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                    <text>Legally in situ: legislative allowance for the practical
application of in situ preservation pertaining to marine
archaeological materials
Debra Shefi1
‘The protection of underwater cultural heritage through in situ preservation shall be
considered as the first option. Accordingly, activities directed at underwater cultural heritage
shall be authorized in a manner consistent with the protection of that heritage, and subject to
that requirement may be authorized for the purpose of making a significant contribution to
protection or knowledge or enhancement of underwater cultural heritage’ (2001 Convention:
Annex, General Principles, Rule 1).

Abstract
The protection of underwater cultural heritage (UCH) often falls prey to interpretation of, or
exclusion from, the law. With the ratification of the 2001 United Nations Educational, Scientific
and Cultural Organization’s (UNESCO) Convention on the Protection of the Underwater
Cultural Heritage (2001 Convention) encouraging the use of in situ preservation as the
preferred option for managing these submerged sites, there is a need for a more refined
guideline as to what constitutes in situ preservation within the 2001 Convention. Cultural
heritage managers utilise a number of proactive and reactive in situ preservation methods
with the intent to establish and maintain a stable environment for submerged cultural material,
which can only be employed if the State Party has supporting legislation.
Within the
Asia Pacific region, the degree of State Party laws pertaining to the protection of UCH ranges
from being in compliance with the rules and principles outlined by the 2001 Convention to
contradicting the fundamentals within the document outright. Furthermore, terminology found
within State Party laws varies from terminology found within the 2001 Convention, which
further differs from terminology used by practitioners. With this in mind, it is necessary to try
and bridge the gap between written definitions found in international texts and laws with the
practitioners’ application of in situ preservation in order to strengthen the relationship between
language and practice for the purposes of more efficiently supporting the management of
underwater sites. This paper will focus on terminology within the Asia Pacific region pertaining
to UCH management by examining the differences between legal boundaries and best
management strategies. This paper will specifically look at terminology within regional
domestic laws, discuss Rule 1 of the Annex, and address how amending terminology within
these texts may benefit the region.

Introduction
Heritage, along with the debate surrounding its ownership, has existed as a
legal entity in various capacities for over a century. As an all-encompassing
term, heritage has been defined as both the tangible and intangible aspects of
society that are considered valuable enough to preserve and pass on through
the generations (Davison 1991; Schofield 2008; Smith 2006). More
specifically, the term can be broken down into individual facets, including
cultural heritage (together with underwater cultural heritage), natural heritage,
intangible heritage, industrial heritage, and ethnographic heritage
(UNESCO.org; Smith 2006; Rössler 2006; UNESCO 1972). Heritage can also
1

Flinders University, Department of Archaeology, Australia, Debra.shefi@flinders.edu.au

1

�be considered an aspect of history, a discourse, and a tradition, thus providing
a resource to better understand the past (Schofield 2008; Smith 2006). More
broadly, it is a useful term to describe what is remembered, practised,
continued and evolved throughout the ages.
Laws regarding the protection of cultural heritage within the Asia
Pacific region vary in degree of legal definition with regards to what
constitutes the term in accordance to age, material, location and ownership.
The different definitions have significant implications on the classification of
material, and therefore the extent of protection. This paper will focus on
identifying key phrases within State Party laws that are associated with
heritage found underwater, and how these relate to the General Principles,
Rule 1 in the Annex associated with the 2001 UNESCO Convention on the
Protection of the Underwater Cultural Heritage. The purpose of this
investigation is to consider the need to amend specific terminology or
definitions of terms within the 2001 Convention’s Annex in order to provide
stronger support for State Parties that have either ratified or agreed to the
rules and guidelines provided in the Annex. In order to do this, the discussion
will first set out which nations in the region have cultural heritage laws
specifically referencing UCH and the terminology applied within these texts.
Nations included in this study are based on UNESCO’s parameters for the
Asia Pacific region (UNESCO.org). The discussion will then continue by
reviewing Rule 1 followed by how the domestic laws relate to the Annex. It is
necessary to consider the relationship between domestic law and the 2001
Convention, and whether this relationship can be strengthened.

Asia Pacific as defined by UNESCO
UNESCO delineates Asia Pacific as the following countries:
Afghanistan
Australia1,2
1
Bangladesh
Bhutan
Brunei Darussalam
Cambodia1
1
China
Cook Islands
Democratic Peoples
Republic of Korea
Fiji
India
Indonesia
Islamic Republic of Iran
Japan
Kazakhstan
Kiribati

Kyrgyzstan
People’s Democratic
Republic of Lao
1
Malaysia
Maldives
Marshall Islands
Federated State of
Micronesia
Mongolia
Myanmar
Nauru
Nepal
New Zealand1
Niue
1
Pakistan
1
Palau
Papua New Guinea

Philippines1
Republic of Korea
Russian Federation
Samoa
Singapore
Solomon Islands
Sri Lanka
Tajikistan
Thailand
Timor-Leste
Tonga
Turkey
Turkmenistan
Tuvalu
Uzbekistan
Vanuatu
Viet Nam

1

State Party with laws referencing the protection of underwater cultural heritage within
general law.
2
State Party with specific laws referring to the protection of underwater cultural heritage.

Within the cultural heritage legislation of these countries, there is a
spectrum of protection for UCH. This ranges from specific protection of
archaeological material located beneath the surface of the seabed, through to
allowing treasure hunting by permit. There are forty-eight Parties listed above
2

�and only two have ratified the 2001 Convention: Cambodia and the Islamic
Republic of Iran. Many of the remaining nations listed above have agreed to
the Annex but because of political reasons or contradictions with their own
domestic laws, have yet to ratify the 2001 Convention. Of the forty-eight
countries, no cultural heritage legislation was found for fifteen countries, and
an English translation was not available for five countries. As a note, there
may be relevant heritage legislation for these fifteen Parties however no
mention of UCH laws could be found in English sources. Thirteen of the
twenty-eight English translations for the Parties have legislation pertaining to
the protection of cultural heritage in regards to water. Of the thirteen nations,
Australia is the only country to have specific UCH legislation, and this specific
legislation only pertains to shipwrecks (HSA 1976). None of these thirteen
nations refer to in situ preservation within their cultural heritage laws.
The most common terminology found within the domestic laws are in
regards to the location of heritage material – in internal waters, archipelagic
waters, and territorial waters. Of the thirteen Asia Pacific nations with
underwater references in their legislation, Malaysia and Sri Lanka reference
internal waters. Malaysia, for example, includes antiquities located in, ‘any
part of the soil or of the bed of a river or lake or of the sea’ (MAA 1976: Part
I.2.a), and includes any undiscovered antiquities, ‘lying on or hidden beneath
the surface of the ground or in any river or lake or in the sea’, to be ‘absolute’
property of the Malaysian government (MAA 1976: Part II.3.3). This legislation
however, does not reference preservation of these antiquities, merely the
location and ownership.
Terminology and phrasing regarding the location of State-specific
legally defined cultural heritage ranges from ‘on land and underwater’, to ‘on
ground or underwater', ‘to the Territorial Sea', and to ‘the Continental Shelf’;
however, active management regarding preservation is neither outlined nor
referenced. Examples of cultural heritage legislation consisting of these terms
include:
Bangladesh – Antiquities Act 1968;
Philippines – Cultural Properties Preservation and Protection Act 1974
and National Cultural Heritage Act 2009 (see Orillenada and
Ronquillo this volume);
Sri Lanka – Antiquities Ordinance 1956 (Revision);
Turkey – Conservation of Cultural and National Property 1983.
Cambodia has more specific laws stating that it is illegal to, ‘carry out
excavations or survey on land or under water, for the purposes of bringing to
light cultural property...’, without approval from the appropriate authority
(RPCH 1992: Section 8. Article 47; LPCH 1996: Chapter 2. Section 7. Article
40; see Heng Kamsan; Nady Phann this volume). China also extends
legislation regarding the preservation of ancient remains and relics out to the,
‘territorial seas within the boundaries of the People’s Republic of China’
(LPRC 1982. Chapter 1. Article 5), as does New Zealand under the Antiquities
Act 1975 (see Charter and Dodd this volume) and Viet Nam under the Law on
Cultural Heritage 2001. Again, these laws do not address specific methods for
managing the preservation of underwater cultural material.
Pakistan’s legislation, in contrast to many others, does provide some
framework regarding the survey and excavation of cultural heritage. The
Pakistani Archaeological Excavation and Exploration Rules 1978 (AEER)

�defines excavation to mean, ‘any research aimed at the discovery of an
antiquity, whether such research involves digging of the ground or is carried
out on the bed or in the sub-soil of inland or territorial waters of Pakistan’
(AEER 1978:2.1.b). The AEER also defines exploration to mean,
‘investigation, without digging; or surface, aerial or underwater operations
aimed at the discovery, survey or recording of an antiquity’ (AEER
1978:2.1.c). Furthermore, no significant archaeological materials found during
a survey or excavation can be, ‘destroyed, dismantled, removed or disturbed,
save with the previous permission’, nor can individuals, ‘mutilate, discolour,
disfigure, remove, dismantle or damage any antiquity found in the course of
excavation or exploration’ (AEER 1978:9.d and 9.f). Excavation can be a
destructive method of information extraction, and is potentially damaging to
the stability of underwater cultural resources. The AEER sets out that
practitioners who are surveying and excavating must, ‘take necessary
measures for safeguarding and preserving the site under excavation or
exploration during and between seasons of work’ (AEER 1978:9.m). This
implies in situ preservation without defining the specific parameters of
‘safeguarding and preserving’. This is an example where the integration of
the international 2001 Convention with a strengthened definition for in situ
preservation could support and encourage more active preservation under
domestic law. Of the laws mentioned above, the trend within domestic law
focuses on the location and ownership of heritage, not the management and
preservation of the sites.

UNESCO – Background on the 2001 Convention
One of the first events in initiating the development of the 2001 Convention
occurred during discussions leading up to the establishment of the United
Nations Convention on the Law of the Sea 1958 (UNCLOS). This was in
regards to the conscious omission of, ‘objects such as wrecked ships and
their cargoes (including bullion) lying on the seabed or covered by the sand of
the subsoil’, within the document (YILC 1957:298). The UNCLOS does
however stipulate that, ‘this article is without prejudice to other international
agreements and rules of international law regarding the protection of objects
of an archaeological and historical nature’, (1982: Article 303.4) – a proviso
that extends to include the 2001 Convention. As an institution, UNESCO, ‘is
the sole intergovernmental organization with near universal membership
which has a mandate to help States protect their cultural heritage’ (Engelhardt
2006:7). Although this agency encourages Parties to ratify the 2001
Convention, the process of ratification is long and arduous. More than 100
countries were present during the meetings to create the document, and
although these countries helped develop the outline and terminology applied
throughout the text, each nation had to sacrifice key points or terms that
complied with their domestic laws. With omissions and alterations, many
States were no longer able or willing to ratify the 2001 Convention. However,
they did often state that, ‘they [would] ensure that the Rules of the Annex are
implemented’ (Engelhardt 2006:7). Although ratification of the 2001
Convention is, for some countries, unrealistic in the near future, the

�participating bodies agreed that the 2001 Convention helps establish an
international standard and regulation specific to the management and
preservation of UCH (Englehardt 2006). To date, 40 State Parties have
ratified the 2001 Convention (UNESCO.org).

Part One of the Annex Framework
The General Principles outlined in the Annex to the 2001 Convention provide
rules regarding the protection of UCH. Rule 1 of the General Principles states
that in situ preservation is to be considered as the first option in managing
submerged cultural material. According to UNESCO, this means that objects,
‘should preferably be left on the seabed in their original location’
(UNESCO.org). Although in situ preservation is stated as the preferred
option, under certain conditions the removal of artefacts from on or beneath
the seabed may be acceptable as long as excavation can provide, ‘a
significant contribution to protection or knowledge or enhancement of
underwater cultural heritage’ (2001 Convention: General Principles, Rule 1).
By the broad UNESCO definition, UCH could be considered preserved
if it were left submerged in its current place of rest, either beneath the seabed
or resting on the seabed. While practitioners may not argue with this
statement, if the site is located in an exposed or dynamic environment, a
passive response will do nothing for the long-term protection and preservation
of the site. In order to more effectively manage the site, an appropriate
proactive in situ preservation method suited to the environmental conditions
should be applied. In this case, a clearer definition for best management may
include actively managing a site in its original location, ‘in order to extend its
longevity while maintaining original context and spatial position’ (Ortmann, et
al. 2010:28). If the material is degrading at a high rate due to exposure from
extreme tidal movement, sand movement, coastal erosion, looting, salvage,
construction, or marine organisms a proactive preservation measure suited to
the environment should be applied. This course of action leaves the site in
situ - thus falling under the stipulated best management practice – while still
allowing for and encouraging active management and preservation of the
UCH.
Since the 1950s, practitioners around the world have acknowledged
the importance of in situ preservation and experimented with a number of
different methods regarding the stabilisation of shipwrecks and associated
underwater material. These preventative and proactive in situ preservation
methods include backfilling, sediment dumping, hessian and polypropylene
sandbagging, deposition of ballast and stones, and the use of geotextiles,
artificial seagrasses, plastics, tyres, toxins, trenches, and iron and plastic
fences (Harvey 1996; Hosty 1988; Moran 1997a; Moran 1997b; Oxley 1998;
Sledge 1979; Waddell 2007). It may be difficult, however, to obtain support for
the application of these methods due to a lack of specific reference within
both domestic law and the 2001 Convention. UNESCO’s current definition
encourages ethical practices and promotes protection of cultural heritage,
however it does not provide specific guidance in methodology for in situ site
preservation.

�Any method of in situ preservation, whether proactive or reactive,
should reflect the importance of context as well as scientific site formation
processes, while helping to re-establish equilibrium at the site after exposure.
Research in countries such as Australia, Denmark, Sweden, the Netherlands,
and Canada have demonstrated that proactive in situ preservation helps slow
down the rate of decomposition by increasing the establishment of an
anaerobic environment (Bergstrand 2002; Björdal and Nilsson 2008; Curci
2006; Gregory 1998; Grenier 2007; Manders 2006; Manders, et al. 2005;
Nyström 2002). These various scientific data strengthen the argument for an
expansion of the definition of in situ preservation, and reinforces the
importance for the 2001 Convention to address specific methodological
approaches within internationally accepted standards for best practice. With a
lack of countries in the Asia Pacific region having domestic cultural heritage
laws specifically inclusive of heritage underwater, the broad acceptance of the
Annex, with suggested methodology, is a crucial step in more effective
preservation in the Region. Furthermore, those Parties with laws regarding
UCH will have a more comprehensive document to help support their own
laws in regards to more efficient and proactive site protection.

Parallel Terms between Entities
The 2001 Convention is a necessary adjunct to the UNCLOS in regards to
underwater archaeological material. The 2001 document extends State Party
jurisdiction beyond individual Territorial Seas to include waters within the
Economic Exclusive Zone (EEZ) and Contiguous Zone, up to the nominal
boundary of the Continental Shelf (2001 Convention: Article 8, 10.1, 10.2).
Under special circumstances, the jurisdiction of a State Party may extend out
into the Area (2001 Convention: Article 11.1). The 2001 Convention
establishes a framework that addresses the safeguarding and preservation of
UCH with the intent of helping to establish an international standard for the
survey, exploration, and management of submerged archaeological sites.
Restrictive economic circumstances that many nations face due to the
ongoing global financial crisis have implications on the management of
cultural heritage. Decisions around site preservation and protection methods
may be limited in this current environment. It is however still the responsibility
of individual countries to protect their own UCH by, ‘the best practical means
at their disposal and in accordance with their capabilities’ (2001 Convention,
Article 2.4). While the capabilities of individual Nations may vary, further
developing the definition of in situ preservation provided by UNESCO may
also introduce a greater onus on governments to consider their duty of care
by actively stabilizing sites under internationally accepted rules and principles.

Conclusion
One of the most important aspects of the 2001 Convention is that it
encourages international co-operation and fosters the exchange of
information and methodologies that improve the protection and preservation
of significant UCH. This information, in conjunction with domestic law within
the Asia Pacific region, helps practitioners better manage UCH at an

�internationally accepted standard. Rule 1 from the Annex, General Principles
identifies in situ preservation as the first option for managing submerged
cultural heritage. It does not, however, outline in situ preservation
methodologies acceptable for application. As the specific concept of in situ
preservation is not addressed in any domestic laws relating to cultural
heritage management within the Asia Pacific region, it is necessary to better
integrate UNESCO’s definition with methodologies and applied practice to
more effectively manage underwater sites.
Amendments to the 2001 Convention and to the Annex can occur in
2014, five years after the January 2009 ratification. In this context, clarifying in
situ preservation techniques as best practice in managing UCH sites will
enable more cohesion between domestic laws and the international 2001
Convention for the Asia Pacific region. This will be of great benefit to
participating governments and to practitioners, leading to better outcomes for
the long-term preservation and value of UCH.

Abbreviations
2001
Convention
AEER 1978
HSA 1976
LPCH 1996
LPRC1992
MAA 1976
RPCH 1992
UNESCO.org
UNESCO 1972
UNCLOS
YILC 1957

United Nations Educational, Scientific, and Cultural
Organization. 2001 Convention on the Protection of the
Underwater Cultural Heritage.
Pakistan - Archaeological Excavation and Exploration Rules
1978
Australia - Historic Shipwrecks Act 1976
Cambodia - Law on the Protection of Cultural Heritage 1996
China - Law of the People’s Republic of China on
Protection of Cultural Relics 1982
Malaysia – Antiquities Act No. 168 1978
Cambodia – Resolution on the Protection of Cultural
Heritage 1992
www.UNESCO.org
United Nations Eductional, Scientific, and Cultural
Organization. 1972 World Heritage Convention
United Nations Convention on the Law of the Sea 1958
United Nations, 1957, Yearbook of the International Law
Commission 1956, Vol II. United Nations, New York.

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Diversity in approaches to maritime archaeology, underwater cultural heritage and related areas</text>
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                    <text>Lessons from the Inland Seas: A Submerged Landscape Study in the Great Lakes
Dr. Ashley Lemke (Department of Anthropology, University of Wisconsin – Milwaukee, Associate Professor)
ABSTRACT
The topic of this abstract fits best within Session15 because it is a case study of 9,000-year-old archaeological sites
on a submerged landscape under a lake. The case studies under consideration are the following 1) conducting
prehistoric archaeology 30 meters below water, 2) studying a submerged landscape in an inland setting, in this case,
a large freshwater lake, and 3) novel data preserved underwater in the Great Lakes challenges our previous ideas
about hunter-gatherer societies. The resources available to conduct the work include funding from the National
Science Foundation and National Oceanic and Atmospheric Administration (both based in the United States) and
methods include sonar surveys, remote operated vehicle investigations, photogrammetry, scuba diving,
environmental sampling, and virtual reality computer modeling. The research questions/approach/problems are 1)
how can we conduct anthropologically relevant underwater archaeology, 2) how do you investigate sites 30 meters
below water, and 3) what can submerged data tell us about prehistoric peoples? The [expected] results are stone
tools and debitage, stone constructed hunting features, and ancient peat deposits.

 
Keywords: Submerged landscapes, North America, Great Lakes, Deep-water archaeology
List of Figures
Figure 1. Lake Huron and the Alpena-Amberley Ridge
Figure 2. Two obsidian flakes recovered from a submerged landscape below Lake Huron, Great Lakes, United States
Figure 3. Sampling an exposed peat layer on a submerged landscape below Lake Huron, Great Lakes, United States.

INTRODUCTION
The topic of this article fits best within Session 15, The Archaeology of Submerged Landscapes and
Inland Waters because it is a case study of Early Holocene (9,500-8,900 cal. yr. BP) archaeological sites
on a submerged landscape under an inland lake. Over the past 200,000 years the earth experienced several
phases of glacial and interglacial climates and associated changes in global water level. During these
periods, when large amounts of water were frozen, sea-level lowered by as much as 130 meters (Joy
2021). These global processes of sea level change, including glaciation, isostatic rebound, and fluctuating
water levels are mirrored on a local level in the North American Great Lakes.
The North American Great Lakes is a region in the midcontinent of North America with five fresh bodies
of water. Amongst the largest lakes in the world, the Great Lakes are often referred to as the “inland seas”
given their size, depth, ecological habitats, and significant weather and waves. Today these lakes greatly
impact communities in the region in terms of commerce, travel, subsistence, climate, and recreation. The
same was true for these lakes in the past, where they have influenced, and been influenced by, the human
communities on and around them for thousands of years.
The Great Lakes have been a region of study for nautical archaeologists for many decades, given the
unique and varied vessels to sail across them and their long-standing role in transportation, trade, and
conflict (e.g. Lardinois 2021). In addition to the rich maritime history of the area, the cold, fresh waters of
the Great Lakes provide some of the best preservation habitats for archaeological remains, particularly
wooden and metal ships given the lack of salt (and its corrosive properties), absence of ship worms
(Teredinidae), and cold-water temperature. Indeed, the large numbers of shipwrecks and their immaculate
state of preservation has resulted in two National Marine Sanctuaries in the Great Lakes, one in Lake
Michigan, the Wisconsin Shipwreck Coast National Marine Sanctuary, and one in Lake Huron, the
Thunder Bay National Marine Sanctuary.

1

�Within the Thunder Bay National Marine Sanctuary in Lake Huron, this project seeks to move beyond
shipwrecks and further back in time, to explore submerged landscapes in the Great Lakes, using Lake
Huron as a test case. At the end of the last ice age, during the Lake Stanley time period, water levels in
Lake Huron were 100 meters lower than modern sea level and exposed more than 250,000 hectares of
previous lake bottom. These lower water levels created a long, narrow dryland feature called the
Alpena-Amberley Ridge (AAR) that runs across the modern Lake Huron basin, splitting it in two (Figure
1). The AAR is ~145 kilometers long and between 12-16 kilometers wide, it now rests in an average of
25-30 meters of water. Between 9,500-8,900 cal. yr. BP this causeway was a dryland environment that
connected mainland Michigan and Ontario on either side of the lake and served as a migratory pathway
for caribou herds in the area which in turn attracted human hunter-gatherers.

Figure 1. Lake Huron and the Alpena-Amberley Ridge.

Interdisciplinary research since 2008, including paleoenvironmental studies and computer science
applications, but focusing on archaeology, has documented 9,000-year-old hunting sites for targeting
caribou (Lemke 2022; O’Shea and Meadows 2009; O’Shea et al. 2014). Organic remains and stone
artifacts have been collected including two lithic flakes fashioned out of an exotic obsidian from over
4,000 kilometers away (O’Shea et al. 2021 Figure 2).

2

�Figure 2. Two obsidian flakes (specimen numbers 105-1 and 105-2) recovered from a submerged landscape below
Lake Huron, Great Lakes, United States (O’Shea et al. 2021).

CASE STUDIES
While one project, the case studies under consideration are the following: 1) conducting prehistoric1
archaeology 30 meters below water, 2) studying a submerged landscape in an inland setting, in this case, a
large freshwater lake, and 3) novel data preserved underwater in the Great Lakes challenges our previous
ideas about hunter-gatherer societies in the region.
While submerged landscapes studies are now common across the globe (Bailey et al. 2020; Benjamin et
al. 2011; Evans et al. 2014), it is still a small group of archaeologists working in prehistoric time periods
within the larger field of underwater archaeology. As such, projects across the globe have targeted
different regions, various time periods, diverse research questions, generated novel data, and have utilized
unique methods while creating new research designs. While many approaches from nautical archaeology
1

A note about the use of “prehistoric” here. While many archaeologists are using pre-contact to refer to ancient sites in the
Americas, the author prefers the use of prehistoric, arguing that “pre-contact” obscures diversity and artificially creates a
homogenous “pre-contact” North America that did not exist (akin to the use of “pre-colonial Africa” see Táíwò 2023)

3

�can be adapted to older sites, submerged landscapes also present their own unique challenges, and project
teams have often invented new techniques combined with standard methods to approach these
archaeological records. For the Lake Huron project specifically, a new approach was applied that worked
in iterative, mutli-scalar levels, developed out of necessity for working in very old contexts in deep, fresh
water, far offshore (55-80 kilometers).
Conducting prehistoric archaeology in water depths of 30 meters required a multi-scalar approach to
submerged landscapes, to first understand the underlying landforms and their associated
paleoenvironments to then make predictions about where hunting and gathering sites would be located.
Therefore, the first research conducted was large-scale mapping of the central portion of the AAR using
multibeam and side-scan sonars. The AAR was broken into 4 research areas, targeting unique geological
aspects of the landform. Area 1 (56 kilometers squared) focused on high ground outcrops that may have
included local chert/flint deposits, Area 2 (49 kilometers squared) has some of the deepest water on the
AAR, thus representing evidence from the earliest stages of Lake Stanley (those areas that would have
been exposed first after water levels lowered), Area 3 is a narrow section of the AAR with a pronounced
slope (17 kilometers squared) and Area 4 is an large, flat area that likely would have had the best
grazing/browse for migrating herds (165 kilometers squared). The central portion of the AAR was
targeted for investigation because archaeological deposits offshore are less likely to be deeply buried by
modern sediment and are less likely to be significantly impacted by coastline waves and weather (e.g. ice
thrusts, erosion, etc.).
Once these large areas were mapped, investigations focused on targets of interest on the sonar surveys,
and research focused on these smaller areas. Fortunately, the archaeological record on the AAR
investigated thus far consists of stone-constructed hunting features, some of which are large enough to see
on large-scale sonar surveys given their high reflectivity. These sites are similar to hunting architecture
sites known from the terrestrial record (Lemke 2022) and are stone lines, rings, v-shapes, funnel-shapes,
and other constructions used to attract and channel wild prey into predictable hunting areas. Many of the
sites under Lake Huron have rocks with diameters of 1 meter and some rock line constructions are 30
meters long and thus are visible on side-scan surveys (O’Shea and Meadows 2008) and were chosen for
more in-depth research. Once an area on the AAR is known to have a prehistoric structure, finer scale
survey is conducted with scanning sonar, autonomous underwater vehicles (AUV) with side-scan sonar,
and a remote operated vehicle (ROV) resulting in micro-regional investigations of 150-hectare areas
(O’Shea 2021). Given the depth and temperature of the water, large-scale scuba surveys are not possible
given limitations on bottom time, and these remote sensing methods coupled with the live video of the
ROV have proven very successful at finding archaeological sites and conducting preliminary mapping
and video surveys of features.
Once sites are fully photo-documented using the ROV and mapped using the scanning sonar and/or AUV,
they are then sampled for cultural materials by scuba divers. Sampling on the AAR has taken a varied
approach depending on the context. In general, archaeological sites and materials are shallowly buried
(less than 10 centimeters of sediment overlay archaeological deposits). At large sites, preliminary
sampling was conducted in a fashion similar to shovel testing in the United States where a small area, 30
centimeters squared, was hand excavated and screened and cultural material was collected every three
meters. Once cultural material was recovered, further excavation was completed in one by one-meter
square units. Locations of all samples are collected via the ROV which is equipped with a tracking sonar
with real time geospatial coordinates. Other sampling methods include 100 mL plastic vials which are
primarily used for collecting sediment for paleoenvironmental and geoarchaeological analyses, including
pollen, testate amoebae, grain size, etc. These samples occasionally also collected cultural materials, such
as the two obsidian flakes (O’Shea et al. 2014).
To date, numerous stone constructed sites have been documented and sampled on the AAR using the
above methods. These include Drop 45, a long liner drive lane site that has associated hunting blinds and
4

�stone artifacts (O’Shea et al. 2014), the Gap Locality, an area of hunting blinds and other constructed
features that yielded the obsidian artifacts (O’Shea et al. 2021), and the Dragon Drive lane, a site with a
long, liner drive lane feature and a hunting blind (O’Shea and Meadows 2009). In addition to the cultural
material, paleoenvironmental data characterized this submerged landscape as a peri-glacial sub-arctic like
environment with spruce and tamarack trees, freshwater lakes, bogs, and marshes. Most recently, a
preserved peat bog was discovered. Radiocarbon dates from this peat layer ranged from 9678-9296 cal.
yr. BP (Figure 3). Samples of the peat have been submitted for environmental DNA analyses which aim to
further illuminate the flora and fauna present on this early Holocene now submerged landscape.

Figure 3. Sampling an exposed peat layer on a submerged landscape below Lake Huron, Great Lakes, United States.
Photograph by John O’Shea, used with permission.

In general, the archaeological record on the AAR can be characterized as evidence of a modified, cultural
landscape, where groups of foraging societies encountered caribou on their semi-annual migrations and
used targeted hunting techniques in both the fall and spring using built structures. Hunting architecture
sites increase the yield and predictability of wild animal resources and provide meeting areas on the
landscape for people to come together for cooperative hunts while also likely trading goods, socializing,
sharing foods, exchanging information, conducting rituals, etc.
Significantly, the archaeological evidence preserved on this inundated landform is notably different from
terrestrial archaeological sites in the region. Historically the standard model of occupation for the area
began with the Paleoindian time period (~13,000-10,000 cal. yr. BP) as the earliest occupants,
characterized as highly mobile, big-game hunters, using distinctive fluted point projectiles, changing to
lanceolate points during the later stages. Such technology is unique in the Americas and has been
well-studied; although, regionally archaeological sites with this technology are not well dated due to
5

�acidic soils and largely ephemeral deposits (Lothrop et al. 2016). The following Archaic period is
characterized by notched and stemmed points in the Great Lakes, with the Hi-Lo variety often assumed to
be transitional between these and the earlier fluted points. To date, no large bifaces have been recovered
from submerged sites on the AAR. While the two obsidian flakes are likely the byproduct of bifacial
manufacture/maintenance (O’Shea et al. 2021), other lithics from the AAR are more indicative of a
microtool tradition, unknown from the terrestrial record in the region. The AAR archaeology therefore
offers a unique window in diverse lifeways that characterize the late Pleistocene/early Holocene, a time
period of immense environmental change, mosaicked flora and fauna, and likely small regional refugia
such as the AAR (see Lemke and O’Shea 2019).
RESOURCES
The resources available to conduct the work include funding from the National Science Foundation and
National Oceanic and Atmospheric Administration (both based in the United States) and methods include
sonar surveys, remote operated vehicle investigations, photogrammetry, scuba diving, environmental
sampling, and virtual reality computer modeling.

FRAMEWORK
The research questions/approach/problems are 1) how can we conduct anthropologically relevant
underwater archaeology, 2) how do you investigate sites 30 meters below water, and 3) what can
submerged data tell us about prehistoric peoples? First, submerged landscapes represent a fundamentally
different problem than sunken wrecks (boats, ships, or airplanes), rather than a time capsule of a historical
event, submerged landscapes are often palimpsests of longer periods more akin to most terrestrial
archaeological sites (Lemke and O’Shea 2022). As such, they can be investigated like terrestrial
archaeological sites, admittedly with some unique methods, such as those developed for the deep-water
archaeology conducted on the AAR. The investigation of submerged landscapes also requires
geoarchaeological, paleoenvironmental, and paleolimnological data to understand when sites were
submerged, how long environments were habitable, and what type of climates and resources they
provided to past peoples. Ultimately it is critical to investigate these landscapes from an anthropological
archaeology perspective (Lemke 2021). The Great Lakes case study presented here also offers ideas for
research designs in deep-water, offshore contexts, but it is important to stress that while theoretically
submerged landscapes share many commonalities with each other and their terrestrial counterparts, siteand regional-level modeling must be done on a case-by-case basis. For example, most sea-level curves are
not appropriate for wide-scale use, and water levels need to be reconstructed for specific areas keeping in
mind their unique geomorphology. Additionally, methods that work well for one submerged site will not
work at others, for example, an airlift that was designed to excavate ancient, submerged sites in Florida
karstic sinkholes and rivers was used in Lake Huron and froze given the dramatic differences in water
temperature. Lastly, it is important to note that data from submerged landscapes date to some of the most
critical time periods in the human past, and rather than providing redundant data, they often preserve
unique evidence about the past to better elucidate the lifeways of prehistoric peoples.

RESULTS
The [expected] results from this research are stone tools and debitage, stone constructed hunting features,
and environmental DNA from ancient peat deposits. Taken together, this case study from the inland seas
presents unique methodologies for conducting deep-water archaeology, a long-term regional study of a
submerged landscape, and novel results that indicate a unique early Holocene environment, significant
6

�modification of the landscape best characterized as niche construction by hunter-gatherers, and a mosaic
of foraging lifeways in the ancient Americas.
ACKNOWLEDGEMENTS
The research presented in this article is the result of interdisciplinary collaborative work with project founder and co-director
John O’Shea, and research partners including Tyler Schultz, Elisabeth Sonnenburg, Brendan Nash, Daneille Riebe, Jeffery
Ferguson, Alex Nyers, Robert Reynolds, Thomas Palazzolo, Chencheng Zhang, Sarah Saad, Matthew Boyd, and Cailen O’Shea.
BIBLIOGRAPHY
Bailey, Geoff, Galanidou, Nena, Peeters, Hans, Jons, Hauke, and Mortiz Mennenga (,eds.). The Archaeology of Europe’s
Drowned Landscapes. Verlag: Springer, 2020.
Benjamin, Jonathan, Bonsall, Clive, Pickard, Catriona, Pickard, and Anders Fischer (,eds.). Submerged Prehistory. Oxford ;
Oakville: Oxbow Books, 2011.
Evans, Amanda, Joe Flatman, and Nic Flemming (,eds.). Prehistoric Archaeology on the Continental Shelf. Verlag: Springer, 2019.
Joy, Shawn. “Coastally-adapted: A developing model for coastal Paleoindian sites on the North American eastern continental
shelf.” Journal of Island and Coastal Archaeology 16, no.1 (2021): 150-169.
Lardinois, Anna. Shipwrecks of the Great Lakes: Tragedies and Legacies from the Inland Seas. Essex: Globe Pequot, 2021.
Lemke, Ashley. “Submerged Prehistory and Anthropological Archaeology: Do underwater studies contribute to theory?” Journal
of Island and Coastal Archaeology 16, no. 1 (2021): 5-26.
Lemke, Ashley. The Architecture of Hunting: The Built Environment of Hunter-Gatherers and its Impact on Mobility, Property,
Leadership, and Labor. College Station: Texas A&amp;M University Press, 2021.
Lemke, A. K., and J. M. O’Shea. “The End of an Era? Early Holocene Paleoindian Caribou Hunting in a Great Lakes Glacial
Refugium.” In People and Culture in Ice Age Americas: New Dimensions in Paleoamerican Archaeology, edited by R. Suárez
and C. F. Ardelean, 156-171. Salt Lake City: Utah University Press, 2019.
Lemke, A. and J. O’Shea. “Drowning the Pompeii Premise: Frozen Moments, Single Events, and the Character of Submerged
Archaeological Sites.” World Archaeology 54, no. 1 (2021): 142-156.
Lothrop, Jonathan C., Lowery, Darrin L., Spiess, Arthur E., and Christophere J. Ellis. “Early Human Settlement of Northeastern
North America.” Paleoamerica 2, no. 3 (2016): 192-251.
O’Shea, John M. “Micro-regional Approaches for Submerged Site Archaeology.” Journal of Island and Coastal Archaeology,
16,1 (2021): 103-117.
O’Shea, J. M., Lemke, A. K., Sonnenburg, E., Reynolds, R.G., and B. Abbott. “A 9,000- year-old Caribou Hunting Structure
beneath Lake Huron.” Proceedings of the National Academy of Sciences 111, no. 19 (2014): 6911-6915.
O’Shea, J. M., Lemke, A. K., Nash, B. S., Sonnenburg, E. P., Ferguson, J. R., Nyers, A. J., and D. J. Riebe. “Central Oregon
Obsidian from a Submerged early Holocene Archaeological Site beneath Lake Huron.” PLOS ONE 16, no. 5 (2021): e0250840.
O’Shea, John M. and Guy A. Meadows. “Evidence for Early Hunters beneath the Great Lakes.” Proceedings of the National
Academy of Sciences 106, no. 25 (2009): 10120-10123.
Táíwò, Olufemi, “It never existed: The idea of a ‘precolonial’ Africa is theoretically vacuous, racist, and plain wrong about the
continent’s actual history.” Aeoni (2023) https://aeon.co/essays/the-idea-of-precolonial-africa-is-vacuous-and-wrong?utm_source=rss-feed

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                    <text>Literary &amp; Archaeological Evidence of Early Seafaring &amp;
Navigation Technologies in India
S. Rama Krishna Pisipaty1

Abstract
India is situated at the central point of the ocean that washes on its coast on three sides, seemed
destined very early for a maritime future in the region. Both literature and archaeological works of the
region are providing ample evidence about the early sea routes and maritime trade activities of the
region. Vedic literature, one of the early existed texts, has provided copious references about the
early seafaring. There was a time in the past when Indians were the masters of the long distance
seaborne trade. They built ships, navigated the sea, and held in their hands all the threads of
international commerce, whether carried overland or via sea. The archaeological excavations of
several Indo-Saraswathi, the first civilization in the region, sites and many others have also
conclusively demonstrated advance maritime activities right from the third millennium Before Christ2
(BCE). During the early historical period (second BCE to second CE) several coastal towns, both east
and west coasts of peninsular India, had international trade and commerce. The subject matter for
the present discussion are based on glimpses of the regional seafaring and navigation technologies
mentioned in the available early indigenous literature of the Sanskrit language, as well as
archaeological records.

Key words – Vedic literature, Sanskrit, Rigveda, Matsya yantra
India has all required geographical feature suitable for water transportation, which
has been utilized by human since the ancient times to the present day. It is situated
at the central point of the ocean (see Map).

Figure 1. Map of India's geographical location, the red arrow extends from its most
western coast to its eastern border (by author).
1

Prof &amp; Geoarchaeologist, SCSVMV University, Enathur, Kanchipuram – 631561., India.
Email- sramakrishna.pisipaty@gmail.com
2
A designation of the Gregorian Calendar, from the year -1 and continuing backwards from the year
of the birth of Jesus Christ of Nazareth. Common Era - abbreviated as CE, is an alternative
designation for the calendar era, traditionally identified with Anno Domini (abbreviated AD), both
systems are numerically equivalent. BCE - Before the Common Era, an alternative to BC (Before
Christ).

�The rivers flow from the Greater Himalayas and other Ghats, further provide the
intra-connection within the region to the coast. From the region many advanced traits
were evolved for the first time in the history of mankind. Among them is a vast
amount of literature developed by the Sindh region around 2000 BCE. This has been
a major source in reconstructing the past on various aspects. It may be true that the
Sanskrit literature is only existing early literature. Early Indian literature has appeared
in two major groups depending on the language – one is in Sanskrit language and
other group of literature is in the regional dialects of that period (Mujumdar 1996;
Datta 2006). Literature in Sanskrit language is grouped in to two types of texts – one
related to Veda origin; and the second category is classical literature (Keith 1993). In
the former group of text, of Sanskrit language, according to scholars Rigveda is an
early text and complied around 2000 BCE (Kochhar 2000). It may be noted that the
vast Indian literature has oceanic depth. For the present study evidence related to
the early India seafaring have been restricted to the Rigveda and a few other early
text along with archaeological data unearthed from various Indo-Saraswathi sites.
According to various scholars the Rigvedic compilation and the late phases of the
Indo-Saraswathi civilization (around 2000 BCE) were happened almost in the same
period (Kochhar 2000; Talageri 2000).

Allusions to Early Maritime Activity in Sanskrit Literature
In Sanskrit literature constant reference is made to merchants, traders and men
engrossed in commercial pursuits. The oldest evidence on record is supplied by the
Rigveda which contains several references to sea voyages undertaken for
commercial purposes (Table I). The word "navy", or related word, has its origin from
the Sanskrit word Navgatih, potentially the word "navy" derived from the word nou
meaning boat.
From Sanskrit language Samudra is usually translated as "ocean and/or
sea" and the word itself means "gathering of waters". The term Samudra occurs 133
times in the Rigveda, referring to oceans (real, mythical or figurative) or large bodies
of water as well as to large Soma vessels (RV 6.69.6). However, the Samudra is
never said to flow in the Rigveda, but it receives all rivers (RV 6.36.3; 8.44.25).
The Rigveda also describes the Sarasvati River as a river that flows to the ocean
(RV 2.41.16-18) and, "is pure in her course from the mountains to the sea" (RV
7.95.2). Rigveda (1.71.7) describes the seven great rivers seeking the Samudra. All
rivers flow to the Samudra but are unable to fill it (RV 7.33.8). It also says that the
Samudra is the eldest of the waters (Samudra jyestha) and that the goal of the rivers
is to reach the Samudra (RV 7.49).
One passage (RV. I. 25,7) represents Varuna, the rain God who has full
knowledge of all sea routes. In another context (RV. I.56,2) it speaks of merchants,
under the influence of greed, going abroad on ships to foreign countries. Another
verse (I. 56.2) mentions merchants whose activities know no bounds, who go
everywhere in pursuit of gain, and frequent every part of the sea. The seventh
mandala (book) (VII. 88. 3 &amp; 4) alludes to a voyage undertaken by Vasishtha and
Varuna in a ship skillfully fitted out, and their, "undulating happily in the prosperous
swing". A verse in first mandala/book, which is the most interesting passage (RV.
I.116. 3), mentions a naval expedition on which the Tugra, a King (mentioned in
Rigveda) sent his son Bhujyu against some of his enemies in the distant islands.
Bhujyu, however, is shipwrecked by a storm, with all his followers, on the ocean,
"where there is no support, no rest for the foot or the hand", from which he is

�rescued by his twin brethren, the Asvins (Rigvedic Gods), in their hundred-oared
galley. The Panis in the Vedas and later classical literature were the merchant class
who pioneered to unknown lands and succeeded in crossing oceans and rivers
between many regions and diverse nations. The Phoenicians were no other than the
Panis of the Rigveda (RV X.108). They were called Phoeni in Latin which is very
similar to the Sanskrit Pani.
From the above verses show that the people credit Varuna (rain God in
Rigveda) with knowledge of the ocean routes and the versus describe naval
expeditions having occurred by the time of the Rigveda compilation (around 2000
BCE). It may also appear that the Vedic culture was a maritime culture, the Vedic
people lived by the sea for some time before the hymns of the Rigveda were
composed.
Rigveda articulation of sea voyages include (I. 97.8), "Do thou convey us in a
ship across the sea for our welfare". “As a ship crosses the river (or sea), Agni takes
us across to safety” (RV I. 97.8). Besides these examples there are numerous
allusions in the Rigveda to sea voyages and to ships with a hundred oars. According
to the text, “all the universe rests within your nature, in the ocean, in the heart, in all
life” (RV IV. 58. 11).
Manu Smriti is the oldest law book in the world. It is written in Sanskrit and
lays down laws to govern commercial disputes. Its references, of concern for this
paper, are to sea borne traffic as well as inland and overland commerce (MS I-XVIII).
The Ramayana refers to the Yavan Dvipa and Suvarna Dvipa (Java and
Sumatra respectively) and to the Lohta Sayara or the Red Sea (Buck (ed) 1976 (rp)).
In the Kishkindha Kandam (4,40) in Ramayana Sugriva, the Lord of the Monkeys,
gives directions to monkey leaders for the quest of Sita (wife of Lord Rama and the
main female character in Ramayana), and entails all the possible places including
islands where Ravana could have concealed her (RY 4.40.34,37,38 &amp;45). In
Ayodhya Kandam there is a passage which hints at preparation for a naval fight, thus
indirectly indicating thorough knowledge and universal use of waterways (RY 2.52).
Construction of overpass on sea to reach island Srilanka, is another example of early
navigation and sea exploration from India to the other regions (RY).
The well known story of the "churning of the ocean" (Samudra
manthan or Ksheera Sagara Mathanam in Sanskrit language) in the Mahabharata,
Vishnu purana and Bhagavata purana is not without significance (Wilson 2006; Mani
1975). According to the story, all kinds of herbs were cast into the ocean and
fourteen Ratnas (gems or treasures or most important) were produced from the
ocean during churning and were divided between asuras and gods. The list of
Ratnas in the scriptures are ranges from 9 to 14. This is further indicating the
exploitation and extraction of natural resources from the sea by the people of the
region.
Moreover, the most interesting passage in the Mahabharata is that which
refers to “a large ship with machinery and all kinds of weapons of war that is able to
defy storms and waves” (Buck 2004 (rp)). Ancient texts such as Vishnu
Puran (around fifth century CE) and the Periplus of the Eruthreanean Sea (a mid-1st
century date is now the most commonly accepted) vividly describe the tidal range
and its uses in navigation practice. The fabulous literature of India is also replete with
stories of sea voyages by Sindh regions.
The Jatakas (JS), Buddhist scriptures in Pāli language (other than Sanskrit
language) are also providing information about the merchantization and navigation
through the sea. Some very definite and convincing allusions to sea voyages and

�sea-borne trade are also contained in the vast body of Buddhist literature, which are
generally taken to relate themselves to a period of one thousand years beginning
from 500 BCE (Viggo Fausbll (ed). 2010). The Baveru Jataka without doubt, points
to the existence of commercial intercourse between India and Babylon in preAshokan days (before second century BCE) (BJ 313; Moorkerji 1999). There is
another to consider, a Prakrit text on ship-building named Angavijja written in the
Kushana period (around second century BCE) and edited in the Gupta period
(around fifth century Common Era (CE)). This text enlists about a dozen names of
different types of ships, such as Nava, Pota, Kotimba, Salika, Sarghad, Plava,
Tappaka, Pindika, Kanda, Katha, Velu, Tumba, Kumba and Dati. Some of these
varieties of ships such as Tappaka (Trappaga), Kotimba and Sarghad have also
been mentioned in the Periplus of the Erythrean Sea. They are considered to be very
large ships capable of sailing along the coast as well as in deep sea (Vincent 1998).
Tamil literature of a few centuries before and after the present era, which was
composed in the southern part of India, especially Silappadikaram and Manimekhalai
also testify to this great overseas trade.

Technologies
Yuktikalpataru of Bhoja gives a detailed classification of ships. There were two kinds:
ordinary (Samanya) ships comprising those used in inland waters; and special
(visesa) meant for sea journeys. The largest of these called ‘Manthara’ measured
120 cubits (1 cubit = 45.72 centimeters) in length, 60 in breadth and 60 cubits in
height. During the days of the composition of Yuktikalpataru (around ninth century
CE), it appears that ship-building was highly advanced. It explains how to build ships
(YK 81-82), ship types (YK 89), sizes (YK 90-95) and materials (YK 83-87), including
suitability of different types of wood. Bhoja has advised the builders of the sea-faring
ships not to join the plants with iron as, in this case, the magnetic iron in sea water
could expose the ship to danger (YK 88). To avoid this risk, he suggests that planks
of the hull's bottom should be held together with the help of substances other than
iron (YK 88). According to the literature ships could carry crews numbering between
100 to 600. Out of regard for passenger convenience and comfort the ships were
well furnished and decorated. Gold, silver, copper and compounds of all these
substances were generally used for ornamentation and decoration.
The magnetic compass was first used in India around 1800 BCE, for
navigational purposes at sea, and was known as ‘Matsya yantra’ (which roughly
translates to fish machine), because of the placement of a metallic piece shaped
into a fish in a cup of oil (Prakash 2008).
Yantra Sarvaswa (All about machines) composed by Maharishi Bharadwaj
and other sages is another resource book in the Sanskrit language commemorates
early Indian technologies. Vaimanika Shastra (YS), the extant text is claimed to be
only a small (one-fortieth) part of a larger work, four planes
called Shakuna, Sundara, Rukma, and Tripura are described in greater detail. The
Tripura Vimana in Vaimanika Shastra (see plate 1) described a hi-tech vessel which
could have been use in three natural environments - air, water and land (Josyer
1973).

�Plate 1. Hi-tech vessel which could have been use in three natural environments air, water and land (Josyer 1973).

Archaeological evidence
From the archaeological horizon, the representation of ships on a seal and coin
indicate maritime activities, there is enough evidence to show that the people of the
Sindhu region carried on trade, not only with other parts of India, but also with Sumer
and the centers of culture in Western Asia, Egypt and Crete (Behera 1999).
At Lothal a tidal dock, believed to have been built during Indus Valley
Civilization (2300 BCE), near the present day Mangrol harbour on the Gujarat (west)
coast is an example of early Indian seafaring. According to Rao (1979, 1985; 1987;
1991) the dock has been used in two stages: at the first stage it was designed to
allow ships 18-20 meters long and 4-6 meters wide, at least two ships could
simultaneously pass and enter easily; in the second stage the inlet channel was
narrowed to accommodate large ships but only single ships with flat bottoms could
enter. The terracotta models of a boat from Lothal and engravings on Indus seals
give some idea of ships going to the sea (Rao 1979, 1985).
Further, the Indus Valley ports were set up to trade overseas with
ancient Mesopotamia (the land between the Tigris and Euphrates rivers
corresponding to the regions of modern Iraq, northeastern Syria and southeastern
Turkey) and Arabia along the Gulf of Cambay. These ports trans-shipped much
sought after Indian products from upriver cities along ancient Indus Valley rivers to
the world market (Moorkerji 1999). The distance from the mouth of the Sindhu river
to Mesopotamia was approximately 2000 kilometers (km), and probably covered by
Sindhu merchants from sites such as Dholavira and Mohenjo-daro by sailing along
the coast to various ports of the Arabian Gulf and Mesopotamia.
From the above information one can note concrete evidence about the
seafaring and technology involved in the construction of vessels in ancient India.

�Further, there was a time in the past when Indians were the masters of the
seaborne trade of Europe, Asia and Africa (Chanda 1977). They built ships,
navigated the sea, and held in their hands all the threads of international commerce,
whether carried overland or by sea. Indian traders sailed their ships not only on the
Indian Ocean and the Persian Gulf, they also ventured into the Red Sea and even
into the Mediterranean and Aegean Sea (Vincent 1998). From the very beginning
Indian traders had a very fair knowledge of all the ancient oceans and seas of the
populated world (Radha 1912). The Egyptians called India ‘God's land’ because
India was, in those days, very culturally developed (Prasad 1990). The priest of
ancient Egypt required vast quantities of aromatic plants for burning incense; and
frankincense, myrrh and lavender were also used for embalmment. Herodotus
(around 425 BCE) has left us a sickening description of the great number of spices
and scented ointments of which India was the center (Marincola 2003). Beauty
products from India also attracted the women of Egypt and the cosmetic trade was
entirely dependent on imports chiefly from India (Prasad 1977). The Pharaohs of the
fifth and sixth dynasties made great efforts to develop trade relations with the land of
Punt (Prasad 1977). Knemphotep made voyages to Punt eleven times under the
captainship of Koui (Mitra 2007), these expeditions were organized and financed by
the celebrated Queen Halshepsut.
The vast extent of Indian cultural influences, from Central Asia to the north to
tropical Indonesia including Philippines in the south and from the borderlands of
Persia in the west to China and Japan in the east, has shown that ancient India was
a radiating central civilization. Its advanced cultural thoughts, art and literature were
destined to leave deep marks on the races wholly diverse and scattered over the
greater part of Asia (as defined by the ‘United Nations geoscheme for Asia’).
The most valuable of the exports of India was silk, which under the Persian
Empire is said to have been exchanged by its weight in gold. It is evident that there
was a very large consumption of Indian manufactures in Rome (Warminton 1974).
Roman coins in large quantities are found in places in India (Gupta 1965; Singh
1988), whence beryl, pepper, pearls and minerals were exported to Rome (Begley &amp;
De Puma 1992).
The chief articles of export from India were spices, perfumes, medicinal herbs,
pigments, pearls, precious stones (like diamonds, sapphires, turquoise and lapis
lazuli), animal skins, cotton cloth, silk yarn, muslin, indigo, ivory, porcelain and
tortoise shell (De Silva 1970). The chief imports were cloth, linen, perfume, medicinal
herbs, glass vessels, silver, gold, copper, tin, lead, pigment, precious stones and
coral (Chanda 1977).
Some important verses from Rigveda, quoted in the above text
(first in Verses in Romanized Sanskrit Font (transliterate) and original text in
Sanskrit)
vedā yo vīnāṃ padamantarikṣeṇa patatām |
veda nāvaḥ samudriyaḥ ||
वेदा यो वीनां पदम�त�र�ेण पतताम |
वेद नावः समु�ियः ||
(RV I. 25. 7)
Tam gurtayo nemannishah parinash
Samudram na sancharane sanishyavah

�Patim dakshasya vidathasya nu saho
Grim n a vena adhiroha tejasa
तं गूतय
� ो नेम��नषः पर�णसः समुिं न संचरणे सिनंयवः |
पितं द�ःय !वदथःय नू सहो िग�रं न वेना अिध रोह तेजसा ||
(RV I.56.2)
tughro ha bhujyumaśvinodameghe rayiṃ na kaścin mamṛvānavāhāḥ |
tamūhathurnaubhirātmanvatībhirantarikṣaprudbhirapodakābhiḥ ||
तुमो ह भु)युम�*नोदमेघे रियं न क�-न म.वानवाहाः |
तमूहथुन/िभरा0म�वतीिभर�त�र�ूु!2रपोदकािभः ||
(RV I. 116.3)
ā yad ruhāva varuṇaśca nāvaṃ pra yat Samudramīrayāvamadhyam |
adhi yadapāṃ snubhiścarāva pra preṅkha īṅkhayāvahai śubhe kam ||
vasiṣṭhaṃ ha varuṇo nāvyādhād ṛṣiṃ cakāra svapā mahobhiḥ |
stotāraṃ vipraḥ sudinatve ahnāṃ yān nu dyāvastatanan yāduṣāsaḥ ||
आ यद 4हाव व4ण- नावं पर यत समुिमीरयावम5यम |
अिध यदपां सनुिभ-राव पर परे ङख ईङखयावहै शुभे कम ||
विस;ं ह व4णो ना&lt;याधाद र!षं चकार सवपा महोिभः |
सतोतारं !वूः सु�दन0वे अ=ां यान नु दयावःततनन यादष
ु ासः ||
(RV VII 88. 3 &amp; 4)
vedāyovīnāṃpadamantarikṣeṇapatatām|
veda nāvaḥ samudriyaḥ ||
वेदायोवीनांपदम�त�र�ेणपतताम|
वेद नावः समु�ियः ||
(RV I. 25.7)
dviṣonoviśvatomukhātināvevapāraya|
apa...||
sanaḥsindhumivanāvayātiparṣāsvastaye|
apa ... ||
द!वषोनो!व*तोमुखाितनावेवपारय|
अप...||
सनःिस�धुिमवनावयाितपष�सवःतये |
अप ... ||
(RV I. 97. 7 &amp; 8)

�Strengthened with sacred offerings, Indra-Visnu, first eaters, seRVed with worship
and oblation,
Fed with the holy oil, vouchsafe us riches; ye are the lake [Samudra], the vat that
holds the Soma.
(RV 6.69.6)
sūryasyeva
vakṣatho
jyotireṣāṃ
samudrasyeva
mahimā ghabhīraḥ |
vātasyeva prajavo nānyena stomo vasiṣṭhā anvetave vaḥ ||
(RV 7.33.8)
ekācetat
sarasvatī
nadīnāṃ
śuciryatī
ghiribhya
ā
samudrāt
|
rāyaścetantī bhuvanasya bhūrerghṛtaṃ payo duduhe nāhuṣāya ||
(RV 7.95.2)
aghniṃ viśvā abhi pṛkṣaḥ sacante samudraṃ na sravataḥ sapta yahvīḥ |
na jāmibhiRVi cikite vayo no vidā deveṣu pramatiṃ cikitvān ||
(RV I.71.7)
taṃ
sadhrīcīrūtayo
vṛṣṇyāni
pauṃsyāni
niyutaḥ
saścurindram
|
samudraṃ na sindhava ukthaśuṣmā uruvyacasaṃ ghiraā viśanti ||
(RV 6.36.3)
indrāviṣṇū
haviṣā
vāvṛdhānāghrādvānā
namasā
rātahavyā
|
ghṛtāsutī draviṇaṃ dhattamasme samudrah sthaḥ kalaśaḥ somadhānaḥ ||
(RV 6.69.6)

Table 1. Some important words related to Sea &amp; Seafaring from Early Sanskrit
Literature
Sanskrit words
Transliterate in English
Translation into
Suitable term
(Romanized Sanskrit Font)
English

ÌÌ¥Ì:
ÌÌÍ¥ÌFÒ
ÌÌ¥™Ì˜Ì
Æ
²Ì˜ÌÙ‡Ù:
²Ì˜ÌÙ‡ÙO
Ì˜Ì Ì˜ÌÆ
²Ì Ì
²Ì˜ÌÙ‡ÙÌ:
Ì¥Ì–
Ì¥Ì–

N¡VAÅ

Ship

-

N¡VIKA

Belonging to a
Sailor, pilot

-

Navigable,
accessible by a boat
or ship

navigation

sea

-

SAMUDRAGAMAN
AM

Voyaging by sea

-

SAPTA SAMUDR¡Å

7 oceans Lavana,
ikshu, sura, ghrita,
dadhi, dugdha, jala

-

NAVABANDHANA
K¢LAÅ

A nail to tie up a
ship

Anchor

N¡VYAM

SAMUDRAÅ

�Ì ŒÌ ÌFÒÕ
¡Ô:
¥ÌÌTÌ¥ÌµÌ
˜ÌÆ
²YÌÜ¡Ô—
²YÌÜ¡Ô—
ÌÌOÌ:
FÂÒÍ Ì ÌH
Õ: FÒSÌÊ:
ÌÌ¥ÌTÌ¡Ô˜
ÌÆ
¥Ì UÌ–ÌW
Ó—ÌÌOÌ:
ÌÌOÌ:

Wind cloth

Sail

Expanded area

Hull

K®NIPA¶AÅ
KAR¸AÅ

Curved blade

Rudder

N¡VATALAM

Bottom of a Ship

Keel

Navigation

sextant

V¡TAVASTRAM

STH£LABH¡GAÅ

V¤TTAÀA´GABH¡
GAÅ

Abbreviations
Jataka Stories(JS)

Jataka Stories in Theravada Buddhism. (Ed) Appleton, N.
2010. Ashgate Publishing Ltd. England.

Manusmrith (MS)

http://sanskritdocuments.org/all_pdf/manusmriti.pdf

Ramayana(RY)

Buck, W. (ed),1976 (rp) University of California press.
England.
http://www.valmikiramayan.net/

Rigveda(RV)

Rigveda http://www.sacred-texts.com/hin/Rigveda/

Yukti Kalpataru(YK)

Yukti Kalpataru. 1917. Calcutta oriental series no 1.

Vimanika Sastra(VS)

The Vimanika Shastra: Ancient Manuscript on the
Constructionand Use of UFOs. Forgotten Books

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�Behera, K.S. (ed.).,
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2004 (rp)

Maritime Heritage of India. Delhi: Aryan Books International.

Chanda, M.,
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Datta, A.,
2006
De Silva.,
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Trade and Trade Routes in Ancient India. New Delhi.

Gill, J. S.,
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Humphrey, J. W.,
2006
Josyer, G.R. ,
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Keith, A.B.,
1993
Kochhar, R.,
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Leshnik, S.L.,
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Mani, V.,
1975
Marincola, J.M. (ed)
2003 (rp)
Mitra, S.,
2007
Moorkerji R.K.,
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Mujumdar, R.C. (ed),
1996
Prakash, A.A.,
2008
Prasad, P.C.,
1977
Radha, K. M.,
1912

Ramayana. University of California press. England.
Mahabharata. The Regents of the University of California,
First Indian Edition in 2000, New Delhi.

The Encyclopaedia Of Indian Literature. 2 volumes. Sahitya
Akademi, New Delhi.
“The Spice and Silk Roads”, in Indian Contribution to World
thoughts and Culture: Vivekananda Commemoration
Volume. Madras :229-231.
“Our heritage of traditional boat building”, in Journal of
Marine Archaeology 4, pp. 74.
A catalogue of Roman Coins in the Andhra Pradesh.
Government Museum. Museum series. Government of
Andhra Pradesh. Hyderabad.
Ancient technology. Greenwood guides to historic events of
the ancient world, Greenwood Press, Westport.
Vymaanika Sastra, The University of Michigan.
A History of Sanskrit Literature. Motilal Banarasidas
Publishers. Delhi.
The Vedic People, their History and Geography. Orient
Longman Limited. New Delhi.
"The Harappan "Ports" at Lothal: another view", (ed.),
Gregory L Possehl, Ancient Cities of the Indus , Vikas
Publishing House Pvt. Ltd., New Delhi.
Puranic Encyclopedia, Motilal Banarsidass, New Delhi.
The Histories, Herodotus (Author), John M. arincola (Editor,
Introduction), Aubery de Selincourt (Translator),Penguin
Classics.
The Vision of India, Crest Publishing House, New Delhi.
Indian Shipping. Munshiram Manoharlal Publishers. New
Delhi.
The History and Culture of the Indian People, XI volumes,
Frist published in 1951, Bharatiya Vidya Bhavan, Mumbai.
"A Vision of Maritime India 2020", in (ed.) Prakash Nanda,
Rising India: Friends and Foes, Essays in Honour of Prof.
M.L.Sondhi, Lancer Publishers, New Delhi.
Foreign Trade and Commerce in Ancient India. Abhinav
Publications, New Delhi.
Indian Shipping - A History of the Sea-Borne Trade and
Marine Activity of The Indians From The Earliest Times,
Bombay.

�Rama, S.,
and Tripathi, S.,
1993
Raman, K.V.,
1997
Rao, S.R.,
1979, 1985
Rao, S.R.,
1987
Rao, S.R. (Ed.).,
1991
Singh, A.K.,
1988
Talageri, S. G.,
2000
Viggo Fausbll (ed).
2010 (reprint)
Vincent, W.,
1998
Warminton,E.H.,
1974
(second edition)
Wilson, H. H.,
2006

"Boat building technology of Bengal: an overview of literary
evidence", in Journal of Marine Archaeology, Goa, 4, pp. 84.
"Roads and river transportation", (ed.) A.K. Bag, History of
Technology in India, Indian National Science Academy,
New Delhi, pp.592-93.
Lothal – A Harappan Port Town, 2 vols, Archaeological
Survey of India. New Delhi
Progress and Prospects of Marine Archaeology, National
Institute of Oceanography, Goa,
Recent Advances in Marine Archaeology, National Institute
of Oceanography, Goa.
Indo-Roman Trade. New Delhi.
The Rigveda: A Historical Analysis, Aditya Prakashan, New
Delhi.
Ten Jatakas: The Original Pali Text, with a Translation and
Notes. BiblioBazaar.
Commerce and Navigation of the Ancients in the Indian
Ocean, 2 vols, Asian Educational Services, New Delhi.
The Commerce between the Roman Empire and India.
London.
The Vishnu Purana: A System of Hindu Mythology and
Tradition. Read Country Books.Cambridge.

�</text>
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Nautical (Ship and boat) Archaeology of South Asia</text>
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                <text>India is situated at the central point of the ocean that washes on its coast on three sides, seemed destined very early for a maritime future in the region. Both literature and archaeological works of the region are providing ample evidence about the early sea routes and maritime trade activities of the region. Vedic literature, one of the early existed texts, has provided copious references about the early seafaring. There was a time in the past when Indians were the masters of the long distance seaborne trade. They built ships, navigated the sea, and held in their hands all the threads of international commerce, whether carried overland or via sea. The archaeological excavations of several Indo-Saraswathi, the first civilization in the region, sites and many others have also conclusively demonstrated advance maritime activities right from the third millennium Before Christ  (BCE). During the early historical period (second BCE to second CE) several coastal towns, both east and west coasts of peninsular India, had international trade and commerce.  The subject matter for the present discussion are based on glimpses of the regional seafaring and navigation technologies mentioned in the available early indigenous literature of the Sanskrit language, as well as archaeological records. &#13;
&#13;
Key words â€“ Vedic literature, Sanskrit, Rigveda, Matsya yantra </text>
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                <text>S. Rama Krishna Pisipaty</text>
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                    <text>Living and Trading: A Dual Approach to Studying
Southeast Asian Port Cities
Charlotte Papillaud Looram
George Town World Heritage Incorporated
charlotte@gtwhi.com.my
Abstract
The historical ports of Southeast Asia were highly active regional
mercantile hubs located at the crossroads between the East Asian and
Indian Ocean trading networks. These strategically places attracted
merchants and sailors from the world over, some of whom stayed on a
permanent or semi-permanent basis to carry out their business. By their
very nature, Southeast Asian ports are thus both economic spaces
dedicated to maritime activities, and cosmopolitan spaces where people
from different social and cultural backgrounds came together. This duality
is expressed in the built environment, which contains specialised
structures to facilitate trade (such as wharves, warehouses, and
boatyards) but also communicates people’s identity. This paper proposes
studying historical port cities by combining a maritime cultural landscape
approach and urban social theory to understand the economic as well as
the socio-cultural fabric of Southeast Asian ports.
This approach will be applied to two very different port cities: Hội An in
Central Vietnam, and George Town in Malaysia. Whereas Hội An was an
informal temporary market place that grew to be one of the region’s
biggest entrepôt ports in the 18th century, George Town was founded as
a trading outpost for the British East India Company in 1786, before
becoming the seat of many mercantile firms and banks in the 19th century.
Key words: ports, economies, structures, socio-cultural

Introduction
Ports, by their nature, are highly economic spaces dedicated to maritime
activities. The ports of Southeast Asia, strategically located at the
crossroads between the East Asian and Indian Ocean trading networks

�(and by extension the East-West trading network), were chiefly stopovers
and entrepôts through which moved traders from all corners of the world.
Due to the monsoon trade, merchants would often stay in these ports for
months at a time waiting for the winds change, and created settlements
where the various traditions would intermingle, yet remained distinct (Li,
1998; Lockard, 2010; Reid, 1993). Southeast Asian port cities were thus
— in addition to being highly economic — also highly culturally and
socially diverse; in other words they were cosmopolitan. Craig Lockard
(2010) described them as “places of economic exchanges as well as
cosmopolitan gateways for the import and export of people, goods, and
ideas.” This paper proposes to apply a maritime cultural landscape
approach in conjunction with the environment-behaviour theory in order to
highlight this duality and understand the fabric of historic Southeast Asian
ports.
This paper will address two case studies to illustrate this dual approach:
Hội An in Vietnam, and George Town in Malaysia. Both are inscribed on
the UNESCO World Heritage List, Hội An in 1999 and George Town in
2008, under criterion (ii): “to exhibit an important interchange of human
values, over a span of time or within a cultural area of the world, on
developments in architecture or technology, monumental arts, townplanning or landscape design” (UNESCO, 2016).1 Hội An is located on the
Thu Bon river in Quảng Nam province in central Vietnam. It was
established as a foreign port for the Nguyen Lords some time in the mid
to late sixteenth century, though the exact date and circumstances are
unknown (Dror and Taylor, 2006; Wheeler, 2006). Hội An was a
successful entrepôt until the eighteenth century when was eclipsed by Đà
Nẵng, a few kilometres north. During this time, the Japanese and the
Chinese were the two largest foreign trading groups in Hội An. George

�Town, Penang was established in 1786 by Sir Francis Light as an East
India Company free port and naval base (though the naval base did not
actually succeed) (Hussin, 2009). It was the first British port city in
Southeast Asia, and had attracted over ten thousand Malay, Chinese, and
Indian merchants within a decade (Hussin, 200; Lewis, 2016).
Theoretical Background
Both the maritime cultural landscape and environment-behaviour
concepts ultimately aim to understand tangible manifestations of culture,
the former from an archaeological perspective and the latter from an urban
studies perspective. Underlying these concepts are discussions regarding
the nature of culture. The urban theorist Amos Rapoport (1998)
summarizes

the

scholarship

on

culture

by

presenting

three

complementary views of culture: “one view defines it as a way of life typical
of a group; the second, as a system of meanings and schemata
transmitted through symbolic codes; the third, as a set of adaptive
strategies for survival related to ecology and resources.” He views culture
as too abstract for his purposes (understanding culture in the built
environment); it is unobservable and thus “essentially useless” in
environment-behaviour studies (Rapoport, 1998). It is instead the “effects,
expressions, or products” of culture, such as social variables, that are
visible and useful (Rapoport, 1998). He describes increasingly specific
expressions of culture in order to arrive at something actionable: lifestyles
and activity systems. A lifestyle is “the outcome of choices about how to
allocate resources,” in other words; it is composed of a series of activities,
and is influenced by norms, standards and expectations (Rapoport, 1998).
Christer Westerdahl arrived at a similar conclusion regarding maritime
culture specifically, as will be described below.

�Maritime archaeologists have long debated whether there is such a thing
as a distinct maritime culture — that is a culture specific to communities
living on or near the sea that is inherently and completely different to
inland culture. Many have concluded that the separation between land
and sea is not in fact absolute (Tuddenham, 2010; Westerdahl, 2007,
2011). Indeed, humans do not ever exclusively experience the sea
unconnected to land (Mushynsky, 2011; Tuddenham, 2010; Westerdahl,
2007, 2011). Christer Westerdahl (2007) explains that maritime culture is
“eminently a mixture, a creolization, of others. It is based on the
subsistence gained from the seas and the water, and consists of all the
thought patterns, cosmologies, customs, objects, phenomena and
patterns of action connected with a life by the sea.” Like Rapoport, his
view of culture is ultimately related to subsistence strategies, even
referring to the “life mode” concept, and conceptualizing the maritime life
mode as a series of subsidiary trades dictated in this case by living on the
coast or related to a primary maritime trade, not unlike Rapoport’s lifestyle
concept (Westerdahl, 1992, 2007). Some examples he presents are
fishing, hunting, and gathering (at sea or on land), as well as boat building,
shipping, ferrying, pilotage, and lighthouse attendance (Westerdahl,
2007). It is this recurring idea of culture as a “mixture” of activities that
guides this paper. In order to understand the cultural fabric of Southeast
Asian ports, a port should be seen as a sum of parts: a trading community,
a crossroad of sea routes, and a concentration of different traditions.
Ports are often described in the literature as transit points: the point of
change between land and sea, of changing modes of transportation, and
of exchanging goods and ideas (Lockard, 2010; Reid, 1993; Parker, 2001;
Westerdahl, 1992, 1999, 2006, 2011). They are also, in Westerdahl’s
(2006, 2011) words, “maritime enclaves:” semi-permanent or permanent

�settlements engaged in maritime activities. As he conceptualises maritime
culture as a concentration of maritime activities, these enclaves can be
considered the origin of maritime culture, as well as its centre
(Westerdahl, 2006, 2007). In them are thus found the “remains,” or
expressions, of maritime culture such as sailing marks, beacons, loading
places, anchorages, inns, and other cultural deposits (Westerdahl, 2006).
Likewise, Jan Bill and Birthe Clausen (1999) argue that maritime trade
directly impacts the physical development and appearance of towns,
giving them a distinct “maritime town topography.” These are towns that
developed around a port or harbour, and thus had to build specialised
structures such as wharves, jetties, warehouses, and boatyards in order
to participate in maritime trade.
This perspective on ports focuses on its economic fabric, not without
reason considering their role. It is predicated on Westerdahl’s (1992)
innovative maritime cultural landscape concept, which represents “human
utilisation (economy) of maritime space by boat: settlement, fishing,
hunting, shipping and its attendant sub-cultures.” The maritime cultural
landscape is thus a visualisation of people’s relationship to the sea, in
particular with regard to economic exploitation. Many of Westerdahl’s
definitions of the concept focus on seafaring, for example a later one in a
paper about roads and sea routes describes it as the “network of sea
routes, with harbours and related constructions and remains of human
origin, below as well as above the water” (Westerdahl, 2006). Maritime
enclaves are thus the nodes of this network, where maritime culture
comes about and a concentration of “constructions and remains” are
found. Much of Westerdahl’s discussions still focus on economy and
transport, because “their occupations […] to a large extent define their
culture” and “living in an ecological niche leads to an adaptation precisely

�to that niche” (Westerdahl, 2007). Indeed maritime, riverine, and
lacustrine environments tend to develop a culture of transport and
communication characterised by rapid transmission of information and
spatially extended networks (Westerdahl, 1999, 2006). Thus, taking a
maritime cultural landscape approach— as Westerdahl defines it —helps
highlight the adaptations specific to maritime environments and maritime
activities.
This approach however risks overemphasizing the economic role of trade
in the development of ports, to the detriment of social and cultural factors.
As has been reiterated throughout this paper, ports are very diverse
spaces by virtue of their need and ability to attract merchants from all over
the world. Along with goods to trade, these merchants bring with them
their culture: their beliefs, their values, their lifestyles, their tastes in food,
clothes, and architecture... The interaction of people from different social
and geographical backgrounds, all of whom are trying to maintain their
identity, is reflected in the built environment.
Adam Rogers (2013) argues for a more social approach to port and
harbour archaeology, as he believes that studies of ports have focused
too often on how changing technologies (including the characteristics of
ships) and commercial trends have impacted the design of harbours.
Paralleling Rapoport and Westerdahl, Rogers brings up the concept of
“taskscapes,” explaining that the environmental context of ports, the
waterfront, dictates the type of activities people engage in, which in turn
influences the shape of the port (Rogers, 2013). He however goes beyond
this idea by reminding scholars that “by their nature and function, the
connection [of ports] with places across water and overseas means that
they could often attract a large range of different peoples with varying
perspectives” (Rogers, 2013). He proposes drawing from the domestic

�architecture discourse as one way of highlighting the diversity of people
living in ports but points out that in a port setting, it might be difficult to
separate “domestic” and “business” (Rogers, 2013).

Environment-

behaviour theory does not necessitate such a distinction, which is why it
is well suited to the study of ports.
As stated above, Rapoport’s environment-behaviour theory posits that
certain aspects of culture, lifestyles and activity systems, are observable
in the built environment. He states that in order to understand culture fully
in built structures, it is the “latent aspect of activities,” meaning, which
must be considered (Rapoport, 1998). This meaning is connected to
values and social variables such kinship, gender, social roles, and status,
and is transmitted through symbolic codes; it is thus reflected in the choice
of things like colour, material, and spatial organisation (Rapoport, 1998).
Rapoport (1998) illustrates his point with the example of the kitchen: food
preparation varies greatly across cultures, it is also related to other
activities and meanings (for example rituals, familial ties, gender roles), all
of which affect the design of the kitchen and location within the house. In
short, buildings reflect the wants and needs of its users in their structure,
layout, and decorative elements. As lifestyles are expressed in the built
environment, maritime culture is expressed as “a recurrent set of maritime
traits and repetitive maritime behaviour,” which is visible in the
archaeological record (including the built environment) (Mushynsky,
2011). David Tuddenham (2010) puts forward the concept of “maritimity”
to help guide studies of maritime culture. This concept is based on the
idea that material culture is rarely either maritime or terrestrial, rather
somewhere on a scale between the two. In order words, determining
maritimity asks “how maritime is this?” It is however “to be understood as
a category of understanding, not something with empirical qualities,” the

�same way that thinking of life modes, activities, and social variables helps
understand (maritime) culture (Rapoport, 1998; Tuddenham, 2010;
Westerdahl, 2007).
The maritime cultural landscape approach in conjunction with the
environment-behaviour theory provides a conceptual structure with which
to understand the fabric of Southeast Asian port cities, and in particular
how maritime trade influenced their development. It is clear that the
economic and technological aspects of trade highly dictate the use of
space. Their reason for being and their continuing success hinges on the
efficiency with which merchants can participate in regional and/or global
trade. On the other hand, it is important to continuously remember that
around the ports grew towns built by foreign people. In order to
understand a Southeast Asian port, one must consider how the Chinese,
or European, or Indian trader experienced the setting and how (or if) they
maintained their identity.
The Development of Hội An
The practical application of the above approach can take many forms by
focusing on different aspects and characteristics of the port in question.
For example, one could look at community-specific trade practices, the
way they were adapted to function in a foreign port, and the way they may
have been expressed in specialized structures. Another avenue of enquiry
would be to compare the inns and hostels of different communities within
a same port. Westerdahl sees inns as a major feature of the maritime
cultural landscape, acting as relay stations and safe havens in an
emergency (Westerdahl, 2006, 2007). The Chinese, Japanese, British,
and Indian people of Hội An and George Town had similar institutions that
served as accommodation and aid for visiting members of their
communities. Though a cross-cultural study would more fully address the

�question of cosmopolitanism, this paper will focus on a single foreign
merchant community. It will analyse the public buildings and residences
of the Chinese merchant communities in Hội An and George Town in
order to understand the impact of trade on its lifestyle.
The overseas Chinese community represents a large group of migrants in
Southeast Asia, who have played important roles in the history of the
region since the third century before the Christian Era (Mackie, 1996;
Wu, 2010). It is composed chiefly of groups from the southern provinces
of China, especially Fujian and Guangdong. Due to the mountainous
geomorphology of their home, the inhabitants of this region did not
establish very strong ties with Central China, instead turning to the sea
and developing mercantile and fishing activities, and later being highly
involved in regional and global trade. In addition, population pressures
such as poverty, war, and disease, resulted in migration towards
Southeast Asia, in particular after the Qing conquest of the Ming in 1644
and in the second half of the nineteenth century as a result of the two
Opium Wars (1840–1842, 1858–1860) and the Taiping Rebellion (1851–
1864) (Wu, 2010).
The Chinese communities living in Hội An and George Town immigrated
at different times and for different reasons. The first Chinese to arrive in
Hội An after its establishment were highly involved in maritime commerce,
either as traders themselves or running businesses to support trade
(Chen, 2002). This was a relatively small group, outnumbered by the
Japanese until the mid-seventeenth century. The Togukawa policies of
the 1630s prevented Japanese nationals from leaving Japan, leaving a
vacuum in Hội An which was quickly filled by the Chinese (Wheeler,
2001). Furthermore, a substantial number of Ming loyalists sought refuge
in Hội An in 1644; they were given a special status, Minh Hương, which

�allowed them the right to own land, marry local women, and hold office
(Chen, 2002). The height of Hội An’s success, the eighteenth century,
coincided with what Anthony Reid (1993) and Carl Trocki (1997) refer to
as the “Chinese century” when the Qing rescinded the Ming trading bans
and breathed new life into the junk trade. Contemporary visitors to Hội An
often describe the town as a Chinese town, and comment on the affluence
of their neighbourhood (Chen, 2002; Morel, 2010; Wheeler, 2001). The
exact number of Chinese living in the Nguyen port is unclear: Thomas
Bowyear counts around 100 Chinese households in 1696; an anonymous
source counts 6,000 Chinese in 1744, while another estimates 10,000
“married and tax-paying Chinese” in 1750 (Chen, 2002; Dalrymple, 1791–
1797).
The bulk of Chinese immigration in Penang takes place over a century
later, during the decline of the junk trade and the integration of Chinese
merchants into the global capitalist system (Wu, 2010). The majority of
Penang’s early Chinese migrants in fact were not from China but from the
Malay Peninsula, mostly from Kedah (Hussin, 2009). Only the wealthiest
Chinese participated in trade, as owners of shops, shop houses, and ships
or members of mercantile companies; while the majority worked for wages
as skilled, semi-skilled, and unskilled labour (Hussin, 2009). Along with
the Indian community (Chulias), the Chinese community formed the bulk
of George Town’s population; the number of Chinese grew steadily in the
first decades of the nineteenth century, overtaking the number of Indians
in 1828 (Hussin, 2009). Both communities dominated the commercial
centre bounded by Light Street, Beach Street, Chulia Street, and Pitt
Street (Hussin, 2009).
Despite these inceptive differences, there are many similarities in the
Chinese settlements in Hội An and George Town, particularly with regard

�to economic and cultural institutions. The first thing to note is that the
“Chinese community” in both these ports was in fact several communities,
dictated by clan or hometown, each with distinct traditions and languages
(Hussin, 2009). Often, they would create associations, guilds, or societies
according to dialect or family name, which provided a sense of comfort
and belonging to its members. This institution has purely economic origins
in fifteenth century trade guilds that helped regulate business abroad
(Moll-Murata, 2008; Naquin and Rawski, 1987; Purcell, 1965; Wu, 2010).
The associations in Southeast Asia, named kongsi, provided lodging and
a meeting space for visiting merchants, and offered assistance to new
settlers, but also served as a storage facility and as the custom house
(Naquin and Rawski, 1987). Oftentimes, they would take on the role of a
municipal government for the local overseas Chinese population,
providing fire-fighting, policing, and schooling services, as well as
maintaining public infrastructure (Moll-Murata, 2008; Naquin and Rawski,
1987; Wu, 2010). At the end of the 19th century, the kongsis lost their
economic and regulatory roles, instead becoming hui guan: commonorigin associations and public assembly places that promote history and
traditional knowledge (Moll-Murata, 2008; Wu, 2010). The institution is
made concrete in the form of assembly halls and clan houses that are
considered symbols of their community, reflecting unity, loyalty, and
prosperity.
In Hội An there are five Assembly Halls: four common-origin guilds
(Fujian, Guangdong, Teochew, and Hainan) and the Trung Hoa guild that
brings together all the Chinese communities; the latter was originally
established as the Dương Thương guild, the guild for Maritime Commerce
(Chen, 2002). It is notable that an association intended as a professional
guild for the main economic activity of Hội An later came to be a pan-

�Chinese cultural space. In addition to accommodating travelling
merchants and drafting an ethical code of conduct in trade, Dương
Thương hall contained a shrine to the Goddess of Mercy2, the patron of
fishermen and sailors, and the first deity for whom overseas Chinese
would erect a shrine after sailing away from home to settle in a new place
(Chen, 2002; Purcell, 1965). Today’s Trung Hoa Assembly Hall still
maintains the shrine, which now also contains a model of a Chinese junk.
There are some 170 Chinese associations in George Town relating to clan
or dialect; some are headquartered in shop houses, such as the Ch’ng Si
Soo Bee Tong (now Persatuan Zhuang &amp; Yan Pulau Pinang), though most
are housed in grand hall such as Lim Kongsi. The Lim clan had been
trading in Penang since 1821 and established their clan house in 1863 on
Beach Street, the busiest commercial street of George Town, located on
the waterfront until the reclamation projects in the 1870s and 1880s
(George Town World Heritage Incorporated, n.d.; Langdon, 2015). Like
the Dương Thương in Hội An, Lim Kongsi pays tribute to the goddess of
seafarers. She is a recurrent figure around George Town, including at
Kuan Im Teng temple, the oldest Chinese temple in Penang built in the
eighteenth

century.

The associations and halls are a public expression of the Chinese
merchant identity. In the above examples, the sea plays a clear role in the
way the community both views itself and connects with each other. As a
community of seafarers, the sea represents to the Chinese merchant
group a connection and a divide from home, yet it is also their livelihood.
The central role of maritime trade is further illustrated in Hội An and
George Town’s predominant style of housing: the shophouse. As its name
suggests, the shophouse is both a commercial and residential space. The
shop is located at the front of the building, opening on the street, and is

�generally larger than the residential part, which is located in the back or
on the top floor. In Hội An, the shop houses are built as near as possible
to the water to facilitate loading and unloading from ships. Though the
basic layout remains the same, the materials and ornamentations varied
slightly from Hội An to George Town. The Hội An shop houses were
mostly built from an incredibly strong local wood called tin (ironwood); the
early George Town houses had attap roofs, while the later houses were
built of burnt clay bricks (Dror and Taylor, 2006; Hussin, 2009). The
houses in Hội An were also built with flooding in mind, as the river was
known to overflow during the monsoon; they had removable boards and
pulley systems to protect goods (Dror and Taylor, 2006; Morel, 2010). The
façade of shop houses in George Town very distinctly reflected the
ethnicity of its owner through ornamentation: “carved wood panels and
fascia boards of the indigenous and Indo-Malay, elaborate and
superstitious images of the Chinese, the arches of Mogul India, the neoclassical elements of British architecture of the Georgian and Regency
periods and the modernism of art deco and modern architecture” (World
Heritage Site Special Area Plan SAP §A4.11.8).
Conclusion
This analysis of Chinese public and private buildings in Hội An and
George Town has helped understand one aspect of the fabric of
Southeast Asian ports. The overseas Chinese merchant community was
a significant presence throughout the region and thus highly impacted
both its economy and society. However, this study has also shown that
their seaward migration and activities in trading has impacted their lifestyle
and culture. The built environment reflects the dual relationship of this
group with the sea: there is a preoccupation with efficiently utilizing it for

�trading and an understanding of it as something that both separates and
connects them to the homeland.
The theoretical approach outlined in the first section of this paper
considers the port both as part of the maritime cultural landscape and as
a maritime cultural landscape in and of itself in order to visualise how the
economic and technological aspects of maritime trade impact its form and
development. It also proposes focusing on the built environment in order
to draw out the characteristics of a cosmopolitan port culture, based on
the idea that trade forces cosmopolitanism, that is the coexistence of
various cultural groups in one space. The reverse relationship has not yet
been investigated. With the same approach, it may be possible to
visualise how cosmopolitanism impacts trade (the same way it impacted
architecture as seen in the evolution of shop houses in George Town),
where

the

specialised

trade

structures

(wharves,

warehouses,

customs…) would reflect adaptations to new environments and new
people.
Endnotes
1
Hội An also fits criterion (v): to be an outstanding example of a traditional
human settlement, land-use, or sea-use which is representative of a
culture (or cultures), or human interaction with the environment especially
when it has become vulnerable under the impact of irreversible change.”
George Town also fits criterion (iii): to bear a unique or at least exception
testimony to a cultural tradition or to a civilisation which is living or which
has disappeared;” and criterion (iv): to be an outstanding example of a
type of building, architectural or technological ensembles, or landscape
which illustrates (a) significant stage(s) in human history.”
2
Known in different contexts as Mazu/Matsu, Tianhou, (Thiên Hậu in
Vietnamese), or Guanyi (Kuan Im in Penang)
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This approach will be applied to two very different port cities: Hội An in Central Vietnam, and George Town in Malaysia. Whereas Hội An was an informal temporary market place that grew to be one of the region’s biggest entrepôt ports in the 18th century, George Town was founded as a trading outpost for the British East India Company in 1786, before becoming the seat of many mercantile firms and banks in the 19th century.</text>
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      <name>Document</name>
      <description>A resource containing textual data.  Note that facsimiles or images of texts are still of the genre text.</description>
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            <name>Title</name>
            <description>A name given to the resource</description>
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              <elementText elementTextId="3009">
                <text>Luso-Asian influences in Macaronesia</text>
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            <name>Subject</name>
            <description>The topic of the resource</description>
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              <elementText elementTextId="3010">
                <text>Session 11&#13;
Diversity in approaches to maritime archaeology, underwater cultural heritage and related areas</text>
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            <description>An account of the resource</description>
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                <text>In early 1607 when the East India Company was preparing to send its first fleet to India, four Asian men were already in London and requested work on these ships as a means to getting home. The men all had Portuguese names; Marcus, John Mendes, John Rodrigues and John Taro. Where did these men come from and what was their story? Through original interdisciplinary fieldwork in Macaronesia, as well as in South and Southeast Asia this paper is an investigative research into the origin of the earliest medieval seaborne Asians to arrive into the Atlantic Ocean from their homelands in the Indo-Pacific regions. Throwing light on a narrative that has been usually projected from the perspective of â€œEuropean pioneersâ€ from the opposing direction.</text>
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              <elementText elementTextId="3012">
                <text>Cliff Pereira</text>
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                <text>November 2011</text>
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External Resources: Find this item at Abebooks.com (Bookseller) Find this item at Alibris (Bookseller) Find this item at Antiquarian Booksellers Association of America (Bookseller) Find this item at Biblio (Bookseller) Cite This Item Search for versions with same title and author | Advanced options ...
More About This In: Books in Print (Publication status and optional reviews)
Language: English
Contents: Maritime dreams, Meiji realities, 1868-1878 -- Parochialism and empire: Satsuma, the South Seas, and naval expansion, 1878-1889 -- Political baptism by fire: the Navy and the early Diet Sessions, 1890-1894 -- The rich rewards and rivalry of war, 1894-1904 -- War, pageantry, and propaganda in the service of naval expansion, 1905-1910 -- Coercion, pragmatism, and
interservice rivalry: elite-level politics and naval expansion, 1910-1913 -- The rise and fall of Navy political fortunes, 1913-1914 -- Opportunism, expansion, and limitation: the Imperial Navy and Japan's Great War, 1914-1922.
Access: Materials specified: Contributor biographical information http://www.loc.gov/catdir/enhancements/fy0710/2004010793-b.html
Materials specified: Publisher description http://www.loc.gov/catdir/enhancements/fy0710/2004010793-d.html
Named Corp: Japan. Kaigun -- History. Japan. Kaigun -- Political activity.
Geographic: Japan -- Politics and government -- 1868-1912. Japan -- Politics and government -- 1912-1926. Japan -- History, Naval -- 19th century. Japan -- History, Naval -- 20th century.
Note(s): Includes bibliographical references (p. [265]-278) and index.
Class Descriptors: LC: VA653; Dewey: 322/.5/095209034
Responsibility: J. Charles Schencking.
More Records: Show record information
Vendor Info: YBP Library Services Baker and Taylor Baker &amp; Taylor (YANK BTCP BKTY) 60.00 Status:              active
Entry: 20040511
Update: 20080329
Provider: OCLC</text>
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