate understanding of the historicalbackground. History is the compass by which we navigate the shoals of long-term forecasting to imagine whatthe ideal state of a system would be like.The indigenous peoples of North AmericaThe history of the Artic Circle has its roots in the arrival of the indigenous peoples of the region. Theseinclude the Innu, the Athebascan or Dene nation and the coastal-dwelling hunter communities of the Inuit.Traces of the movement of these peoples can be found throughout the Arctic. Even among people who lived farfrom Arctic shores, the existence of ice-covered seas in the far north was well known. Passages describing afrozen sea are seen, for example, in classical Greek literature. In fact, it is known that Greek and Romangeographers and astronomers in the 4th and 5th centuries BC deduced from the layout of the known world andthe distribution of hot and cold weather therein that a frozen ocean must exist in the north. Over the passage oftime, fragmentary evidence from first-hand experience of the northern ice fields trickled southward. Until wellinto the Christian era, no planned or deliberate efforts were made to find this sea of ice; rather, the ancients- 8th century ― Accidental discovery of new routes in the quest for fishing grounds9th-10th century ― Plundering property and extension of spheres of control: Era of the Vikings10th-14th century ― Exploration for fisheries and furs15th-18th century ― Search for natural resources and new trade routes19th-20th century ― Surveying of water routes, exploration for natural resources, defense and militarystrategy: The cold war20th century- ― Exploration for energy and opening of commercial shipping routes2. Background to the NSR－6－came about this information haphazardly, from accidental finds of flotsam and the like. Even in this period longbefore the Renaissance, however, remarkably accurate intelligence about the far north had been accrued,attested in a wide variety of literature and other historical records. Thereafter, interest in the subject declined, tobe awakened after the Renaissance in what may be termed a "rediscovery" of the Arctic.Interest in Western EuropeIn the 7th and 8th centuries, European exploration of the Arctic began with the voyages of Irish monks, whohanded down intriguing tales of journeys to far-off lands in leather vessels called coracles. Various accounts ofexpeditions by monks and fishermen to the Arctic Ocean from the 5th to 10th century are recorded, includingmany fanciful tales of a paradise of abundant fish and terrible oceans of ice. The most reliable reports comefrom the Irish monks, whose admittedly fragmentary information about the far north was used by the settlers ofthe Faroe Islands and Iceland.The VikingsIn the 8th century, the torch of maritime exploration passed from the Irish monks to the Norse Vikings.Farmers in origin but possessed of extraordinary seafaring skills, the Vikings began their navigation careersailing along the coastlines of northern Europe in small boats. Later, as the Vikings honed their shipbuildingacumen, they gradually built bigger ships that extended their activity area, and began invading, plundering andwiping out rival tribes. In their heyday in the 10th century, the Vikings ruled a vast domain that stretched fromthe Caspian Sea to the Spanish coast.Terrorizing Europe from their base on the rugged coast that is now Norway, the seafaring Vikings earned areputation for brutality that was the stuff of legend for centuries afterward. But that harsh temperament enabledthe Norsemen to cut a path across some pitiless and capricious seas. The Vikings reached the White Sea coastand settled southern Iceland, where their descendants still live today. In 984 one of the most famous Vikings inhistory, Erik the Red, led a party to Greenland, where they established a colony. His son, Leif Eriksson, isknown to have reached the coast of North America, which he named Vinland; the ruins of one of his settlementscan still be seen today in the Canadian province of Newfoundland. The Vikings were the first Europeans toencounter the Inuit and other original inhabitants of the Arctic, and the value of their contribution to the ultimateopening of the NSR is immeasurable. However, we cannot praise their contribution unreservedly. This isbecause the Vikings left few written records and virtually none of their precious nautical experience survives tothe present day. Furthermore, they often exterminated the original inhabitants of these bitterly coldenvironments.Whaling explorationBy the 14th century, a new contributor to the quest for the NSR took the stage. From their homes nestled onthe broad arc of Biscay Bay, the Basques ventured further and further north in their search for whales,rediscovering the Newfoundland coast and whaling in the fog-bound seas off the Labrador coast. The Basqueswere soon followed by whalers from the Netherlands, then from England. After demand for whale meat fell, thewhalers were able to revive their flagging industry by extracting large quantities of whale oil and baleen fromtheir quarry. This led to intense competition among whalers as the hunters pressed ever northward in the searchfor new whaling grounds. Although this struggle pushed the whale to the brink of extinction, it also provided arapid expansion in our knowledge of the Arctic Ocean.As the foregoing discussion shows, deliberate efforts to navigate and explore the northern seas began withThe Northern Sea Route－7－the search for whales. Eventually the hunt widened to include marine mammals other than whales, as well asreindeer. From humble beginnings as a subsistence way of life, whaling and other Arctic hunting grew inquantity to become the basis for barter, and ultimately of full-fledged trade.Hand-drawn chartsExtending their range of navigation in search of new resources, seafarers had to adapt not only the shipsthemselves but also the ways in which they lived their lives aboard their vessels in the icy polar seas. Greatstrides were also seen in the art of navigation, informed by hard experience. During this period the seafarersdrew maps by hand, building the foundations of the craft of mapmaking in the Age of Navigation. Theantecedents of this impressive art reach as far back as the Portalano Charts of the Middle Ages. These ancientmaps displayed a far greater accuracy than the first maps produced on a printing press, which reflected aPtolemaic world-view and symbolized the power structure prevalent in medieval times. It was the PortalanoCharts that influenced and guided the seafarers of the northern seas.Seafaring skills in the Age of CommerceTwo of the most important tools used by 16th-century seafarers were the compass and the astrolabe. Using loglines, and given the speed of the vessel, they could ascertain the rough longitude of the craft in a technique calleddead "reckoning." The astrolabe was employed to determine latitude with remarkable accuracy. With the aid of atable of the sun's declination over the course of a year and a simple tool called a cross-staff, even more accuratemeasurements could be obtained. This method of determining position by the angle of the sun has a long pedigree;the solar declination tables are said to have been calculated originally by the Arabs. In the mid-13th century KingAlphonso X of Castile introduced these tables into Christendom, and to this day they are still known in the West as"Alphonso's tables."The Portalano ChartThe oldest of the Portalano Chart dates back to the 1300s. Their astounding degree of completeness suggests thatthese maps were continually redrawn and corrected over successive generations. The "Normal Portalano" is anexquisitely beautiful piece, drawn on vellum with colored ink. The Mediterranean and Black Seas and thecoastlines of western Europe and northern Africa are rendered in painstaking detail, while the inland areas arealmost completely blank.The Northeast Passage (Stonehouse, 1990)2. Background to the NSR－8－The Age of CommerceAs the endless quest for resources ventured further into the seas to the north of Europe and thence to theeast and west, the dreams of adventurers turned ineluctably to the opening of new sea routes. The search for twoelusive new routes, termed the Northeast Passage and the Northwest Passage, marked the clear beginning of anew Age of Commerce.Spurred by the exploits of the whalers, the first explorer to seek a new route to China through the ArcticOcean was John Cabot. A Venetian captain in the merchant marine who lived in the bustling English port ofBristol, Cabot was commanded by King Henry VII to sail westward in search of new lands to claim for theEnglish crown. In 1496 Cabot duly discovered both Newfoundland and Labrador, setting the cornerstone for thelater British dominion over Canada. John Cabot's son, Sebastian Cabot, who is believed to have accompaniedthe elder Cabot on the Newfoundland voyage, followed in his father's footsteps. A prosperous merchant,Sebastian played a leading role in the early years of England's colonization program. Sebastian obtained thesponsorship of Northumberland county and, with the enthusiastic backing of London's most eminent citizens,advocated the establishment of a joint-stock company of adventurer-traders. The younger Cabot organized anexpeditionary force of three ships, which set sail under the command of Lord Willoughby in 1553. AlthoughLord Willoughby discovered Novaya Zemlya, he was an early casualty of the northern exploration effort,freezing to death along with his entire crew on a foray into Lapland. Sebastian was unbowed by this tragicsetback. In 1555 he established a group of London businessmen to found a trading company called the MuscovyCompany, with the aim of fostering trade with Russia. Sebastian Cabot entrusted the dream of finding the newsea route to a young captain named Stephen Burrough, who set out in a small pinnace named the Searchthrift.Burrough rounded the Kola Peninsula beyond the northern tip of Norway and crossed the Kara Sea south ofNovaya Zemlya, becoming the first sailor to successfully navigate the coast of Siberia.The English had numerous rivals in the scramble for northern trade routes. In 1578 the Dutch launchedtrading relations with Russia to acquire furs and lumber from Arkhangelsk. The merchants of Amsterdam,seeking further sea passages to the east, enlisted Willem Barents, a seasoned mariner famed for the voyages ofthe Terschelling, to explore the possibility of a route through the extreme northern latitudes, sailing a vesselcalled the Mercurius. In those days it was still believed that sea ice lay only in regions close to the coast, andThe Northwest Passage (Stonehouse, 1990)The Northern Sea Route－9－that open water would be found around the North Pole. Although Barents explored the west coast of NovayaZemlya in great detail on his first voyage, in neither his first or second voyage did Barents succeed in hisultimate objective. In his third expedition, which departed from the port of Amsterdam in May 1596, Barentspressed further eastward, discovering Bear Island and Svalbard. Unfortunately for Barents, his vessel was besetin sea ice and unavoidably beached. Afterward, though most of his crew returned to the Netherlands alive,Barents himself never saw his homeland again.Not long after Barents' adventures in the northeast, the English captain Henry Hudson set off in search of anew passage. Marshaling his experience from the Muscovy Company, in May 1607 Hudson set sail in the80-ton Hopewell in search of a route to Japan and China across the Arctic Ocean. Pressing northward as far asthe 73rd parallel, Hudson explored the east coast of Greenland, then pressed even further north to plot the westcoast of Svalbard at 81ºN latitude. In his report to his sponsors, Hudson noted that the seas in this region wereexcellent whaling grounds, and indeed for many years thereafter the far north Atlantic was a paradise for thewhaling fleet. His next two expeditions were less successful. On his second voyage in 1608, Hudson was unableto find any trace of the open polar sea he had expected to encounter, and his 1609 outing in search of aNortheast Passage, bankrolled by the Dutch East India Company, was frustrated by unfavorable winds. Hudsonresolved to turn his prow westward and seek a Northwest Passage instead. In 1610, once again under Englishpatronage, Hudson undertook an exploratory voyage that yielded the discovery of a vast inland sea that stillbears his name--Hudson Bay. The explorer wintered on the shores of Hudson Bay and set sail for England thefollowing spring, only to be meet a bitter end when mutinous sailors forced Hudson, his son and a few loyalcrewmembers into a small launch. Nothing is known of what became of Hudson and his small party. Thisterrible episode is today remembered as one of the most grievous tragedies in the long and bloodstained historyof the Northwest Passage.Hudson was followed in his quest for the Northwest Passage by a long list of illustrious adventurers, such asJohn Davis, Robert Bylot, William Baffin and Thomas Button. As repeated attempts to push east of the KaraSea failed, explorers gave up hope for the Northeast Passage. From the time of Barents onward, except for a fewtraders still intent on a coastal route to Russia, a century would pass before anyone would brave the NortheastPassage again.The expeditions of Vitus BeringIn 1725 Peter the Great, Tsar of the Russian Empire, decreed that the coast of Siberia was to be exploredand mapped. Vitus Bering, a Dane serving as an officer in the Imperial Russian Navy, conducted numerousexpeditions to fulfill the imperial decree. Between 1733 and 1743, Bering carried out an exploratory program ofbreathtaking proportions. Over the course of the "Great Northern Expedition," as it was called, Bering exploredthe Kamchatka Peninsula, the East Siberian Sea and the Bering Sea, then advanced as far east as the AleutianIslands and the west coast of Alaska. The objectives of the expedition were to investigate the feasibility of aNorthern Sea Route, to explore the American coast, and to reconnoiter a sea route from Kamchatka to Japan.Bering's exploits yielded highly reliable information on sea routes as well as new hunting grounds for whalersand sealers. Unfortunately the Danish captain's findings held out scant prospect of a viable NSR.Thanks to the explorations of Bering and other officers of the Imperial Russian Navy, a wealth ofgeographical data on the Siberian coast was accumulated. Yet despite these efforts the Northeast Passageremained as elusive as ever. A real breakthrough would have to wait for the voyages of Adolf Erik Nordenskjoldin 1878-79.2. Background to the NSR－10－The contributions of James CookAlthough James Cook was never a part of the quest for the NSR, no account of the background to the NSRwould be complete without touching on his achievements. In 1778, Cook discovered Hawaii, naming the islandchain the Sandwich Islands. He turned to the northeast to map the western coastline of Alaska and Canada, thenpassed through the Bering Strait to reach the 70th parallel before his advance was halted by sea ice. Cook wasforced to return to Hawaii , where he met a tragic death. Although his crew returned to the Bering Strait, theywere once again blocked by sea ice, obliging them to return to England via Kamchatka, Japan and the Straits ofMalacca. Cook developed a technique to obtain highly accurate mapping results. He set a baseline usingastronomical observations and mapped the contours of the coast by recording bearing and distance at a fewpoints. To deduce the distance between points, Cook fired a gun and measured the time taken between two ships.Beginning with his second voyage, Cook added a chronometer to his toolkit, enabling him to examine the errorbetween astronomical and non-astronomical bearings, such as the latitudinal error between measurements basedon lunar distance and those obtained by astronomical observation. With this bold new technique, Cookconducted painstaking measurements of tides and ocean currents. The maps and astronomical navigationtechniques Cook formed a new foundation for generations of maritime explorers to come and ushered in a greatnew age of British hydrography. Cook's methods and results proved invaluable in later missions to navigate theNSR.2.1.2 From Nordenskjold to the Russian RevolutionThe voyages of Adolf Erik NordenskjoldThe first mariner to successfully navigate the entire Northeast Passage was Adolf Erik Nordenskjold.Professor Nordenskjold's Vega left the port of Tromso in Norway, traveling for over a year across the icy Arcticseas before passing through the Bering Strait in July 1879 and reaching Yokohama in September of the sameyear. However, Nordenskjold's motives had nothing to do with finding an NSR linking Europe and Asia.Nordenskjold was searching for two different routes. One of these, later called the Kara Sea Route, would linkEurope with the Ob-Yenisey river basin; the other was a prospective passage from Europe to the Lena basin.The tragedy of the JeanetteDuring the same period, in 1879, the United States was in the midst of an aggressive territorial expansion.The American government dispatched the explorer De Long to discover a new continent in the Arctic and toreach the North Pole. Although he passed through the Bering Strait, De Long advanced no further than the 71stparallel. De Long's expeditionary vessel, the Jeanette, drifted for two years after that, and was finallyshipwrecked in the Novosibirskiye archipelago. On this ill-starred voyage De Long succeeded in discoveringWrangel Island, but tragically only 13 of a crew of 33 men survived to reach the Lena River. Three years later,timbers from the shipwrecked Jeanette were found on the southeast coast of Greenland, casting doubt on theexistence, widely speculated at the time, of a new continent at the North Pole. Public opinion grew increasinglynegative about the entire enterprise of the search for a northern continent.The hardships of Arctic navigation and the construction of the first icebreakersLured by the region's wealth of natural resources, between 1876 and 1919 as many as 122 expeditions arerecorded in the quest for the Kara Sea route advocated by Nordenskjold. Unfortunately the vast majority ofthese voyages were not the successful commercial operations Nordenskjold envisaged, but extremely dangerousmissions whose success rate was dismayingly low. Of 87 expeditions that set sail for the Ob-Yenisey basin fromThe Northern Sea Route－11－1874 to 1901, only 60 reached their destination; another 22 fell short and returned to port, and five wereshipwrecked. On the Siberia-to-Europe route, 36 of 42 expeditions succeeded but six foundered, and from 1901to 1910 commercial voyages on this route disappeared completely.The first icebreaker for the purpose of Arctic navigation was the Yermak (98m long, with a displacement of9,000t and output of 10,000HP), built at the British port of Newcastle under the direction of the RussianAdmiral S.O. Makarov. The Russians built two smaller icebreakers thereafter, dubbed the Taymyr and theVaygach; these were used by Russia's Central Hydrographic Administration to assist in hydrographic surveyingactivities, and in 1913 were instrumental in the discovery of Severnaya Zemlya.The triumphs of Nansen and AmundsenIn the recent history of the NSR, one vessel that deserves a place of honor alongside Nordenskjold's Vega isthe Fram, skippered by Fridtjof Nansen. Because Nansen was a scientist rather than a commercial adventurer,his achievements are often underplayed in the saga of the NSR, but his contributions, both indirect andfundamental, were profound in terms of understanding the natural environment of the Arctic. Nansen's two-yearvoyage across the Arctic Ocean beginning in 1896 provided the observations that pack ice motion was always ata large angle to the surface wind (up to 45 ﾟcum sol), which hinted the fact that the Coriolis force must be animportant factor. Nansen had ushered the concept of drift-station and intended to drift for a protracted period inthe icy seas, so he developed an ice-resistant ship construction, of which the basic concept of the hull formcontinues to be used to this day. Nansen's innovative spirit formed the cornerstone of much of the academicresearch on the Arctic conducted today.In the early part of this century a Norwegian named Roald Amundsen challenged the western Arctic. After apreliminary voyage to the west coast of Greenland aboard the Gjoa, Amundsen sailed the same vessel on athree-year expedition from 1903 to 1905 to complete the long-heralded navigation of the Northwest Passage. Itis said that Amundsen, who was also the first to reach the South Pole, had been inspired by Nansen's polarexplorations and his completion of the Northeast Passage aboard the Vega, and had held a lifelong ambition toopen up the Northwest Passage.2.1.3 The Russian Revolution and its aftermathThe early years of the revolutionEven during the turbulent years of the Russian Civil War, pioneers such as Admiral A.V. Kolchak continuedto pursue the vision of Peter the Great, experimenting with ways of opening the Kara Sea route between Europeand Siberia. This effort soon became entangled with the construction of the Trans-Siberian Railroad, and theopening of the NSR gradually took on the complexion of a strategic military project.The 1930s were a period of rapid and significant development for the NSR. In 1932 the Soviet Pacific Fleetmerchant marine was formed, followed in 1933 by the Northern Naval Fleet; both were based on the KolaPeninsula. Battle-hardened from action in the Russo-Japanese War, these Fleets sharpened the strategicimportance of the NSR. In 1932, as part of the activities of the International Polar Years of 1932-1933, aninternational scientific observation project traversed the NSR from west to east in a small icebreaker called theAleksandr Sibiryakov. On this voyage, the party left the port of Arkhangelsk in July and arrived that samesummer in Vladivostok, from which it continued onward to dock at Japanese shores in November. TheAleksandr Sibiryakov completed this landmark NSR journey in only a third of the time logged by the Vega.Other successes were to follow: in 1934 the Fedor Litke became the first vessel to negotiate the NSR in a singleseason and without a single mishap, and in 1935 the cargo ships Vantsetti and Iskra, supported by the Fedor2. Background to the NSR－12－Litke, became the first craft of their kind to successfully complete the eastern NSR.Establishment of GlavsevmorputIn February 1932 the Soviet Union established the Chief Administration of the Northern Sea Route, calledGlavsevmorput, to conduct administration and management of the NSR in accordance with the Soviet nationalinterest. This body was invested with plenipotentiary authority over the development, management, regulationand preservation of the NSR. O.Yu. Shmidt, leader of the Sibiryakov survey team, was initially placed incharge of Glavsevmorput. In 1941 Ivan Papanin, an illustrious figure in Arctic navigation, was named Head ofthe organization. Under the guidance of Glavsevmorput, collaboration with government agencies in conductingexploration for strategic purposes became a matter of course, and was added to the task of opening shippingroutes. A series of new ports were opened during this time, including Dikson, Tiksi, Mys Shmidta andProvideniya. Four Stalin-class icebreakers were constructed and commercial fleets led by icebreakers wereincreased, as the volume of the Soviet Union's marine shipping volume grew from strength to strength.Unfortunately, the age of the NSR arrived just as the Second World War erupted, and the distinction betweenmilitary and civilian applications for the NSR became blurred. In 1942, for example, the first Soviet navalcontingent succeeded in navigating the NSR from Vladivostok to Polyarnyi with the support of an icebreaker.Under the Soviet system, Siberia's natural resources such as grain and lumber were bartered for industrialproducts from Western Europe. Since no hard currency was required for this trade, The Soviet government waskeenly interested in establishing a shipping route via the Kara Sea.Although not directed at developing commercial shipping as such, some noteworthy developments tookplace during the Second World War. The Komet, a converted German cruiser, traversed the NSR, and militarysupport materials were shipped from the United States through the Bering Strait to the north coast of Siberia. Inaddition, American Wind-class icebreakers offered long-term support to Soviet ships in the Arctic Ocean. Thesevaluable achievements and experiences in Arctic navigation provided a wealth of data for future NSR plannersto draw upon.After the Second World WarAfter the Second World War ended, the Soviets grew increasingly appreciative of the value of the NortheastPassage (NSR) for reasons of defense strategy. Roughly half of the materials provisioned at the Yakutia militarybase, located in the eastern Taymyr Peninsula, were brought in by sea along the NSR. Beginning in 1978, theseaborne cargo route between Dudinka and Murmansk was expanded to operate year-round, carrying valuablefreight such as nickel from Igarka.In later years, the USSR committed considerable resources to NSR navigation. During the two months ofDecember 1972 and January 1973, the 7,430 metric ton cargo icebreaker Indigirka pioneered the age of winterNSR navigation by voyaging from Murmansk to Dudinka in 12 days. Under the Soviet regime, all shipping inthe Arctic Ocean consisted of either the movement of military or strategic cargo or transport for political oradministrative purposes. This traffic scarcely fit the definition of shipping based on market principles, but theexpertise gathered in the course of this activity was of immense value in approaching the dream of NSRcommercial traffic. Data from this period was instrumental in attaining the breakthroughs that broughtinternational NSR shipping closer to reality.Throughout much of the 20th century the USSR labored to open the NSR with a clear eye on the nationalinterest and the task of nation-building, as well as a keen understanding of the strategic importance of the Arcticregion. Before that time, the exploration of the NSR and the Arctic had shifted gradually from efforts to wrestThe Northern Sea Route－13－hegemony over the seas from Spain to an international competition with no clear remunerative value. Nationalrivalries, personal ambitions and scientific pursuits became deeply entangled, so that researchers such as Nansenand Amundsen became national heroes as the final chapter in European exploration of the Arctic was written.2.2 Political and Social BackgroundThe Soviet Union's (and later, Russia's) Siberian policy with respect to the NSR shifted numerous timesover the past century. After the Russian Revolution, Peter the Great's imperial administration gave way to aSoviet regime which emphasized national defense and the creation of a nation unified under socialism. Aftereconomic upheaval and the end of the Cold War, the Russian Republic was founded and power devolved towardregional governments. The complexity of the resulting situation makes the future direction of development of aninternational shipping route unclear.One of the most significant outcomes of the recent collapse of the Soviet system is the disintegration of itsfederal system, with had boasted strong bonds of national unity. Ostensibly, according to article 72 of the"Brezhnev constitution," promulgated in 1977, each of the Soviet Union's 15 republics belongs to the federationwith the free assent of all of its various ethnic groups, which enjoy equal rights under the constitution. Thismeant that each constituent republic was free to secede from the Union at any time. In fact, it was assumed thatsuch secession was never to happen, and no legal provisions were made to enable secession to occur. When theBaltic republics issued their joint declaration of secession, the Soviet federal system began to unravel, givingway to a new era of multipolarity in the international community that required the adoption of a new doctrine tohandle relations among the republics. Secretary General Gorbachev had set the stage for this realignment at theWarsaw Pact Summit in July 1988, when he renounced the Brezhnev Doctrine, advocating a new approachlinked with the program of perestroika ("national reconstruction"), Gorbachev envisioned a newinterdependence among economic and environmental issues that transcended the conventional systems ofsocialism and capitalism, giving precedence to values common to all peoples. Issues of national security were tobe determined through due political process. Military resources were to be streamlined, so that a militarycapability sufficient for defensive purposes would be deemed adequate. In short, Gorbachev's goal was to stripideology out of international relations.In an address in Murmansk on October 1, 1987, Gorbachev declared the NSR open as an internationalshipping route. This did not signify the opening of the seas to all comers, but it did represent an end to the old,cold-war mechanisms previously in place. At the very least, Gorbachev's declaration constituted a recognitionthat the NSR had lost most of its strategic/military value. In fact the NSR declaration was inevitable, given theSoviet Union's urgent need to recover from its long and steep economic decline that began in the latter years ofthe Brezhnev regime, and in particular to build up the country's depleted foreign-currency reserves.Gorbachev's dream of a federation of sovereign Soviet republics was dashed in August 1991, when anattempted coup d'état was crushed. The aborted coup hastened the republics' bid for independence. TheCommunist Party, whose existence was inextricably bound to the authority of the federation, was dissolved.These events also strengthened the hand of Boris Yeltsin, elected President of the Russian Republic in June ofthe same year, who seized the opportunity to break Russia away from the old Soviet system.Russia convened a National Council, composed of the President of the old Federation and the leaders ofeach of the republics, in a bid to create a replacement for the supreme decision-making body that had just beenswept away. It was hoped that, by recognizing the independence of the Baltic countries and starting afresh, anew federal treaty could be concluded. This effort reached an impasse, however, when elements of Ukraine'sbrittle ruling alliance rejected it. Next a treaty on economic union called the Commonwealth of Independent2. Background to the NSR－14－States (CIS), aimed at defusing an economic crisis and effecting the transfer to a market economy, was mootedamong 11 of the republics (the Baltic countries and Georgia did not participate). This organization continues topress forward in the direction of a market-based economy today. However, the formation of the CIS did notsmother all of the discord caused by these upheavals, and the flames of dissent continue to smolder throughoutthe old federation. Confusion on the Russian political scene continues to frustrate the smooth implementation ofcommercial operation in the NSR. A power struggle continues between the center and the regions. Boris Yeltsin,the first popularly elected head of state in Russian history, attempted to centralize political power in Russia, butthis scheme was thwarted in the face of strong regionalism. In 1997 the President lost the power to appoint mostof the governors of Russia's constituent states and regions, as these public figures came to be directly elected.This tug of war between centralism and regionalism seems set to swing back and forth for the foreseeablefuture.This expansion of regional autonomy in Russia makes it necessary to clarify the benefits the NSR brings toeach affected region. Therefore, the international community must be made aware of the planning scenariosunder development, how the project will be funded, which organizations will implement the project and bear therisk, and what the time-frame will be, with respect to the infrastructure that will have to be built to render theNSR usable and the issues regarding preservation of coastal environments. Ironically, the development of theNSR benefited richly from the Cold War and the Soviet system, which provided generous navigationalinfrastructure. This was made possible by highly disciplined cooperation between the civilian, military andscientific sectors, which operated on an equal footing and on their own terms.2.3 Economic and Shipping BackgroundThe onslaught of perestroika and glasnost ("openness" in government) was preceded by a Russian economyin imminent danger of complete collapse. The government was under tremendous pressure to adopt radicalmeasures, including granting permission for the formation of private companies. It was soon recognized that theconditions underpinning the switch from state-owned to privately owned enterprises, such as the rights to earnprofits, raise funds independently and elect enterprise leaders, would come to naught if the reforms did notextend to political restructuring as well. A rapid-fire battery of legislation--such as the Law on Individual LaborActivities and the Law on Joint-Venture Companies, passed in 1987, and the Law on Cooperative Associations,promulgated in 1988--provided a framework for these new enterprises to operate in. At the same time as theseeconomic reforms were being carried out, however, the ruling party overseeing them was riven with strife.Russia lurched into political chaos before the effects of these reforms could be realized, throwing its economydeeper into disarray.During this period of confusion, each of the former Republics featured a dual economy: an official economyand an underground one. In Russia, the old planned economy, or centrally run economy, continued to runSoviet-style economic activity with strong centralization of power and strict control according to a centrallydetermined plan. Little room was left over for free competition based on market principles. Parallel to theofficial ec