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Coast Guard Polar Icebreaker Modernization:
Background, Issues, and Options for Congress

Ronald O'Rourke
Specialist in Naval Affairs
October 22, 2010
Congressional Research Service
7-5700
www.crs.gov
RL34391
CRS Report for Congress
P
repared for Members and Committees of Congress
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Coast Guard Polar Icebreaker Modernization

Summary
Coast Guard polar icebreakers perform a variety of missions supporting U.S. interests in polar
regions. The Coast Guard’s two heavy polar icebreakers—Polar Star and Polar Sea—have
exceeded their intended 30-year service lives. The Polar Star is not operational and has been in
caretaker status since July 1, 2006. Congress in FY2009 and FY2010 provided funding to repair
Polar Star and return it to service for 7 to 10 years; the Coast Guard expects the reactivation
project to be completed in 2013. On June 25, 2010, the Coast Guard announced that Polar Sea
had suffered an unexpected engine casualty and consequently will likely be unavailable for
operation until at least January 2011. The United States, which has various interests in the polar
regions, currently has no operational heavy polar icebreakers.
The Coast Guard’s third polar icebreaker—Healy—entered service in 2000. Compared to Polar
Star
and Polar Sea, Healy has less icebreaking capability (it is considered a medium polar
icebreaker), but more capability for supporting scientific research. The ship is used primarily for
supporting scientific research in the Arctic.
A 2007 report from the National Research Council (NRC) on the U.S. polar icebreaking fleet
stated that “U.S. [polar] icebreaking capability is now at risk of being unable to support national
interests in the north and the south.” The Coast Guard has stated since 2008 that it is studying
how many polar icebreakers, with what capabilities, should be procured as replacements for
Polar Star and Polar Sea. On July 16, 2008, the Commandant of the Coast Guard at the time,
Admiral Thad Allen, testified that “today, our nation is at a crossroads with Coast Guard domestic
and international icebreaking capabilities. We have important decisions to make. And I believe we
must address our icebreaking needs now.” Almost two years later—on May 3, 2010—he stated,
“We need to have a serious discussion about icebreakers. It has not concluded. It’s not even
started, and you can see me be a little more vocal on that on the 26th of May [2010] because my
change of command [i.e., the end of his term in office as Commandant of the Coast Guard] is the
25th of May.”
Following any decision to design and build one or more new polar icebreakers, the first
replacement polar icebreaker might enter service in 8 to 10 years, by which time Polar Star and
Polar Sea could be more than 40 years old. The Coast Guard estimated in February 2008 that new
replacement ships might cost $800 million to $925 million each in 2008 dollars, and that the
alternative of extending the service lives of Polar Sea and Polar Star for 25 years might cost
about $400 million per ship. In August 2010, the Commandant of the Coast Guard, Admiral
Robert Papp, reportedly estimated the cost of extending their lives at about $500 million per ship.
The Coast Guard’s proposed FY2011 budget does not request any funding in the service’s
Acquisition, Construction, and Improvements (AC&I) account for polar icebreaker sustainment
or refurbishment, or for acquisition of new polar icebreakers. Potential policy issues for Congress
regarding Coast Guard polar icebreaker modernization include the potential impact on U.S. polar
missions of the United States currently having no operational heavy polar icebreakers; the length
of time that the Coast Guard has been studying requirements for polar icebreakers; the numbers
and capabilities of polar icebreakers the Coast Guard will need in the future; whether to provide
these icebreakers through construction of new ships or service life extensions of Polar Star and/or
Polar Sea; whether to accelerate the Coast Guard’s current schedule for acquiring replacement
ships; whether new ships should be nuclear powered; and whether new ships should be funded
entirely in the Coast Guard budget, or partly or entirely in some other part of the federal budget,
such as the Department of Defense (DOD) budget, the National Science Foundation (NSF)
budget, or both.
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Contents
Introduction ................................................................................................................................ 1
Background ................................................................................................................................ 2
Missions of U.S. Polar Icebreakers ........................................................................................ 2
Current U.S. Polar Icebreakers .............................................................................................. 3
Three Coast Guard Ships................................................................................................. 3
One National Science Foundation Ship............................................................................ 5
Summary ........................................................................................................................ 7
NSF Funding for Icebreaker Operations and Maintenance ..................................................... 7
2007 National Research Council Report ................................................................................ 8
Origin of Study ............................................................................................................... 8
Conclusions and Recommendations ................................................................................ 8
Coast Guard Perspective on the Study ............................................................................. 9
Cost Estimates for Certain Modernization Options .............................................................. 10
New Replacement Ships................................................................................................ 10
25-Year Service Life Extensions.................................................................................... 10
Reactivate Polar Star for 7 to 10 Years.......................................................................... 11
Reactivate Polar Star for a Single Deployment.............................................................. 11
U.S. Shipbuilding Industrial Base........................................................................................ 11
Issues for Congress ................................................................................................................... 12
Impact of Polar Sea Not Being Operational......................................................................... 12
Length of Time Coast Guard Has Been Studying the Issue .................................................. 13
Number and Capabilities of Future Polar Icebreakers .......................................................... 16
New Construction vs. Modernization .................................................................................. 19
Acceleration of Current Schedule ........................................................................................ 20
Nuclear Power .................................................................................................................... 21
Funding Ships in Coast Guard Budget or Elsewhere............................................................ 23
Options for Congress ................................................................................................................ 24
Legislative Activity in 111th Congress........................................................................................ 24
FY2011 Funding Request .................................................................................................... 24
FY2011 DHS Appropriations Bill (S. 3607) ........................................................................ 25
Senate ........................................................................................................................... 25
Coast Guard Authorization Act of 2010 (H.R. 3619/P.L. 111-281) ....................................... 26
House ........................................................................................................................... 26
Senate ........................................................................................................................... 29
Final Version................................................................................................................. 30
FY2010 and FY2011 Coast Guard Authorization Bill (S. 1194) ........................................... 32
Senate ........................................................................................................................... 32
Arctic Marine Shipping Assessment Implementation Act of 2009 (H.R. 2865/S.
1514/S. 1561) .................................................................................................................. 33
House ........................................................................................................................... 33
Senate ........................................................................................................................... 33
FY2010 DHS Appropriations Act (H.R. 2892/P.L. 111-83) .................................................. 36
House ........................................................................................................................... 36
Senate ........................................................................................................................... 36
Conference.................................................................................................................... 37
American Recovery and Reinvestment Act of 2009 (H.R. 1/P.L. 111-5)............................... 38
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Tables
Table 1. U.S. Polar Icebreakers.................................................................................................... 6
Table 2. Uses of Coast Guard Polar Icebreakers........................................................................... 6

Appendixes
Appendix A. Legislative Activity in 110th Congress ................................................................... 39
Appendix B. Funding Arrangement with NSF ........................................................................... 44
Appendix C. NSF Use of Coast Guard vs. Other Polar Icebreakers ............................................ 52
Appendix D. May 2008 Memorandum from DOD Combatant Commanders.............................. 64

Contacts
Author Contact Information ...................................................................................................... 65

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Introduction
Coast Guard polar icebreakers perform a variety of missions supporting U.S. interests in polar
regions. The Coast Guard’s two heavy polar icebreakers—Polar Star and Polar Sea—have
exceeded their intended 30-year service lives. The Polar Star is not operational and has been in
caretaker status since July 1, 2006.1 Congress in FY2009 and FY2010 provided funding to repair
Polar Star and return it to service for 7 to 10 years; the Coast Guard expects the reactivation
project to be completed in 2013.2 On June 25, 2010, the Coast Guard announced that Polar Sea
had suffered an unexpected engine casualty and consequently will likely be unavailable for
operation until at least January 2011. The United States, which has various interests in the polar
regions, currently has no operational heavy polar icebreakers.
The Coast Guard’s third polar icebreaker—Healy—entered service in 2000. Compared to Polar
Star
and Polar Sea, Healy has less icebreaking capability (it is considered a medium polar
icebreaker), but more capability for supporting scientific research. The ship is used primarily for
supporting scientific research in the Arctic.
A 2007 report from the National Research Council (NRC) on the U.S. polar icebreaking fleet
stated that “Over the last decade, some routine maintenance on [Polar Star and Polar Sea] has
been deferred due to a lack of funds and no major life extension program has been planned; as a
consequence, U.S. [polar] icebreaking capability is now at risk of being unable to support
national interests in the north and the south.”3
The Coast Guard has stated since 2008 that is studying how may polar icebreakers, with what
capabilities, should be procured as replacements for Polar Star and Polar Sea. On July 16, 2008,
the Commandant of the Coast Guard at that time, Admiral Thad Allen, testified that
Today, our nation is at a crossroads with Coast Guard domestic and international icebreaking
capabilities. We have important decisions to make. And I believe we must address our
icebreaking needs now, to ensure we will continue to prosper in the years and decades to
come, whether on the Great Lakes, the critical waterways of the East Coast or the harsh
operating environments of the polar region.4
An August 17, 2008, press report quoted Admiral Allen as stating that, in light of the time
required to build a new polar icebreaker, “I think we’re at a crisis point on making a decision.”5
Almost two years later, on May 10, 2010, a press report quoted him as stating, “We need to be
able to project U.S. sovereignty up there [i.e., the Arctic] and do the missions that we need to do.
We need to have a serious discussion about icebreakers. It has not concluded. It’s not even started,

1 Source for July 1, 2006, date: U.S. Coast Guard e-mail to CRS on February 22, 2008.
2 “Icebreaker POLAR SEA Sidelined By Engine Troubles,” Coast Guard Compass (Official Blog of the U.S. Coast
Guard)
, June 25, 2010. An FY2011 budget justification document—Department of Homeland Security, Congressional
Budget Justification FY 2011
, p. USCG-9 (pdf page 2176 of 3985)—states that the repairs to Polar Star are to be
completed in FY2012.
3 National Research Council, Polar Icebreakers in a Changing World, An Assessment of U.S. Needs, Washington,
2007, p. 2.
4 Transcript of spoken remarks of Admiral Allen at July 16, 2008, hearing on Coast Guard icebreaking needs before the
Coast Guard and Maritime transportation subcommittee of the House Transportation and Infrastructure Committee.
5 Andrew C. Revkin, “A Push To Increase Icebreakers In The Arctic,” New York Times, August 17, 2008.
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and you can see me be a little more vocal on that on the 26th of May [2010] because my change of
command [i.e., the end of his term in office as Commandant of the Coast Guard] is the 25th of
May.”6
Following a decision to design and build one or more new polar icebreakers, the first replacement
polar icebreaker might enter service in eight to 10 years, by which time Polar Star and Polar Sea
could be more than 40 years old.
The Coast Guard’s proposed FY2011 budget does not request any funding in the service’s
Acquisition, Construction, and Improvements (AC&I) account for polar icebreaker sustainment
or refurbishment, or for acquisition of new polar icebreakers.
The issue for Congress is whether to approve, reject, or modify Coast Guard plans for
modernizing its polar icebreakers. Congressional decisions on this issue could affect the Coast
Guard’s ability to perform its polar missions, Coast Guard funding requirements, and the U.S.
shipbuilding industrial base.
Background
Missions of U.S. Polar Icebreakers
The missions of U.S. polar icebreakers can be summarized as follows:
• conducting and supporting scientific research in the Arctic and Antarctic;
• defending U.S. sovereignty in the Arctic by helping to maintain a U.S. presence
in U.S. territorial waters the region;
• defending other U.S. interests in polar regions, including economic interests in
waters that are within the U.S. exclusive economic zone (EEZ) north of Alaska;
• monitoring sea traffic in the Arctic, including ships bound for the United States;
and
• conducting other typical Coast Guard missions (such as search and rescue, law
enforcement, and protection of marine resources) in Arctic waters, including U.S.
territorial waters north of Alaska.
Operations to support National Science Foundation (NSF) research activities in the Arctic and
Antarctic has accounted in the past for a significant portion of U.S. polar icebreaker operations.
Supporting NSF research in the Antarctic has included performing—or, in more recent years,
standing ready to assist in—an annual mission, called Operation Deep Freeze, to break through

6 Cid Standifer, Dan Taylor and Zachary M. Peterson, “Notes From The Navy League’s Sea-Air-Space Conference
And Exhibition, May 3-5, 2010, National Harbor, MD,” Inside the Navy, May 10, 2010. On May 1, 2010, Janet
Napolitano, Secretary of the Department of Homeland Security, announced that Allen would serve as the National
Incident Commander for the Administration’s response to the Deepwater Horizon oil spill in the Gulf of Mexico. Allen
stepped down as Commandant on May 25, 2010, and retired from active duty service in the Coast Guard on June 30,
2010, but continued as a civilian in his role as the National Incident Commander for the oil spill. A September 27,
2010, press report states that Allen would step down as National Incident Commander on September 30, 2010. (Rick
Jervis, “BP Spill Shapes Allen’s Legacy,” Navy Times.com, September 27, 2010.)
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the Antarctic ice so as to resupply McMurdo Station, the large U.S. Antarctic research station
located on the shore of McMurdo Sound, near the Ross Ice Shelf.
Although polar ice is diminishing due to climate change, observers generally expect that this
development will not eliminate the need for U.S. polar icebreakers, and in some respects might
increase mission demands for them. Even with the diminishment of polar ice, there are still
significant ice-covered areas in the polar regions. Diminishment of polar ice could lead in coming
years to increased commercial ship, cruise ship, and naval surface ship operations, as well as
increased exploration for oil and other resources, in the Arctic—activities that could require
increased levels of support from polar icebreakers.7 Changing ice conditions in Antarctic waters
have made the McMurdo resupply mission more challenging since 2000.8
Current U.S. Polar Icebreakers
The U.S. polar icebreaker fleet currently includes four ships—three Coast Guard ships and one
ship operated by the NSF. The ships are described briefly below, and then summarized in Table 1.
Uses of the three Coast Guard polar icebreakers in FY2005-FY2007 by operational hours are
summarized in Table 2.
Three Coast Guard Ships
The Coast Guard’s three polar icebreakers are multimission ships that can break through ice,
support scientific research operations, and perform other missions typically performed by Coast
Guard ships.
Polar Star and Polar Sea
Polar Star (WAGB-10) and Polar Sea (WAGB-11),9 sister ships built to the same general design,
were procured in the early 1970s as replacements for earlier U.S. icebreakers. They were
designed for 30-year service lives, and were built by Lockheed Shipbuilding of Seattle, WA, a
division of Lockheed that also built ships for the U.S. Navy, but which exited the shipbuilding
business in the late 1980s.
The ships are 399 feet long and displace about 13,300 tons.10 They are the world’s most powerful
non-nuclear-powered icebreakers, with a capability to break through ice up to 6 feet thick at a
speed of 3 knots. Because of their icebreaking capability, they are considered heavy polar
icebreakers. In addition to a crew of 134, each ship can embark a scientific research staff of up to
20 people.

7 For more on changes in the Arctic due to diminishment of Arctic ice, see CRS Report R41153, Changes in the Arctic:
Background and Issues for Congress
, coordinated by Ronald O'Rourke.
8 National Research Council, Polar Icebreakers in a Changing World, An Assessment of U.S. Needs, Washington,
2007, pp. 6-7, 14, 63.
9 The designation WAGB means Coast Guard icebreaker. More specifically, W means Coast Guard ship, A means
auxiliary, G means miscellaneous purpose, and B means icebreaker.
10 By comparison, the Coast Guard’s new National Security Cutters—its new high-endurance cutters—are about 418
feel long and displace roughly 4,000 tons.
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Polar Star was commissioned into service on January 19, 1976, and consequently is now beyond
its intended 30-year service life. The ship currently is not in operational condition due to worn out
electric motors and other problems. The Coast Guard placed the ship in caretaker status on July 1,
2006.11 Congress in FY2009 and FY2010 provided funding to repair Polar Star and return it to
service for 7 to 10 years; the Coast Guard expects the reactivation project to be completed in
2013.12 An August 30, 2010, press report quoted the Commandant of the Coast Guard, Admiral
Robert Papp, as saying, “We’re getting her back into service, but it’s a little uncertain to me how
many more years we can get out of her in her current condition, even after we do the engine
repairs.”13
Polar Sea was commissioned into service on February 23, 1978, and consequently is also beyond
its originally intended 30-year service life. In 2006, the Coast Guard completed a rehabilitation
project that extended the ship’s expected service life to 2014. Due to its age, however, the ship
requires increasing amounts of maintenance to remain in operation. On June 25, 2010, the Coast
Guard announced that
POLAR SEA suffered an unexpected engine casualty and will be unable to deploy on its
scheduled fall 2010 Arctic patrol and may be unavailable for Operation Deep Freeze [the
annual mission to break through the Antarctic ice so as to resupply McMurdo Station], Dec.
20 to Jan 2, 2011.
POLAR SEA will likely be in a maintenance status and unavailable for operation until at least
January 2011….
Currently, the 420-foot CGC HEALY, commissioned in 1999, is the service’s sole
operational polar region icebreaker. While the HEALY is capable of supporting a wide range
of Coast Guard missions in the polar regions, it is a medium icebreaker capable of breaking
ice up to 4.5-feet thick at three knots.
The impact on POLAR SEA’s scheduled 2011 Arctic winter science deployment, scheduled
for Jan. 3 to Feb. 23, 2011, is not yet known and depends on the scope of required engine
repair.14
A June 25, 2010, report stated that “inspections of the Polar Sea’s main diesel engines revealed
excessive wear in 33 cylinder assemblies. The Coast Guard is investigating the root cause and
hopes to have an answer by August.”15 Another June 25 report stated that “five of [the ship’s] six
mighty engines are stilled, some with worn pistons essentially welded to their sleeves.”16

11 The Coast Guard’s official term for the ship’s current status is “In Commission, Special.”
12 “Icebreaker POLAR SEA Sidelined By Engine Troubles,” Coast Guard Compass (Official Blog of the U.S. Coast
Guard)
, June 25, 2010. An FY2011 budget justification document—Department of Homeland Security, Congressional
Budget Justification FY 2011
, p. USCG-9 (pdf page 2176 of 3985)—states that the repairs to Polar Star are to be
completed in FY2012.
13 Cid Standifer, “Papp: Refurbished Icebreaker Hulls Could Last ‘An Awful Long Time,’” Inside the Navy, August 30,
2010.
14 “Icebreaker POLAR SEA Sidelined By Engine Troubles,” Coast Guard Compass (Official Blog of the U.S. Coast
Guard)
, June 25, 2010.
15 “USCG Cancels Polar Icebreaker’s Fall Deployment,” DefenseNews.com, June 25, 2010.
16 Andrew C. Revkin, “America’s Heavy Icebreakers Are Both Broken Down,” Dot Earth (New York Times blog), June
25, 2010.
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Healy
Healy (WAGB-20) was procured in the early 1990s as a complement to Polar Star and Polar Sea,
and was commissioned into service on August 21, 2000. The ship was built by Avondale
Industries, a shipyard located near New Orleans, LA, that has built numerous Coast Guard and
Navy ships, and which now forms part of Northrop Grumman Shipbuilding.
Healy is a bit larger than Polar Star and Polar Sea—it is 420 feet long and displaces about 16,200
tons. Compared to Polar Star and Polar Sea, Healy has less icebreaking capability (it is
considered a medium polar icebreaker), but more capability for supporting scientific research.
The ship can break through ice up to 4½ feet thick at a speed of 3 knots, and embark a scientific
research staff of up to 50. The ship is used primarily for supporting scientific research in the
Arctic.
One National Science Foundation Ship
The nation’s fourth polar icebreaker is Nathaniel B. Palmer, which was built for the NSF in 1992
by North American Shipbuilding, of Larose, LA. The ship, called Palmer for short, is owned by
Edison Chouest Offshore (ECO) of Galliano, LA, a firm that owns and operates research ships
and offshore deepwater service ships.17 NSF uses a contractor, Raytheon Polar Services Company
(RPSC), to lease the ship from ECO.18 Palmer is considerably smaller than the Coast Guard’s
three polar icebreakers—it is 308 feet long and has a displacement of about 6,500 tons. It is
operated by a crew of about 22, and can embark a scientific staff of 27 to 37.19
Unlike the Coast Guard’s three polar icebreakers, which are multimission ships, Palmer was
purpose-built as a single-mission ship for conducting and supporting scientific research in the
Antarctic. It has less icebreaking capability than the Coast Guard’s polar icebreakers, being
capable of breaking ice up to 3 feet thick at speeds of 3 knots. This capability is sufficient for
breaking through the more benign ice conditions found in the vicinity of the Antarctic Peninsula,
to resupply Palmer Station, a U.S. research station on the peninsula. Some observers might view
Palmer not so much as an icebreaker as an oceanographic research ship with enough icebreaking
capability for the Antarctic Peninsula. Palmer’s icebreaking capability is not considered sufficient
to perform the McMurdo resupply mission.

17 For more on ECO, see the firm’s website at http://www.chouest.com/.
18 For more on RPSC, see the division’s website at http://rpsc.raytheon.com/
19 Sources vary on the exact number of scientific staff that can be embarked on Palmer. For some basic information on
the ship, see http://www.nsf.gov/od/opp/support/nathpalm.jsp,
http://www.usap.gov/vesselScienceAndOperations/documents/prvnews_june03.pdfprvnews_june03.pdf,
http://nsf.gov/od/opp/antarct/treaty/pdf/plans0607/15plan07.pdf,
http://www.nsf.gov/pubs/1996/nsf9693/fls.htm, and
http://www.hazegray.org/worldnav/usa/nsf.htm.
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Table 1. U.S. Polar Icebreakers

Polar Star
Polar Sea
Healy
Palmer
Operator
USCG USCG USCG NSF
U.S.-Government owned?
Yes Yes Yes Noa
Currently in operational
No
No
Yes Yes
condition?
(caretaker
(in maintenance
status)
status due to
engine problem
starting June
2010 and
extending until
at least January
2011)
Entered service
1976 1978 2000 1992
Length (feet)
399 399 420 308
Displacement (tons)
13,300 13,300 16,200 6,500
Icebreaking capability (ice
6 feet
6 feet
4.5 feet
3 feet
thickness in feet) at 3 knots
Crew (when operational)

134b 134 67 22
Additional scientific staff
20 20 50
27-37
Sources: Prepared by CRS using data from U.S. Coast Guard, National Research Council, National Science
Foundation and (for Palmer) additional online reference sources.
a. Owned by Edison Chouest Offshore (ECO) of Galliano, LA, and leased to NSF through Raytheon Polar
Services Company (RPSC).
b. Currently assigned a caretaker crew of 34.
Table 2. Uses of Coast Guard Polar Icebreakers
(FY2005-FY2007, in mission hours)
Polar Star
Polar Sea
Healy
Mission
FY
FY
FY
FY
FY
FY
FY
FY
FY
area
05
06
07
05
06
07
05
06
07
SAR
31 2
ATON









Ice
Ops
1,809 1,642


2,658 3,563 3,210 2,930
MEP





16



LMR
193
PWCS









DR

121
94
Support
34

1 802 21 256 424 596
Total
2,066
1,642
0 1
802
2,818
3,819
3,634
3,620
Source: U.S. Coast Guard data provided to CRS on June 12 and 20, 2008.
Notes: SAR = search and rescue; ATON = aids to navigation; Ice Ops = ice operations, polar icebreaking and
domestic ice; MEP = marine environmental protection; LMR = living marine resources; PWCS = ports,
waterways, and coastal security; DR = defense readiness; Support = includes operations such as training, public
affairs, cooperation with federal, state, and local agencies.
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The Coast Guard states further that
for CGC [Coast Guard Cutter] HEALY, all of the Polar Operations hours are either transit
to/from the operating area or scientific research. For CGC POLAR SEA/POLAR STAR, all
of the Polar Operations hours are transit to/from the operating area, scientific research or
mobility logistics (icebreaking for re-supply). We estimate 25% transit / 75% scientific
research for HEALY and 50% transit / 10% scientific research / 40% mobility logistics for
POLAR SEA/POLAR STAR.
Summary
In summary, the U.S. polar icebreaking fleet currently includes one ship that that is used primarily
for scientific research in the Arctic (Healy), one ship that is used for scientific research in the
Antarctic (Palmer), and two ships—neither currently in operational status—that can operate in
either polar area and are capable of performing the challenging McMurdo resupply mission
(Polar Star and Polar Sea).
NSF Funding for Icebreaker Operations and Maintenance
Starting in FY2006, costs for operating and maintaining the Coast Guard’s polar icebreakers have
been funded in the NSF’s budget rather than the Coast Guard’s budget. The transfer of polar
icebreaker operation and maintenance funding from the Coast Guard’s budget to the NSF’s
budget was requested by the Administration as part of its FY2006 budget submission, and
approved by Congress as part of its action on the FY2006 Coast Guard and NSF budgets. The
transfer was made in view of the fact that a large portion of the Coast Guard’s polar icebreaking
operations are conducted in support of NSF research activities. The funding arrangement was
covered by a 2005 memorandum of agreement (MOA) between the Coast Guard and NSF.
Some observers questioned whether it is appropriate for the operation and maintenance of Coast
Guard polar icebreakers to be funded through the NSF budget. The 2007 NRC report, for
example, states that the arrangement “has increased management difficulties by spreading
management decisions related to the polar icebreakers across two agencies”; that “[t]he NSF is
now fiscally responsible, and making decisions, for missions outside its core mission and
expertise”; and that “the U.S. Coast Guard has been put in a situation in which it has the role of
operating a ship for which it does not have full budget and management control.”20 The issue was
discussed at the July 16, 2008, hearing on Coast Guard icebreaker needs.
The FY2010 Consolidated Appropriations Act (H.R. 3288/P.L. 111-117 of December 16, 2009)
states, in the paragraph that appropriates funds for NSF research and related activities, that the
funds are made available provided, among other things, “that from funds specified in the fiscal
year 2010 budget request for icebreaking services, $54,000,000 shall be transferred to the U.S.
Coast Guard ‘Operating Expenses’ within 60 days of enactment of this Act.” The conference
report on H.R. 3288 (H.Rept. 111-366 of December 8, 2009) states:
The conference agreement transfers $54,000,000 from NSF to the United States Coast Guard
(USCG) for icebreaking services to cover all anticipated operation and maintenance costs for

20 National Research Council, Polar Icebreakers in a Changing World, An Assessment of U.S. Needs, Washington,
2007, p.101.
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fiscal year 2010. The conferees expect that in future years all operation and maintenance
budget authority for these USCG icebreakers will be requested by the Department of
Homeland Security. (Page 766)
For additional discussion of this issue, see Appendix B.
2007 National Research Council Report
The most recent major study relating to Coast Guard polar icebreakers is the 2007 National
Research Council (NRC) report, Polar Icebreakers in a Changing World: An Assessment of U.S.
Needs
, which assessed roles and future needs for Coast Guard polar icebreakers.21 The NRC is a
part of the National Academies. The study was completed in 2006 and published in 2007. Some
sources refer to the study as the 2006 NRC report. A hearing on the report was held by the Coast
Guard and Maritime Transportation subcommittee of the House Transportation and Infrastructure
Committee on September 26, 2006.
Origin of Study
The study was required by report language accompanying the FY2005 DHS appropriations act
(H.R. 4567/P.L. 108-334).22
Conclusions and Recommendations
The NRC report made the following conclusions and recommendations:
The [study] committee finds that both operations and maintenance of the polar icebreaker
fleet have been underfunded for many years, and the capabilities of the nation’s icebreaking
fleet have diminished substantially. Deferred long-term maintenance and failure to execute a

21 National Research Council, Polar Icebreakers in a Changing World, An Assessment of U.S. Needs, Washington,
2007, 122 pp.
22 H.R. 4567/P.L. 108-334 of October 18, 2004. The related Senate bill was S. 2537. The Senate report on S. 2537
(S.Rept. 108-280 of June 17, 2004) stated:
The Committee expects the Commandant to enter into an arrangement with the National Academy
of Sciences to conduct a comprehensive study of the role of Coast Guard icebreakers in supporting
United States operations in the Antarctic and the Arctic. The study should include different
scenarios for continuing those operations including service life extension or replacement of existing
Coast Guard icebreakers and alternative methods that do not use Coast Guard icebreakers. The
study should also address changes in the roles and missions of Coast Guard icebreakers in support
of future marine operations in the Arctic that may develop due to environmental change, including
the amount and kind of icebreaking support that may be required in the future to support marine
operations in the Northern Sea Route and the Northwest Passage; the suitability of the Polar Class
icebreakers for these new roles; and appropriate changes in existing laws governing Coast Guard
icebreaking operations and the potential for new operating regimes. The study should be submitted
to the Committee no later than September 30, 2005.
The conference report on H.R. 4567 (H.Rept. 108-774 of October 9, 2004) stated:
As discussed in the Senate report and the Coast Guard authorization bill for fiscal year 2005, the
conferees require the National Academy of Sciences to study the role of Coast Guard icebreakers.
The earlier House report on H.R. 4567 (H.Rept. 108-541 of June 15, 2004) contained language directing a similar
report from the Coast Guard rather than the National Academies. (See the passage in the House report under the header
“Icebreaking.”)
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plan for replacement or refurbishment of the nation’s icebreaking ships have placed national
interests in the polar regions at risk. The nation needs the capability to operate in both polar
regions reliably and at will. Specifically, the committee recommends the following:
• The United States should continue to project an active and influential presence in the
Arctic to support its interests. This requires U.S. government polar icebreaking
capability to ensure year-round access throughout the region.
• The United States should continue to project an active and influential presence in the
Antarctic to support its interests. The nation should reliably control sufficient
icebreaking capability to break a channel into and ensure the maritime resupply of
McMurdo Station.
• The United States should maintain leadership in polar research. This requires
icebreaking capability to provide access to the deep Arctic and the ice-covered waters of
the Antarctic.
• National interests in the polar regions require that the United States immediately
program, budget, design, and construct two new polar icebreakers to be operated by the
U.S. Coast Guard.
• To provide continuity of U.S. icebreaking capabilities, the POLAR SEA should remain
mission capable and the POLAR STAR should remain available for reactivation until
the new polar icebreakers enter service.
• The U.S. Coast Guard should be provided sufficient operations and maintenance budget
to support an increased, regular, and influential presence in the Arctic. Other agencies
should reimburse incremental costs associated with directed mission tasking.
• Polar icebreakers are essential instruments of U.S. national policy in the changing polar
regions. To ensure adequate national icebreaking capability into the future, a
Presidential Decision Directive should be issued to clearly align agency responsibilities
and budgetary authorities.23
Coast Guard Perspective on the Study
The Coast Guard stated in 2008 that it “generally supports” the NRC report, and that the Coast
Guard “is working closely with interagency partners to determine a way forward with national
polar policy that identifies broad U.S. interests and priorities in the Arctic and Antarctic that will
ensure adequate maritime presence to further these interests. Identification and prioritization of
U.S. national interests in these regions should drive development of associated USCG [U.S. Coast
Guard] capability and resource requirements.” The Coast Guard also stated: “Until those broad
U.S. interests and priorities are identified, the current USG [U.S. Government] polar icebreaking
fleet should be maintained in an operational status.”24

23 National Research Council, Polar Icebreakers in a Changing World, An Assessment of U.S. Needs, Washington,
2007, pp. 2-3.
24 Coast Guard point paper provided to CRS on February 12, 2008, and dated with the same date, providing answers to
questions from CRS concerning polar icebreaker modernization.
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Cost Estimates for Certain Modernization Options
The Coast Guard in February 2008 provided CRS with cost estimates for four potential options
for modernizing the Coast Guard’s polar icebreaker fleet.25 The options are summarized below.
Congress in FY2009 and FY2010 provided funding to implement the third option—repairing and
reactivating Polar Star for 7 to 10 years. Funding this option mooted the fourth option
reactivating Polar Star for a single deployment.
New Replacement Ships
The Coast Guard estimated in February 2008 that new replacement ships for the Polar Star and
Polar Sea might cost between $800 million and $925 million per ship in 2008 dollars to procure.
The Coast Guard said that this estimate
is based on a ship with integrated electric drive, three propellers, and a combined diesel and
gas (electric) propulsion plant. The icebreaking capability would be equivalent to the
POLAR Class Icebreakers [i.e., Polar Star and Polar Sea] and research facilities and
accommodations equivalent to HEALY. This cost includes all shipyard and government
project costs. Total time to procure a new icebreaker [including mission analysis, studies,
design, contract award, and construction] is eight to ten years.26
The Coast Guard further stated that this notional new ship would be designed for a 30-year
service life. Following a decision to design and build one or more new polar icebreakers, the first
replacement polar icebreaker might enter service in 8 to 10 years, by which time Polar Star and
Polar Sea could be more than 40 years old.
25-Year Service Life Extensions
One alternative to procuring new replacement ships would be to extend the service lives of Polar
Star
and Polar Sea. The Coast Guard stated in February 2008 that performing the extensive
maintenance, repair, and modernization work needed to extend the service lives of the two ships
by 25 years might cost roughly $400 million per ship. This figure, the Coast Guard said, is based
on assessments made by independent contractors for the Coast Guard in 2004. The service life
extension work, the Coast Guard said, would improve the two icebreakers’ installed systems in
certain areas. Although the work would be intended to permit the ships to operate for another 25
years, it would not return the cutters to new condition.
An August 30, 2010, press report stated that the Commandant of the Coast Guard, Admiral Robert
Papp, estimated the cost of extending the lives of Polar Star and Polar Sea at about $500 million
per ship; the article quoted Papp as stating that Polar Star and Polar Sea “were built to take a

25 Source for information and quotations in this section: Coast Guard point paper provided to CRS on February 12,
2008, op cit.
26 The Coast Guard states further that the estimate is based on the procurement cost of the Mackinaw (WAGB-30), a
Great Lakes icebreaker that was procured a few years ago and commissioned into service with the Coast Guard in June
2006. The Mackinaw is 240 feet long, displaces 3,500 tons, and can break ice up to 2 feet, 8 inches thick at speeds of 3
knots, which is suitable for Great Lakes icebreaking. The Coast Guard says it scaled up the procurement cost for the
Mackinaw in proportion to its size compared to that of a polar icebreaker, and then adjusted the resulting figure to
account for the above-described capabilities of the notional replacement ship and recent construction costs at U.S. Gulf
Coast shipyards.
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beating. They were built with very thick special steel, so you might be able to do a renovation on
them and keep going…. I think there are certain types of steel that, if properly maintained, they
can go on for an awful long time. What the limit is, I’m not sure.”27
Reactivate Polar Star for 7 to 10 Years
The Coast Guard estimated in February 2008 that it would cost $56.6 million to perform the
maintenance and repair work needed to reactivate Polar Star and extend its service life by 7 to 10
years, which is the approximate amount of time that would transpire under the Coast Guard’s plan
before a new replacement ship enters service. On July 16, 2008, the Coast Guard similarly
testified that the cost of extending the ship’s service life by 7 to 10 years would be “into the $60
million range.”28 The work would include system upgrades that have been installed in recent
years on the Polar Sea but not the Polar Star. An additional cost would be incurred to create and
train a full 134-person crew for the ship.
Congress in FY2009 and FY2010 provided funding to repair Polar Star and return it to service
for 7 to 10 years; the Coast Guard expects the reactivation project to be completed in FY2012.29
Reactivate Polar Star for a Single Deployment
The Coast Guard estimated in February 2008 that it would cost $8.2 million to perform the
maintenance and repair work needed to reactivate the Polar Star and make it ready for a single
Deep Freeze deployment, meaning a deployment to Antarctica, such as the McMurdo resupply
mission. On July 16, 2008, the Coast Guard provided a slightly different figure, testifying that the
work would cost $8.6 million.30 The work, the Coast Guard says, would require between 12
months and 18 months to perform. Roughly half of the cost, the Coast Guard says, would be to
rebuild the ship’s worn-out electric motors. As with the previous option, an additional cost would
be incurred to create and train a full 134-person crew for the ship.
This option was mooted by Congress’s decision to fund the previous option of repairing and
reactivating Polar Star for 7 to 10 years.
U.S. Shipbuilding Industrial Base
The status of the U.S. shipbuilding industrial base, particularly the part that builds military ships
for the U.S. government, has been a concern in Congress and elsewhere since the early 1990s,
following the end of the cold war, when the rate of Navy shipbuilding declined substantially.

27 Cid Standifer, “Papp: Refurbished Icebreaker Hulls Could Last ‘An Awful Long Time,’” Inside the Navy, August 30,
2010. Ellipsis as in original.
28 Transcript of spoken remarks of Admiral Thad Allen at July 16, 2008, hearing on Coast Guard icebreaking needs
before the Coast Guard and Maritime transportation subcommittee of the House Transportation and Infrastructure
Committee.
29 Department of Homeland Security, Congressional Budget Justification FY 2011, p. USCG-9 (pdf page 2176 of
3985).
30 Transcript of spoken remarks of Admiral Thad Allen at July 16, 2008, hearing on Coast Guard icebreaking needs
before the Coast Guard and Maritime transportation subcommittee of the House Transportation and Infrastructure
Committee.
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Concern has focused on, among other things, whether the total amount of work being received by
shipyards is sufficient to maintain their financial health and to preserve key design and
construction skills. Other things held equal, construction of one or more new polar icebreakers for
the Coast Guard could increase workloads at the yard or yards involved in their construction for a
period of a few or several years.
Issues for Congress
The issue of Coast Guard polar icebreaker modernization presents several potential issues for
Congress, including but not necessarily limited to those discussed below.
Impact of Polar Sea Not Being Operational
One potential issue for Congress concerns the impact of Polar Sea not being in operational status.
With Polar Sea likely to be unavailable for operation until at least January 2011 (see “Polar Star
and Polar Sea” in “Background”), the United States, which has various interests in the polar
regions, currently has no operational heavy polar icebreakers. Potential oversight questions for
Congress include the following:
• Did the removal of Polar Star from operational status in 2006 result in heavier
use of Polar Sea, and if so, did this heavier use make Polar Sea’s engine casualty
more likely?
• Did the rehabilitation project on Polar Sea that was completed in 2006 and which
extended the ship’s estimated service life to 2014 include work on the ship’s
engines? Why did the ship experience an engine casualty reportedly involving
excessive wear on engine cylinder assemblies four years after the completion of
the rehabilitation project?
• How much will it cost to repair Polar Sea’s engines and return the ship to
operational status?
• What impact will Polar Sea’s unavailability for operation have on the
performance of U.S. polar missions? What missions was the ship scheduled to
perform during its intended fall 2010 Arctic patrol, and what are the options for
using other icebreakers (including possibly Healy) to perform these missions? If
Polar Sea is not available for Operation Deep Freeze (the annual mission to
break through the Antarctic ice so as to resupply McMurdo Station), what are the
options for using non-U.S. polar icebreakers to perform the mission?
• Once Polar Sea and Polar Star are returned to operational status, how likely is it,
particularly given the ships’ ages, that they will at some point experience further
mechanical problems that will require them to be suddenly removed from service
for extended periods of time?
A July 12, 2010, press report states that with neither Polar Sea and Polar Star in operational
status, the Coast Guard may seek assistance from polar icebreakers operated by other countries:
“There are a number of our allies that have that [polar icebreaking] capability,” [Dana]
Goward [director of Coast Guard Office of Assessment, Integration and Risk Management],
said. “They’re not necessarily positioned optimally for support of U.S. missions in our
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waters, but if push comes to shove we’re sure that we can make arrangements with our allies
to support the nation’s interests while we get the Polar Sea back in operation. We have very
strong relationships with other coast guards and other navies, and at the moment I don’t see
that we would have much choice.”
The press report states that Healy may be shifted between missions, but that the ship “will not
likely spend more days than usual at sea.”31
Length of Time Coast Guard Has Been Studying the Issue
Another potential issue for Congress concerns the length of time that the Coast Guard has been
studying the issue of requirements and acquisition options for polar icebreakers. As mentioned
earlier, the Coast Guard has stated since 2008 that is studying how may polar icebreakers, with
what capabilities, should be procured as replacements for Polar Star and Polar Sea. The Coast
Guard stated in February 2008 that it
is awaiting the identification and prioritization of U.S. national policy in the Polar Regions in
order to identify and develop the appropriate capability. In the meantime, the CG is
proceeding with pre-acquisition activities, starting with project identification, to assess
current capability gaps in Coast Guard mission performance in the high latitudes regions.32
In connection with the above statement, it can be noted that a document establishing U.S. national
policy in the Arctic—National Security Presidential Directive 66/Homeland Security Presidential
Directive 25 (NSPD 66/HSPD 25)—was issued by the George W. Bush Administration on
January 12, 2009.33
A March 24, 2008, press report stated that
[Coast Guard] Commanders in Alaska plan to conduct an unprecedented expedition to the
Arctic this summer, including a trip already underway by the Healy, to get a clear sense of
their capabilities and problems operating above the Bering Strait. When that survey is
finished, probably by August [2008], [then-Coast Guard Commandant Admiral Thad] Allen
and the commander of District 17, Rear Adm. Arthur “Gene” Brooks, will be able to make
their case to Congress for funding and new gear, Allen said.34
On July 16, 2008, the Commandant of the Coast Guard at that time, Admiral Thad Allen, testified
that
Today, our nation is at a crossroads with Coast Guard domestic and international icebreaking
capabilities. We have important decisions to make. And I believe we must address our
icebreaking needs now, to ensure we will continue to prosper in the years and decades to

31 Cid Standifer, “Coast Guard Looks To Fill Icebreakers Capability Gap With Polar Sea Out,” Inside the Navy, July
12, 2010.
32 Coast Guard point paper provided to CRS on February 12, 2008, op cit.
33 For more on NSPD 66/HSPD 25, see CRS Report R41153, Changes in the Arctic: Background and Issues for
Congress
, coordinated by Ronald O'Rourke.
34 Philip Ewing, “CG Steps Up Bid to Rescue Icebreaker Funding,” Navy Times, March 24, 2008.
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come, whether on the Great Lakes, the critical waterways of the East Coast or the harsh
operating environments of the polar region.35
An August 17, 2008, press report quoted Admiral Allen as stating that, in light of the time
required to build a new polar icebreaker, “I think we’re at a crisis point on making a decision.”36
Almost two years later—on May 10, 2010—a press report quoted him as stating, “We need to be
able to project U.S. sovereignty up there [i.e., the Arctic] and do the missions that we need to do.
We need to have a serious discussion about icebreakers. It has not concluded. It’s not even started,
and you can see me be a little more vocal on that on the 26th of May [2010] because my change of
command [i.e., the end of his term in office as Commandant of the Coast Guard] is the 25th of
May.”37
An August 30, 2010, press report states that the current Commandant of the Coast Guard, Admiral
Robert Papp,
has not yet discussed the matter [of polar icebreakers] with Department of Homeland
Security Secretary Janet Napolitano because he has been focused on dealing with the
Deepwater Horizon oil spill since he took the helm of the Coast Guard in May.
“I will have to make the case with my secretary on what I think the best way ahead [for
icebreakers] is,” he said. “I’ve got my staff looking at those options and what we might do,
and then once we discern what the best way ahead is, then we’re going to have to sell that to
the administration and hopefully get the funding from Congress.”38
A September 2010 Government Accountability Office (GAO) report on the Coast Guard’s efforts
to identify Arctic requirements in general stated:
The Coast Guard has taken specific action to identify Arctic requirements and gaps while
also collecting relevant information from routine operations. The High Latitude Study is the
centerpiece of the agency’s efforts to determine its Arctic requirements. The Coast Guard has
also established temporary operating locations in the Arctic and conducted biweekly Arctic
overflights to obtain more information on the Arctic operating environment. In addition,
information gathered during the Coast Guard’s routine missions––ice breaking, search and
rescue, and others––also informs requirements. The agency’s preliminary efforts to identify
its Arctic requirements generally align with key practices for agencies defining missions and
desired outcomes.

35 Transcript of spoken remarks of Admiral Allen at July 16, 2008, hearing on Coast Guard icebreaking needs before
the Coast Guard and Maritime transportation subcommittee of the House Transportation and Infrastructure Committee.
36 Andrew C. Revkin, “A Push To Increase Icebreakers In The Arctic,” New York Times, August 17, 2008.
37 Cid Standifer, Dan Taylor and Zachary M. Peterson, “Notes From The Navy League’s Sea-Air-Space Conference
And Exhibition, May 3-5, 2010, National Harbor, MD,” Inside the Navy, May 10, 2010. On May 1, 2010, Janet
Napolitano, Secretary of the Department of Homeland Security, announced that Allen would serve as the National
Incident Commander for the Administration’s response to the Deepwater Horizon oil spill in the Gulf of Mexico. Allen
stepped down as Commandant on May 25, 2010, and retired from active duty service in the Coast Guard on June 30,
2010, but continued as a civilian in his role as the National Incident Commander for the oil spill. A September 27,
2010, press report states that Allen would step down as National Incident Commander on September 30, 2010. (Rick
Jervis, “BP Spill Shapes Allen’s Legacy,” Navy Times.com, September 27, 2010.
38 Cid Standifer, “Papp: Refurbished Icebreaker Julls Could Last ‘An Awful Long Time,’” Inside the Navy, August 30,
2010.
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The Coast Guard faces Arctic challenges including limited information, minimal assets and
infrastructure, personnel issues, and difficult planning and funding decisions, but is taking
initial steps to address these challenges. Specifically, the Coast Guard does not currently
have Arctic maritime domain awareness––a full understanding of variables that could affect
the security, safety, economy, or environment in the Arctic––but is acquiring additional
Arctic vessel tracking data, among other things, to address this issue. In addition, the Coast
Guard’s Arctic assets and infrastructure are limited and not suitable for the harsh
environment, but the agency is testing equipment and using alternative options to mitigate
gaps. Finally, the Coast Guard faces uncertainty over the timing of predicted environmental
changes in the Arctic, as well as over future funding streams. To address these challenges the
Coast Guard obtains scientific data on Arctic climate change and is studying its Arctic
resource requirements to support potential future funding needs.39
The report also stated:
The Coast Guard has multiple efforts underway to better understand the agency’s future
requirements and gaps in both the Arctic and Antarctic with its primary effort being the High
Latitude Study, an effort undertaken in response to congressional direction. In August 2009,
the Coast Guard contracted out the development of the High Latitude Study with the goal of
producing three related mission analyses related to (1) Polar icebreaking needs, (2) all 11
Coast Guard missions in the Arctic region, and (3) all 11 Coast Guard missions in the
Antarctic region. In carrying out the study, contractors have conducted literature reviews,
held workshops to obtain Coast Guard stakeholder input, and conducted site visits and
interviews with Coast Guard units in Alaska as well as with other stakeholders, including
private sector, federal, state, local, Alaska Native, and international interest groups. Coast
Guard officials estimate the study’s cost at $1.7 million and that all three volumes will be
ready for Coast Guard internal review in summer 2010; however, they won’t be released
publicly until a later date.
The Arctic mission analysis piece of the High Latitude Study is expected to include
• an analysis of the functional requirements to carry out the Coast Guard’s existing
missions in the Arctic,
• an analysis of how the Coast Guard might close any operational gaps,
• solutions for a range of future demand scenarios such as a mass search and rescue
incident or an Arctic oil spill (including looking at partnerships and opportunities to
leverage resources), and
• a rough order of magnitude cost estimate.
According to Coast Guard officials, the High Latitude Study is not expected to detail specific
recommended solutions or assets, but rather identify the types of capabilities needed in the
Arctic. In addition, while not Arctic-specific, DHS and the Coast Guard have begun a
comprehensive Fleet Mix Analysis—an analysis of the capabilities, number, and mix of
assets it needs to fulfill the agency’s missions. According to Coast Guard officials, this
analysis is due to be completed in December 2010 and is expected to include more specific

39 Government Accountability Office, Coast Guard[:]Efforts to Identify Arctic Requirements Are Ongoing, but More
Communication about Agency Planning Efforts Would Be Beneficial
, GAO-10-870, September 2010, summary page.
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fleet requirements for surface operations in the Bering Sea region of the Arctic but not above
the Arctic Circle.40
Potential oversight questions for Congress include the following:
• Why has the Coast Guard taken so long to identify requirements and assess
acquisition options for polar icebreakers?
• In light of the publication in January 2009 of NSPD 66/HSPD 25 establishing
U.S. policy in the Arctic, what additional national policy statements regarding
U.S. policy in the polar regions, if any, does the Coast Guard need to complete its
study of requirements and options for polar icebreakers?
• When does the Coast Guard plan to announce its preferences regarding required
numbers and capabilities for polar icebreakers, and its preferred acquisition
option for achieving and maintaining a polar icebreaker fleet with those numbers
and capabilities?
• Has the Coast Guard been putting off announcing a plan for modernizing the
polar icebreaker fleet in part because it cannot identify the budget resources that
would be needed to implement the plan?
Number and Capabilities of Future Polar Icebreakers
Another potential issue for Congress concerns one of the questions the Coast Guard has been
studying since 2008, namely, how many polar icebreakers, with what capabilities, the Coast
Guard will need in the future. Specific questions within this issue include the following:
• Will the Coast Guard need two polar icebreakers (the number it currently had in
operational condition prior to the engine problems on Polar Sea), three polar
icebreakers (the number it currently has in inventory), or some higher number?
• Should new icebreakers be designed to cut through ice up to 6 feet thick, like
Polar Star and Polar Sea, or less than 6 feet thick (like Healy and many foreign
icebreakers), or more than 6 feet thick (like certain Russian icebreakers)?41
• Should new icebreakers be designed with the scientific research capabilities less
than, greater than, or about equal to those of Healy?
In assessing this issue, factors that Congress may consider include, but are not limited to, the
following:

40 Government Accountability Office, Coast Guard[:]Efforts to Identify Arctic Requirements Are Ongoing, but More
Communication about Agency Planning Efforts Would Be Beneficial
, GAO-10-870, September 2010, pp. 24-26.
41 A recently completed Russian nuclear-powered icebreaker called 50 Let Pobedy that is 524 feet long and displaces
about 25,000 tons is reportedly capable of breaking through ice up to 2.8 meters (about 9.2 feet) thick, though not
necessarily at a speed of 3 knots. Somewhat smaller nuclear-powered Russian icebreakers of the Arktika class, such as
Yamal, reportedly can break through ice up to 2.3 meters (about 7.5 feet) thick at a speed of 3 knots. Yamal displaces
about 23,500 tons. See, http://sr.se/cgi-bin/euroarctic/amnessida.asp?programID=2460&Nyheter=0&grupp=2604&
artikel=1219680, http://en.rian.ru/russia/20070131/59989100.html, and http://www.coolantarctica.com/
Antarctica%20fact%20file/ships/Yamal_ice_breaker.htm.
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• current and projected mission demands for Coast Guard polar icebreakers,
including an assessment of how those demands might be affected in coming
years by changing ice conditions and by future NSF decisions on how to acquire
icebreaking services to support its research activities;
• the potential for various mission demands (not just those conducted in support of
NSF research activities) to be met by non-Coast Guard icebreakers, including
leases or charters of icebreakers owned by foreign governments or private firms;
and
• the Coast Guard’s overall missions-vs.-resources situation, which includes the
Coast Guard’s requirements to perform many non-polar missions and the Coast
Guard’s desire to fund programs, such as Deepwater acquisition programs, for
performing these non-polar missions.42
Regarding the first factor above, the NSF states that although Coast Guard polar icebreakers are
very capable, the NSF is mandated by presidential directive to perform its research activities in
the most cost-effective way possible, and that it can be more expensive for NSF to support its
research activities with Coast Guard polar icebreakers than with charters of icebreakers crewed
by contractor personnel. Although Coast Guard polar icebreakers in the past have performed the
annual McMurdo break-in mission, the NSF in recent years has chartered Russian and Swedish
contractor-operated icebreakers to perform the mission (with a Coast Guard polar icebreaker
standing ready to assist if needed). The NSF has also noted that Healy, though very capable in
supporting Arctic research, operates at sea for about 200 days a year, as opposed to about 300
days a year for foreign contractor-operated polar icebreakers. For additional discussion of the
issue, see Appendix C.
Regarding the second factor above, issues to consider would include, among other things, the
potential availability of ships for lease, leasing costs, regulatory issues relating to long-term
leases of capital assets for the U.S. government, and the ability of leased ships to perform the
missions in question, including the mission of defending U.S. sovereignty in Arctic waters north
of Alaska, the challenging McMurdo resupply mission, or missions that emerge suddenly in
response to unexpected events.43
Regarding the first two factors above, some observers note the size of the polar icebreaking fleets
operated by other countries. Countries with interests in the polar regions have differing
requirements for polar icebreakers, depending on the nature and extent of their polar activities.
According to one source, as of January 2009, Russia had a fleet of 25 polar icebreakers (including
six active heavy icebreakers, two heavy icebreakers in caretaker status, 15 other icebreakers, and
two additional icebreakers leased from the Netherlands); Finland and Sweden each had seven
polar icebreakers; and Canada had six.44

42 For more on Deepwater acquisition programs, see CRS Report RL33753, Coast Guard Deepwater Acquisition
Programs: Background, Oversight Issues, and Options for Congress
, by Ronald O’Rourke.
43 The potential for using leased ships, and the possible limitations of this option, are discussed at several points in the
2007 NRC report. The report argues, among other things, that the availability of icebreakers for lease in coming years
is open to question, that leased ships are not optimal for performing sovereignty-related operations, and that some
foreign icebreakers might be capable of performing the McMurdo resupply mission. See, for example, pages 80-81 of
the NRC report.
44 Slide entitled “Icebreaker Force Laydown,” in “The Accessible Arctic, A Quick Overview,” a presentation given at a
seminar entitled “The Changing Strategic Landscape for Sea-Based Missile Defense,” Center for Technology and
(continued...)
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Advocates of a Coast Guard polar icebreaker fleet that included two ships—that is, Healy and one
other ship—might argue that the Coast Guard has been able to operate with such a force since the
Polar Star went into caretaker status on July 1, 2006, and that a force with Healy and one other
ship would cost less than a larger icebreaker fleet and thereby permit the Coast Guard to better
fund programs for performing its various non-polar missions.
Advocates of a Coast Guard fleet that included three ships—Healy and two other icebreakers—
might argue that the current force of Healy and one other operational ship has made it more
difficult for the Coast Guard to perform the McMurdo resupply mission using its own assets, that
a force that included Healy and two other ships would provide the Coast Guard with more
flexibility for responding to contingencies or dealing with mechanical problems on one of the
icebreakers, and that it would still be sufficiently affordable to permit the Coast Guard to
adequately fund programs for performing non-polar missions.
Advocates of a Coast Guard fleet that included Healy and three or more other icebreakers might
argue that such a fleet would provide additional capability for responding to potentially increased
commercial and military activities in the Arctic, and more strongly signal U.S. commitment to
defending its sovereignty and other interests in the region. They might argue that although this
option would be more expensive than a smaller fleet, the added investment would be justified in
light of the growing focus on U.S. polar interests.
In July 2009 testimony to Congress, Admiral Thad Allen, the Commandant of the Coast Guard,
stated that a fleet of six polar icebreakers would be needed to meet a goal of having one
icebreaker continuously available in both the Arctic and Antarctic.45
The 2007 NRC report provided one perspective on the issue of required numbers and capabilities
for U.S. polar icebreakers, stating:
Based on the current and future needs for icebreaking capabilities, the [study] committee
concludes that the nation continues to require a polar icebreaking fleet that includes a
minimum of three multimission ships [like the Coast Guard’s three current polar icebreakers]
and one single-mission [research] ship [like Palmer]. The committee finds that although the
demand for icebreaking capability is predicted to increase, a fleet of three multimission and
one single-mission icebreakers can meet the nation’s future polar icebreaking needs through
the application of the latest technology, creative crewing models, wise management of ice
conditions, and more efficient use of the icebreaker fleet and other assets. The nation should
immediately begin to program, design, and construct two new polar icebreakers to replace
the POLAR STAR and POLAR SEA.
Building only one new polar icebreaker is insufficient for several reasons. First, a single ship
cannot be in more than one location at a time. No matter how technologically advanced or
efficiently operated, a single polar icebreaker can operate in the polar regions for only a

(...continued)
National Security, National Defense University, Fort Lesley J. McNair, Washington, DC, December 2-3, 2009. The
slide defined a heavy icebreaker as one with a propulsion plant rated at more than 45,000 break horsepower (BHP).
Under this definition, the United States has three heavy icebreakers, including one active heavy icebreaker (Polar Sea),
one heavy icebreaker in caretaker status (Polar Star), and one additional icebreaker (Healy). Russia’s heavy
icebreakers are nuclear powered.
45 For a news report summarizing Allen’s testimony, see Rebekah Gordon, “Allen: Six Polar Icebreakers Ideal for
Maximum Arctic Presence,” Inside the Navy, July 20, 2009.
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portion of any year. An icebreaker requires regular maintenance and technical support from
shipyards and industrial facilities, must reprovision regularly, and has to effect periodic crew
changeouts. A single icebreaker, therefore, could not meet any reasonable standard of active
and influential presence and reliable, at-will access throughout the polar regions.
A second consideration is the potential risk of failure in the harsh conditions of polar
operations. Despite their intrinsic robustness, damage and system failure are always a risk
and the U.S. fleet must have enough depth to provide backup assistance. Having only a
single icebreaker would necessarily require the ship to accept a more conservative operating
profile, avoiding more challenging ice conditions because reliable assistance would not be
available. A second capable icebreaker, either operating elsewhere or in homeport, would
provide ensured backup assistance and allow for more robust operations by the other ship.
From a strategic, longer-term perspective, two new Polar class icebreakers will far better
position the nation for the increasing challenges emerging in both polar regions. A second
new ship would allow the U.S. Coast Guard to reestablish an active patrol presence in U.S.
waters north of Alaska to meet statutory responsibilities that will inevitably derive from
increased human activity, economic development, and environmental change. It would allow
response to emergencies such as search-and-rescue cases, pollution incidents, and assistance
to ships threatened with grounding or damage by ice. Moreover, a second new ship will
leverage the possibilities for simultaneous operations in widely disparate geographic areas
(e.g., concurrent operations in the Arctic and Antarctic), provide more flexibility for
conducting Antarctic logistics (as either the primary or the secondary ship for the McMurdo
break-in), allow safer multiple-ship operations in the most demanding ice conditions, and
increase opportunities for international expeditions. Finally, an up-front decision to build two
new polar icebreakers will allow economies in the design and construction process and
provide a predictable cost reduction for the second ship.46
As mentioned earlier, the Coast Guard, while generally agreeing with the NRC report, is currently
studying requirements for future polar icebreakers. It is possible that the Coast Guard’s eventual
position on required numbers and capabilities of Coast Guard polar icebreakers will differ in
some respects from those of the NRC report. It is also possible that third parties might come to
positions that differ from those of both the NRC report and the Coast Guard.
New Construction vs. Modernization
Another potential issue for Congress is whether requirements for polar icebreakers over the next
25 to 30 years should be met by building new ships, by extending the service lives of the Polar
Star
and Polar Sea, or by pursuing some combination of these options. In assessing this question,
factors to consider include the relative costs of these options, the capabilities that each option
would provide, the long-term supportability of older ships whose service lives have been
extended, and industrial-base impacts.
Regarding relative costs, as discussed in the “Background” section, the Coast Guard estimates
that new icebreakers with a 30-year design life might cost $800 million to $925 million per ship,
while a 25-year service life extension of Polar Star and Polar Sea might cost about $400 million
per ship. (As mentioned earlier, an August 30, 2010, press report stated that the Commandant of
the Coast Guard, Admiral Robert Papp, estimated the cost of extending the lives of Polar Star and

46 National Research Council, Polar Icebreakers in a Changing World, An Assessment of U.S. Needs, Washington,
2007, p. 2.
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Polar Sea at about $500 million per ship.47) These estimates, however, should be compared with
caution: the estimate for building new ships depends in part on the capabilities that were assumed
for those ships, and estimates for service-life extension work can be very uncertain due to the
potential for discovering new things about a ship’s condition once the ship is opened up for
service-life-extension work.
Regarding capabilities provided by each option, the new-construction option would provide
entirely new ships with extensive use of new technology, while the service-life-extension option
would provide ships that, although modernized and reconditioned, would not be entirely new and
would likely make less extensive use of new technologies. Among other things, new-construction
ships might be able to make more extensive use of new technologies for reducing crew size,
which is a significant factor in a ship’s life cycle operating and support costs.
Regarding long-term supportability of older ships, the Coast Guard has expressed concern about
the ability to support ships whose service lives have been extended after FY2014, because some
contracts that currently provide that support are scheduled to end that year.48
Regarding potential impact on the industrial base, 25-year service life extensions would likely
provide shipyards and supplier firms with less work, and also exercise a smaller set of shipyard
construction skills, than would building new ships.
Acceleration of Current Schedule
Another potential issue for Congress, if it is determined that one or more new ships should be
built, is whether to accelerate the Coast Guard’s current schedule for building those ships. One
option for accelerating the schedule would be to shorten the current phase for studying the
requirements for the new ships and move directly to procurement of the first new ship. Another
acceleration option, if the Coast Guard contemplates procuring two or more replacement ships,
would be to fund a second ship (and any subsequent ships) sooner than the Coast Guard might
propose. Both of these options could be combined. In the case of a two-ship procurement, for
example, one highly accelerated profile would be to procure both ships as part of the FY2011
budget, rather than the first ship in a year after FY2011, and the second ship one or more years
after that.
Advocates of accelerated procurement might argue the following:
• It could reduce the total cost over the next several years of operating the Polar
Sea and maintaining the Polar Star in caretaker status by reducing the number of
years that those costs would be incurred before the replacement ships enter
service.
• Shortening the period for studying requirements for new icebreakers would be
acceptable because these requirements are already well understood due to
extensive past operational experience, an understanding of current mission

47 Cid Standifer, “Papp: Refurbished Icebreaker Hulls Could Last ‘An Awful Long Time,’” Inside the Navy, August 30,
2010. Ellipsis as in original.
48 CRS discussion with Coast Guard officials, January 30, 2008.
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demands, and studies on current and potential future demands such as the 2007
NRC report.
• Any remaining uncertainties about required capabilities, such as, perhaps, the
extent of the new ships’ scientific research facilities, could be addressed in an
accelerated program by reserving space and weight in the design for
accommodating such facilities.
• Accelerating the procurement of the second ship and any subsequent ships could
reduce the total procurement cost of the ships by allowing contractors to achieve
better economies of scale in terms of things like ordering materials,
manufacturing components, and achieving optimal learning-curve benefits in
moving from one ship to the next.
Opponents of this option might argue the following:
• The cost over the next several years for operating Polar Sea and (starting in
2013) Polar Star is relatively modest, so shortening the period during which
these costs are incurred by a year or two will consequently produce only modest
savings. These modest savings are not worth the risk that a shortened period for
studying new requirements might overlook important issues or considerations
that, if left unaddressed, could lead to the construction of new icebreakers that
are less operationally effective or cost-effective than they could be.
• Although past operational experience, an understanding of current mission
demands, and previous studies can inform an understanding of future mission
requirements, that understanding might not be complete, particularly given
changing conditions in the polar regions, future NSF decisions on how to acquire
icebreaking services to support its research activities, and the need to take the
views of U.S. government agencies other than the Coast Guard into account.
• Uncertainties about the ships’ required capabilities cannot be completely
mitigated by reserving space and weight for certain features, and reserving such
space and weight might result in a design that is larger and more expensive than
needed.
• Accelerating the program is not necessary to achieve a procurement profile that
permits the ships to be constructed in an efficient and manner.
Nuclear Power
Another potential issue for Congress, if it is determined that one or more new ships should be
built, is whether those ships should be nuclear-powered, as are 7 of Russia’s 20 polar or Baltic
icebreakers.49 Some interest has been expressed in Congress in using nuclear power on a wider
array of U.S. Navy surface ships in the future, and Section 1012 of the FY2008 defense
authorization act (H.R. 4986/P.L. 110-181) made it U.S. policy to build certain future classes of
U.S. Navy surface combatants with nuclear power unless the Secretary of Defense submits a

49 National Research Council, Polar Icebreakers in a Changing World, An Assessment of U.S. Needs, Washington,
2007, p. 59 (Table 6.4). These figures include a nuclear-powered icebreaker named 50 Let Pobedy that reportedly
entered service in early 2007, and two conventionally powered Russian icebreakers that, at the time of the 2007 NRC
study, were leased to the Netherlands.
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notification to Congress that using nuclear power for a given new ship class is not in the national
interest. The issue of nuclear power for U.S. Navy surface ships is discussed in detail in another
CRS report.50
Advocates of building new Coast Guard polar icebreakers with nuclear power might argue the
following:
• Nuclear power would provide the icebreakers with operational advantages in
terms of virtually unlimited cruising endurance at any speed. Such endurance
could permit the ships, for example, to make high-speed sprints from one polar
region to the other, so as to respond to sudden contingencies, without needing to
stop or slow down along the way to be refueled. These operational advantages
are one reason why Russia has built some of its polar icebreakers with nuclear
power.
• If oil costs in the future remain relatively high, and if the icebreakers consume
significant total amounts of energy over their 30-year lives to perform their
missions, then much or perhaps even all of the additional procurement cost of
nuclear power could be offset over the ships lives by avoided fossil-fuel costs.
• Building icebreakers with nuclear power could improve economies of scale in the
production of nuclear propulsion components for U.S. Navy nuclear-powered
ships, reducing the costs of those Navy ships, which would further offset, from a
national standpoint, the additional procurement cost of nuclear power for the
icebreakers.
• Due to the additional up-front costs and increased operational capabilities of
building a ship with nuclear power, building U.S. nuclear-powered icebreakers
could send a strong signal to Russia or other countries of U.S. commitment to
defending its polar interests, particularly in the Arctic.
Opponents of building new Coast Guard polar icebreakers with nuclear power might argue the
following:
• Although nuclear power provides operational advantages in terms of unrefueled
cruising endurance, conventional power has proven sufficient for performing
U.S. polar icebreaker missions. Russia’s requirements for its icebreakers differ
from U.S. requirements for its icebreakers, so Russia’s decision to build some of
its icebreakers with nuclear power does not necessarily imply that the United
States should do the same.
• Based on data in a 2006 Navy report to Congress on nuclear power for Navy
surface ships, building a U.S. icebreaker with nuclear power rather than
conventional power might increase its procurement cost by several hundred
million dollars.51 That additional cost might not loom very large for a Navy

50 CRS Report RL33946, Navy Nuclear-Powered Surface Ships: Background, Issues, and Options for Congress, by
Ronald O’Rourke.
51 As discussed in CRS Report RL33946, Navy Nuclear-Powered Surface Ships: Background, Issues, and Options for
Congress
, by Ronald O'Rourke, the 2006 Navy report concluded, among other things, that in constant FY2007 dollars,
building a Navy surface combatant or amphibious ship with nuclear power rather than conventional power would add
roughly $600 million to $800 million to its procurement cost. A nuclear power plant for a polar icebreaker might be
smaller and consequently cost somewhat less than the nuclear power plant in the Navy surface combatant.
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surface combatant that might cost $2 billion to $3 billion even when
conventionally powered, but it might increase by as much as two-thirds the
procurement cost of an icebreaker that might otherwise cost $800 million to $925
million to procure. In a situation of constrained budget resources, such an
increase in procurement cost could easily result in the procurement of one
replacement icebreaker rather than two. A single icebreaker, even one with
nuclear power, might not be enough to meet future U.S. needs.
• The Coast Guard has not operated nuclear-powered ships and consequently does
not have a maintenance or training infrastructure in place to support the operation
of such ships. The Coast Guard would need to either create this infrastructure
(which would require time and money) or pay the Navy to use its infrastructure.
• The U.S. can send a sufficiently strong signal of its commitment to defending its
polar interests by building new, highly capable, conventionally powered polar
icebreakers.
Funding Ships in Coast Guard Budget or Elsewhere
Another potential issue for Congress, if it is determined that one or more new icebreakers should
be built, is whether the acquisition cost of those ships should be funded entirely through Coast
Guard’s Acquisition, Construction, and Improvements (AC&I) account, or partly or entirely
through other parts of the federal budget, such as the Department of Defense (DOD) budget, the
NSF budget, or both.52 Within the DOD budget, possibilities include the Navy’s shipbuilding
account, called the Shipbuilding and Conversion, Navy (SCN) account, and the National Defense
Sealift Fund (NDSF), which is an account where DOD sealift ships and Navy auxiliary ships are
funded.
There is precedent for funding Coast Guard icebreakers in the DOD budget: The procurement of
Healy was funded in FY1990 in the DOD budget—specifically, the SCN account.53 Advocates of
funding new icebreakers partly or entirely through the SCN account or the NDSF might argue
that this could permit the funding of new icebreakers while putting less pressure on other parts of
the Coast Guard’s budget. They might also argue that it would permit the new icebreaker program
to benefit from the Navy’s experience in managing shipbuilding programs. Opponents might
argue that funding new icebreakers in the SCN account or the NDSF might put pressure on these
other two accounts at a time when the Navy and DOD are facing challenges funding their own
shipbuilding and other priorities. They might also argue that having the Navy manage the Coast
Guard’s icebreaker program would add complexity to the acquisition effort, and that it is unclear
whether the Navy’s recent performance in managing shipbuilding programs is better than the
Coast Guard’s, since both services have recently experienced problems in managing shipbuilding

52 For more on the NSF, whose budget is normally funded through the annual Commerce, Justice, Science, and Related
Agencies appropriations bill, see CRS Report 95-307, U.S. National Science Foundation: An Overview, by Christine
M. Matthews.
53 The FY1990 DOD appropriations act (H.R. 3072/P.L. 101-165 of November 21, 1989) provided $329 million for the
procurement of Healy in the SCN account. (See pages 77 and 78 of H.Rept. 101-345 of November 13, 1989). The
NDSF was created three years later, in FY1993, as a fund for procuring DOD sealift ships, among other purposes, and
since FY2001 has been used to fund Navy auxiliary ships as well.
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programs—the Coast Guard with the procurement of new Deepwater cutters, and the Navy in the
Littoral Combat Ship (LCS) program and the LPD-17 class amphibious ship program.54
At the July 16, 2008, hearing on Coast Guard icebreaker needs, Dr. Arden Bement, Jr., Director of
NSF, when asked whether he would deem it prudent to contribute capital costs for the building of
a new icebreaker, replied, “I think at this point, based on my understanding of the mission space,
that the Coast Guard has, especially with the opening up of the Arctic over time, that it would be
a prudent course of action.”55
Options for Congress
Potential FY2011 options for Congress include but are not limited to the following:
• hold hearings to solicit updated information form the Coast Guard on the long-
term sustainment of the polar icebreaker fleet; or direct the Coast Guard to
provide such information;
• provide guidance to the Coast Guard concerning the long-term sustainment of the
polar icebreaker fleet;
• direct the Coast Guard to submit to Congress by a certain date a plan for the
long-term sustainment of the polar icebreaker fleet that includes the Coast
Guard’s preferences regarding required numbers and capabilities for polar
icebreakers, and its preferred acquisition option for achieving and maintaining a
polar icebreaker fleet with those numbers and capabilities; and
• provide funding in the FY2011 budget to begin implementing one or more
options for the long-term sustainment of the polar icebreaker fleet.
Legislative Activity in 111th Congress
FY2011 Funding Request
The proposed FY2011 Coast Guard budget does not request any funding in the Coast Guard’s
Acquisition, Construction, and Improvements (AC&I) account for polar icebreaker sustainment
or refurbishment, or for acquisition of new polar icebreakers.

54 For more on Deepwater acquisition programs and the LCS and LPD-17 programs, see CRS Report RL33753, Coast
Guard Deepwater Acquisition Programs: Background, Oversight Issues, and Options for Congress
, by Ronald
O’Rourke, CRS Report RL33741, Navy Littoral Combat Ship (LCS) Program: Background, Issues, and Options for
Congress
, by Ronald O'Rourke, and CRS Report RL34476, Navy LPD-17 Amphibious Ship Procurement: Background,
Issues, and Options for Congress
, by Ronald O'Rourke.
55 Transcript of hearing.
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FY2011 DHS Appropriations Bill (S. 3607)
Senate
The Senate Appropriations Committee, in its report (S.Rept. 111-222 of July 19, 2010) on S.
3607, did not recommend any funding in the Coast Guard’s AC&I account for polar icebreaker
sustainment or refurbishment, or for acquisition of new polar icebreakers (pages 82-83). The
report states:
POLAR ICEBREAKER SUSTAINMENT
The Coast Guard shall continue to periodically brief the Committee on progress made to
reactivate CGC Polar Star. According to the Coast Guard, reactivation work will be
completed by 2013, increasing the fleet of operational polar icebreakers to three. As
discussed in the “Operating Expenses” section of this report, the Committee expects
sufficient funding to be requested in fiscal year 2012 to field a crew for the vessel.
The Committee recently learned that the Polar Sea has been unexpectedly taken out of
service due to excessive wear in its main diesel engines and will likely be in a maintenance
status and unavailable for operations until at least January 2011. As a result of this situation,
the scheduled fall 2010 Arctic patrol will be cancelled as will an Antarctic Operation Deep
Freeze standby period (December 2010-January 2011). The Committee is aware of a root-
cause failure-analysis into the underlying cause of the engine wear. The Committee is to be
briefed on its results upon its completion and the Coast Guard’s plans to address them. (Page
86)
The report also states:
POLAR OPERATIONS AND MAINTENANCE FUNDING
The Committee notes the budget request once again does not transfer operating and
maintenance funds for the polar icebreakers from the National Science Foundation [NSF] to
the Coast Guard despite congressional direction to the contrary. P.L. 111-117 transfers
$54,000,000 from the NSF to the Coast Guard for icebreaking services to cover all
anticipated operation and maintenance costs for fiscal year 2010.56 For fiscal year 2012, the
Committee expects the operating and maintenance budget authority and associated FTE to be
included in the Coast Guard’s budget request.
The Coast Guard expects the Polar Star to be reactivated in fiscal year 2013. In keeping with
the standard practice of crewing ships in advance to ensure appropriate training and
readiness, fielding a crew for the Polar Star is required in fiscal year 2012. The Committee

56 The FY2010 Consolidated Appropriations Act (H.R. 3288/P.L. 111-117 of December 16, 2009) states, in the
paragraph that appropriates funds for NSF research and related activities, that the funds are made available provided,
among other things, “That from funds specified in the fiscal year 2010 budget request for icebreaking services,
$54,000,000 shall be transferred to the U.S. Coast Guard ‘Operating Expenses’ within 60 days of enactment of this
Act….” The conference report on H.R. 3288 (H.Rept. 111-366 of December 8, 2009) states:
The conference agreement transfers $54,000,000 from NSF to the United States Coast Guard
(USCG) for icebreaking services to cover all anticipated operation and maintenance costs for fiscal
year 2010. The conferees expect that in future years all operation and maintenance budget authority
for these USCG icebreakers will be requested by the Department of Homeland Security. (Page 766)
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expects sufficient funding to be included in the Coast Guard’s fiscal year 2012 request for
this purpose.
The Committee also notes that the Coast Guard’s analysis of national mission needs in the
high latitude regions has yet to be completed. This effort was funded in fiscal year 2009 to
inform the national polar policy debate. The results of this study are to be submitted
expeditiously and include projected assets and resources necessary to address identified
requirements. (Page 80; material in brackets as in original)
Coast Guard Authorization Act of 2010 (H.R. 3619/P.L. 111-281)
H.R. 3619 was passed by the House on October 23, 2009, and by the Senate on May 7, 2010. The
Senate-passed version substituted the text of S. 1194 as reported by the Senate Commerce,
Science, and Transportation Committee (see below), with modifications. The House and Senate
resolved their differences and passed the final version of the bill on September 29 and 30, 2010.
The bill was presented to the President on October 4, 2010, and signed into law as P.L. 111-281
on October 15, 2010.
House
The Coast Guard Authorization Act of 2010 (H.R. 3619) as reported by the House Committee on
Transportation and Infrastructure (H.Rept. 111-303, Part 1, of October 16, 2009) contains two
provisions relating to polar icebreaking—Section 311 and Section 1316.
Section 311 states:
SEC. 311. ARCTIC MARINE SHIPPING ASSESSMENT IMPLEMENTATION.
(a) Purpose- The purpose of this section is to ensure safe, secure, and reliable maritime
shipping in the Arctic including the availability of aids to navigation, vessel escorts, spill
response capability, and maritime search and rescue in the Arctic.
(b) International Maritime Organization Agreements- To carry out the purpose of this
section, the Secretary of the department in which the Coast Guard is operating shall work
through the International Maritime Organization to establish agreements to promote
coordinated action among the United States, Russia, Canada, Iceland, Norway, and Denmark
and other seafaring and Arctic nations to ensure, in the Arctic—
(1) placement and maintenance of aids to navigation;
(2) appropriate icebreaking escort, tug, and salvage capabilities;
(3) oil spill prevention and response capability;
(4) maritime domain awareness, including long-range vessel tracking; and
(5) search and rescue.
(c) Coordination by Committee on the Maritime Transportation System- The Committee on
the Maritime Transportation System established under a directive of the President in the
Ocean Action Plan, issued December 17, 2004, shall coordinate the establishment of
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domestic transportation policies in the Arctic necessary to carry out the purpose of this
section.
(d) Agreements and Contracts- The Secretary of the department in which the Coast Guard is
operating may, subject to the availability of appropriations, enter into cooperative
agreements, contracts, or other agreements with, or make grants to individuals and
governments to carry out the purpose of this section or any agreements established under
subsection (b).
(e) Icebreaking- The Secretary of the department in which the Coast Guard is operating shall
promote safe maritime navigation by means of icebreaking where needed to assure the
reasonable demands of commerce.
(f) Demonstration Projects- The Secretary of Transportation may enter into cooperative
agreements, contracts, or other agreements with, or make grants to, individuals to conduct
demonstration projects to reduce emissions or discharges from vessels operating in the
Arctic.
(g) Authorization of Appropriations- There are authorized to be appropriated—
(1) to the Secretary of the department in which the Coast Guard is operating—
(A) $5,000,000 for each of fiscal years 2011 through 2015 for seasonal operations in the
Arctic; and
(B) $10,000,000 for each of fiscal years 2012 through 2015 to carry out agreements
established under subsection (d); and
(2) to the Secretary of Transportation $5,000,000 for each of fiscal years 2011 through 2015
to conduct demonstration projects under subsection (f).
(h) Icebreakers-
(1) ANALYSES- Not later than 90 days after the date of enactment of this Act or the date of
completion of the ongoing High Latitude Study to assess Arctic polar ice-breaking mission
requirements, which ever occurs later, the Commandant of the Coast Guard shall—
(A) conduct a comparative cost-benefit analysis of—
(i) rebuilding, renovating, or improving the existing fleet of icebreakers for operation by the
Coast Guard,
(ii) constructing new icebreakers for operation by the Coast Guard, and
(iii) any combination of the activities described in clauses (i) and (ii), to carry out the
missions of the Coast Guard; and
(B) conduct an analysis of the impact on mission capacity and the ability of the United States
to maintain a presence in the Arctic regions through the year 2020 if recapitalization of the
icebreaker fleet, either by constructing new icebreakers or rebuilding, renovating, or
improving the existing fleet of icebreakers, is not fully funded.
(2) REPORTS TO CONGRESS-
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(A) Not later than 90 days after the date of enactment of this Act or the date of completion of
the ongoing High Latitude Study to assess Arctic ice-breaking mission requirements, which
ever occurs later, the Commandant of the Coast Guard shall submit a report containing the
results of the study, together with recommendations the Commandant deems appropriate
under section 93(a)(24) of title 14, United States Code, to the Senate Committee on
Commerce, Science, and Transportation and the House of Representatives Committee on
Transportation and Infrastructure.
(B) Not later than 1 year after the date of enactment of this Act, the Commandant shall
submit reports containing the results of the analyses required under subparagraphs (A) and
(B) of paragraph (1), together with recommendations the Commandant deems appropriate
under section 93(a)(24) of title 14, United States Code, to the Senate Committee on
Commerce, Science, and Transportation and the House of Representatives Committee on
Transportation and Infrastructure.
(i) Arctic Definition- In this section the term ‘Arctic’ has the same meaning as in section 112
of the Arctic Research and Policy Act of 1984 (15 U.S.C. 4111).
Section 1316 states:
SEC. 1316. ASSESSMENT OF NEEDS FOR ADDITIONAL COAST GUARD
PRESENCE IN HIGH LATITUDE REGIONS.
Within 270 days after the date of enactment of this Act, the Secretary of the department in
which the Coast Guard is operating shall submit a report to the Committee on Commerce,
Science, and Transportation of the Senate and the Committee on Transportation and
Infrastructure of the House of Representatives assessing the need for additional Coast Guard
prevention and response capability in the high latitude regions. The assessment shall address
needs for all Coast Guard mission areas, including search and rescue, marine pollution
response and prevention, fisheries enforcement, and maritime commerce. The Secretary shall
include in the report—
(1) an assessment of the high latitude operating capabilities of all current Coast Guard assets,
including assets acquired under the Deepwater program;
(2) an assessment of projected needs for Coast Guard forward operating bases in the high
latitude regions;
(3) an assessment of shore infrastructure, personnel, logistics, communications, and
resources requirements to support Coast Guard forward operating bases in the high latitude
regions;
(4) an assessment of the need for high latitude icebreaking capability and the capability of
the current high latitude icebreaking assets of the Coast Guard, including—
(A) whether the Coast Guard’s high latitude icebreaking fleet is meeting current mission
performance goals;
(B) whether the fleet is capable of meeting projected mission performance goals; and
(C) an assessment of the material condition, safety, and working conditions aboard high
latitude icebreaking assets, including the effect of those conditions on mission performance;
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(5) a detailed estimate of acquisition costs for each of the assets (including shore
infrastructure) necessary for additional prevention and response capability in high latitude
regions for all Coast Guard mission areas, and an estimate of operations and maintenance
costs for such assets for the initial 10-year period of operations; and
(6) detailed cost estimates (including operating and maintenance for a period of 10 years) for
high latitude icebreaking capability to ensure current and projected future mission
performance goals are met, including estimates of the costs to—
(A) renovate and modernize the Coast Guard’s existing high latitude icebreaking fleet; and
(B) replace the Coast Guard’s existing high latitude icebreaking fleet.
Senate
On May 7, 2010, the Senate passed S.Amdt. 3912, which amended H.R. 3619 by substituting the
text of S. 1194 as reported by the Senate Commerce, Science, and Transportation Committee (see
below), with modifications. The Senate then passed H.R. 3619 the same day. Section 603 of the
Senate-passed version of H.R. 3619 states:
SEC. 603. ICEBREAKERS.
(a) ANALYSES- Not later than 90 days after the date of enactment of this Act or the date of
completion of the ongoing High Latitude Study to assess polar ice-breaking mission
requirements, whichever occurs later, the Commandant of the Coast Guard shall require a
nongovernmental, independent third party (other than the National Academy of Sciences)
which has extensive experience in the analysis of military procurements to—
(1) conduct a comparative cost-benefit analysis, taking into account future Coast Guard
budget projections (which assume Coast Guard budget growth of no more than inflation) and
other recapitalization needs, of—
(A) rebuilding, renovating, or improving the existing fleet of polar icebreakers for operation
by the Coast Guard,
(B) constructing new polar icebreakers for operation by the Coast Guard,
(C) construction of new polar icebreakers by the National Science Foundation for operation
by the Foundation,
(D) rebuilding, renovating, or improving the existing fleet of polar icebreakers by the
National Science Foundation for operation by the Foundation, and
(E) any combination of the activities described in subparagraph (A), (B), (C), or (D) to carry
out the missions of the Coast Guard and the National Science Foundation;
(2) conduct an analysis of the impact on mission capacity and the ability of the United States
to maintain a presence in the polar regions through the year 2020 if recapitalization of the
polar icebreaker fleet, either by constructing new polar icebreakers or rebuilding, renovating,
or improving the existing fleet of polar icebreakers, is not fully funded; and
(3) conduct a comprehensive analysis of the impact on all Coast Guard activities, including
operations, maintenance, procurements, and end strength, of the acquisition of polar
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icebreakers described in paragraph (1) by the Coast Guard or the National Science
Foundation assuming that total Coast Guard funding will not increase more than the annual
rate of inflation.
(b) Reports to Congress-
(1) Not later than one year and 90 days after the date of enactment of this Act or the date of
completion of the ongoing High Latitude Study to assess polar ice-breaking mission
requirements, whichever occurs later, the Commandant of the Coast Guard shall submit a
report containing the results of the study, together with recommendations the Commandant
deems appropriate under section 93(a)(24) of title 14, United States Code, to the Senate
Committee on Commerce, Science, and Transportation and the House of Representatives
Committee on Transportation and Infrastructure.
(2) Not later than 1 year after the date of enactment of this Act, the Commandant shall
submit reports containing the results of the analyses required under paragraphs (1) and (2) of
subsection (a), together with recommendations the Commandant deems appropriate under
section 93(a)(24) of title 14, United States Code, to the Senate Committee on Commerce,
Science, and Transportation and the House of Representatives Committee on Transportation
and Infrastructure.
Final Version
Section 307 of H.R. 3619/P.L. 111-281 states:
SEC. 307. ARCTIC MARINE SHIPPING ASSESSMENT IMPLEMENTATION.
(a) Purpose- The purpose of this section is to ensure safe and secure maritime shipping in the
Arctic including the availability of aids to navigation, vessel escorts, spill response
capability, and maritime search and rescue in the Arctic.
(b) International Maritime Organization Agreements- To carry out the purpose of this
section, the Secretary of the department in which the Coast Guard is operating is encouraged
to enter into negotiations through the International Maritime Organization to conclude and
execute agreements to promote coordinated action among the United States, Russia, Canada,
Iceland, Norway, and Denmark and other seafaring and Arctic nations to ensure, in the
Arctic—
(1) placement and maintenance of aids to navigation;
(2) appropriate marine safety, tug, and salvage capabilities;
(3) oil spill prevention and response capability;
(4) maritime domain awareness, including long-range vessel tracking; and
(5) search and rescue.
(c) Coordination by Committee on the Maritime Transportation System- The Committee on
the Maritime Transportation System established under a directive of the President in the
Ocean Action Plan, issued December 17, 2004, shall coordinate the establishment of
domestic transportation policies in the Arctic necessary to carry out the purpose of this
section.
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(d) Agreements and Contracts- The Secretary of the department in which the Coast Guard is
operating may, subject to the availability of appropriations, enter into cooperative
agreements, contracts, or other agreements with, or make grants to individuals and
governments to carry out the purpose of this section or any agreements established under
subsection (b).
(e) Icebreaking- The Secretary of the department in which the Coast Guard is operating shall
promote safe maritime navigation by means of icebreaking where necessary, feasible, and
effective to carry out the purposes of this section.
(f) Independent Ice Breaker Analyses-
(1) IN GENERAL- Not later than 90 days after the date of enactment of this Act, the
Secretary of the department in which the Coast Guard is operating shall require a
nongovernmental, independent third party (other than the National Academy of Sciences)
that has extensive experience in the analysis of military procurements, to—
(A) conduct a comparative cost-benefit analysis, taking into account future Coast Guard
budget projections (which assume Coast Guard budget growth of no more than inflation) and
other recapitalization needs, of—
(i) rebuilding, renovating, or improving the existing fleet of polar icebreakers for operation
by the Coast Guard;
(ii) constructing new polar icebreakers for operation by the Coast Guard;
(iii) construction of new polar icebreakers by the National Science Foundation for operation
by the Foundation;
(iv) rebuilding, renovating, or improving the existing fleet of polar icebreakers by the
National Science Foundation for operation by the Foundation; and
(v) any combination of the activities described in clause (i), (ii), (iii), or (iv) to carry out the
missions of the Coast Guard and the National Science Foundation; and
(B) conduct a comprehensive analysis of the impact on all Coast Guard activities, including
operations, maintenance, procurements, and end strength, of the acquisition of polar
icebreakers described in subparagraph (A) by the Coast Guard or the National Science
Foundation assuming that total Coast Guard funding will not increase more than the annual
rate of inflation.
(2) REPORT- Not later than 1 year after the date of enactment of this Act, the Secretary of
the department in which the Coast Guard is operating shall submit a report containing the
results of the analyses required under paragraph (1), together with recommendations the
Commandant considers appropriate under section 93(a)(24) of title 14, United States Code,
to the Committee on Commerce, Science, and Transportation of the Senate and the
Committee on Transportation and Infrastructure of the House of Representatives.
(g) High-Latitude Study- Not later than 90 days after the date of enactment of this Act or the
date of completion of the ongoing High-Latitude Study to assess polar icebreaking mission
requirements for all Coast Guard missions including search and rescue, marine pollution
response and prevention, fisheries enforcement, and maritime commerce, whichever occurs
later, the Commandant of the Coast Guard shall submit a report containing the results of the
study, together with recommendations the Commandant considers appropriate under section
93(a)(24) of title 14, United States Code, to the Committee on Commerce, Science, and
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Transportation of the Senate and the Committee on Transportation and Infrastructure of the
House of Representatives.
(h) Arctic Definition- In this section the term `Arctic’ has the same meaning as in section
112 of the Arctic Research and Policy Act of 1984 (15 U.S.C. 4111).
FY2010 and FY2011 Coast Guard Authorization Bill (S. 1194)
Senate
The Senate Commerce, Science, and Transportation Committee reported S. 1194 on October 30,
2009 (S.Rept. 111-95 of October 30, 2009). Section 604 of S. 1194 as reported by the committee
states:
SEC. 604. ICEBREAKERS.
(a) ANALYSES- Not later than 90 days after the date of enactment of this Act or the date of
completion of the ongoing High Latitude Study to assess polar ice-breaking mission
requirements, which ever occurs later, the Commandant of the Coast Guard shall—
(1) conduct a comparative cost-benefit analysis of—
(A) rebuilding, renovating, or improving the existing fleet of polar icebreakers for operation
by the Coast Guard,
(B) constructing new polar icebreakers for operation by the Coast Guard for operation by the
Coast Guard, and
(C) any combination of the activities described in subparagraphs (A) and (B), to carry out the
missions of the Coast Guard; and
(2) conduct an analysis of the impact on mission capacity and the ability of the United States
to maintain a presence in the polar regions through the year 2020 if recapitalization of the
polar icebreaker fleet, either by constructing new polar icebreakers or rebuilding, renovating,
or improving the existing fleet of polar icebreakers, is not fully funded.
(b) Reports to Congress-
(1) Not later than 90 days after the date of enactment of this Act or the date of completion of
the ongoing High Latitude Study to assess polar ice-breaking mission requirements, which
ever occurs later, the Commandant of the Coast Guard shall submit a report containing the
results of the study, together with recommendations the Commandant deems appropriate
under section 93(a)(24) of title 14, United States Code, to the Senate Committee on
Commerce, Science, and Transportation and the House of Representatives Committee on
Transportation and Infrastructure.
(2) Not later than 1 year after the date of enactment of this Act, the Commandant shall
submit reports containing the results of the analyses required under paragraphs (1) and (2) of
subsection (a), together with recommendations the Commandant deems appropriate under
section 93(a)(24) of title 14, United States Code, to the Senate Committee on Commerce,
Science, and Transportation and the House of Representatives Committee on Transportation
and Infrastructure.
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S.Rept. 111-95 summarizes section 604 on pages 24-25.
On May 7, 2010, the Senate passed S.Amdt. 3912, which amended H.R. 3619 (see above) by
substituting the text of S. 1194 as reported by the Senate Commerce, Science, and Transportation
Committee, with modifications. The Senate then passed H.R. 3619 the same day.
Arctic Marine Shipping Assessment Implementation Act of 2009
(H.R. 2865/S. 1514/S. 1561)

House
H.R. 2865 was introduced on June 12, 2009. Section 8(1)(A) would authorize appropriations of
$750 million per year in FY2011 and FY2012 for the construction of two polar capable
icebreakers.
Section 2 states that Congress finds and declares several things, including the following:
The United States has continuing research, security, environmental, and commercial interests
in the Arctic region that rely on the availability of icebreaker platforms of the Coast Guard.
The Polar Class icebreakers commissioned in the 1970s are in need of replacement.
and
Building new icebreakers, mustering international plans for aids to navigation and other
facilities, and establishing coordinated shipping regulations and oil spill prevention and
response capability through international cooperation, including the approval of the
International Maritime Organization, requires long lead times. Beginning those efforts now,
with the completion of an Arctic Marine Shipping Assessment by the eight-nation Arctic
Council, is essential to protect United States interests given the extensive current use of the
Arctic Ocean and adjacent seas by vessels of many nations.
Section 3 states:
To carry out the purpose of this Act, the Secretary of the department in which the Coast
Guard is operating shall work through the International Maritime Organization to establish
agreements to promote coordinated action among the United States, Russia, Canada, Iceland,
Norway, and Denmark and other seafaring and Arctic nations to ensure, in the Arctic....
(2) appropriate icebreaking escort, tug, and salvage capabilities.
Section 6 states, in its entirety:
The Secretary of the department in which the Coast Guard is operating shall promote safe
maritime navigation by means of icebreaking where needed to assure the reasonable
demands of commerce.
Senate
S. 1514 was introduced on July 24, 2009. Section 8(1)(A) would authorize appropriations of $750
million per year in FY2011 and FY2012 for the construction of two polar capable icebreakers.
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Section 2 states that Congress finds and declares several things, including the following:
The United States has continuing research, security, environmental, and commercial interests
in the Arctic region that rely on the availability of icebreaker platforms of the Coast Guard.
The Polar Class icebreakers commissioned in the 1970s are in need of replacement.
and
Building new icebreakers, mustering international plans for aids to navigation and other
facilities, and establishing coordinated shipping regulations and oil spill prevention and
response capability through international cooperation, including the approval of the
International Maritime Organization, requires long lead times. Beginning those efforts now,
with the completion of an Arctic Marine Shipping Assessment by the eight-nation Arctic
Council, is essential to protect United States interests given the extensive current use of the
Arctic Ocean and adjacent seas by vessels of many nations.
Section 3 states:
To carry out the purpose of this Act, the Secretary of the department in which the Coast
Guard is operating shall work through the International Maritime Organization to establish
agreements to promote coordinated action among the United States, Russia, Canada, and
other seafaring and Arctic nations to ensure, in the Arctic…
(2) appropriate icebreaking escort, tug, and salvage capabilities….
Section 6 states, in its entirety:
The Secretary of the department in which the Coast Guard is operating shall promote safe
maritime navigation by means of icebreaking where needed to assure the reasonable
demands of commerce.
S. 1561 was introduced on August 3, 2009. Section 11(a)(1) would authorize appropriations of
$40 million in FY2011 for the design of a new polar class icebreaker. Section 11(a)(2) would
authorize appropriations of $800 million per year in FY2011 and FY2012 for the construction of
two polar capable icebreakers.
Section 2 states that Congress finds several things, including the following:
The United States has continuing research, security, environmental, and commercial interests
in the Arctic region that rely on the availability of polar class icebreakers of the Coast Guard
that were commissioned in the 1970s and are in need of replacement.
and
Building new icebreakers, forward operating bases, aids to navigation, and other facilities,
and establishing coordinated shipping regulations and oil spill prevention and response
capability through international cooperation requires long lead times.
Section 5 states:
It is the sense of Congress that, to carry out the purpose of this Act, the Secretary of State, in
consultation with the Secretary of Homeland Security, acting through the Commandant of
the Coast Guard, should work to establish agreements to promote coordinated action among
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the United States, Russia, Canada, Iceland, Norway, and Denmark and other seafaring and
Arctic nations with respect to…
(4) appropriate icebreaking escort, tug, and salvage capabilities….
Section 6 states:
(a) Submission of Report Analysis to Congress-
(1) REQUIREMENT FOR SUBMISSION- Not later than 90 days following the completion
of the High Latitude Polar Ice-Breaking Mission Analysis Report, the Commandant of the
Coast Guard shall submit to the appropriate committees of Congress—
(A) such report; and
(B) consistent with section 93(a)(24) of title 14, United States Code, any recommendations
of the Commandant related to such report.
(2) APPROPRIATE COMMITTEES OF CONGRESS DEFINED- In this subsection, the
term `appropriate committees of Congress’ means the Committee on Commerce, Science,
and Transportation of the Senate and the Committee on Transportation and Infrastructure of
the House of Representatives.
(b) Mission Requirements Analysis-
(1) MISSION REQUIREMENTS ANALYSIS- Not later than 90 days after the date of the
enactment of this Act, the Commandant of the Coast Guard shall, subject to the availability
of appropriations, execute a contract with an independent entity to—
(A) conduct an analysis of future mission requirements of the Coast Guard in the Arctic and
Antarctic; and
(B) estimate the necessary resources to provide for such requirements.
(2) SUBMISSION OF ANALYSIS AND ESTIMATE- Not later than 120 days after the date
that the contract described in paragraph (1) is executed, the analysis and estimate described
in subparagraph (A) and (B) of that paragraph shall be submitted to—
(A) the appropriate committees of Congress;
(B) the Commandant of the Coast Guard; and
(C) the Comptroller General of the United States.
(3) ADDITIONAL RECOMMENDATIONS- Not later than 90 days after the submission of
the analysis and estimate described in paragraph (2)—
(A) the Commandant of the Coast Guard shall submit to the appropriate committees of
Congress, consistent with section 93(a)(24) of title 14, United States Code, any
recommendations of the Commandant related to such analysis and estimate; and
(B) the Comptroller General shall submit to the appropriate committees of Congress any
recommendations of the Comptroller General related to such analysis and estimate.
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(4) APPROPRIATE COMMITTEES OF CONGRESS DEFINED- In this subsection, the
term ‘appropriate committees of Congress’ means—
(A) the Committee on Commerce, Science, and Transportation and the Committee on
Homeland Security and Governmental Affairs of the Senate; and
(B) the Committee on Homeland Security and the Committee on Transportation and
Infrastructure of the House of Representatives.
Section 10 states, in its entirety:
Notwithstanding any other provision of law, the Director of the National Science Foundation
shall transfer all amounts provided pursuant to any Act for the procurement of polar
icebreaking services to the United States Coast Guard Appropriation Accounts, and such
amounts shall remain available until expended for operating expenses, renovation, and
improvement.
FY2010 DHS Appropriations Act (H.R. 2892/P.L. 111-83)
House
The House Appropriations Committee, in its report (H.Rept. 111-157 of June 16, 2009) on H.R.
2892, did not recommend any funding in the Coast Guard’s AC&I account for polar icebreaker
sustainment or acquisition of new polar icebreakers. The report stated:
POLAR ICEBREAKING OPERATING AND MAINTENANCE COSTS AND
FUTURE POLAR NEEDS
The Committee continues to be concerned about Coast Guard’s ability to meet its polar
operations mission requirements and provide the United States with the capability to support
national interests in the polar regions. These interests extend well beyond the realm of
scientific research. As such, last year the Committee directed the Coast Guard and the
National Science Foundation (NSF) to renegotiate the existing agreement on polar
icebreaking in order to return the budget for operating and maintaining these vessels to the
Coast Guard for fiscal year 2010, and to provide a new joint plan for Coast Guard support of
scientific research by NSF and other Federal agencies, which was to be included in the 2010
budget request. No agreement was reached, and no plan was submitted. Negotiations are
apparently underway between the Coast Guard and NSF, but the budget has yet to be
returned to the Coast Guard accounts. Therefore, the Committee directs the Coast Guard to
continue negotiating the agreement for the return of icebreaking in the 2011 budget, and to
provide the joint plan for Coast Guard support as soon as possible.
The Committee further directs the Coast Guard to use existing appropriations to continue its
analysis of national mission needs in the high latitude regions to inform national polar
policy. (Pages 78-79)
Senate
The Senate Appropriations Committee, in its report (S.Rept. 111-31 of June 18, 2009) on the
FY2010 DHS appropriation bill (S. 1298), recommended $32.5 million in the Coast Guard’s
AC&I account for the reactivation and service life extension of Polar Star. Of this amount, $27.3
million is in an AC&I line item for polar icebreaker sustainment, and the remaining $5.2 million
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is included within a line item for AC&I direct personnel costs (page 76). The Senate included the
provisions of S. 1298 in an amendment to H.R. 2892.
The committee’s report on S. 1298 stated:
POLAR ICEBREAKER SUSTAINMENT
The Committee recommends $32,500,000 above the budget request to complete the
reactivation and service life extension of Coast Guard Cutter Polar Star. Of this amount,
$5,200,000 is funded in the AC&I direct personnel costs PPA [program, project, or activity].
Returning Polar Star to operational status is vital to ensuring the U.S. Government has the
ability to project U.S. sovereignty and protect the broad range of security, economic, and
environmental interests in the Arctic and Antarctic. Within this amount, the Coast Guard
shall begin survey and design and conduct a business case analysis for either a new heavy
polar icebreaker class or a major service life extension project for existing heavy icebreakers.
The only existing heavy polar class icebreaker, the Polar Sea, has only 7 years remaining in
its useful life. (Page 78)
The report also stated:
POLAR OPERATIONS AND MAINTENANCE FUNDING
The Committee notes the budget request did not include transfer of operating and
maintenance funds for the polar icebreakers from the National Science Foundation [NSF] to
the Coast Guard as directed in the joint explanatory statement accompanying the Department
of Homeland Security Appropriations Act, 2009 (Public Law 110–329). For fiscal year 2011,
the Committee expects the operating and maintenance budget authority and associated FTE
to be included in the Coast Guard’s request. The two agencies shall update the existing
Memorandum of Agreement to reflect the change in budget authority. (page 73; material in
brackets as in original)
Conference
The conference report (H.Rept. 111-298 of October 13, 2009) on H.R. 2892/P.L. 111-83 of
October 28, 2009, provided $32.5 million to complete the reactivation and service life extension
of Polar Star. Of this total, $27.3 million was provided in the AC&I account in a line item
entitled “Polar Icebreaker sustainment” (Page 87). The conference report stated:
Polar Icebreaker Sustainment
The conference agreement provides an additional $32,500,000 to complete the reactivation
and service life extension of the Coast Guard Cutter POLAR STAR as proposed by the
Senate. No additional funding for this activity was proposed by the House. Of this amount,
$5,200,000 is provided in the Acquisition, Construction, and Improvements direct personnel
costs PPA [program, project, or activity]. Funds shall be applied as specified in the Senate
report. The conferees believe returning POLAR STAR to operational status is vital to
national interests in the polar regions. According to the Coast Guard the only existing
operational heavy icebreaker, the POLAR SEA, has only five years of service life remaining.
The absence of requested funding to complete fiscal year 2009 efforts to reactivate POLAR
STAR, combined with the lack of compliance with standing Congressional direction on the
polar icebreaking budget, implies a broader lack of commitment to sustaining polar
capabilities and achieving longterm, strategic objectives in the Arctic. The conferees direct
the Coast Guard to brief the Committees no later than December 15, 2009, on the program
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execution plan for reactivation of POLAR STAR and the status of resources required to
achieve mission requirements for polar operations. (Page 89)
The conference report also stated, the section on the Coast Guard’s Operating Expenses (OE)
account:
Polar Icebreaking Operations and Maintenance Funding
The conferees expect polar icebreaking operations and maintenance budget authority and
associated FTE to be included in the Coast Guard’s budget request for fiscal year 2011. The
National Science Foundation and Coast Guard shall update the existing Memorandum of
Agreement to reflect the change in budget authority as proposed by the Senate. Furthermore,
the conferees direct the Coast Guard to follow the direction regarding the high latitude study
as outlined in the House report. (Page 85)
American Recovery and Reinvestment Act of 2009
(H.R. 1/P.L. 111-5)

A Senate version of H.R. 1 (amendment in Senate, January 30, 2009) stated, in the section on the
Coast Guard’s Acquisition, Construction, and Improvements (AC&I) account, that of the funds
provided in the bill for the AC&I account, “$87,500,000 shall be for the design of a new polar
icebreaker or the renovation of an existing polar icebreaker, and major repair and maintenance of
existing polar icebreakers.” The provision was not included in other House and Senate versions of
the bill, or in the conference version of the bill, which was signed into law on February 17, 2009.
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Appendix A. Legislative Activity in 110th Congress
FY2009 DHS Appropriations Act (H.R. 2638/P.L. 110-329)
House
The House Appropriations Committee, in its report (H.Rept. 110-862 of September 18, 2008) on
the FY2009 DHS appropriations bill (H.R. 6947), stated:
POLAR ICEBREAKING OPERATING AND MAINTENANCE COSTS AND
FUTURE POLAR NEEDS
The Committee is concerned about Coast Guard’s ability to meet its polar operations mission
requirements and provide the United States with the capability to support national interests in
the polar regions. The Committee provides $200,000, as requested, to conduct an analysis of
national mission needs in the high latitude regions to inform the national polar policy debate.
In fiscal year 2006 the Committees on Appropriations approved an Administration request
for the National Science Foundation (NSF), the primary user of the three Coast Guard polar
icebreaker vessels, to fund the costs of operating and maintaining these aging vessels.
Because it has become more apparent that the national interest in the polar regions extends
beyond scientific research, the Committee questions whether this arrangement should
continue. Accordingly, the Committee directs Coast Guard and NSF to renegotiate the
existing agreement in order to return the budget for operating and maintaining these vessels
to Coast Guard for fiscal year 2010. This change is consistent with a new joint plan for Coast
Guard support of scientific research by NSF and other Federal agencies, which also is to be
included in the 2010 budget request. NSF shall retain responsibility for the contracting of
scientific support services that Coast Guard does not have the capability to perform or cannot
perform on a cost-competitive basis. The Committee is aware of a $4,000,000 funding
shortfall related to the caretaker status of the POLAR STAR, and directs Coast Guard to
address this shortfall within the amounts appropriated for fiscal year 2009. (Page 82)
Senate
The FY2009 DHS appropriations bill (S. 3181) as reported by the Senate appropriations
committee would make available about $6.28 billion for the Coast Guard’s Operating Expenses
(OE) account, provided, among other things, “that notwithstanding any other provision of law,
$4,000,000 of the amounts made available under this heading may be available to maintain the
USCGC POLAR STAR in caretaker status.”
The Senate Appropriations Committee, in its report (S.Rept. 110-396 of June 23, 2008) on S.
3181, stated:
POLAR ICEBREAKERS
The Committee reiterates its concern with the Coast Guard’s ability to meet its current and
projected polar operations responsibilities. According to correspondence from the
Commandant on May 23, 2008, the Coast Guard will submit a report on polar mission
requirements no later than August 31, 2008. The Committee expects this report to address
the concerns detailed in the explanatory statement accompanying the Department of
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Homeland Security Appropriations Act, 2008. The Committee also expects all costs to
operate the polar icebreakers for National Science Foundation [NSF] research, including
unanticipated maintenance, will be reimbursed by NSF. However, the Committee notes that
the NSF budget request states, “Effective with the fiscal year 2009 budget, NSF will no
longer provide funds to maintain the USCGC Polar Star in caretaker status because NSF
does not envision current or future use of this vessel in support of its mission.” Due to the
changing environmental conditions and increased activity in the polar regions, as well as the
Coast Guard’s multi-mission responsibilities in the polar regions that are not science related,
the Committee includes statutory language making an additional $4,000,000 available to
maintain the USCGC Polar Star in caretaker status. The Committee also notes that the
forthcoming report on Coast Guard polar mission requirements will address the sustainability
of the current operations and maintenance cost sharing arrangement between the Coast
Guard and the NSF to support both current and projected polar icebreaker operations. (Page
81)
Compromise
The FY2009 DHS appropriations bill became Division D of H.R. 2638/P.L. 110-329 of
September 30, 2008, a consolidated appropriations act. H.R. 2638 began as a DHS appropriations
act and was then amended to become a consolidated appropriations act that contained that
includes, among other things, the FY2009 DHS appropriations act. In lieu of a conference report,
there was a compromise version of H.R. 2638 that was accompanied by an explanatory statement.
Section 4 of H.R. 2638 stated that the explanatory statement “shall have the same effect with
respect to the allocation of funds and implementation of this Act as if it were a joint explanatory
statement of a committee of conference.”
H.R. 2638 provided $30.3 million for polar icebreaker sustainment. The funding was provided in
a new line item in the surface ships section of the Deepwater portion of the Coast Guard’s
Acquisition, Construction, and Improvements (AC&I) appropriation account. The explanatory
statement stated:
Polar Icebreakers
One of the Coast Guard’s missions is to provide the United States with the capability to
support national interests in the polar regions. In a report recently submitted, the Coast Guard
stated that the United States will need a maritime surface and air presence in the Arctic
sufficient to support prevention and response regimes as well as diplomatic objectives.
However, no funding has been requested for the Coast Guard’s aging icebreakers despite its
inability to meet current and projected polar operations mission responsibilities. The Coast
Guard is directed to follow House report direction regarding the polar icebreaking operating
budget. The Coast Guard should work with the National Science Foundation in the coming
year to renegotiate the existing polar icebreaking agreement in order to return the budget for
operating and maintaining its polar icebreakers to the Coast Guard in fiscal year 2010. The
AC&I appropriation includes $30,300,000 to reactivate the USCGC POLAR STAR for an
additional 7-10 years of service life.
Coast Guard Authorization Act For FY2008 (H.R. 2830/S. 1892)
House
Section 422 of H.R. 2830 as passed by the House stated:
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SEC. 422. ASSESSMENT OF NEEDS FOR ADDITIONAL COAST GUARD PRESENCE
IN HIGH LATITUDE REGIONS.
Within 270 days after the date of enactment of this Act, the Secretary of the department in
which the Coast Guard is operating shall submit a report to the Committee on Commerce,
Science, and Transportation of the Senate and the Committee on Transportation and
Infrastructure of the House of Representatives assessing the need for additional Coast Guard
prevention and response capability in the high latitude regions. The assessment shall address
needs for all Coast Guard mission areas, including search and rescue, marine pollution
response and prevention, fisheries enforcement, and maritime commerce. The Secretary shall
include in the report—
(1) an assessment of the high latitude operating capabilities of all current Coast Guard assets,
including assets acquired under the Deepwater program;
(2) an assessment of projected needs for Coast Guard forward operating bases in the high
latitude regions;
(3) an assessment of shore infrastructure, personnel, logistics, communications, and
resources requirements to support Coast Guard forward operating bases in the high latitude
regions;
(4) an assessment of the need for high latitude icebreaking capability and the capability of
the current high latitude icebreaking assets of the Coast Guard, including—
(A) whether the Coast Guard’s high latitude icebreaking fleet is meeting current mission
performance goals;
(B) whether the fleet is capable of meeting projected mission performance goals; and
(C) an assessment of the material condition, safety, and working conditions aboard high
latitude icebreaking assets, including the effect of those conditions on mission performance;
(5) a detailed estimate of acquisition costs for each of the assets (including shore
infrastructure) necessary for additional prevention and response capability in high latitude
regions for all Coast Guard mission areas, and an estimate of operations and maintenance
costs for such assets for the initial 10-year period of operations; and
(6) detailed cost estimates (including operating and maintenance for a period of 10 years) for
high latitude icebreaking capability to ensure current and projected future mission
performance goals are met, including estimates of the costs to—
(A) renovate and modernize the Coast Guard’s existing high latitude icebreaking fleet; and
(B) replace the Coast Guard’s existing high latitude icebreaking fleet.
Senate
Section 917 of S. 1892 as reported in the Senate stated:
SEC. 917. ICEBREAKERS.
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(a) IN GENERAL—The Secretary of the department in which the Coast Guard is operating
shall acquire or construct 2 polar icebreakers for operation by the Coast Guard in addition to
its existing fleet of polar icebreakers.
(b) NECESSARY MEASURES—The Secretary shall take all necessary measures, including
the provision of necessary operation and maintenance funding, to ensure that—
(1) the Coast Guard maintains, at a minimum, its current vessel capacity for carrying out ice
breaking in the Arctic and Antarctic, Great Lakes, and New England regions; and
(2) any such vessels that are not fully operational are brought up to, and maintained at full
operational capability.
(c) REIMBURSEMENT—Nothing in this section shall preclude the Secretary from seeking
reimbursement for operation and maintenance costs of such polar icebreakers from other
Federal agencies and entities, including foreign countries, that benefit from the use of the
icebreakers.
(d) AUTHORIZATION OF APPROPRIATIONS—There are authorized to be appropriated
for fiscal year 2008 to the Secretary of the department in which the Coast Guard is operating
such sums as may be necessary to acquire the icebreakers authorized by subsection (a), as
well as maintaining and operating the icebreaker fleet as authorized in subsection (b).
The Senate Commerce, Science, and Transportation Committee, in its report (S.Rept. 110-261 of
February 5, 2008) on S. 1892, stated:
Section 917 would require the Secretary to acquire or construct two new polar icebreakers
for operation by the Coast Guard. It also would instruct the Coast Guard to maintain their
existing polar icebreakers and return them to operational status, if not operational already.
This section would authorize such sums as are necessary to carry out this section. Currently,
the Coast Guard’s icebreaker fleet is funded by the National Science Foundation. However,
the funding for these vessels has been inconsistent, allowing the Polar Star to fall behind on
the maintenance necessary to keep the vessel in operating condition. With some climate
models predicting an ice-free Arctic summer in the future, more international expeditions
will be headed to the region to examine newly revealed oil and gas reserves and other natural
resources. Canada, Russia, and other countries will begin to compete with the United States
over jurisdiction and, without a strong polar icebreaker fleet, our Nation will suffer a severe
disadvantage. A recent 2007 report by the National Academy of Sciences found that the
United States needs to maintain polar icebreaking capacity and construct at least two new
polar icebreakers. This provision follows those recommendations. (Page 29)
In presenting the CBO’s estimate of the cost of Section 917 of S. 1892 as reported, the report
stated:
Assuming appropriation of the necessary amounts, CBO estimates that the USCG would
spend about $1.4 billion over the next five years to purchase two icebreakers. (Costs to
operate and maintain the two new vessels would total about $50 million a year beginning in
2013.) We estimate that an additional $50 million would be spent over the 2008-2010 period
to recondition an existing USCG icebreaker, which is currently out of operation. Operating
and maintaining that vessel would cost about $10 million in 2010 and about $25 million
annually thereafter. This estimate is based on information provided by the Coast Guard
regarding the cost of constructing, operating, and maintaining such vessels to agency
specifications. (Page 8; see also pages 6 and 7)
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FY2008 Consolidated Appropriations Act (H.R. 2764/P.L. 110-161)
FY2008 funding for the Department of Homeland Security (DHS), which includes the Coast
Guard, was provided in the FY2008 Consolidated Appropriations Act (H.R. 2764/P.L. 110-161 of
December 26, 2007). The explanatory statement for H.R. 2764/P.L. 110-161, which is intended to
be the equivalent of a conference report for the bill, stated the following in its discussion of
Division E (the FY2008 DHS appropriations act):
National Interests in the Polar Regions
The Committees on Appropriations are concerned about Coast Guard’s ability to meet its
polar operations mission requirements and provide the United States with the capability to
support national interests in the polar regions. These mission requirements include, but are
not limited to: global reach to the North and South poles; monitoring of U.S.-bound vessel
traffic transiting international waterways in the far north; support of the International Ice
Patrol; and support of other governmental and scientific organizations in pursuit of marine
and atmospheric science activities in the polar regions. The Committees on Appropriations
are specifically concerned whether Coast Guard’s aging polar icebreaking fleet can meet
current mission performance goals and whether this fleet and the service’s small cadre of
specialized polar operations personnel are capable of meeting projected mission performance
goals in light of changing environmental conditions and increased activity in the polar
regions. The National Academy of Sciences made several recommendations in this regard in
September 2006, but the Administration has taken no action to implement those
recommendations.
Therefore, the Commandant is directed to submit a comprehensive polar operations report
that fully assesses the Coast Guard’s ability to meet current and projected polar mission
requirements and includes an evaluation of how Coast Guard’s current capabilities and
resources must be adapted or enhanced to account for changing environmental conditions
and increased activity in the polar regions. This report is to include an analysis of the need
for any permanent, forward operating presence in the polar regions in order to meet mission
requirements and an assessment of the Coast Guard’s ability to meet the requirements of
partner agencies operating in the polar regions, such as the National Science Foundation
(NSF) and the Departments of Commerce and Defense, under current and projected
environmental conditions. Finally, this report should include an appraisal of the
sustainability of the current operations and maintenance cost sharing arrangement between
the Coast Guard and NSF to support both current and projected polar icebreaker operations.
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Appendix B. Funding Arrangement with NSF
This appendix presents additional discussion of the arrangement under which the NSF funds the
operation and maintenance of Coast Guard polar icebreakers.
Excerpts from 2007 NRC Report57
The 2007 NRC report discusses the origins and features of the funding arrangement as follows:
Budget base transfers in the 1970s and 1980s placed annual funding resources in the budgets
of agencies with programs benefiting from icebreaker support in that era, including the
Department of Defense, National Science Foundation, and Maritime Administration.
Memoranda of Agreement (MOAs) implemented these budget transfers to the U.S. Coast
Guard by providing for incremental reimbursement of deployment-related expenses
(primarily fuel and other consumables) back to the U.S. Coast Guard. Although the U.S.
Coast Guard retained a budget base for icebreaker crews, maintenance, training, and other
support to ensure that ships were ready for operations, it did not have budget authority to
specifically deploy icebreakers in support of U.S. Coast Guard mission responsibilities.
Changes in programs and levels of user agency funding resulted in the decommissioning of
older icebreakers in the late 1980s, and some changes were made in the reimbursement
formula, but the general concept of agencies “buying” operational icebreaker days continued
until 2005.
In preparing the President’s budget for fiscal year 2006, the Office of Management and
Budget (OMB) transferred budget authority for the polar icebreakers from the U.S. Coast
Guard to the National Science Foundation (NSF), while the U.S. Coast Guard was to retain
custody of the polar icebreakers and continue to operate and maintain this fleet. Congress
enacted this one-time transfer of $48 million from the U.S. Coast Guard to NSF, which was
intended to offset all direct costs associated with the polar icebreaking program, including
personnel, training, operation, and maintenance. These funds constitute the U.S. Coast
Guard’s entire noncapital budget for polar icebreakers. This amount, however, was
essentially less than two-thirds of the $65 million to $75 million ... that the U.S. Coast Guard
estimated it would cost to maintain the ships. Congress finalized the transfer of funds in
Conference Report H.Rept. 109-272 between the House and Senate Appropriations
Subcommittees that are responsible for NSF.
According to briefings received from OMB budget examiners (October 7, 2005), this action
was based on the fact that the vast majority of icebreaker ship time has been employed for
scientific research. The availability and readiness of the polar icebreakers to address other
national needs such as law enforcement, marine pollution response, search and rescue,
providing a U.S. presence, and defense operations was not cited as a factor in the decision to
transfer the ships to NSF.
With this transfer, NSF assumed control of the polar icebreaker program, and an MOA
between the U.S. Coast Guard and NSF regarding polar icebreaker support and
reimbursement was established in August 2005. The purpose of this MOA is to “implement
the [then proposed] budget base transfer for use of the U.S. Coast Guard icebreakers for

57 National Research Council, Polar Icebreakers in a Changing World, An Assessment of U.S. Needs, Washington,
2007. 122 pp.
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scientific and operational support for all planned U.S. Coast Guard operations for FY 2006
and beyond.”
Under the 2005 MOA, NSF agrees to consider all national priorities and maintenance
requirements when allocating the limited budget. In addition, NSF will identify icebreaker
mission needs for the succeeding fiscal year to the U.S. Coast Guard. The responsibilities of
the U.S. Coast Guard under this agreement are scheduled on an annual basis by NSF. The
U.S. Coast Guard has agreed to provide support staff and services necessary to operate and
maintain the polar icebreaker fleet and to inform NSF of secondary polar icebreaker missions
as they occur. These missions include the traditional U.S. Coast Guard missions of the polar
icebreakers (search and rescue, enforcement of laws and treaties) that were conducted as
needed and funded from the base funding. Under this agreement, the U.S. Coast Guard will
continue to perform these missions (as needed), and NSF will continue to fund these
missions from the program base that was transferred to NSF in FY 2006. In addition, if a
situation arises that requires long-term polar icebreaker involvement (major marine pollution
or humanitarian relief efforts), then funding and scheduling impacts will be coordinated
between the U.S. Coast Guard and NSF.58
In commenting on this funding arrangement and making recommendations for the future, the
report states:
The recent transfer of budget authority for the polar icebreaking program by the Office of
Management and Budget (OMB) from the U.S. Coast Guard to NSF did not address the
basic problem of underfunding routine maintenance or providing funds for U.S. Coast Guard
non-science icebreaker missions. The transfer has increased management difficulties by
spreading management decisions related to the polar icebreakers across two agencies.
The NSF now has fiscal control over all direct costs associated with the polar icebreaking
program, including personnel, training, operation, and maintenance costs. Under a
Memorandum of Agreement negotiated between the U.S. Coast Guard and NSF, the U.S.
Coast Guard must submit a yearly plan for approval by the NSF. The NSF is now fiscally
responsible, and making decisions, for missions outside its core mission and expertise.
Without budget authority, the U.S. Coast Guard has been put in a situation in which it has the
role of operating a ship for which it does not have full budget and management control.
The committee believes that the total set of U.S. Coast Guard icebreaking missions
transcends the mission of support to science, despite the fact that the majority of icebreaker
usage at the current time is to support research. The U.S. Coast Guard should have the funds
and authority to perform the full range of mission responsibilities in ice-covered waters of
the Arctic. There is strong evidence that national need for polar icebreaking in the Arctic will
increase over the next several decades. Orders for commercial ice-strengthened tankers will
double the worldwide fleet of these vessels. Most are slated to operate in the western Arctic
along the Northern Sea Route, but expansion of hydrocarbon development activities to the
Alaskan North Slope and Canadian Beaufort Sea is proceeding. With this added human
presence, a robust U.S. Coast Guard polar icebreaker fleet will be needed for regular patrols
of our coastal waters to increase U.S. presence in international Arctic waters. This will
require resumption of regular patrols of coastal waters and an increased U.S. presence in
international Arctic waters by the nation’s multimission icebreaker fleet. It is not sufficient to
provide funds to only maintain the fleet; it is necessary to provide funds to operate it
effectively. The committee strongly believes that management responsibility should be
aligned with management accountability.

58 Ibid, pp. 14-15. Bracketed material as in original.
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When NSF, NOAA, or another “user” agency employs a U.S. Coast Guard icebreaker to
support some directed activity, the user agency should pay only incremental costs associated
with direct mission tasking. This arrangement has worked well for decades, although it
would be useful for the financial arrangement to be clarified and reasserted by the
administration. If the U.S. Coast Guard is funded to operate a vessel, then direct tasking
reimbursement would typically include the cost of fuel for extended transit beyond patrol,
and on-ship engineering and habitation costs that derive from research activities. The
committee distinguishes between direct mission tasking of a science voyage and science of
opportunity where scientists or educators are aboard at the invitation of the U.S. Coast Guard
on voyages planned for Coast Guard patrol missions. The committee encourages the U.S.
Coast Guard to invite researchers and educators on planned patrols to conduct science of
opportunity. Only direct tasking should result in reimbursement to the U.S. Coast Guard
above its congressionally appropriated operational funds.
Recommendation 6: The U.S. Coast Guard should be provided sufficient operations and
maintenance budget to support an increased, regular, and influential presence in the Arctic.
Other agencies should reimburse incremental costs associated with directed mission
tasking.59
Excerpts from July 16, 2008, Hearing
Coast Guard Testimony
The prepared statement of Admiral Thad Allen, Commandant of the Coast Guard, for the July 16,
2008, hearing on Coast Guard icebreaker needs stated in part:
Funding Arrangement with the National Science Foundation (NSF)
In 2006, the Department of Homeland Security’s Appropriations Act transferred the Coast
Guard’s $47.5 million in budget authority for Polar icebreaking to NSF. Through a
Memorandum of Agreement (MOA), NSF later funded a total of $55.2 million in FY 2006
and $52.1 million in FY 2007 for the vessels. The FY 2008 appropriation to NSF is $57.0
million.
While Polar-class icebreakers primarily provide support to NSF and other agency’s research
missions, the current Coast Guard-NSF MOA gives the Coast Guard a reasonable ability to
divert these vessels to search and rescue, oil spill and other missions to respond to
emergencies and threats to maritime safety and security. We are working closely with NSF
and the Administration to ensure preservation and efficacy of our Nation’s critical
icebreaking capabilities and competencies. To prepare for the impacts of changing Arctic
conditions on multiple agencies and their missions, the Administration has undertaken an
Arctic policy review in which the Coast Guard is an active participant.60
During the question-and-answer portion of Admiral Allen’s testimony, the following exchange
occurred:

59 Ibid., pp. 101-102. Similar passages appear on pages 10 and 111.
60 Department of Homeland Security, U.S. Coast Guard, Statement of Admiral Thad W. Allen, Commandant, on Coast
Guard Icebreaking, Before the Subcommittee on Coast Guard and Maritime Transportation, Committee on
transportation and Infrastructure, U.S. House of Representatives, July 16, 2008, p. 6.
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Representative LaTourette: Relative to the Polar icebreakers and this issue of the National
Science Foundation—and, again, in my opening remarks, I mentioned the contract that
they’ve entered into with the Swedes—did you have an observation or an opinion as to what
the impact of having the National Science Foundation basically have the budget authority for
the icebreakers does to the service relative to dollar impact, administration, running of the
ships?
Admiral Allen: Well, I’ve said on several occasions and in prior hearings, and I will restate
it here, the current situation, while well-intended when it was created, is somewhat
dysfunctional in regards to how we have to manage this, because it puts a huge, enormous
management burden on the National Science Foundation, that puts almost an evidentiary
responsibility on the Coast Guard to demonstrate what we intend to do with the vessels, so
they can certify what the funds are being used for and they’re adequately being spent.
And I don’t begrudge them a bit for doing that, but it is very, very cumbersome.
Representative LaTourette: If they, in fact, had not entered into the agreement with the
Swedes [for the use of an icebreaker], would those have been funds available to the Coast
Guard for the use of your assets?
Admiral Allen: At the start of every year, we come up with an operating plan. And there’s a
certain base amount of money that is provided in the National Science Foundation budget,
and I’ll let Dr. Bement speak to that. We provide them a plan. They approve the plan. And
that is the source of the funds that are transferred from the National Science Foundation to
the Coast Guard.
And it varies from year to year based on the amount of operations we’re conducting and the
maintenance required on the ships.
Representative LaTourette: And do those funds in that budget that you lay out at the
beginning of the year, are those funds always sufficient to the cost incurred by the Coast
Guard for those missions?
Admiral Allen: Well, there’s been an ongoing issue about whether or not, as ships get
older—and this is not just to do with icebreakers, it could be any ship you’re talking about—
they become more expensive as they get older.
There probably is an added issue of an inflation factor and the ability to keep up with the
demands for maintenance on the ships.61
Later in the question-and-answer portion of Admiral Allen’s testimony, the following exchange
occurred:
Representative Larsen: I understand that Polar Sea completed a deployment to the waters
in April and May, primarily for the purpose of renewing the crew’s qualifications. Can you
tell us what sort of missions the Polar Sea performed, what it accomplished and whether or
not the crew was able to fully renew their qualifications?
Admiral Allen: Sir, we moved out into the—through the Gulf of Alaska through the
Aleutian Chain up into the Bering Sea. We did fisheries patrols, did what we would call

61 Transcript of hearing.
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Arctic Domain Awareness—just up there sensing what’s going on, an idea for the amount of
vessel traffic.
We did science of opportunity. We did some—got into the very, very light ice areas there.
It was good. We needed to do it. I’m glad we did it. I appreciate the National Science
Foundation support on doing that.
I wish we could have done more. I wish we could have got deeper into the ice and spent a
longer time there, because these competencies atrophy over time, and I am concerned that at
a certain point, there won’t be a baseline level of competency to operate these ships, which
we’re going to need to do in the future.
But there are constraints put on the operation of Polar Sea by the agreements with the
National Science Foundation. We did what we could.
Representative Larsen: What constraints are on it?
Admiral Allen: Well, we pre-negotiate how much we’re going to use the ship. There’s a
matter of risk, if you get into the ice and you have some wear and tear, or you have issue
with the propeller, or things that need to be done, number one, that increases cost or the risk
that the vessel might not be available next year when it’s going to be in standby for the
contracted icebreaker for the McMurdo breakout.
Representative Larsen: So then, when the crew’s not able to fully renew their
qualifications, in your view?
Admiral Allen: Well, they atrophy at a time—we’re OK right now, but that’s the reason I’m
trying to press forward with a sense of urgency. We kind of have to get this resolved.
Otherwise, we’re going to lose our seed corn.
Representative Larsen: And so, it sounds to me like they weren’t able to fully renew their
qualifications.
Admiral Allen: We would have liked to have done more. Yes, sir.
Representative Larsen: So, what does it take to do more?
Admiral Allen: Well, I think we need to continue to work on the management issues
associated with it, and arrive on a consensus on how we can sustain the current fleet and the
competencies in the Coast Guard and still meet the requirements of the National Science
Foundation. It’s going to have to be a collaborative effort, sir.
Representative Allen: It sounds like you need a collaborative effort, but it also sounds like
those limitations are preventing you from achieving your mission.
Admiral Allen: I’m concerned about our readiness eroding. Yes, sir.62
Still later in the question-and-answer portion of Admiral Allen’s testimony, the following
exchange occurred:

62 Transcript of hearing.
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Representative Coble: As I understand it, Mr. Chairman, in 2006, Congress transferred
budget authority for polar icebreaking to the National Science Foundation. And they, in turn,
reimburse the Coast Guard for operations.
It is furthermore my understanding that the NSF has begun to contract with foreign
icebreaking companies to fulfill their needs in the Arctic. And I want to ask you a couple of
questions in a just a minute, Admiral.
But to conclude, Mr. Chairman and my colleagues, I have a keen interest in icebreaking. And
I’m subjectively involved, because I used to be stationed aboard a Coast Guard cutter. I’m
sure, Admiral, she’s long been decommissioned. I don’t know where she is now.
But I would like to encourage our committee, Mr. Chairman, to continue to review the
shared responsibilities between the National Science Foundation and the Coast Guard with
regard to polar icebreaking. While I support the mission of both agencies, I question whether
the current funding mechanisms best fit the respective needs of the two organizations.
And Admiral Allen, what I want to do, I want to put a three-part question to you. And I’m
going to probably have to abruptly leave to go back to Judiciary. But my questions to you,
Admiral, are:
Has this procedure that I just described affected your operations and readiness of the polar
icebreaking fleet, A?
B, does the current funding arrangement with the National Science Foundation allow for
adequate maintenance of the polar icebreaker fleet, B?
And C, what are the long-term implications of continuing this funding arrangement?...
Admiral Allen: There is an issue with current readiness, and it’s not a—let me say it up
front here. I have all the respect in the world for Dr. Bement [of the NSF], and we’re good
friends and we’re colleagues. I think we’re both in a really tough situation here.
Any time you have one of the three icebreakers that this country operates through the Coast
Guard that have been validated by an external study by the National Research Council in a
commission special status, you have a readiness problem.
So, is there a readiness problem? Yes, there is, sir.
That vessel [Polar Star] is tied up. It’s got a caretaker crew on it. We’re making sure the
machinery could be brought back in a year or so, if it was needed.
But we’ve had divers down looking at the hull. We have problems with the zinc anodes that
are on there that protect against corrosion. There’s marine growth on it.
So, even the readiness of the vessel that’s laid up continues to be an issue with us.
Is this adequate in the long term? Obviously, it’s not. We need three polar icebreakers to
operate in this country, and one is laid up.
And in the long term, my goal is to stabilize what’s going on right now and make sure we
keep the Polar Star where it’s at pending the policy resolutions that will lead us to a long-
term solution.
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But our readiness now is not what it should be. I don’t believe it’s adequate, and we have to
have a long-term fix, sir.63
Still later in the question-and-answer portion of Admiral Allen’s testimony, the following
exchange occurred:
Representative Cummings: And so, when you say long range—you said maybe we ought
to have a long-range plan—I guess what I’m trying to get to is that, in the short range, right
now, we do have a problem then.
Representative Allen: Yes, sir. And it’s because the effort and the money that’s being
transferred is sized to support the science mission, not all the missions we need to do, sir.
Representative Cummings: I see. And...
Admiral Allen: I think Dr. Bement would tell you we’re just fine where we’re at, and I
understand where he sits on that. But I’ve got other things I have to do out there.
Representative Cummings: You’d rather not be sharing any efforts with the National
Science Foundation.
Admiral Allen: No, I’d rather be supporting them completely without any money transfers...
Representative Cummings: Right.
Admiral Allen: ... and giving him what he needs, and then, with the capacity that I have, in
addition to the science, be creating presence where we need to, based on the evolving
mission, sir.64
Still later in the question-and-answer portion of Admiral Allen’s testimony, Representative
Richardson asked Admiral Allen if he agreed with certain findings of the 2007 NRC report. When
Representative Richardson asked whether he agreed with a finding that “the U.S. Coast Guard
should be provided sufficient operations and maintenance budget to support an increase in regular
and influential presence in the Arctic,” Admiral Allen replied:
Well, that’s a two-part question, because currently, the maintenance money resides with the
National Science Foundation. Without prejudice, I believe the money should be in the Coast
Guard base [budget], and we should operate it. But that’s a policy decision to be made.65
NSF and U.S. Arctic Commission Testimony
The July 16, 2008, hearing on Coast Guard icebreaker needs also included testimony from Dr.
Arden Bement, Jr., director of the NSF, Mead Treadwell, chair of the U.S. Arctic Commission,
and James Weakley, president of the Lake Carriers’ Association and vice president of the Great
Lakes Maritime Task Force. During the question-and-answer portion of their testimony, which
followed Admiral Allen’s testimony, the following exchange occurred:

63 Transcript of hearing.
64 Transcript of hearing.
65 Transcript of hearing.
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Representative Cummings: I want to first of all go to you, Mr. Bement, and to you, Mr.
Treadwell, regarding the Polar Sea’s most recent mission to the Arctic. Can either of you
comment on why the vessel did not go further north than it did?
Dr. Bement: Yes. Our procedure in working with the Coast Guard to allocate the—or not to
exceed budget that we get from the Congress, which this past year was of the order of $54
million—is that we provide to the Coast Guard a set of requirements, operating
requirements.
They, in turn, take those requirements and give us an operating plan, plus costs, for O&M
[operation and maintenance] costs as well as normal operating costs. We negotiate that plan
and finally come up with a settlement, which then gets transferred to the Coast Guard for
operations.
In the case of the Polar Sea and operating in the Arctic, most of those operations were to
requalify crewmen for certification for operations.
We felt at the time of our negotiations with the Coast Guard—and we came to agreement—
that taking the Polar Sea into deep ice was risky, because of the possibility of serious
damage, so that it seemed to be more prudent to transfer crewmen who needed to be certified
for ice operations to the Healy, since the Healy was operating in deep ice.
Those crewmen did achieve their service on the Healy. They did get certified. So, as an
alternative set of conditions, that seemed to be the best decision we could arrive at, at that
time.
Representative Cummings: So the—basically, because the Polar Sea is old, you were
concerned?
Dr. Bement: Well, we usually have the Polar Sea for backup service. And in many cases,
you need two ships, because it’s hard enough from season to season how thick the ice is
going to be. And if the ice is sufficiently thick, you need a backup vessel. Also, if one of the
ships gets damaged, you need the backup vessel to take over the operation.
If the Polar Sea, operating on its own in the Arctic, had gone into deep ice and had
undergone serious damage that required lengthy maintenance, that would almost knock out
all capability for icebreaking in the Antarctic for another year, or perhaps longer.
So, we’ve been trying to not only deploy our assets, but also to protect our assets in the most
prudent way, by not putting them in risk where other alternatives would serve. So, that was
the basis for our decision.
Representative Cummings: Did you have a comment, Mr. Treadwell?
Mr. Treadwell: I—we’ve talked to the Coast Guard and we’ve talked to the National
Science Foundation, and I have no contradiction with what Dr. Bement has said.
What I will say is that, if we’re in a situation where we can’t put our Polar Class icebreaker
into the ice, because we’re afraid we’ll break it, that’s probably prima facie evidence that we
need a new icebreaker. And because we probably should have two backing it up, I think that
particular episode is a very good piece of evidence for Congress to take action on this issue.66

66 Transcript of hearing.
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Appendix C. NSF Use of Coast Guard vs. Other
Polar Icebreakers

This appendix presents excerpts from the July 16, 2008, hearing on Coast Guard icebreaking
needs that relate to the question of the NSF’s use of Coast Guard polar icebreakers versus other
polar icebreakers to support its research activities.
Excerpts from NSF Statement for July 16, 2008, Hearing
The prepared statement of Dr. Arden Bement, Jr., Director of the NSF, for the July 16, 2008,
hearing on Coast Guard icebreaker needs stated in part:
NSF responsibilities in the Arctic and in Antarctica take somewhat different forms, and with
the Committee’s indulgence I’ll explain briefly how they differ with respect to icebreaker
requirements. But in both cases the question of how best to meet those responsibilities boils
down to consideration of three factors: cost, performance, and policy.

NSF REQUIREMENTS IN THE ARCTIC
NSF supports research on the Arctic Ocean, atmosphere, and land areas, including marine
and terrestrial ecosystems and their relationships to the well-being of local populations. In
addition to research in individual disciplines, support is provided for interdisciplinary
approaches to understanding the Arctic region, including its role in global climate. Over the
last decade, changes have been measured in the distribution of polar ice cover, in
atmospheric composition, Arctic Ocean conditions, some terrestrial parameters, as well as in
northern ecosystems. Residents of the North are seeing these environmental changes affect
their lives. It is important to determine whether these changes correlate to a short-term shift
in regional atmospheric or ocean processes or whether they are the result of longer-term
global change.
In the Arctic, science on land and in coastal areas tends to be based at a few sparsely
distributed, remote outposts, and in many cases access by ship is the most advantageous
means, even for projects that are not inherently oceanographic. In its few years of service,
the Coast Guard icebreaker Healy has supported research in a variety of areas including
biology, sea ice, marine geology and geophysics, cartography, physical and chemical
oceanography and atmospheric science.
As research has advanced and become more technologically sophisticated, NSF has
increasingly relied on coordinated international multi-ship expeditions to access the Arctic
region and laboratory facilities. For example, while the USCGC Healy does have the
capability to work alone in the deep Arctic during summer, any vessel by itself is more risky,
making multi-ship arrangements necessary in lieu of an icebreaker research platform with
more robust capabilities. The USCG Polar Sea and Polar Star have sufficient icebreaking
capability to operate in the deep Arctic, but they have limited research capabilities , by
design, and have been needed in the Antarctic. International collaborations also have become
necessary, as the demands for research aboard the Healy have intensified. Recent
international partnerships with Sweden involving their icebreaker, the Oden; and with
Germany and their icebreaker, the Polarstern; have been highly successful, as have
collaborations by NSF, National Oceanic and Atmospheric Administration (NOAA) and
other agencies with various Canadian, Chinese, Russian and other ships.
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Arctic Requirements: Ship Cost and Reliability
According to information provided by the Coast Guard, over the past decade NSF has
typically used approximately 90 percent of the 185-200 days current USCG deployment
standards allow Healy to spend at sea. Science programs are limited by the ship time
available on the USCGC Healy and also by the number of berths available for science. Healy
can accommodate up to 50 scientific personnel in addition to its operational Coast Guard
crew of about 80. Other nations’ research icebreakers with comparable icebreaking
capability typically operate with crews half the size of Healy’s, with comparably greater
numbers of scientist berths.
The Healy also faces limitations in its icebreaking capacity, especially during the spring
when the ice coverage north of Alaska has been thick enough in some years (2004, 2005) to
beset the ship for several days.
Under the current arrangement, NSF is responsible for funding Healy operations and
maintenance while the Coast Guard is responsible for operating the ship and carrying out its
maintenance program. Coordination between the two agencies is arranged under an MOA in
which NSF provides the Coast Guard with a set of operational requirements annually based
on an interagency call for icebreaker needs and the Coast Guard responds with an operational
plan and cost estimate based on those requirements. Total Healy costs are approximately $24
million annually, or about $130,000 per day at sea in 2007.
I will return to the issues of cost, availability and policy shortly.
Plans have been underway for several years to construct a new ice-strengthened ship that
could support scientific studies in the waters around Alaska. NSF has assigned high priority
to building this ship, the Alaska Region Research Vessel (ARRV), and construction funds
were included in the President’s FY08 budget request for acquisition planning. It is estimated
that it will take 2.5 years to construct and deploy the ship once a shipyard contract has been
issued. The ship will be operated by the University-National Oceanographic Laboratory
System (UNOLS) which operates a number of research vessels. The ARRV, which will
replace the Alpha Helix, will be designed to work in up to 3 feet of ice. The ARRV will thus
be able to conduct research cruises year round in the Gulf of Alaska and the southern Bering
Sea; and in the summer, as far north as the Chukchi and Beaufort Seas during minimum ice
cover. During heavy ice periods in the Bering Sea, the ARRV would probably need the
assistance of the Healy. Estimated operating costs are about $20K—$30K/day. Arctic sea ice
has diminished significantly since the ARRV design was established and thus ARRV’s reach
now extends farther into the Arctic Ocean than had been anticipated, making the ship even
more valuable to the research community.
Finally, we need better access to the deep ocean in the Arctic. Options for supporting
research in the deep Arctic should be integral to any study of future icebreaker needs.
In conclusion, the Healy is a capable and relatively new ship that can be the mainstay of U.S.
Arctic Ocean research for years to come. However, under the current operational model the
operating costs are significantly higher than non-military research icebreakers and its
capability as an all-seasons deep arctic research platform is also limited.
NSF REQUIREMENTS IN ANTARCTICA
NSF provides approximately 85 percent of the U.S. funding for fundamental research in the
Antarctic and the southern ocean. This research addresses a wide array of topics across many
disciplines. For instance, researchers are studying topics as wide-ranging as the evolution of
the ozone hole; the impact of extreme environments on gene expression; the effects of
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ultraviolet radiation on living organisms; the relationship between changes in the ice sheet
and global sea level; global weather, climate, and ocean circulation; the role of Antarctica in
global tectonics and the evolution of life through geologic time; and the early evolution of
our universe, as well as its current composition.
This research requires access to ships serving two quite different functions: multi-purpose
icebreakers that can operate in the Southern Ocean as research platforms that also resupply
our coastal Palmer Station on the Antarctic Peninsula; and heavy-duty icebreakers that can
open a resupply channel through fast ice to McMurdo Station. From McMurdo, supplies are
transferred to the U.S. research station at the South Pole and to temporary remote field
stations at various points on the continent. These two requirements are met in quite different
ways.
Antarctic Ship-Based Research Platforms: Ship Cost, Availability and Policy
U.S. Antarctic Program ship-based research and Palmer Station resupply depend primarily
on two privately-owned vessels, the Laurence M. Gould (LMG) and the Nathaniel B. Palmer
(NBP).
The NBP is leased by NSF’s prime contractor, currently Raytheon Polar Services Company
(RPSC), from the Louisiana-based shipping company, Edison Chouest Offshore (ECO). The
vessel was built to specifications developed on the basis of input from the science
community. The ship is an ABS A2 icebreaker capable of breaking 3 feet of level ice
continuously at 3 knots, with 13,000 shaft horsepower and a displacement of 6,800 long tons.
It is outfitted with all of the winches and A-frames necessary for deploying and retrieving
oceanographic instrumentation. The vessel is fully outfitted with on-board oceanographic
instrumentation and a networked computer suite, including multi-beam sonar, and has 5,900
ft2 of lab space and 4,076 ft2 of open deck space for oceanographic work and staging and a
helicopter pad and hanger.
The NBP averages 300 days a year underway in support of science.
As is the case for the NBP, the Laurence M. Gould is leased by Raytheon from Edison
Chouest Offshore (ECO). Also like the NBP, the vessel was designed and built on the basis
of input from the science community. The ship is smaller than the NBP and has less ice
breaking capability, as it was designed to operate in the more benign ice regions surrounding
the Antarctic Peninsula. The ship is an ABS A1 ice-strengthened vessel with 4,600 shaft
horsepower and a displacement of 3,400 long tons and can break one foot of level ice at a
continuous 3 knots. It is fully instrumented with on-board oceanographic instruments and a
networked computer suite. The LMG has the dual purpose of supporting oceanographic
science and providing re-supply to Palmer Station, located on the Antarctic Peninsula. It
should be noted, however, that the LMG will soon be at the end of its service contract. NSF
recently issued a request for proposals to procure a replacement for the LMG.
The LMG averages 320 days a year underway in support of scientific research and associated
logistics.
Annual costs for the NPB and LMG in 2007 were $16.3M and $7.5M, respectively, resulting
in respective day costs of $54.3K and $23.4K for these ships.
Antarctic Station Resupply: Ship Cost, Reliability and Policy
As noted above, the resupply of the McMurdo and South Pole Stations, as well as of
temporary remote field stations in Antarctica, depends on gaining access to the McMurdo
pier through the ice in McMurdo Sound. Since 1988 the channel was opened by one U.S.
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Coast Guard Polar Class vessel (either the Polar Star or the Polar Sea), but more recently
two icebreaking vessels have been needed due to extreme ice conditions and concerns about
the reliability of the aging Polar Class vessels.
After opening the channel, the icebreaker escorts two resupply vessels, a government-owned
tanker and a chartered freighter, to and from the ice pier at McMurdo. These resupply vessels
are ice-strengthened vessels under the operational control of U.S. Transportation Command’s
(USTRANSCOM) Component Command, Military Sealift Command. (Military Sealift
Command utilizes commercial contracts for construction, maintenance and staffing of
vessels. As a result, MSC operates a fleet of cargo ships and tankers that are contractor-
owned and operated or government-owned and contractor-operated.)
In FY05, acting on advice from the Coast Guard that a second icebreaker should be brought
in to assist the Polar Star due to extreme ice conditions in McMurdo sound, NSF chartered
the Russian icebreaker Krasin for the purpose. The Coast Guard’s Polar Sea was undergoing
repairs and no other U.S. icebreakers were available, as the Healy was needed in the Arctic
to support research. Italso lacks both the maneuverability and performance for the McMurdo
break in. In FY06 the Polar Sea was undergoing extensive repair. NSF again chartered the
Russian icebreaker Krasin and held Polar Star in reserve (and eventually brought it in to
assist in the final stages of the break-in). The situation was similar in FY07. Polar Sea was
ready for duty but the Coast Guard recommended that a backup vessel again be employed
due to continuing extreme ice conditions. NSF therefore arranged to use a Swedish research
icebreaker (the Oden) under the auspices of the U.S. - Sweden S&T Agreement, both to open
the channel to McMurdo Station and to host a joint U.S. - Swedish research expedition
aboard the ship in the Southern Ocean. Polar Sea assisted with the final stages of the
McMurdo break in. Based on the excellent performance of Oden in FY07 and the success of
the joint research program, NSF elected to use the Oden again in FY08, this time as the
primary icebreaker, holding the Polar Sea in reserve where it could also respond to any
needs for its services in the Arctic. The Polar Sea deployed to the Arctic in FY08 in order to
maintain crew proficiency.
The USCG has performed its icebreaking mission in Antarctica with distinction for many
decades, but with increasing difficulty in recent years. Its two Polar Class icebreakers are
nearing the end of their estimated service lives and are becoming increasingly difficult and
costly to keep in service. According to the USCG, there are several years of service life in
the Polar Sea, but the Polar Star has now been placed in caretaker status per agreement with
USCG in view of the decreasing need for her services and the high cost of putting her back
into service. The need to rely, first on the Krasin and then on the Oden has already been
mentioned as has the need to keep the Polar Sea available to meet the needs in the Arctic and
perhaps as occasional backup for the annual McMurdo Station break-in. Given this state of
affairs, NSF has given careful consideration to how best to meet the needs of the scientific
community over the long-term.
Under the current arrangement between NSF and the Coast Guard, NSF provides all the
funding for USCG icebreaker operations and maintenance in support of scientific research,
and the Coast Guard carries out those duties. NSF provided just under $54M for operation of
the USCG polar class icebreakers in 2007. In addition, NSF provided approximately $7.5
million out of its base budget for fuel and charter of Oden. When chartering commercial
vessels such as the Krasin and the Oden, NSF pays only for the time that the ships are under
charter.
USE OF COMMERCIAL SHIPS AND MODELS/MODES OF OPERATION
As noted above, NSF has met the research community’s need for research platforms in the
Southern Ocean through long-term contracts with private firms for ice-strengthened ships
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and icebreakers and through partnerships that provide access to other country’s research
vessels. For resupply of McMurdo and South Pole Stations, NSF has depended until recently
entirely on U.S. Coast Guard icebreakers secured through reimbursement arrangements, and
on chartered Military Sealift Command capabilities. More recently, NSF has had to arrange
for chartered vessels to complement USCG capabilities. In the Arctic, NSF has relied on the
Coast Guard’s Healy and on partnerships with other countries. Once constructed and
commissioned, the Arctic Regional Research Vessel (ARRV) will significantly increase the
capacity for ship-based research in the coastal Arctic regions and where ice cover is
relatively thin.
A variety of models have been and are being used by the U.S and other countries for meeting
polar icebreaker needs. The U.S. Coast Guard and the Chilean and Argentinean Navies
operate their icebreakers using military personnel. Some countries build their ships to meet
military specifications and others do not. The German research icebreaker, the Polarstern, is
owned by the government but operated by a private contractor. The Swedish government’s
operational arrangements for the Oden are similar to the German model. Both the Oden and
the Polarstern are able to operate more than 300 days annually as a consequence of ship
design and mode of operation. The Arctic Regional Research Vessel (ARRV) will be
operated by civilian crews under contract to the University-National Oceanographic
Laboratory Systems (UNOLS).
As noted above, NSF employs a contractor to operate and maintain the privately-owned
Laurence M. Gould and Nathanial B. Palmer. The ships were built under a long-term lease
agreement between the ship-owners and the Federal government, such that the construction
costs are partially amortized over the duration of the lease (with the ship reverting to the
owner at the government’s option at the end of the lease). These ships also operate more than
300 days annually.
Finally, and as noted previously, the Military Sealift Command meets its needs (and those of
NSF’s for transport to McMurdo Station) either through commercial charters for ships and
crews, or through government-owned, contractor-operated arrangements.
MEETING FUTURE NEEDS
International cooperation to provide icebreaker research platforms is expected to increase,
both in arranging multi-ship expeditions and in sharing platforms. Certainly as Germany and
the European community move forward in constructing the planned Aurora Borealis, NSF
will work to establish mutually beneficial partnerships.
NSF’s commitment to polar research and its responsibility for management of the U.S.
Antarctic Program remains constant and therefore perpetuates the need for an icebreaker to
open the shipping channel through the Ross Sea to enable resupply of the McMurdo and
South Pole stations. Because opening the channel to McMurdo requires only a fraction of the
time a modern icebreaker can operate annually, there may be interest among shipbuilders in
providing icebreaker services to NSF under a contract in which the builder can lease the ship
to others (other countries or private firms) during the remainder of the year.
An interagency working group co-led by the Department of State and the National Security
Council is currently reviewing U.S. Arctic policy, and icebreaking needs will likely figure
into the new policy. Clearly, the economics and efficiencies of the various acquisition and
operating models merit further study and will depend on the suite of validated requirements
put forth in the policy review. For research in the Arctic, the Healy should be a mainstay for
many years to come, though its utility is restricted by its 200-day operational limitation. The
Healy’s inability to access the deep Arctic during periods of heavy ice cover is another
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limitation. These limitations, combined with a military deployment mode, make the Healy as
currently operated, a very expensive way to meet the needs of the research community.
And as noted above, once in service the ARRV will be a valuable additional resource for
Arctic research.
For Antarctic research the issues are different. The two existing Coast Guard Polar Class
ships are at or close to the end of their service life. The Polar Star is in caretaker status, and
the Polar Sea is expensive to maintain relative to the costs for the use of foreign, non-
military ice breakers over the past several years such as the Russian Krasin and Swedish
Oden. The overriding question is how to open the channel through the ice to McMurdo
Station so that year-round operation of the nation’s McMurdo and South Pole stations can
continue. This year-round occupation is central to demonstrating the “active and influential
presence” which is the cornerstone of U.S. policy in Antarctica as articulated in Presidential
Memorandum No. 6646 on U.S. Antarctic Policy and Programs (February 5, 1982). Other
factors contributing to this presence are the 600 days annually that NSF’s research vessels,
the LM Gould and the NB Palmer, operate in Antarctic waters; the approximately twenty C-
17 Air Force flights annually that fly passengers and cargo between New Zealand and
McMurdo; and the more than 400 Air National Guard LC-130 flights annually that provide
transportation for people and equipment throughout the continent. Furthermore, NOAA
charters the Russian R/V Yuzhmorgeologiya approximately 100 sea days per year in support
of its Antarctic program. This program focuses on living marine resources at the Antarctic
Peninsula in support of U.S. interests at the Commission for the Conservation of Antarctic
Marine Living Resources (CCAMLR) to which the United States is signatory.
In considering how best to insure the continued annual resupply of McMurdo Station and to
meet our responsibility for the entire U.S. Antarctic Program, NSF operates in accordance
with U.S. Policy and the instructions contained in Presidential Memorandum No. 6646, that
“Every effort shall be made to manage the program in a manner that maximizes cost
effectiveness and return on investment.”
The Arctic policy review will certainly help inform future icebreaker discussions, but even if
a decision were made today to build or refurbish an icebreaker, it would be years before the
ship got underway. Accordingly, to meet its ongoing requirements in a cost-effective means,
NSF has made arrangements to lease an icebreaker from Sweden (NSF signed a 5-year
agreement with Sweden for a joint research program in the Southern Ocean with Sweden
additionally providing break in services for the USAP.). NSF sees a need to keep the
USCGC Polar Sea available to meet needs in the Arctic and perhaps as occasional backup for
the break-in to McMurdo Sound. This, however, is clearly only a short-term solution. With
an eye looking to the long-term, and after consultations with officials in OSTP and OMB, I
wrote on May 31, 2006, to the chair of the NAS/NRC icebreaker study, Dr. Anita Jones, as
follows: “Given the rapidly escalating costs of government providers for icebreaking services
and the uncertain availability of USCG icebreakers beyond the next two years, it is NSF’s
intention to ... [seek] competitive bids for icebreaking services that support the broad goals
of the USAP. This competition will be open to commercial, government, and international
service providers.” The request for proposals will not be for ships but rather for services and
we would expect the service providers to use their ships for other purposes when not in
service to meet NSF needs. Thus the cost to the Foundation could be substantially reduced.67

67 Testimony of Dr. Arden L. Bement, Jr., Director, National Science Foundation, Before the House Committee on
Transportation and Infrastructure Subcommittee on Coast Guard and Maritime Transportation, July 16, 2008, pp. 2-8.
Italics as in original. This excerpt constitutes the majority of Dr. Arden’s 8-page prepared statement.
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NSF Spoken Testimony at July 16, 2008, Hearing
During the question-and-answer portion of Dr. Bement’s testimony, the following exchange
occurred:
Representative Cummings: Mr. Bement, are the vessels currently available to the National
Science Foundation, from the contract community and from foreign sources, capable of
handling current ice—Europe agencies—current icebreaking needs to support research in the
polar regions?
Dr. Bement: We believe so, but we haven’t fully tested that.
Two years ago, we put out a Request for Information [RFI]. And as a matter of fact, it was
through these RFIs that brought us the Krasin from Russia and the Oden from Sweden. And I
should point out parenthetically, these are not agreements between the National Science
Foundation and a private contractor. It’s a government-to-government agreement.
And in the case of the Swedish Oden, it also carries with it a science agreement. It’s a
science exchange, because the Oden is capable of doing science, and there’s a very active,
collaborative activity between U.S. scientists and Swedish scientists in working the Southern
Ocean. And so, the Oden, while it’s deployed in the Southern Ocean, is also there for
science, as well as a break-in.
I think that if we were to put out an RFI and ask those questions, based on the responses we
got in the past, we would probably find expressions of interest, even private interest, that
would build-to-lease icebreaker services over a period of time.
Representative Cummings: So, is it fair to say that NSF doesn’t care where it gets its
icebreaking services?
Dr. Bement: Our only—our only mandate, by presidential directive, is to operate in the
Antarctic and in the logistics support of the Antarctica Program in the most cost-effective
way possible. And, of course, the most cost-effective way carries with it a lot of conditions
and a lot of options. So, we explore all those options in determining how we can operate
under least cost.
Representative Cummings: But you mentioned Sweden and Russia, did you say?
Dr. Bement: Yes.
Representative Cummings: Were they—were they cheaper?
Dr. Bement: Four years ago, we did have the problem where the Polar Sea was out of
operation. As a matter of fact, since that time, we have invested $29 million in extraordinary
maintenance in order to get the Polar Sea back into operation. And that’s why we call it a
fragile resource.
Now, at that time, it was agreed by the Coast Guard that we needed a backup vessel. And it
was then that we put out an RFI and discovered that the Krasin was available. And so, we
contracted with Russia. The Krasin is a GOCO vessel. It’s government-owned, contractor-
operated, as is the Oden. The Oden is also GOCO. It’s government-owned, contractor-
operated.
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So, for two seasons, we backed up the Coast Guard with the Krasin. And then, two years ago
we shifted to the Oden, because there was an expression of interest on the part of Sweden to
enter into a U.S.-Swedish science exchange in return for also using the icebreaker for break-
in services. And that was a very generous offer that we took advantage of.
So, that gave us the adequate primary break-in capability, and it allowed us to use the Coast
Guard as the backup. And so, that’s the way we’ve operated for the last two seasons.
Representative Cummings: Before we go to Mr. Oberstar, let me just ask you this. Is the—
you said you spent $29 million? And over how much—over what course of time?
Dr. Bement: It’s over four years.
Representative Cummings: How long?
Dr. Bement: Four years.
Representative Cummings: Four years.
Dr. Bement: About four or five years. But I can give you more detailed information for the
record, to give you all the details.
But if you go back about 4.5 years ago, the Polar Star was operational. The Polar Sea was
not fully operational. It required extensive maintenance. So, we invested in getting the Polar
Sea back into operational capability.
And at that time, the Polar Star then underwent some damage. And so, it was then that we
put Polar Star in caretaker status. And it was the expectation, based on the repairs that we
had made in the Polar Sea, that it was good for another seven or eight years, as long as we
used the resource prudently.
Representative Cummings: And would you deem it prudent to contribute capital costs for
the building of a new icebreaker?
Dr. Bement: I think at this point, based on my understanding of the mission space, that the
Coast Guard has, especially with the opening up of the Arctic over time, that it would be a
prudent course of action.
But my estimate or judgment would be that, even if the funds were approved tomorrow, it’d
take about eight years to complete the construction of the vessel and make it operational.
And we still have to—we still have to plan our course of action for the next eight years, and
that’s where we need flexibility.68
Later in the question-and-answer portion of Dr. Bement’s testimony, the following exchange
occurred:
Representative Oberstar: The Finns built the first nuclear-powered icebreaker. They had to
give it to the Soviet Union as war reparations after World War II. And then they continued to
build the class of vessels. And they also build a standard, that is non-nuclear vessel, the most
powerful of which is the Urho, built at the Wartsila shipyards in Helsinki.

68 Transcript of hearing.
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And that had—that has—it’s still in operation—65,000 shaft horsepower capability. And
they also developed the air skin around the vessel to slip more readily through the ice and the
ability to ship 400, 500 tons of water from one side to another, to roll through and crush, as
well as break ice.
Did you give any consideration to working with the Finns on...
Dr. Bement: Well, let me...
Representative Oberstar: ... icebreaking needs?
Dr. Bement: Thank you for bringing up that information. It turns out that the Oden was built
by the Finns. So, it could be a sister ship to the one you’re describing.
Representative Oberstar: Oh. Oh, well, very good. They’re the master ship—icebreaker...
Dr. Bement: That’s right.
Representative Oberstar: ... icebreaking ship builders.
Dr. Bement: The difference—a major difference between the Oden and the Polar Sea—and
the Polar Star, for that matter—is that the Oden can use fresh water for ballast.
The Polar Sea uses fuel for ballast. That fuel has to come out of our McMurdo stock
whenever the Sea or the Star operates in McMurdo, so there’s a million gallons. And with
the price of fuel, even at the pump, that’s $4 million. And you can use your imagination what
fuel costs after you get it all the way down to McMurdo.
And that’s an incremental cost that we pay to the Coast Guard that’s over and above the
appropriated funds that we provide them for readiness to serve and for operation and
maintenance.
So, that’s where the difference really comes in, in using the Oden versus the Polar Sea or the
Polar Star.
The other big difference is that, because the Coast Guard icebreakers are military ships and
have multiple missions, they have a much larger crew strength. Their manning is about 134
crew, officers and crew, compared with 18 on the Oden.
And it’s important to keep in mind that, as a contractor-operated vessel, these people are
career icebreakers. They’ve served for years, so they are highly professional. And that’s in
comparison with the crew on the Polar Sea, where the Coast Guard has to spend an
enormous amount of time and effort to continually requalify crew, because of the turnover in
the manning of the icebreaker.
Now, there are many other differences that make the Oden a very good bet for the taxpayer.
First of all, it has much more scientific berthing for scientists, and it also has abundant
laboratory space and full instrumentation for oceanographic research. And that’s a reason
why it’s of great interest to us as a science vessel.
So, we not only get the service of the Oden—on a fixed-price basis, incidentally—if
anything breaks on that ship, or any maintenance has to be done, or if there are any other
operating expenses that weren’t anticipated, it’s all covered under the fixed price, under the
contract. We don’t have to pay that additional cost.
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Representative Oberstar: What you’re really saying is, you don’t really need to have an
NSF-owned icebreaker. It’s probably lower cost and more efficient...
Dr. Bement: Well, the only...
Representative Oberstar: ... to (inaudible) with the current arrangement.
Dr. Bement: The current arrangement is a good one, because we’re only paying for the time
we use. In other words, if it’s only in use for two months, we only pay for two months of the
use of the vessel.
That’s much better than owning a vessel for a short season down in the Antarctic. And that’s
a reason why having flexibility to look at various types of icebreaking providers—and in
many cases we’ll have to fall back on the Coast Guard, there’s no doubt about it, if the need
arises and we can’t get other bidders.
But when we can get other bidders, it—it’s much better than the current arrangement where
we have to pay for the entire year, for the vessel, for the maintenance, the crew costs, the
operation—I mean, the training of the crew, the readiness to serve—when we’re only using it
for a relatively short season.69
Still later in the question-and-answer portion of Dr. Bement’s testimony, the following exchange
occurred:
Representative Richardson: I’d like to build a little bit upon what our Chairman Oberstar
was just referencing, regarding the foreign-flagged ships.
You know, someone taught me an old saying. They said, if you have to make a decision, do
the old-fashioned Ben Franklin, and do a positive and a negative.
And I was just a little curious of why were we supporting really another country’s being able
to build up their fleet, and have, as Mr. Oberstar has shared, you know, can do it all, when
we clearly have a fleet that is not adequate? Why wouldn’t we be putting the money into our
own fleet?
Dr. Bement: Well, I’m very sensitive to that point of view. And I don’t take any issue with
the question. I just don’t have a very good answer for it.
Representative Richardson: Well, I’d like to suggest that we may want to consider, when I
was referencing the kind of Ben Franklin pros and cons, the contractor idea, you know, sure,
you might save a few bucks.
But for me, the plus and minuses for the Coast Guard, number one, we have better security,
because from what I understand on our ships, we have more people who are actually on the
vessel. And by having the Coast Guard, they’re not only doing the icebreaking, but they’re
taking care of other tasks.
And if we were to pay for those independently, and you include the cost of icebreaking, it
actually ends up costing us more.
The second point is jobs—I mean, if we’re actually building these.

69 Transcript of hearing.
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Third would be a faster response, if we have a national disaster. This gentleman just talked
about the fact that, you know, it was said, help is coming.
Well, I’ve got to tell you. If someone in Finland or Sweden has to choose between their issue
and ours, and we have a national disaster, they’re going to their home first. They’re not
coming to us.
And then, the whole building and maintenance of our own fleet. We need to maintain some
of our own independence, because God forbid, we don’t want to be stuck with having no
fleet, or a fleet that’s not really appropriate, if we unfortunately come into a time of war. And
maybe now we no longer have that relationship, and they’re not willing to work with us.
So, Mr. Chairman, I would just like to really push back that, as we consider—and I’ve been
listening to the thoughts of the discussion of the hearing thus far today. It seems like there is
a will to have these additional fleets on our end.
But I’d just like to really push the point for the reasons that I just gave. We need to be more
self-dependent, independent ourselves, and not relying upon some other country to bail us
out.
I don’t think that that’s what America is about. And I don’t think, if you had a choice, that
would be probably where you would want to go.
Do you have a comment on that?
Dr. Bement: Well, I think, again, that’s a matter of national policy. And the National
Science Foundation is probably the last agency that ought to be involved in those kind of
determinations.
Our focus is to carry on frontier science and to do it in the most cost-effective way possible.
And I think you rightly pointed out that the mission space for icebreaking is suddenly
expanded. If I look at the Congressional Research Service report, they had five particular
missions—five specific missions for icebreaking—and we were bullet number one. But there
were four bullets underneath. And those are totally out of the scope of the National Science
Foundation.
So, that’s the only way I could answer your question. But again, I’m very sympathetic to
your point of view.
Representative Richardson: Well, not only sympathetic. We might make a little money,
because then we could contract ourselves. That would be a novel idea for us.
Dr. Bement: And I might point out, incidentally...
Representative Richardson: I’m sorry?
Dr. Bement: And I might point out, incidentally, that the National Science Foundation is not
the only federal agency leasing ships from the Swedish.
Representative Richardson: Oh, I understand.
Dr. Bement: The Department of Defense is leasing—they’ve leased a submarine and they’re
leasing a merchant vessel from the Swedes to help in their operations in the Middle East.
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So, it’s—you know, the military in-service sealift command is also involved in leasing
vessels from other countries in the world, and...
Representative Richardson: Sir, I’ve down to 30 seconds. I didn’t mean to insinuate that
you’re not the only agency that’s doing it. It’s just—it’s something I don’t particularly
happen to agree with, and would prefer to see us doing less of.
Mr. Chairman, would you allow me 30 seconds to hear Mr. Weakley’s comments on that
question?
Representative Cummings: Yes.
Representative Richardson: Thank you, sir.
Mr. Weakley:70 May I? There’s no question, I represent American sailors. I think we have a
proud tradition. We have a proud tradition, not just of going to sea, but I think we build the
finest ships in the world. I think the U.S. Merchant Marine and our shipbuilding capability
won World War II.
I’d be happy to take that mission. I think the labor unions that I work with sitting behind me
would welcome the opportunity to man those ships. If it’s a mission that the Coast Guard
can’t handle and it’s seen as more of a private sector, we’re ready to step up and meet that
challenge.71

70 James Weakley, President of the Lake Carriers’ Association and Vice President of the Great Lakes Maritime Task
Force, who was another witness at the hearing.
71 Transcript of hearing.
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Appendix D. May 2008 Memorandum from DOD
Combatant Commanders

This appendix reprints the text of a May 21, 2008, memorandum for the Chairman of the Joint
Chiefs of Staff on the topic of icebreaker support signed by three DOD combatant commanders,
each a 4-star general or flag officer.72
MEMORANDUM FOR CHAIRMAN, JOINT CHIEFS OF STAFF
FROM: CDR USPACOM / CDR USTRANSCOM / CDR USNORTHCOM
SUBJECT: Icebreaker Support
1. The United States has enduring national, strategic, and economic interests in the Arctic
and Antarctic. In the north, the United States is an Arctic nation with broad and fundamental
national security interests. In addition to the essential requirements for homeland security
and maritime domain awareness, the effects of climate change and increasing economic
activity require a more active presence in this maritime domain. In the south, the United
States maintains three scientific stations. While the mission of the stations is largely
scientific, their presence secures the United States’ influential role in the Antarctic Treaty
decision making process and maintains the balance necessary to maintain our position on
Antarctic sovereignty.
2. To assert our interests in these regions, the United States needs assured access with
reliable icebreaking ships. Today, however, two of the three Coast Guard icebreakers are
nearing the end of their service lives, with one relegated to caretaker status. Over the past 10
years some routine maintenance has been deferred and there is no service life extension
program for these ships. As a result, the nation’s icebreaking capability has diminished
substantially and is at risk of being unable to support our national interests in the Arctic
regions. An example of our reduced icebreaking capability is last season’s McMurdo Station
resupply mission where USNS GIANELLA spent 50 hours in pack-ice awaiting escort from
a leased Swedish icebreaker.
3. In summary, icebreakers are essential instruments of United States policy in the polar
regions. We therefore recommend Joint Chiefs of Staff support for the following:
—A program for the construction of new polar icebreakers to be operated by the Coast
Guard.
—Coast Guard funding to keep existing icebreakers viable until the new ships enter service.
—Sufficient Coast Guard operations funding to provide increased, regular and reliable
icebreaker presence in the polar regions.

72 Memorandum for Chairman, Joint Chiefs of Staff, from CDR USPACOM / CDR USTRANSCOM / CDR
USNOTHCOM, Subject: Icebreaker Support. The Navy Office of Legislative Affairs provided CRS with a copy of the
memorandum on September 11, 2008.
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[signed]
Victor E. Renuart
Norton A. Schwartz
Timothy J. Keating
General, USAF
General, USAF
Admiral, USN
Commander
Commander
Commander
U.S. Northern
U. S. Transportation
U.S. Pacific Command
Command
Command
cc :
Commandant, U.S. Coast Guard

Author Contact Information

Ronald O'Rourke

Specialist in Naval Affairs
rorourke@crs.loc.gov, 7-7610


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