A620416 PDF

NAVAL
POSTGRADUATE
SCHOOL
MONTEREY, CALIFORNIA
THESIS
THE ENEMY BELOW: PREPARING GROUND FORCES

FOR SUBTERRANEAN WARFARE
by
Joshua S. Bowes
Mark T. Newdigate
Pedro J. Rosario
Davis D. Tindoll
December 2013
Thesis Advisor: Leo Blanken

Second Reader: John Arquilla
Approved for public release; distribution is unlimited

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THE ENEMY BELOW: PREPARING GROUND FORCES FOR
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6. AUTHOR(S) Joshua S. Bowes, Mark T. Newdigate, Pedro J. Rosario, and Davis
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13. ABSTRACT (maximum 200 words)
This capstone project analyses subterranean threats in the contemporary operational environment. It identifies the doctrinal gap in
the U.S. military regarding operations within tunnels, urban and natural cavities, and other underground facilities, and outlines the
changes necessary to prepare ground forces to operate in these complex environments. This paper reviews historical cases
spanning back over half a millennium, proposes a new typological classification system, and investigates the subterranean
environment in terms of the United States Army doctrine, organization, training, matériel, leadership and education, personnel, and
facilities process. Additionally, it provides analysis geared toward countering subterranean threats through indirect means to
include: incendiary weapons, cyber-based attacks, and military information support operations. The capstone finds that: 1) Current
U.S. military doctrine does not properly prepare units for operations in subterranean environments; 2) Future conflicts will require
general purpose forces to deal with subterranean threats; and 3) Understanding the use of indirect approaches is critical in the
conduct of subterranean operations. This research leads to the recommendation that the Training and Doctrine Command
Intelligence Support Activity recognize “subterranean” as an operational environment. Additionally, this capstone provides
guidance to commanders and staffs to assist in pre-mission training even before the doctrinal gap is filled.
14. SUBJECT TERMS 15. NUMBER OF

Subterranean warfare, subterranean typology, deep underground facilities, rudimentary and PAGES
sophisticated tunnels, subterranean targeting factors, siege of Constantinople, siege of Petersburg, 189
Messines Ridge, Battle of Okinawa, Cu Chi Tunnels of Vietnam, 16. PRICE CODE
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Approved for public release; distribution is unlimited
THE ENEMY BELOW: PREPARING GROUND FORCES FOR SUBTERRANEAN

WARFARE
Joshua S. Bowes
Major, United States Army
B.A. University of Southern Mississippi, 1997
Mark T. Newdigate
B.A., University of Kentucky, 2003
Pedro J. Rosario
B.A., Inter-American University of Puerto Rico, 2003
Davis D. Tindoll
B.A, Troy State University, 2001
Submitted in partial fulfillment of the

requirements for the degree of
MASTER OF SCIENCE IN DEFENSE ANALYSIS
from the
NAVAL POSTGRADUATE SCHOOL

December 2013
Author: Joshua S. Bowes

Mark T. Newdigate
Pedro J. Rosario
Davis T. Tindoll
Approved by: Leo Blanken, PhD

Thesis Advisor
John Arquilla, PhD

Second Reader
John Arquilla, PhD

Chair, Department of Defense Analysis
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ABSTRACT
This capstone project analyses subterranean threats in the contemporary operational

environment. It identifies the doctrinal gap in the U.S. military regarding operations
within tunnels, urban and natural cavities, and other underground facilities, and outlines
the changes necessary to prepare ground forces to operate in these complex
environments. This paper reviews historical cases spanning back over half a millennium,
proposes a new typological classification system, and investigates the subterranean
environment in terms of the United States Army doctrine, organization, training, matériel,
leadership and education, personnel, and facilities process. Additionally, it provides
analysis geared toward countering subterranean threats through indirect means to include:
incendiary weapons, cyber-based attacks, and military information support operations.
The capstone finds that: 1) Current U.S. military doctrine does not properly prepare units
for operations in subterranean environments; 2) Future conflicts will require general
purpose forces to deal with subterranean threats; and 3) Understanding the use of indirect
approaches is critical in the conduct of subterranean operations. This research leads to
the recommendation that the Training and Doctrine Command Intelligence Support
Activity recognize “subterranean” as an operational environment. Additionally, this
capstone provides guidance to commanders and staffs to assist in pre-mission training
even before the doctrinal gap is filled.
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TABLE OF CONTENTS
I. INTRODUCTION........................................................................................................1
A. BACKGROUND ..............................................................................................1
B. DESCRIBING THE PROBLEM....................................................................2
C. SCOPE OF RESEARCH ................................................................................2
D. RESEARCH QUESTIONS .............................................................................3
II. METHODOLOGY ......................................................................................................5
A. LITERATURE REVIEW ...............................................................................5
1. Doctrinal Void for General Purpose Forces .....................................5
2. Historical Trajectory of Subterranean Threats ................................5
3. Non-standard Approaches Have Value .............................................6
B. ARGUMENTS..................................................................................................6
1. Current U.S. Military Doctrine Does Not Properly Prepare
Units for Operations in Subterranean Environments ......................6
2. Future Conflicts Will Require General Purpose Forces to Deal
With Subterranean Threats ................................................................7
3. Understanding the Use of Indirect Approaches is Critical in
the Conduct of Subterranean Operations..........................................8
C. TYPOLOGY.....................................................................................................9
1. Defining the Typology..........................................................................9
2. Typological Attributes .......................................................................10
3. Categorizing Subterranean Structures ............................................16
D. CASE STUDY LOGIC AND SELECTION ................................................23
III. CASE STUDIES .........................................................................................................27
A. THE SIEGE OF CONSTANTINOPLE (1453) ...........................................27
1. Introduction ........................................................................................27
2. Background ........................................................................................27
3. Subterranean ......................................................................................30
4. Effects ..................................................................................................33
5. DOTMLPF Application.....................................................................34
6. Conclusion ..........................................................................................35
B. SIEGE OF PETERSBURG DURING AMERICAN CIVIL WAR
(1864) ...............................................................................................................35
1. Introduction ........................................................................................35
2. Background ........................................................................................36
3. Subterranean ......................................................................................37
4. Effects ..................................................................................................42
5. Application of DOTMLPF ................................................................43
6. Conclusion ..........................................................................................44
C. THE MINING OF MESSINES RIDGE DURING WORLD WAR I
(1917) ...............................................................................................................45
1. Introduction ........................................................................................45
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2. Background ........................................................................................46
3. Subterranean ......................................................................................47
4. Effects ..................................................................................................51
6. Conclusion ..........................................................................................53
D. THE BATTLE OF OKINAWA (1945) ........................................................55
1. Introduction ........................................................................................55
2. Background ........................................................................................55
3. Subterranean ......................................................................................57
4. Effects ..................................................................................................65
6. Conclusion ..........................................................................................66
E. TUNNEL WARFARE DURING THE VIETNAM WAR (1966) ..............67
1. Introduction ........................................................................................67
2. Background ........................................................................................68
3. Subterranean ......................................................................................71
4. Effects ..................................................................................................77
F. CONCLUSION ..............................................................................................79
IV. CASE STUDY COMPARISON AND ANALYSIS.................................................81
A. TREND COMPARISON ...............................................................................81
B. DOTMLPF ANALYSIS OF CASE TRENDS .............................................83
V. RECOMMENDATIONS AND CONCLUSIONS ...................................................85
A. ANALYSIS BY DOTMLPF FOR CURRENT U.S. LAND FORCES ......85
1. Doctrine...............................................................................................85
a. Planning Considerations ........................................................86
b. Threats .....................................................................................88
c. Challenges ...............................................................................89
d. Indicators and Detection of Subterranean Activity ...............90
e. Alternate Approaches..............................................................92
2. Organization .......................................................................................94
3. Training ..............................................................................................95
4. Matériel ...............................................................................................95
a. Air Quality ...............................................................................96
b. Optics/Visibility .......................................................................97
c. Chemical, Biological, Radiological, and Nuclear .................98
d. Hearing Protection..................................................................98
e. Breaching Equipment .............................................................99
f. Incendiary Weapons ...............................................................99
g. Remote Controlled Robotics .................................................100
h. Air blowers.............................................................................101
5. Leadership and Education ..............................................................102
6. Personnel...........................................................................................103
7. Facilities ............................................................................................103
a. Tunnel Training ....................................................................104
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b. Urban & Natural Cavity Training ........................................104
c. Underground Facility Training ............................................105
d. Other Training Opportunities...............................................106
B. AREAS FOR CONTINUED RESEARCH ................................................107
C. CONCLUSION ............................................................................................108
1. Case Studies ......................................................................................108
2. Typology............................................................................................108
3. DOTMLPF........................................................................................111
4. Incendiary Weapons, Cyber-based Attacks, and MISO: .............112
5. Final Thoughts .................................................................................113
APPENDIX A. INFORMATION DOMINANCE ...................................................115
A. MILITARY INFORMATION SUPPORT OPERATIONS AND
MILITARY DECEPTION ..........................................................................115
1. Contaminated Air Supply ...............................................................115
2. Structure Collapse ...........................................................................116
3. Food/Supply Shortages ....................................................................116
4. Fire/Smoke Inhalation .....................................................................116
5. Flooding ............................................................................................117
6. Tunnel Remediation ........................................................................118
7. Social Media .....................................................................................118
8. Local Populace Interaction .............................................................119
B. CYBER AND ELECTRONIC ATTACK ..................................................121
1. Introduction ......................................................................................121
2. Stuxnet ..............................................................................................121
3. Subterranean Lessons Learned ......................................................123
4. Conclusion ........................................................................................124
APPENDIX B. APPLICATION OF INCENDIARY WEAPONS .........................127
A. SECTION ONE: CIVILIAN DEATH DURING WORLD WAR II,
THE KOREAN WAR, AND THE VIETNAM WAR ..............................130
1. World War II....................................................................................130
2. Korea .................................................................................................132
3. Vietnam .............................................................................................132
B. SECTION TWO: WEAPONS USED BY TERRORISTS .......................134
1. 2004 Beslan School Massacre..........................................................134
2. 2008 Attack in Mumbai ...................................................................134
3. 2012 Attack on the U.S. Consulate in Benghazi ............................135
C. SECTION THREE: THE NEGATIVE STIGMA THAT
INCENDIARY WEAPONS CAUSE THE UNNECESSARY
SUFFERING OF ENEMY PERSONNEL.................................................136
D. CONCLUSION ............................................................................................138
APPENDIX C. ANNOTATED BIBLIOGRAPHY .................................................141
A. PHYSICAL CHARACTERISTICS STUDIES .........................................141
1. Underground Structures of the Cold War: The World Below
by Paul Ozorak.................................................................................141
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2. Lexicon of Hardened Structure Definition and Terms, by the
Defense Intelligence Agency ............................................................142
3. Classification of the Typologies of Artificial Cavities in the
World, by the Speleological Society of Italy. .................................143
4. [Title Classified Secret] a Thesis by James Papineau at the
Naval Postgraduate School .............................................................143
B. HISTORICAL PUBLICATIONS...............................................................144
1. The Fall of Constantinople 1453, by Steven Runciman................144
2. The Battle of the Crater, by Alfred P. James ................................145
3. In Flanders Fields: The 1917 Campaign, by Leon Wolff .............145
4. Okinawa: The Last Battle of World War II, by Robert Leckie ..146
5. The Tunnels of Cu Chi, by Tom Mangold .....................................146
6. A Historical Analysis of Tunnel Warfare and the
Contemporary Perspective, by Major Allen Reece ......................147
7. Underground Combat: Stereophonic Blasting, Tunnel Rats,
and the Soviet-Afghan War by Lester W. Grau ...........................147
C. DOCTRINAL PUBLICATIONS ................................................................147
1. ATTP 3-06.11 Combined Arms Operations in Urban Terrain ...147
2. FM 90-8 Counterguerrilla Operations, FM 90-10 Urban
Operations, and FM 90-10-1 An Infantryman’s Guide to
Combat in Built Up Areas ...............................................................148
GLOSSARY..........................................................................................................................149
LIST OF REFERENCES ....................................................................................................153
INITIAL DISTRIBUTION LIST .......................................................................................161
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LIST OF FIGURES
Figure 1. Restricted .........................................................................................................12

Figure 2. Semi Restricted ................................................................................................13
Figure 3. Permissive ........................................................................................................13
Figure 4. Unrestricted ......................................................................................................14
Figure 5. Subterranean Targeting Attributes ...................................................................15
Figure 6. Subterranean Categorization ............................................................................16
Figure 7. Subterranean Area Graphical Symbol .............................................................22
Figure 8. Siege of Constantinople ...................................................................................29
Figure 9. Ancient use of Greek fire .................................................................................32
Figure 10. Final assault of the walls of Constantinople ....................................................34
Figure 11. Entrance to Union Mine (Petersburg 1865) .....................................................39
Figure 12. Petersburg Tunnel diagram ..............................................................................40
Figure 13. Inside the Union tunnel at Petersburg ..............................................................40
Figure 14. Charcoal sketch: Col. Pleasants supervising emplacement of explosives .......42
Figure 15. Confederate Reinforcement of the Breach .......................................................43
Figure 16. British tunnel diagram......................................................................................49
Figure 17. View from crater on Hill 60 (6 July 1917) ......................................................52
Figure 18. Messines Present Day Crater ...........................................................................52
Figure 19. Kakazu Ridge on the Shuri Line ......................................................................60
Figure 20. U.S. Marine using a flame thrower to clear bunkers (Okinawa 1945) ............61
Figure 21. Demo Team using satchel charge to destroy bunkers (Okinawa 1945)...........62
Figure 22. Japanese soldier emerges from smoke filled bunker .......................................64
Figure 23. U.S. troops using smoke to clear bunkers (Okinawa 1945).............................64
Figure 24. Example of Viet-Cong Tunnel System ............................................................69
Figure 25. Tunnel Rat Unit Patch......................................................................................71
Figure 26. Australian and U.S. troops utilizing a blower to clear tunnel at Cu Chi..........72
Figure 27. Tunnel Rat entering a tunnel wearing a gas mask ...........................................73
Figure 28. Clearing tunnel with .45 caliber pistol and flashlight (Cu Chi 1967) ..............73
Figure 29. Tunnel Rat entering a tunnel head first ............................................................75
Figure 30. Tunnel Rat inspecting entrance before entering tunnel ...................................75
Figure 31. MX6 iBrid on miner.........................................................................................96
Figure 32. View of soldier using AN/PSQ-20 ..................................................................97
Figure 33. Peltor Comtac II Electronic Headset................................................................99
Figure 34. Soldier demonstrates flamethrower ...............................................................100
Figure 35. Soldier uses a robot to detect booby traps in an Afghanistan cave ................101
Figure 36. Technical rescue team using portable air-blower ..........................................102
Figure 37. Cave locations at the National Training Center, Fort Irwin, CA ...................105
Figure 38. Soldiers move through an UGF during NIE 14.1 ..........................................106
Figure 39. Siege of Constantinople .................................................................................109
Figure 40. Petersburg (American Civil War) ..................................................................109
Figure 41. Messines (WWI) ............................................................................................110
Figure 42. Okinawa (WWII) ...........................................................................................110
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Figure 43. Cu Chi Tunnels (Vietnam War) .....................................................................110
Figure 44. Gaza, Israel ....................................................................................................110
Figure 45. A Karez tunnel in Afghanistan ......................................................................111
Figure 46. Cross-border tunnels in Central America ......................................................111
Figure 47. A Palestinian attempts to clean out sewage from a tunnel in Rafah. .............117
Figure 48. U.S. Customs and Border Protection Agents contract cement trucks to fill
a tunnel along the Tucson sector of Nogales. ................................................118
Figure 49. Cartels force local vendors to conceal tunnel entrances and exits .................120
Figure 50. Former Iranian President Mahmoud Ahmadinejad touring a centrifuge
facility. ...........................................................................................................125
Figure 51. Siemens PLC..................................................................................................125
Figure 52. Napalm Girl ...................................................................................................133
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LIST OF TABLES
Table 1. Subterranean Operational Environment Typological Coding System .............22
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LIST OF ACRONYMS AND ABBREVIATIONS
AWG Asymmetric Warfare Group

AO area of operation
BG brigadier general
3
CI command, control, communications, and intelligence
CARVER criticality, accessibility, recuperability, vulnerability, effect and
recognizability
CBRN chemical, biological, radiological, and nuclear
COE contemporary operational environment
CONUS Continental U.S.
CORE Lab common operational research environment
COTS commercial-off-the-shelf
CSA Confederate States of America
CTC combat training center
DIA Defense Intelligence Agency
DOTMLPF doctrine, organization, training, matériel, leadership and education,
personnel, and facilities
DTRA Defense Threat Reduction Agency
DUG deep underground facility
ENVG enhanced night vision goggle
FDNY New York Fire Department
FEAF U.S. Far East Air Force
FOE future operational environment
GPF general purpose forces
GWOT Global War on Terrorism
HDBT hardened deeply buried target
HTRAC Hard Target Research and Analysis Center
HUMINT human intelligence
IAEA International Atomic Energy Agency
IED improvised explosive devices
IMINT imagery intelligence
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IPOE intelligence preparation of the operational environment
IR infra-red
ISR intelligence, surveillance, and reconnaissance
JTTR joint tunnel testing range
LOS line of sight
LTC lieutenant colonel
LTG lieutenant general
MASINT measurement and signature intelligence
METT-TC mission, enemy, time, terrain, troops available, and civilian
considerations
MG major general
MILDEC military deception
MISO military information support operations
MIST military information support teams
MOPP mission oriented protective Posture
MUTC Muscatatuck Urban Training Center
MWD military working dogs
NBC nuclear, biological, or chemical
OIL observations, insights, and lessons
OCO overseas contingency operations
OPFOR opposing forces
OPSEC operational security
PLC program logic control
POL petroleum, oil, and lubricants
PPE personal protective equipment
RF radio frequency
SCBA self-contained breathing apparatus
SMU special mission unit
SOF Special Operations Forces
SPV single point of vulnerability
SWG Subterranean Working Group
TBM tunnel-boring machine
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TCO trans-national criminal organization
TRADOC U.S Army Training and Doctrine Command
TRISA training and doctrine command intelligence support activity
TTP tactics, techniques and procedures
UFAC Underground Facility Analysis Center
UGF underground facility
UGS shallow underground facility
USSOCOM U.S. Special Operations Command
VC Viet Cong
VEO violent extremist organization
WSMR White Sands Missile Range
WMD weapons of mass destruction
WSMR White Sands Missile Range
WWI World War I
WWII World War II
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EXECUTIVE SUMMARY
The Subterranean Working Group (SWG) Capstone represents a combined effort with the
Naval Postgraduate School Defense Analysis Department and the Asymmetric Warfare
Group (AWG). The result of this effort is an analysis of subterranean threats in the
contemporary operational environment (COE) and a description of what actions must be
taken to prepare ground forces to operate underground. More importantly, this project
has created a subterranean lexicon which ranges from the most rudimentary tunnels to
deeply buried hardened facilities. With this lexicon, the Subterranean Working Group
has created a tool that can assist commanders in planning and executing subterranean
operations. Proliferation of subterranean structures continues unabated among those with
hostile intentions, including rogue states and criminal, insurgent, and terrorist networks.
The most modern underground facilities, incorporate design features that make them
essentially impervious to air or missile attack. Currently, ground-assault options are
limited to small special operations forces (SOF) contingents. This research suggests that
general purpose forces (GPF) solutions may prove necessary to meet these threats.
The Military Problem
The current courses of action for defeating subterranean threats are insufficient.
Techniques, tactics, and procedures (TTP) for U.S. forces encountering urban and natural
cavities and tunnels are developed ad hoc. However, such responses lack efficiency and
require soldiers to assume unnecessary risks. These risks cannot be effectively mitigated
unless U.S. forces have conducted training in subterranean operations. The current
course of action for the defeat of underground facilities (UGF) is the use of earth-
penetrating munitions and, possibly, tactical nuclear weapons. However, deep
penetrating munitions will not destroy some reinforced UGF and the use of nuclear
weapons is simply not politically or morally feasible. Thus, ground forces must be
prepared to conduct operations in a subterranean environment.
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Doctrinal Gap
The Department of Defense provides training, doctrinal, organizational and

matériel support to U.S. forces conducting operations in jungle, mountainous, and urban
environments. However, few resources address the subterranean threat. The Asymmetric
Warfare Group (AWG) has published a handbook for subterranean warfare that focuses
on the tactical level in terms of tactics, techniques, and procedures (TTP) and safety
considerations. This capstone seeks to provide an analysis of historical cases ranging
from the fall of Constantinople in the 15th century to the modern era, proposes a new
typological classification system, and investigates the subterranean environment in terms
of the United States Department of Defense doctrine, organization, training, matériel,
leadership and education, personnel, facilities, (DOTMLPF) process.
Typology
To create a subterranean typology and classification the Subterranean Working

Group (SWG) conducted case studies of:
• The Siege of Constantinople (1453)
• The Siege of Petersburg during the American Civil War (1864)
• The Mining of Messines Ridge during WWI (1917)
• The Battle of Okinawa during WWII (1945)
• Vietnam War Tunnel Warfare (1966)
Additionally, the SWG participated in fieldwork facilitated by NPS, AWG, the
Defense Intelligence Agency (DIA), the Underground Facility Analysis Center (UFAC)
Fire Department New York, and the Colorado School of Mines at the following locations:
• Edgar Experimental Mine, CO
• Long Island Rail Road East Side Access Grand Central Station,
New York City, NY
• Cu Chi, Long Phoc, and Vinh Moc tunnels, Vietnam
• White Sands Missile Range (WSMR), NM
• Manzano Mountain Underground Facility, Kirkland AFB, NM
• Raven Rock Military Complex, PA
• Iron Mountain Data Storage Facility, PA
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With an information gathered from the case studies and fieldwork, the SWG was
able to create a typology that encompasses all forms of subterranean environments (see
Figure 1):
Figure 1. Subterranean Typology
A classification methodology was also created that will enable ground elements
and military planners to understand what information is critical to underground
operations. The coding system and graphical symbol proposed will enable commanders
and staffs to plan subterranean operations effectively within their areas of operation.
Subterranean Targeting Attributes
Within subterranean physical structures, targeting attributes have been identified

to assist commanders and staff in identifying intelligence and operational gaps. The fact
that the tool can be applied to all case studies and current subterranean threats shows the
flexibility of this typology and classification methodology. This system recognizes the
multitude of subterranean systems. It also permits leaders at the strategic, operational,
and tactical level to use the same planning tool with the same terminology mitigating
confusion at all levels of the fight. By understanding the types of subterranean
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environments and identifying targeting attributes, leaders and planners will be made
aware of the multiple challenges that could be faced underground. These targeting
attributes are represented in Figure 2.
Figure 2. Subterranean Targeting Attributes
Incendiary Weapons, Cyber-Based Attacks, and Military Information

Support Operations
This capstone also provides examples in countering subterranean threats with
non-traditional means including incendiary weapons, cyber-based attacks, and military
information support operations (MISO).
The case studies show that incendiary weapons have been effective in the tunnels
and underground facilities (UGFs) of Constantinople, Turkey; Okinawa, Japan; and
Vietnam. Incendiary weapons are a simple, cost effective means of combating
underground threats and cause immediate psychological and physical damage. Due to
the irresponsible use of incendiary weapons in the past, a normative taboo has formed
against this effective enabler. This capstone explains how the taboo is hindering U.S.
forces conducting operations against subterranean threats. Ground forces conducting
underground operations should receive proper training on the effects of incendiary
weapons, when they should be used, and how they should be used.
A cyber-based attack, as shown in the Stuxnet incident, is a valid option against

UGFs. This form of attack limits exposure and risk to ground forces. Cyber-based
attacks have mitigated other underground threats in the past. Given the lack of training in
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and doctrine for subterranean operations, electronic warfare should be further explored
and incorporated to fill this gap.
Military information support operations (MISO) have historically been successful

against subterranean threats. Psychological operations can be applied to all types of
underground environments. If shown to be viable, MISO can influence the audience
through themes, messages, and actions such as contaminated air supply, structure
collapse, food/supply shortage, fire/smoke inhalation, flooding, tunnel remediation, social
media, and local populace engagement. Military information support operations (MISO)
can assist U.S. forces in shaping the information environment in order to persuade,
change, or influence the behaviors of those associated with a subterranean threat.
Conclusion
This capstone finds that:

• Current U.S. military doctrine does not properly prepare units for
operations in a subterranean environment
• Future conflicts will require GPF to deal with subterranean threats
• Understanding the use of indirect approaches is critical when
conducting subterranean operations.
This research leads to the recommendation that the U.S. Army Training and
Doctrine Command Intelligence Support Activity (TRISA) recognize “subterranean” as
an operational environment. Additionally, this capstone provides guidance to
commanders and staffs to assist in pre-mission training until the doctrinal gap is filled. In
recent conflicts, wherever U.S. forces have overwhelming combat power, their
adversaries strive to force fighting on a primitive level. The subterranean environment
offers enemies a cost-effective safe haven for protecting themselves and their sensitive
equipment. By empowering ground forces with the proper understanding, training, and
personal protective equipment (PPE) to operate underground, the overall risk to our
forces is lowered and our ability to operate in asymmetric environments is increased.
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ACKNOWLEDGMENTS
We would like to thank our advisor, Professor Leo Blanken, whose direction and
patience was deeply appreciated throughout the capstone process. We are also grateful to
our second reader and Department Chair for Defense Analysis, Professor John Arquilla.
Thank you both for assembling this capstone group, and affording us the opportunity to
impact the Department of Defense on such an important topic.
We also benefited greatly from a partnership with our sponsors, the Asymmetric
Warfare Group (AWG). The support AWG provided allowed for first-hand research
efforts in a multitude of varying subterranean environments essential to validating our
proposed typology. While these pages cannot recognize every unit member, special
thanks go to COL Patrick Mahaney, LTC Michael Richardson, MAJ Scott Broome, CSM
Dan Hendrex, SGM Brendan O’Connor, Mr. Scott Kesterson, and the men and women of
“Dog Squadron.”
Additionally, this work would not have been possible without the knowledge
gained from experts throughout the subterranean and defense community. These include
but are not limited to COL Jonathan Braga, NPS SOF Fellow; COL(R) Fred Meurer,
former Vietnam “tunnel rat” Commander; Mr. Michael Gold, Defense Intelligence
Agency, and the staff of the Underground Facility Analysis Center; 1SG(R) Alex Robles,
Colorado School of Mines; Joint Task Force—North; the U.S. Customs and Border
Patrol; the 911th Tech Rescue Engineer Company; the New York Fire Department; the
Baltimore Fire Department; the San Diego Tunnel Task Force; and the Defense Threat
Reduction Agency.
Most importantly, we would like to thank our families. Their support and
encouragement over the past 18 months has been critical to the completion of not only his
capstone, but to our overall studies at NPS as well.
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I. INTRODUCTION
A. BACKGROUND
Historic and current intelligence shows both a persistent and an immediate

subterranean threat to the U.S. and its allies. However, little has been done in terms of
official doctrine for operations within subterranean environments. Furthermore, there has
been little research conducted to increase the survivability of forces when operating in
these complex environments. As seen in the past, the use of subterranean environments
provides a cheap and effective form of maneuver, concealment, and protection.
Historical examples of subterranean warfare include: the Siege of Petersburg, Virginia
during the American Civil War; the Battle of Messines during World War I; multiple
tunnel, cave, and trench battles in Okinawa, Japan during World War II; and the Cu Chi
Tunnels in Vietnam. Subterranean warfare has played a significant role in each of these
conflicts. In the contemporary operational environment (COE), subterranean warfare is
used by non-state actors in Israel, Afghanistan, and in countries of Central America, to
circumvent international borders, defeat force protection barriers, and move without
detection despite advanced intelligence, surveillance, and reconnaissance (ISR) systems.
Subterranean systems are also used by many state actors. These systems range from
subway transportation to military underground facilities (UGFs) housing strategic level
infrastructure and sensitive munitions.
Even though large amounts of national resources and intelligence collection are
invested in munitions with the purpose of penetrating and destroying subterranean
systems, limitations on their use requires a reassessment of the methods used to prepare
Special Operations Forces (SOF) and general purpose forces (GPF) to operate in the
subterranean domain. Historical analysis has shown that adversaries in the future
operational environment (FOE) will likely use subterranean systems to protect personnel
and equipment and that they may include weapons of mass destruction (WMD). In order
to fill the operational gap, U.S. ground forces must be prepared to operate within
subterranean environments.
1
B. DESCRIBING THE PROBLEM
The purpose of this project is to conduct an analysis of subterranean threats in the

COE, and describe the changes necessary to prepare ground forces to operate in this
unique environment. Subterranean warfare has significantly impacted warfare in the past
and will continue to do so in the future. Historical cases studies will illustrate a trend in
the use of subterranean environments in warfare and illuminate subterranean warfare as a
problem set that cannot be avoided by ground forces in the COE and FOE.
This project seeks to explore a doctrinal gap in the U.S. military regarding
operations within underground tunnels and deeply buried hardened facilities. Despite the
fact that the U.S. military has fought in subterranean environments since prior to the
American Civil War, currently no military doctrine exists that identifies “subterranean”
as a unique operational environment, apart from being subsumed as a minor component
of the urban environment. However, the U.S. ground forces organized, trained, and
equipped for urban environments are not prepared for the unique challenges of
underground engagements. Increasingly, more adversaries are turning to the
underground in order to minimize U.S. air power and ISR effectiveness. The purpose of
this capstone project is to create awareness of this complex problem-set in order for the
U.S. Army Training and Doctrine Command (TRADOC) intelligence support activity to
recognize “subterranean” as a unique operational environment.
C. SCOPE OF RESEARCH
The primary scope of this research is to define subterranean as an operational

environment. Present U.S. Army doctrine designates urban, mountain, desert and jungle
as unique environments, while subterranean has not been given such a distinction. As a
consequence, any semblance of doctrine relating to subterranean warfare is fragmented
across many publications. An analysis of military history can illustrate a pattern of
subterranean warfare during some of the most significant military conflicts and can show
it emerging with renewed importance today. The group’s research assumes that when
ground forces encounter subterranean environments, commanders will direct soldiers to
secure, clear, defeat or destroy the underground site. Not doing so could provide the
2
enemy a safe haven and potentially enable the enemy to operate rear of friendly lines.
Such an advantage acquired by the enemy cannot be discounted if a military force is to
achieve success. Through understanding historical patterns more fully, and by placing
such historical analysis in a sound theoretical framework, contemporary military leaders
will be able to anticipate and plan for the subterranean problem-set.
This project focuses on subterranean operations in three areas of emphasis:

typological classification, empirical case studies, and a doctrine, organization, training,
matériel, leadership and education, personnel, and facilities (DOTMLPF) analysis. These
tasks were chosen according to the following logic. First, the task of creating a typology
is an effort to create the relevant conceptual space for the problem. This typology is an
improvement on existing efforts as it centers on the operationally relevant aspects of
subterranean structures, threats, and conditions. Second, the empirical case studies have
been chosen to refine the typology and deduce additional factors or aspects of
subterranean operations that may have been omitted from previous studies. Finally,
investigation of the DOTMLPF implications of the analysis serves to ground the
theoretical and historical aspects of the work firmly in the service of current and future
operations.
D. RESEARCH QUESTIONS
How should U.S. ground forces prepare to deal with the increasing use of
subterranean environments by state and non-state actors within the contemporary
operational environment?
Following the end of the Cold War, enemies of the U.S. have recognized that they
must counter military and technological might with unconventional tactics. In order to
counter U.S. air and space dominance, and the technical capabilities of ISR, today’s
opponents are reverting to the underground.
Non-state actors such as trans-national criminal organizations (TCOs), and violent

extremist organizations (VEOs), have made significant use of rudimentary tunnels to
3
move men, weapons, and equipment across international borders. Subverting a nation’s
ability to control its borders directly holds sovereignty at risk and creates irregular
challenges for defense forces.
State actors attempting to conceal and protect military capabilities are doing so by
placing them underground, and in some cases, beyond the projected capabilities of kinetic
air strikes. Weapons of mass destruction (WMD) have long been used as a deterrent
against state aggression. The international community seems to have accepted the status
quo on current proliferation and regularly engages in efforts to reduce stockpiles and
counter any further acquisitions. States that feel an unequal balance in deterrence
capability, however, can choose to undermine counter-proliferation efforts by building
storage and production facilities deep underground where detection, surveillance, and
destruction are difficult.
This project is designed to address the anticipated challenges faced by ground

forces as they prepare to engage in subterranean environments where threats are provided
protection from air or missile attack. The project will establish a common typology of
subterranean uses by military and paramilitary forces in order to address unique
challenges. Pertinent historical cases of subterranean warfare will be explored with
reference to the necessity of preparing for this style of combat. Current military doctrine
will be analyzed to evaluate the sufficiency of planning and guidelines as they relate to
subterranean environments. Recommendations will be made for changes in the way
current ground forces organize, train, and equip for combat where subterranean
environments are expected to be encountered. Finally, the project will address the use of
incendiary weapons and information dominance operations as unique methods that may
be used with significant effects against subterranean targets.
4
II. METHODOLOGY
A. LITERATURE REVIEW
An array of thought exists regarding subterranean environments on best practices

for mitigating the underground threat. The principle contributing organizations upon
which this capstone focused include academia, the Department of Homeland Security,
and the Department of Defense. Despite differing methodologies and purposes, the
following positions were consistent among all literature referred to.
1. Doctrinal Void for General Purpose Forces
The Defense Intelligence Agency’s Lexicon of Hardened Structure Definitions

and Terms is a comprehensive and useful document. The target audience for countering
subterranean threats however is limited to the U.S. kinetic air strike community.
Likewise, the doctrine-producing arm for the U.S. Army (TRADOC) is also limited to a
minimal solution utilizing ground forces. Aside from being abbreviated in its planning
nature, the content within FM 90-8 Counterguerrilla Operations, FM 90-10 Urban
Operations, and FM 90-10-1 An Infantryman’s Guide to Combat in Built-Up Areas is
fundamentally out of date in regards to today’s COE.
2. Historical Trajectory of Subterranean Threats
Past adversaries, in conventional, irregular, and total war have used underground
structures for various activities that have grown in complexity over time. The group
researched five hand-selected case studies that not only followed this trend, but also
incorporated the full spectrum of the typology seen today. The proliferation of the
underground phenomenon was explored in chronological order, starting with
subterranean warfare at Constantinople in 1453, followed by the siege of Petersburg in
the American Civil War and the Flanders Campaign in the First World War, the battle of
Okinawa in the Second World War, and finishing with the Tunnels of Cu Chi in the
Vietnam conflict. Research shows this trend of underground threats seems to be growing
in the present operational environment.
5
3. Non-standard Approaches Have Value
Non-standard approaches such as the use of fire and smoke have had immense
value towards combating subterranean threats for centuries. The battle of Constantinople
was among the first recorded subterranean warfare events that captured the value of fire
and smoke in a confined environment when the Ottomans used it against the Byzantines.
Centuries later such approaches proved useful yet again, this time for Soviet forces in
their fight against the Mujahedeen, annotated in Underground Combat, Stereophonic
Blasting, Tunnel Rats, and the Soviet-Afghan War and AWG’s Subterranean Warfare
Handbook. While fire and smoke remain relevant today, newer indirect approaches such
as cyber-based attacks and MISO are also impacting the battlefield.
B. ARGUMENTS
1. Current U.S. Military Doctrine Does Not Properly Prepare Units for
Operations in Subterranean Environments
Currently, the U.S. military does not possess adequate doctrine addressing
effective operation in a subterranean environment. All current field manuals and/or joint
publications address the subterranean environment as an additional factor, such as sewers
and basements, to consider while operating in an urban environment. The subterranean
environment that exists as part of the urban operational environment does not adequately
encompass the level of planning needed when considering all the possible subterranean
threats used by today’s adversaries. From a mission planning perspective, much of the
tactical considerations regarding the subterranean environment are scattered across
several manuals. Some major subterranean concerns that are not addressed in current
manuals are: command and control, communications, movement techniques, navigation,
vulnerabilities of a tunnel above/below ground and environmental factors that hinder
soldiers underground. These factors will be a primary focus for current U.S. adversaries
that are increasing their use of underground facilities.
Current and historical doctrine does address rudimentary tunnels and urban
cavities. However, it does not consider structures that are larger, deeper, more complex
and reinforced. Military planning considerations need to be updated to address the
6
current threat as well as to update technological advances and capabilities that should
increase the survivability of U.S. troops. Failure to do so will jeopardize future
operations and the lives of soldiers forced to operate underground.
2. Future Conflicts Will Require General Purpose Forces to Deal With

Subterranean Threats
The global proliferation of underground tunnels and facilities has grown far
beyond the capabilities of air power and special mission units (SMUs) to effectively
succeed alone. This is especially true, given the small percentage of the SMU
community trained in the complexities associated with UGFs and Counter-WMD
scenarios. This is not to say that a GPF unit could not clear an underground structure
today. It has been learned from more than 11 years of fighting the Global War on
Terrorism (GWOT), and Overseas Contingency Operations (OCO), that units have
encountered and achieved much success utilizing varying techniques and procedures
against underground enemies. As early as the American Civil War, GPF units used
intrinsic capabilities when encountering such structures based on individual soldier
backgrounds and experiences. Unfortunately, following the Vietnam conflict,
observations, insights, and lessons (OIL) regarding subterranean warfare were not
effectively captured or recorded for future generations. All GPF units need to be
provided with education and training, in the form of a more comprehensive Army
doctrine and training publication, which defines subterranean as its own operational
environment. This is not to say that GPF units need to restructure their missions or
organizations since the COE has seen enemy forces continuing to seek subterranean
environments as a means to limit U.S. kinetic capabilities and ISR platforms. The SMUs
simply do not have the manpower to engage every subterranean threat. In order to
discourage the proliferation of subterranean threats, unilateral capabilities and
preparedness within GPF and SOF must be increased.
7
3. Understanding the Use of Indirect Approaches is Critical in the
Conduct of Subterranean Operations
In some situations, the risk of ground forces entering a subterranean system may
be too great. Indirect approaches like incendiary weapons, cyber-based attacks, and
MISO can assist in lowering risk and possibly defeating a subterranean threat. A better
understanding of these topics could provide commanders and staffs with a variety of
options for “prepping” an underground target.
Historically, incendiary weapons have been effective against underground enemy

positions. Specifically, during the Siege of Constantinople in 1453, in World War II, and
the Vietnam War, these weapons were documented as having positive results. There are
no national or international laws that prevent U.S. forces from using incendiary weapons
against confirmed enemy forces and facilities. However, due to irresponsible use during
previous wars and conflicts, leaders are hesitant to move past the normative taboos that
accompany incendiary weapons. Considering the extreme danger and complexity of
operating underground, the use of incendiary weapons should be reconsidered. Once
deemed necessary by decision makers, incendiary weapons employed in a subterranean
environment are lethal. Extreme heat compromises the structural integrity of a facility
and can cause collapse. Fire may also cause catastrophic damage to the infrastructure of
a facility as well by impacting ventilation, power, and water. Bi-products of incendiary
weapons, smoke and particulates, also can incapacitate or kill enemy occupants within
the subterranean facility. Though not all subterranean operations will require the use of
incendiary weapons, understanding their uses and effectiveness underground is critical in
the conduct of subterranean operations.
Cyber-based attacks have also proven effective against subterranean threats. The
Stuxnet virus was used in Natanz, Iran is one example that proves the valid applicability
of cyber-based attacks. Open-source reports have stated that the physical damage done to
the underground centrifuges set the nuclear program back approximately three years. An
understanding of how cyber-based attacks can be used against subterranean targets is
8
crucial to combating such a threat. Due to the lack of subterranean doctrine and limited
underground training, the employment of electronic warfare should be researched in
order to be incorporated and fill this gap.
Military support operations are another capability that can shift the offense/
defense balance. Where cyber-based attacks may only be used against subterranean
systems with modern infrastructure, MISO is flexible enough to be used against both
primitive and modern underground threats. These operations can be used to influence the
behavior of personnel contributing to and operating within a subterranean complex. This
capstone will explore a multitude of themes, messages, and actions to support this
argument.
In his book, Spec Ops Case Studies in Special Operations Warfare: Theory and
Practice, Commander of U.S. Special Operations Command (USSOCOM), Admiral
William McRaven stated that relative superiority is the condition that exists when a
smaller force gains a decisive advantage over a larger or well-defended enemy.1 In the
subterranean environment, the defending force has an intrinsic advantage over the
attacking force. Understanding the use of indirect approaches is critical for U.S. forces to
achieve the required degree of relative superiority in the conduct of subterranean
operations.
C. TYPOLOGY
1. Defining the Typology
The purpose of a typological classification of subterranean environments is to

evaluate what aspects are most important to the ground force commander. This involves
identifying the defining attributes of subterranean structures used by both state and non-
state actors and laying out the variation of, and permutations among these dimensions. A
subterranean lexicon, that spans the scale from the most rudimentary tunnels to deeply
buried hardened facilities, is useful for developing an understanding of vulnerabilities
commanders can use prior to engaging in the subterranean environment.
1 William H. McRaven. Spec Ops Case Studies in Special Operations Warfare: Theory and Practice
(Monterey, CA: Presidio Press, 1996).
9
An explanatory typology is a multidimensional conceptual classification based on
observations that allows the description of a subterranean environment likely to be
encountered by ground forces. This typology acknowledges the complexity of the
subterranean operational environment and seeks to consolidate the number of possible
types and heterogeneity of such types into categories that may affect the operational
posture of ground forces.2 Using a classificatory function, empirical case studies can be
inserted into this typology and evaluated as to a particular category. In addition,
typological attributes can be used to create a common graphical control measure or
symbol that enables commanders to quickly determine resources required to defeat
threats within identified subterranean areas. The attributes associated with the
subterranean environment are numerous and different audiences have different
information requirements. Geologists, for example, concern themselves with types of
soil and rock, weapons developers want to know the depth and construction
characteristics, and intelligence analysts want to know everything else. For the ground
force commander who is directed to commit lives into these unknown spaces,
information requirements are more intimate. Pragmatic compression will allow linking
of the many different types of underground structures into categories with similar
attributes where expansion would not better serve the ground force commander.3 At this
stage of research, it is important to lay out the entire breadth of the typological property
space. The purpose of this style of typology, therefore, is to begin the process of
evaluating what attributes constitute a particular type of underground structure, providing
the commander with the knowledge of what to expect based on known characteristics.
2. Typological Attributes
The property-space of the subterranean operational environment is framed by

attributes which can be measured in order to build a constructed typology. These
attributes are given operational definitions and assist in building an index from which
2 Kenneth D. Bailey, “Constructing Monothetic and Polythetic Typologies by the Heuristic Method,”
The Sociological Quarterly (Midwest Sociological Society), 14, no. 3 (Summer, 1973):291, last accessed
August 10, 2013, http://www.jstor.org/stable/4105680.
3 John C. McKinney, “Typification, Typologies, and Sociological Theory,” Social Forces 48, no. 1
(September 1969): 3, last accessed August 10, 2013, http://jstor.org/stable/2575463.
10
particular subterranean structures can be coded.4 The Defense Intelligence Agency
(DIA) maintains a coding or categorization system of hardened structures based on
physical characteristics.5 One drawback of this system is its limitation to hardened
structures, and its use of structural elements or characteristics that would affect the
behavior of earth penetrating munitions. A typology of the subterranean operational
environment must consider a wider spectrum of subterranean structures and must relate to
intelligence requirements of the ground forces likely to enter these areas. The
subterranean typology presented here is based on five attributes: function, infrastructure,
mobility, threat, and accessibility.
The function attribute is used to describe the purpose of the particular

subterranean target area. Understanding the function attribute provides the commander
with insight into resources required to achieve a functional defeat. Ground forces do not
typically have the resources to achieve a structural defeat of a subterranean target area,
thus focus should remain on functional defeat. Functions within the subterranean
environment include: command, control, communications, and intelligence (C3I),
production, storage, and conveyance.
The infrastructure attribute is used to describe the support systems tied to a

particular subterranean target area. Understanding the infrastructure attribute provides
the commander with insight into a potential single point of vulnerability (SPV).
Identifying support infrastructure may provide the ground force commander with the
opportunity to achieve a functional defeat without directly targeting or entering the
subterranean environment. The criticality, accessibility, recuperability, vulnerability,
effect and recognizability (CARVER) matrix, a target analysis tool used by special
operations forces (SOF), can be used to evaluate infrastructure elements in terms of the
most efficient application of combat power. Subterranean infrastructure includes:
ventilation, power supply, water supply, waste discharge, transportation, and
communications.
4 Ibid.
5 Defense Intelligence Agency, Lexicon of Hardened Structure Definitions and Terms
(UNCLAS/FOUO), Washington, DC: Defense Intelligence Agency, 2011, 85.
11
The mobility within a subterranean passage typically coincides with the largest
item that can be conveyed through or housed within the functional workspace. Mobility
within the subterranean environment in terms of the maneuverability of ground forces
will ultimately determine the tactics employed. The specific assessment of mobility
refers to the dimensions of the access portal or entrance, as well as that of the entrance
tunnel or adit. The mobility attributes are defined as restricted, semi-restricted,
permissive, and unrestricted. Restricted adits are characterized by their confined space
that permits only the single file movement of persons in a prostrated or less than fully
upright posture. Semi-restricted adits allow for the fully upright movement of persons in
single file. Permissive adits allow for the fully upright movement of persons in columns
of two. Unrestricted adits are large enough to support upright movement of more than a
two-person column and may even support the movement of vehicles.
Figure 1. Restricted6
6 Kahili Hamra, The Guardian [image] http://www.theguardian.com/world/2009/feb/10/gaza-tunnels-

israel.
12
Figure 2. Semi Restricted7
Figure 3. Permissive8
7 “IDF Fighters Go Underground for Subterranean Warfare Training,” [image], July 26, 2013, Defence
Talk, http://www.defencetalk.com/idf-fighters-go-underground-for-subterranean-warfare-training-48577/.
8“Tunnel Warfare” [image], 3 Nation Airsoft, accessed December 12 2013,
http://www.3nationsairsoft.com/page11.htm.
13
Figure 4. Unrestricted9
The threat attribute characterizes the potential risk to forces entering the
subterranean environment. This threat attribute may also factor into the size,
composition, weapons posture, and special equipment needed to effectively operate in a
particular subterranean environment. Threat characteristics within subterranean
environments include environmental, personnel, and matériel. Environmental hazards
include: naturally occurring gasses that affect air quality; dangerous insects, arachnids,
reptiles, and other wildlife; unstable ground control; stagnant water that may release
deadly gases such as hydrogen sulfide or deep water that could create a drowning hazard.
Personnel hazards account for the presence of potentially hostile persons within the
subterranean structure. These could include armed defense forces or non-combatants that
may become hostile once encountered. Matériel hazards include those hazards artificially
introduced into the environment. These can include: explosives, booby traps, and
improvised explosive devices (IEDs); nuclear, biological, or chemical (NBC) storage or
production equipment; fuel and other petroleum, oil, and lubricants (POL); as well as
other man-made implements.
9 Aeroflight [image], accessed December 12, 2013, http://www.aeroflight.co.uk/waf/albania/af/pics/F-

6%208-25%20CLOFTING%20IMG_0539%202.jpg.
14
Hardness classifications related to the subterranean environment have typically
been spoken in terms of the effects of kinetic weapons. For the soldier this definition of
hardened, which relates to the structural design, geology, and topography, has little use.
For purposes better suited to ground force operations the attribute title of accessibility
will be used. In order for soldiers to hold the subterranean environment which is at risk
they must first be capable of gaining access to critical components. Accessibility relates
to the capabilities required to breach portal entrances, gain access to critical support
infrastructure, and reduce obstacles between portals and functional workspaces. An
accessibility level I structure is one which requires few, none, or only simple tools used
in mechanical breaching to gain access, such as a Halligan tool, grappling hooks, sledge
hammers, or bolt cutters. An accessibility level II structure may contain hatches or doors
that require explosive or ballistic breaching techniques. An accessibility level III
structure may contain blast doors, steel gates, or security doors that require dynamic
breaching including advanced cutting and extrication tools. An accessibility level IV
hardened structure may be beyond the capabilities of the individual soldier and may
require heavy engineer equipment or kinetic munitions to reduce exterior obstacles.
Figure 5. Subterranean Targeting Attributes
15
3. Categorizing Subterranean Structures
Different names are given to a wide spectrum of subterranean structures.

Subterranean structures can range from a small pipe-sized cavity, used to hydraulically
pass illicit material, to hardened, deeply buried targets (HDBTs) located hundreds of
meters below the surface and used to store or produce WMD. The goal of this paper is to
compress the characteristics of the many types of structures into a pragmatic taxonomy,
enabling commanders to better understand the complexities within the subterranean
operational environment. With respect to ground force operations, subterranean
structures can be characterized into three primary categories with each category having
two sub-categories. The three primary categories are (i) tunnels, (ii) urban and natural
cavities, and (iii) underground facilities (UGFs). Tunnels are broken down into
rudimentary and sophisticated. Urban and natural cavities are broken down into
substructures (i.e., basements and caves) and civil works (i.e., sewers, subways,
aqueducts). The UGFs are broken down into shallow underground facilities (UGS), and
deep underground facilities (DUG).
Figure 6. Subterranean Categorization

16
Tunnels are generally used as a means to move people and items between two or
more locations. Non-state actors typically use both rudimentary and sophisticated tunnels
to move personnel, supplies, and equipment without detection. Subterranean movement
that circumvents state borders often supports smuggling or black market economies, as
well as facilitates insurgent activities. Access portals are generally not hardened and
adits can be vertical, leading down to an operationally desired depth, or horizontal, into
the side of existing terrain. Although state actors have historically used rudimentary
tunnels in subterranean siege warfare, today’s nation states use technology and financial
resources to build sophisticated tunnels to establish lasting means of conveyance or
storage. Tunnels can be connected to form a complex subterranean network with
multiple access portals and increased infrastructure; a higher degree of sophistication
which earns the classification of UGF.
Rudimentary tunnels are typically hand-dug using mechanical and/or general

purpose tools. The tunnel walls are bare and have limited or no support features or
shoring to prevent structural collapse. Infrastructure is rarely installed. Instead, these
tunnels rely on natural air flow for ventilation and structurally designed water removal.
Such tunnels are both labor and time intensive to dig. However, they are relatively cheap
and are often found in areas where a large labor force is available. In terms of typology,
rudimentary tunnels generally function as storage or conveyance, have limited
infrastructure, are restricted to semi-restricted in mobility, and have level I accessibility.
These tunnels are generally only occupied at times when movement of persons or goods
is taking place. Due to the small size and level of sophistication, contact with hostile
elements is unlikely, and any resistance would be to facilitate escape. Likely threats
include environmental hazards, as well as matériel hazards near access portals.
Sophisticated tunnels are typically dug using mechanical tools or larger heavy
equipment. Equipment must rely on air compressors or electricity for power, unless
significant ventilation is available to support the use of combustion engines. A noticeable
characteristic in sophisticated tunnels is the effort placed in the shoring up of access
portals and walls. The use of concrete-like material or masonry and timber to line the
walls indicates a deliberate effort to maintain a lasting subterranean passage. These
17
tunnels are more expensive to build; however, greater distances can be achieved with that
added financial investment. Sophisticated tunnels routinely have ventilation conduits and
are tied to existing power supplies. Ground water removal is also either structurally
engineered or drainage lines and pumps are installed. The size of sophisticated tunnels
can range from semi-permissive to unrestricted. Umbilical infrastructure will likely be
vulnerable and portals will likely have a level I accessibility. Because of the amount of
financial investment in the construction of sophisticated tunnels, they are most likely
used for conveyance of persons and goods that offer returns on the investment.
Environmental hazards are still a consideration; however, they are less likely with
increased levels of support infrastructure. Personnel encountered may be more prepared
to engage in hostilities to protect the structure, but the small narrow passages would not
support any sustained resistance. In order to protect the structure, matériel hazards such
as IEDs or booby traps would likely be placed near portals to deny access.
Urban and natural cavities earn their own category particularly based on the
characteristic that most have dual usage; the original structure can be adapted for military
purposes. Special considerations must be taken into account with dual use facilities due
the impact they may have on civilian populations. Urban and natural cavities cover a
wide variety of structures, and the focus is on potential impacts on the civilian
population. As such, the size of these cavities can range from restricted to unrestricted.
Urban and natural cavities are not hardened in terms of special construction material or
design. These subterranean spaces gain additional protection from existing above ground
structures and naturally occurring overburden. In terms of accessibility, these adapted
structures would likely be rated as a level I or II. The subcategories of urban and natural
cavities are substructures and civil works.
Substructures consist of basements and similar subterranean spaces that are

attached to an above ground structure. These basement facilities may be accessed from
within the above ground structure, but may also have exterior access points and umbilical
infrastructure. Spaces such as caves and caverns are naturally occurring subterranean
substructures that can be adapted for military purposes. Above ground structures
typically support any infrastructure such as power, environmental and life-support
18
systems, communications, and transportation supplied to these places. Adapted
substructures can be expected to function as C3I, storage, and potentially as conveyance.
Threats within urban cavities are likely to be personnel and matériel, often with added
environmental threats within natural cavities.
Civil works such as sewers, subways, electrical and exhaust tunnels, and
aqueducts, all support habitability in a growing urban population. Although these
structures are primarily used to support a civilian population, both state and non-state
actors can use these same structures to facilitate clandestine movement of high value
personnel and equipment, and storage of weapons and illicit matériel. Civil work
subterranean structures may be significantly large and have multiple ingress and egress
points. Although these structures may appear similar to sophisticated tunnels, or have an
infrastructure similar to a UGF, the significant collateral damage considerations make
these structures unique in terms of how ground forces can hold threats in these areas at
risk. Similar to tunnels, these areas are likely to be unoccupied unless movement activity
is taking place. Caution should be used when entering civil work structures due to
increased environmental hazards of water, gases, and electrical conduits.
The UGFs are characterized by their purpose-built design and construction to

resist destruction by conventional and nuclear munitions. The DIA’s Underground
Facility Analysis Center (UFAC) and the Defense Threat Reduction Agency’s (DTRA)
Hard Target Research and Analysis Center (HTRAC) work in concert to identify and
characterize UGF’s around the world. Along with direct observations made at
continental U.S. (CONUS) based operational UGFs, and research done on Cold War Era
UGFs, DIA’s Lexicon of Hardened Structure Definitions and Terms provides most of the
needed understanding of what constitutes a UGF. The primary difference between a
UGS and a DUG is the level of overburden between the ground surface and the UGF
mission space. The DIA distinguishes DUGs as having 20 meters or more of overburden
between the mission space and the ground surface.10 Anything less would be considered
a shallow UGF or UGS. For the soldier, the particular depth of a UGF is of less concern
10 Ibid., 15.
19
than the physical characteristics which may present a functional defeat option or access
vulnerability.
The DIA identifies four types of shallow underground hardened structures:

shallow underground bunker, basement bunker, missile silo, and tunnel.11 Again, the
DIA’s focus on the term “hardened” deals with military-purposed or adapted civil
structures designed and constructed to resist the effects of kinetic munitions.12 For
research purposes, these types are compressed into the single category of shallow
underground facility or UGS. Additionally, UGSs include any subterranean structures
that are military purposed, or have the potential to be adapted for military purpose, with
less than 20 meters of overburden and not having dual usage with a civilian population.
It is also the level of sophistication in construction and design that distinguishes UGSs
and other UGFs from the other categories. The amount of infrastructure that supports the
UGS is increased due to the need to sustain life or maintain a particular environment for
special matériel. For this reason the function of UGSs are typically C3I or storage. It is
also likely that the level of accessibility is increased to protect personnel and equipment
or to contain blasts within. Accessibility levels of II or greater should be expected. The
function of UGSs also lends itself to larger size structures with mobility ranging from
permissive to unrestricted. Due to the level of sophistication in construction,
environmental hazards are less likely unless purposely introduced. Personnel and
matériel hazards are more likely due to the direct correlation with function.
Deep underground facilities (DUGs) are purposely built or adapted facilities, used
by governments to protect and house strategic level information, personnel, equipment, or
production. Also, they may function as part of a national level C3I system. Designed to
sustain conventional weapon penetration, and resist air-blast and ground shock from
nuclear weapon effects, these structures are built using advanced tunneling methods,
often using a tunnel-boring machine (TBM).13 Caves and mines can also be adapted for
strategic usage. In less developed countries, converted mines can create an ideal
11 Ibid., 8.
12 Ibid., 2.
13 Ibid.,15.
20
opportunity for the construction of a DUG. The sizes of these structures are typically
very large and mobility would be considered permissive to unrestricted. These facilities
are designed to be tied to surface infrastructure; however, they maintain enough critical
internal infrastructure, such as water and fuel reservoirs, power generation, air filtration
systems, and food rations, to sustain operations from anywhere from 60–90 days in a
“buttoned-up” posture. Some facilities may boast longer sustainment capabilities;
however, human psychological factors are likely more of a limiting factor, particularly if
under siege. The entrances to DUG facilities can be either horizontally or vertically dug
to reach the desired depth of operational workspace.14 These entrances are typically well
hardened to resist kinetic munitions and will likely require accessibility level III or IV
breaching methods. Additionally, interior spaces may require additional level III
breaching methods. Because of the sustainability mechanisms and life support systems,
merely collapsing access portals may not be sufficient to achieve a functional defeat.
Facilities may contain excavation implements to remove rubble and repair portals.
Threats found within these facilities are likely to be personnel and matériel related.
Using this typology and classification methodology to describe the subterranean

operational environment will assist ground forces in mission preparation and intelligence
analysts in understanding what information is critical before commanders commit lives
into these unknown spaces. The coding system, along with the graphical symbol,
illustrated below, allows commanders and planners to use a common reference to quickly
identify and communicate the disposition of subterranean threats within their areas of
operations.
14 Ibid.,16–17.
21
Table 1. Subterranean Operational Environment Typological Coding System
Classification Typological Attributes

TUNR Tunnel, Rudimentary Element Code Description
Tunnel
TUNS Tunnel, Sophisticated C3I Command, Control, Comms, and Intel
SUBS Substructure, Basement, Cave PROD Production
Urban/Natural Cavity Function
CWKS Civil Works, Sewers, Subways, Aqueducts STOR Storage
UGS Shallow Underground, Bunkers, Silos MOVE Movement/Conveyance
Underground Facility
DUG Deep Underground, Hardened (HDBT) T Transportation
V Ventilation
P Power
Infrastructure
W Water
D Discharge
C Communications
R Restricted Movement
S Semi-restricted Movement
Mobility
P Permissive Movement
U Unrestricted Movement
I Level I - basic mechanical tool breach
II Level II - explosive or ballistic breach
Accessibility
III Level III - advance cutting/dynamic breach
IV Level IV - heavy engineer equip/munitions
E Environmental, respirators required
Threat P Personnel, ballistic protection/restraints
M Materiel, barrier protection required
Figure 7. Subterranean Area Graphical Symbol
22
D. CASE STUDY LOGIC AND SELECTION
The case studies selected for use in this project have been chosen because of their
historical significance and impact on military forces operating underground. The case
studies span over half a millennium of military conflict. In each highlighted case, the
aggressor or the defender determined that the ability to maneuver conventionally was
severely restricted and the best remaining option was subterranean. The case studies
have served to assess and refine the typological space in reference to a military’s
subterranean efforts. They also allow for the development of DOTMLPF implications
from broad but relevant perspectives.
In 1453, during the siege of Constantinople, the Ottoman Turks reached a

decision point. After three weeks of inconclusive frontal assaults and artillery barrages,
the Byzantines showed no sign of capitulation. The Turks only seeming option was to
dig under the city walls to break the stalemate. Even though this Turkish underground
approach was defeated, massive Byzantine resources were expended to counter the threat.
The action severely degraded the city’s defenses, causing the eventual fall of
Constantinople. This case set a precedent for armies to employ an underground solution
when maneuver is not an option. The subterranean operations that occurred during the
siege of Constantinople are the earliest documented examples that could be found, and it
is from this point in history that the use of a distinct form of subterranean warfare can be
traced. The motives that influenced combatants to seek the subterranean environment
have not changed in hundreds of years and the rudimentary methods pioneered in this
case can still be seen today. Although technology has often driven advances in warfare,
the techniques used in tunnel detection and counter-tunneling at Constantinople
continued to be used through the first World War.
The siege of Petersburg during the American Civil War in 1864 provides an
example of a subterranean approach during what can be called “the first modern war.”
The Union Army laid siege to a strongly held Confederate defensive position in
Petersburg, Virginia. In order to break the stalemate, the Union looked to an
underground solution. Former miners, who were now Union soldiers, tunneled
underneath Confederate lines in order to breach the defensive positions. Union miners
23
detonated a large amount of explosives under the Confederate trenches, creating a huge
crater. Union troops rushing into the massive crater were trapped. Confederates
counterattacked and easily dispatched the Union troops trapped inside. This action was a
catastrophe for the Union Army and extended the siege for another eight months.
Regardless of the tactical error, the cunning behind the design of this particular tunnel
should not escape analysis. The employment of soldiers with previous training in
underground mining proved critical to the subterranean operation. The efforts to mask
the presence of a single ventilation shaft displayed understanding of the vulnerabilities
associated with such support structures as well as efforts against detection through
deception. Having specially trained or adapted soldiers and understanding the art of
deception are both essential elements to subterranean operations today.
The Petersburg tunneling technique was used with much greater success in 1917,
during World War I at the Battle of Messines Ridge. In this incident, the British devised
a more elaborate plan to detonate explosives under German trenches. Nineteen tunnels
were exploded, instantly killing 10,000 Germans enabling the British to capture the ridge.
For the first time in World War I, a strong defense incurred more casualties than the
attacking force. This example illustrates how subterranean operations can be successful
if incorporated into a combined arms strategy. This case study relates the frightening
realities of subterranean combat where miner-soldiers sometimes were engaged in hand-
to-hand combat with counter-miners. The psychological factors associated with living
underground for nine months or more required specially trained soldiers or those
experienced in mining. In order to avoid detection and destruction by bombardment,
miners found themselves going to new depths, increasing levels of sophistication in their
operations , and incorporating new technology to sustain life.
In 1945, during World War II, the Battle of Okinawa became the last stand for the
Japanese prior to a possible U.S. invasion of the home islands. This case displays an
army’s adaptation to underground tactics in order to inflict massive U.S. casualties. The
Japanese on Okinawa transitioned their efforts into a defensive strategy that utilized
underground bunker systems connected by mutually supporting tunnels, effectively
becoming a UGS. The Japanese also took advantage of the terrain, which made Okinawa
24
the bloodiest and most costly single battle for the U.S. in World War II. Choosing not to
commit forces underground, American soldiers made effective use of specialized
weapons such as flamethrowers and shotguns. Capitalizing on vulnerabilities, motor oil
was poured down ventilation shafts to spread and sustain fire and smoke. The effective
use of incendiary weapons as an alternative to committing forces underground,
contributes to making this a valuable case study.
During the Vietnam War, the Viet Cong constructed a vast subterranean tunnel
network that was intended as a staging area for the Tet Offensive of 1968. This case
illustrates the benefit of an irregular force remaining concealed underground and the
difficulties with efforts to find them. For the first time, the U.S. began to form specially
trained units to enter tunnels to interdict and clear Viet Cong hiding inside. This case
exemplifies the tactics, techniques and procedures that can be effectively utilized in
countering rudimentary tunnels. It also shows the psychological effects on soldiers
operating in a subterranean environment.
In every case, the pattern of human behavior, seeking an advantage by going

underground, is apparent. The employment of tunnels, when the ability to maneuver
above ground has been eliminated, becomes the overarching theme in each case. The
studies also serve to reveal different aspects of deception, concealment, stealth,
incendiary weapons, explosives, detection, and other forms of combat in a subterranean
environment. Attention given to these historical examples will allow the military to
better prepare for future underground conflict.
25
26
III. CASE STUDIES
A. THE SIEGE OF CONSTANTINOPLE (1453)
1. Introduction
Since Roman times, tunnel warfare has been utilized as a means for armies to gain
a tactical advantage in battle. One of the earliest and most notable uses of subterranean
operations was employed in 1453 during the siege of Constantinople by the Ottoman
Turks. This battle provides an early indicator of how armies, when faced with adversity
above ground, will seek to gain a tactical advantage underground. The battle
incorporated a tunneling operation by Ottoman invaders to breach city walls while
Byzantine defenders struggled to counter it. The battle remains a pertinent historical
example by demonstrating an army’s natural tendency to go underground. As modern
technology continues to drive conflict underground, the Siege of Constantinople becomes
more relevant to modern warfare than ever before.
This historical example reveals an early subterranean encounter that incorporated

a variety of offensive and defensive tunneling tactics. The battle exemplifies the
difficulties in tunnel construction, exposure to detection, deception and combat in the
confines of a tunnel. The use of fire as a weapon by both sides also reveals its
psychological and operational effectiveness underground. The extensive amount of
resources and manpower required to attack underground, compared to the resources
required to defend against, was a significant factor for success. In the case of
Constantinople, the Ottoman Turks’ resource allocation became the deciding factor that
shifted subterranean efforts back to the direct mass frontal assault, resulting in victory.
2. Background
The siege of Constantinople was the great enterprise of Ottoman Sultan Mehmed
II. His goal was to capture the capital of the Byzantine Empire which was the last
remnant of Rome. The Byzantine emperor Constantine XI made the firm assertion that
the city of Constantinople would hold out to the last man if invaded. He believed that it
was the religious duty of every Christian to show no fear in the face of their Muslim
27
enemies. To lose such a city would be a blow to Christendom and allow Muslims the
opportunity to invade Europe; the city of Constantinople had to make a stand.15
When an attack on the city became imminent, Constantine rapidly mobilized the
city to prepare defensive measures. The Ottoman Turks had a professional army of
80,000 which included a coalition of many countries that were loyal to the Sultan.16
Constantinople could muster only an army of 7,000 to defend itself. One defensive
measure was a large chain manufactured in order to block the mouth the city’s harbor.
The chain was so large that it was supported on the water by floating wooden barges.
Constantine’s intent was to keep the harbor open to the possible arrival of foreign
assistance but to also block Turkish ships. Additionally, the walls of the city were
reinforced to form two layers of security which where comprised of an inner and outer
wall. A moat was dug between the two walls with towers at every 50-60 yards.17 This
provided the city a formidable defense which would allow the Byzantines to hold out
until external support arrived from Rome.
The Sultan attempted to strangle the city by sea as well as land operations. One of
the first actions taken by the Turks was a blockade of the city by 126 Turkish ships off
the coast of Constantinople. Due to Constantine’s defensive measures of the massive
chain, Turkish ships were unable to enter the harbor. The Sultan understood the city’s
walls had been reinforced and were formidable enough to render typical artillery of the
time obsolete. A new weapon was developed by the Turks to solve this problem. The
Sultan commissioned a German engineer to forge massive cannon called “The Basilic.”
The Basilic was 27 feet long and was able to hurl a 600 pound stone ball over a mile.
The Basilic was so large that it was accompanied by a crew of 60 oxen and 400 men.18
Initially, the Turks assumed this new weapon would be all that was necessary to breach
the outer walls of Constantinople.
15 Paul Davis, 100 Decisive Battles from Ancient Times to the Present (Oxford, England: Oxford
University Press, 1999), 165.
16 Roger Crowley, The Last Great Siege, 1453 (New York: Bloomsbury House, 2005), 95.
17 Crowley, 79–86.
18 Davis, 165.
28
In April of 1453, the Sultan’s troops positioned themselves to begin bombarding
the city walls. The Basilic’s fire was focused at the middle section of the outer wall on
the inland side of the city. Due to the limited size of the Byzantine army, Constantine
only had enough troops to occupy the outer defensive wall of the city. Initially, as the
Basilic fired on the outer wall, massive damage was inflicted which caused the Sultan to
assume it was only a matter of time before the walls could be breached (see Figure 10).
However, due to the inaccuracy of the cannon and its extremely slow rate of fire (three
hours to reload); the Byzantines were able to repair the walls after each shot.19 These
factors severely limited the effectiveness of the Basilic and strengthened the resolve of
the Byzantines.
Figure 8. Siege of Constantinople20
After several unsuccessful frontal assaults compounded by the ineffectiveness of

the Basilic, the Sultan formulated a less direct strategy to break the stalemate. In May,
the Sultan ordered his Serbian sappers to find a way to weaken or breach the city’s walls.
Turkish officer Zagan Pasha was placed in command of the sappers and devised a plan to
19 Franz Babinger, Mehmed the Conqueror and His Time (Princeton, NJ: Princeton University Press,
1992), 80–81.
20 “Ottoman Superguns” [image], accessed December 12, 2013, Weapons and Hardware,
http://weaponsandwarfare.com/?m=201005&paged=3.
29
use a series of tunnels to weaken and/or breach the outer walls.21 However, the Turkish
sappers did not anticipate the difficulties and dynamic problem sets that would come with
such an unconventional subterranean approach.
3. Subterranean
Pasha and his men immediately began construction of the first Turkish tunnel, in
full view of the defenders, just beyond the range of Byzantine weapons. Around the
clock digging by the Turkish sappers revealed large amounts of spoilage (excess earth
from the tunnel) that was being removed. Due to the amount of spoilage, the Byzantine
defenders knew that it was only a matter of time before the Turks would reach the city
walls. As the Byzantine defenders continued to observe Pasha’s efforts, it became crucial
to devise a plan to counter this new underground threat.
Constantine dispatched all available engineers from his ranks to form a

specialized Byzantine underground detachment. He placed in command a Scottish
engineer officer named Johannes Grant.22 Grant immediately went to work instructing
his men to dig counter tunnels to interdict the Turkish underground approach. The
counter tunnel direction was determined by simply estimating the line of sight from the
city wall to the Turkish tunnel entrance. As the Turkish tunnel construction progressed,
wooden beams were placed every two feet along the tunnel. The beams were intended to
reinforce the tunnels and protect the sappers from collapse.
As the Byzantine defenders came into contact with sappers underground on the
night of May 16, intense hand to hand combat ensued. Initially, the Byzantines were able
to inflict massive casualties upon the Turks and blocked the Turkish approach. As the
intense fighting within the tunnel progressed, Greek fire and water were introduced into
the struggle. As the Byzantines poured Greek fire and/or water into the tunnels, the
terrified Turks were overwhelmed by fear, causing them to flee from the tunnels.23 The
21 Babinger, 86.
22 Ibid.
23 Davis, 167.
30
Byzantine engineers were then able to block the tunnels with brick and earth. A citizen
of Constantinople named Tetaldi described this event in his diary by writing:
There were many men who knew how to mine all sorts of metals from the
earth. Their captains led them, with cleverness and cunning, and they
began to dig to bring down and destroy the walls. But the Christians from
within the city dug a counter-mine, met the Turks at some point, and killed
them with smoke; they lost their lives underground with the stench of
corpses. Our side even drowned them with water and prevented them
from accomplishing their task.24
Greek fire created such fear for Turkish sappers that deception was used to
conceal the direction of the tunnels and the breach point under the wall (see Figure 11).
The Turkish sappers conducted this deception by intentionally making no attempt to
conceal the entrance of a newly constructed tunnel leaving it in full view of the
Byzantines. However, the Turkish intent was to encourage the Byzantines to assume the
tunnel would follow a straight line to the wall. Instead, the sappers would construct the
tunnel at an oblique angle to the wall which would make tunnel detection difficult for the
Byzantine defenders.25 Once the Turkish sappers reached the wall undetected, piles of
logs we set on fire under the wall. It was the intent of the sappers to weaken the structure
of the wall to the point of collapse. This action by the Turkish sappers, to weaken the
city walls in support of bombardment by the Basilic, was only moderately successful.
The walls were never reduced enough to enable a breach that could be exploited by
Turkish troops above ground.
24 Marios Philippides and Walter Hanak, The Siege and Fall of Constantinople in 1453 (Surrey,
England: Ashgate Publishing Limited, 2011), 509.
25 Crowley, 170.
31
Figure 9. Ancient use of Greek fire26
Pasha then decided the sappers had to focus on making a breach point under the
walls that could accommodate a large assault force. This was accomplished by sappers
constructing multiple tunnels at oblique angles in preparation for a final assault on the
city. At this point, Grant was faced with the problem of detecting multiple Turkish
tunnels while simultaneously having to interdict each effectively. A young Byzantine
engineer came up with a technique of using barrels of water to detect new tunnels. The
Byzantines would simply place barrels of water at close intervals along the inside of the
city wall.27 The barrels were monitored for disturbances in the water that indicated
vibrations from Turkish underground digging. This method became very successful for
the Byzantines and incurred additional casualties for the Turkish sappers. The tunnels
were again bricked up and filled with earth. This caused the sappers to take even more
care with tunnel construction in order to limit the amount of vibration and made tunnel
detection difficult for the Byzantines, but not impossible. The defenders continued to
hastily interdict Turkish tunnels but Grant was determined to enhance Byzantine counter-
tunnel methods.
An opportunity arose at one of the interdicted tunnels, resulting in the Byzantine

capture of two Turkish sapper officers. The two officers were submitted to severe torture
and interrogation and revealed additional tunnels under construction. After sufficient
26 “The Vatican and Islam” [image], accessed December 12, 2013,

http://www.reformation.org/vatican-and-islam.html.
27 Crowley, 171.
32
intelligence was obtained, the two Turkish officers were beheaded and their heads
displayed on the city walls as a message to the Turks.28 This enraged the Turks, but new
tunnel construction continued. As Turkish tunnels continued to be compromised, the
Sultan came to the realization that the number of casualties underground was far too
costly with too little chance of success. With tunnel efforts thwarted by the Byzantines at
every turn, Turkish underground efforts became futile and the Sultan abandoned the
operation.
4. Effects
Due to the extensive resources required to counter Turkish tunnels, the remaining
Byzantine defenses along the city wall were degraded. Eventually, the Sultan made the
decision to focus his remaining resources in a massive frontal assault on the city’s
northwest corner, which had been severely damaged by the Basilic (see figure 12).29 This
proved to be more than the Byzantine defenders could handle; the outer wall was
breached and an intense battle occurred within the city’s inner walls. As the Byzantines
continued to lose ground, the Turks penetrated deeper into the city. The battle finally
ended when Constantine killed himself as the Turkish invaders were on the steps of the
city cathedral, Saint Sophia. The Byzantine Empire expired with the fall of
Constantinople.
28 Steven Runciman, The Fall of Constantinople 1453 (Cambridge, UK: Cambridge University Press,
1990), 108.
29 Crowley, 217.
33
Figure 10. Final assault of the walls of Constantinople30
5. DOTMLPF Application
By examining the applicability to today’s operations in subterranean warfare,

Turkish and Byzantine subterranean operations can be analyzed in terms of doctrine,
organization, training, matériel, leadership, personnel, and facilities (DOTMLPF):
• Doctrine—Doctrine did not exist in support of either side. Many Turkish
and Byzantine sappers were educated in engineering disciplines. The
subterranean capabilities relied mostly on non-military experiences.
• Organization—Byzantines and Turks did not establish a permanent
underground capability in their ranks. Nor did they retain their sappers
after the success.
• Training—Training for subterranean warfare most likely did not exist.
The siege utilized those with mining experience.
• Leadership—Zagan Pasha’s leadership was a driving force for the Turks
but Johannes Grant’s improvisation was vital for the Byzantine defense.
Grant’s encouragement and openness of new and innovation ideas from
his men was the key to his underground success.
• Matériel—Flexibility to improvise and cannibalize resources enabled the
Turks to reach the city walls and enabled the Byzantines to counter it.
• Personnel—It appears to be a coincidence that both sides had access to
former miners willing to engage in subterranean warfare.
30 Marion James, “Sultan Mehmet II Conquest of Istanbul” [image], accessed December 12, 2013,
http://www.todayszaman.com/news-241864-siege-poison-plots-and-the-fall-of-constantinople.html.
34
• Facilities—Facilities for subterranean warfare consisted of actual time
spent in private and commercial mines during time served in non-military
professions.
6. Conclusion
Even though the subterranean battle beneath the walls of Constantinople was not
the final determining factor in the conflict, it did influence the Turks to alter their plan of
attack. The Turks determined the city’s remaining defenses were neglected, due to the
resource-intensive counter-tunneling. Additionally, despite successful counter-tunneling
efforts, morale within the city also began to plummet when the defenders received word
that no reinforcements would arrive from Rome. Mehmed knew the city’s defenses were
at its weakest point. The Turks resumed the frontal attack, which resulted in the fall of
the city. The operation exemplifies how underground warfare can be used in both the
offense and the defense. It is the first significant case of subterranean warfare as a
breach, use of counter tunnels, fire as a weapon, tunnel detection and concealment. The
amount of underground expertise needed by skilled combat troops demonstrated the need
for specialized units and training needed to conduct underground warfare. Finally, the
case showed how underground operations could work in tandem with activities
aboveground, opening new lines of operation and relieving pressure by expanding the
scope of the battle space. To dismiss an underground threat could alter the tactical
situation above ground and become disastrous in battle. These same underground lessons
can still be applied in today’s modern warfare.
B. SIEGE OF PETERSBURG DURING AMERICAN CIVIL WAR (1864)
1. Introduction
During the American Civil War, advances in small arms and artillery resulted in
devastating casualties on both sides. This case study examines the use of the
subterranean operations during the siege of Petersburg by Union forces. The case is
another example of the trend to go underground to expand the scope of the battle space.
The Petersburg operation showcases specific subterranean tactics of tunnel construction,
concealment, deception, and the utilization of an explosive breach. These examples and
their implications are relevant to today’s threats.
35
The “Battle of the Crater,” as it became known, took place on July 30, 1864,
during the siege of Petersburg, Virginia, between the United States (Union forces) and
Confederate States of America (CSA). Under the command of Lieutenant General (LTG)
Ulysses S. Grant, Major General (MG) George Meade’s forces waged a nearly month-
long struggle against entrenched, fortified, and well-armed Confederate forces. An
assault, facilitated by underground sappers was conducted on entrenched Confederates
and resulted in devastating casualties for the Union; thus, subterranean warfare might be
mistakenly disregarded as counterproductive. To the contrary, the Union debacle was not
due to the employment or logic behind an explosive tunnel, but more importantly to the
leadership and tactical exploitation of the breach itself. Without proper tactical
coordination of troops above and below ground, as part of an overall attack plan,
momentum gained was squandered resulting in unnecessary casualties.
2. Background
In the days leading up to the battle, General Meade’s force had been in a deadlock
with Confederates; General Grant was eager for suggestions. One idea came from
Lieutenant Colonel (LTC) Henry Pleasants who had been a mining engineer in
Pennsylvania. Pleasants proposed digging a mineshaft that would extend beyond the
Union breastworks and terminate under Confederate entrenchments.31 At the end of the
shaft, explosives would be emplaced and detonated, killing the defenders above. The
resulting crater would enable a breach point through which Union forces could penetrate.
The target would be an area known as Elliott’s Salient in the middle of the
Confederate First Corps line. This section was a fortified position that was defended by
South Carolina troops. The position was also occupied by several artillery pieces that
were integrated into established Confederate entrenchments. An explosive breach at the
Salient was intended to neutralize its firepower while simultaneously providing a gap in
the Confederate defensive line that could be exploited. Thus, it was hoped that the
Confederate defenses at Petersburg would crumble leaving the Confederate capital of
31 Jim Corrigan, The 48th Pennsylvania in the Battle of the Crater: A Regiment of Coal Miners Who
Tunneled Under the Enemy (New York: McFarland & Company Inc, 2006), 21–22.
36
Richmond vulnerable.32 Additionally, five railroads converged in Petersburg providing a
life line of supplies to the Confederate Army. Without Petersburg, the Confederacy itself
might fall.33
Lieutenant Colonel Pleasants’s plan offered an opportunity to break the stalemate.

It was reluctantly approved by Grant, even though he did not consider the action to be of
strategic value. However, Grant believed a tunneling operation would at least keep his
troops occupied during the siege. Due to Grant’s attitude, subordinate commanders also
did not see the urgency in the endeavor resulting in minimal resources allocated in terms
of personnel or equipment. In the end, the tactical gain from this operation would enable
the capture of key terrain, known as Cemetery Hill, while killing a significant number of
Confederates.
3. Subterranean
During the Civil War, an operational tunnel was known by the French term “sap.”
The term referred to a trench or tunnel that was dug beneath enemy fortifications. The
intent was to render the ground underneath the enemy’s defensive position unstable,
either through the use of fire or explosives to effectively produce a penetrable breech.
The structure was usually a rudimentary tunnel dug with hand tools with basic support
structures for shoring. The size was limited to the space needed to move a small number
of men and equipment. A restricted size also aided in the speed of construction and the
effectiveness of fire or explosives.
Pleasants’s plan called for a 500 foot shaft to be dug under Elliott’s Salient. The
mission was estimated to take twelve days and use 12,000 pounds of explosive powder.34
General Grant remained skeptical due to his prior failed attempts with tunnels at
Vicksburg. During the siege at Vicksburg, 36 former Union coal miners tried to detonate
2,200 pounds of gun powder under Confederate entrenchments. However, the 3rd
32 Corrigan, 24.
33 David J. Eicher, The Longest Night: A Military History of the Civil War (New York: Simon &
Schuster, 2001), 687.
34 Corrigan, 22.
37
Louisiana Regiment discovered the mining and countered it by digging secondary
trenches. The ensuing Union fiasco became known as the battle of the “Death Hole.”35
Pleasants commanded the 48th Pennsylvania Regiment, of which almost 100 were
miners from the Schuylkill County, a Pennsylvania coal region. The regiment had earned
a distinguished combat record, and like most, its soldiers would do almost anything to
end the war.36 Thus, a force with previous civilian miner experienced was utilized.
Approximately 100 ex-miners from the regiment dug around the clock in two and a half
hour shifts. Without any special equipment, they improvised crate-made wheelbarrows
and used cracker boxes for hauling dirt (see figure 13). Understanding the need for
operational security (OPSEC), they hauled the dirt into the woods and covered it with
underbrush at night.37 Pleasants gave testimony before the Committee on the Conduct of
the War in which he said, “I got pieces of hickory and nailed on the boxes in which we
received our crackers, and then iron-clad them with hoops taken from old pork and beef
barrels.” Additionally, in his statement he noted that General Meade and Grant’s chief
engineer regarded the effort as nonsense; that a mine that length had never been built in
military operations; that the men would likely be suffocated or crushed by earth or the
enemy would discover their intentions, and countermine. He stated that, despite his
request, he could get no supply of lumber for shoring and had to cannibalize wagons, an
old bridge, and even raided a rebel saw-mill. Without the proper hand tools, Pleasants’
men used blacksmiths to straighten and flatten common army picks and axes. Pleasants
knew that the most important calculation would be the distance mined. If the distance
fell short or long the explosion would have little effect. A surveying tool, called a
theodolite, was procured to measure distance and azimuth to the enemy defenses.38
35 Ibid, 28.
36 Ibid, 30.
37 Ibid, 33.
38 William H. Powell, Battles & Leaders of the Civil War, vol. 4 (New York: The Century Company,
1987), 545–546.
38
Figure 11. Entrance to Union Mine (Petersburg 1865)39
Digging through the sand and thick clay, the 400-man regiment averaged nearly
40 feet per day. At about 250 feet, they hit heavy clay. Pleasants directed the shaft to
continue at an incline toward the Confederate lines. The incline enabled ease of water
drainage without congestion. Pleasants also designed an ingenious air-exchange system
to provide ventilation. A single ventilation shaft was constructed vertically, well behind
Union lines, to prevent observation. At the base of the shaft, a canvas partition was
installed and a fire was kept continuously burning. The heat forced stale-air, from inside
the mine, up the shaft while creating a vacuum of fresh air from the tunnel entrance. To
conceal the smoke from the shaft, General Burnside ordered round the clock campfires
along Union lines to mask the tunnel fire.
Having begun on June 25, the main shaft reached the Confederate lines on July
17. The mine was then extended into a 75-foot gallery running parallel to Confederate
39 Mark Engi, “Free Republic” [image], accessed December 12, 2013,

http://www.freerepublic.com/focus/f-vetscor/1194430/posts.
39
lines. The tunnel complex was now T-shaped. The main shaft ran 511 feet long and
more than 50 feet below the surface (see Figure 14). The tunnel was narrow at three feet
by four and a half foot high, large enough for two miners to work side by side (see Figure
15). Inclining upward, the 75-foot perpendicular galleries sat just 20 feet below the
Confederate positions.
Figure 12. Petersburg Tunnel diagram40
Figure 13. Inside the Union tunnel at Petersburg41
40 Daniel Ingham, “Archives of Maryland: Biographical Series” [image], accessed December 12,
2012, http://msa.maryland.gov/megafile/msa/speccol/sc3500/sc3520/009200/009241/html/09241bio.html.
40
General speculation and gossip along the CSA lines suggested a Union mining
operation. The lack of visible aggression towards the Elliott’s Salient section led to
suspicions by the Army of Northern Virginia 1st Corps artillery chief General Edward P.
Alexander. No visible ventilation shafts forward of Union lines suggested a lack of
mining efforts to most of the Confederate defenders. Confederate Commander Robert E.
Lee was skeptical. However, to be safe, Lee tasked Captain Thomas H. Douglas to begin
countermining, to be sure. Lee’s skepticism was also fueled by an observation from a
British journalist who stated that the British had attempted a similar tunnel of the same
length in India. However, the length of that tunnel caused a failure due to lack of air.
Captain Hugh Douglas, a Confederate engineer officer, organized 90 men to

being two separate shafts at opposite ends of Elliott’s Salient. The shafts would extend
toward the Union lines, and be angled toward each other. The countermining was slow
and lacked good intelligence. Douglas’s men worked twelve hours shifts and usually
halted their digging to listen for Union digging. The men of F Company, 1st Confederate
Engineers, lacked mining experience, and their shafts were dug between fourteen and
eighteen feet deep. Only one shaft extended far enough, but still overshot the 25-foot
deep Union shaft.
After three Confederate deserters were questioned, LTC Pleasants quickly

realized Confederate countermining was being conducted. Consequently, the Union’s
48th Regiment immediately halted digging. Pleasants personally crawled into the tunnel
and remained quiet for over half an hour, in order to confirm or deny any Confederate
digging. Upon his hearing nothing, Union operations resumed and LTC Pleasants
expressed urgency finish the mine as soon as possible. The Confederates could not detect
any sounds of digging and soon ceased their countermining efforts in fear of possible
cave-ins.
41 “Petersburg Battlefield the Crater” [image], accessed December 12, 2013, http://www.the-visitor-
center.com/pages/Petersburg-Battlefield-The-Crater/slides/Petersburg-Battlefield-The-Crater-014.htm.
41
4. Effects
After Union miners reached their limit of advance, 8,000 pounds of gunpowder
were emplaced and tamped with earth. On July 28, a single fuse was spliced multiple
times to reach the entrance to the mine; 12,000 pounds of explosive powder were
emplaced at the end of the mine and primed (see Figure 16). The mine was set to
explode in the early morning hours of July 30. After the initial attempt to detonate the
explosive failed, two brave members of the 48th Regiment crawled inside to repair the
fuse. After relighting of the 60-minute fuse, the mine finally erupted in a massive
explosion. The resulting crater was 170 feet long, 120 feet wide and at least 30 feet deep
(see Figure 17). The blast instantly killed 278 Confederate soldiers. The surviving
Confederate defenders were dazed, confused and scrambled to consolidate and
reorganize. While the shock of the blast was a success, Union troops failed take
advantage of the opportunity quickly. For more than fifteen minutes, not a single shot
was fired by Union troops. The delay enabled Confederates, led by Brigadier General
(BG) William Mahone, to quickly seal the breach. (see Figure 15). Meanwhile, as Union
troops attempted an assault through the blast site, they became trapped inside the massive
crater. Confederates easily slaughtered Union troops as they continued to flow into the
depression.
Figure 14. Charcoal sketch: Col. Pleasants supervising emplacement of explosives42
42 Alfred Rudolph, “Petersburg Crater Sketch LOC” [image], Wikipedia, accessed November 7, 2013,
http://en.wikipedia.org/wiki/File:Petersburg_crater_sketch_LOC.jpg.
42
Figure 15. Confederate Reinforcement of the Breach43
The Union assault was a complete and devastating failure and the Siege at
Petersburg continued for another eight months. Even though the Union subterranean
successes were squandered, this event was significant. It displayed how a force with
subterranean capability can overcome adversity in an unforgiving environment to achieve
a tactical surprise. Another significant factor to this event was that Union miners were
given the latitude to design the tunnel themselves, indicating a “bottom up planning”
technique. Union commanders understood that those closest to the enemy can have a
better understanding of what is required. Given the qualities of this unique operation, it
is easy to see why subterranean warfare is a special skill set that can achieve tactical
results.
5. Application of DOTMLPF
Lieutenant Colonel Pleasants’ operations can be analyzed in terms of DOTMLPF:

• Doctrine—Doctrine did not exist in to support LTC Pleasants initiative.
Though many West Point officers were educated in engineering
disciplines, subterranean capabilities relied mostly on non-military mining
experience.
43 Mark Engi, “Free Republic” [image], accessed November 7, 2013,

43
• Organization—Union Forces during the Civil War did not establish a
permanent underground capability in their ranks.
Petersburg incorporated soldiers with pre-existing mining experience.
• Leadership— Pleasants’ leadership and improvisation was vital. Without
his understanding of the capabilities and limitation of tunneling, the
subterranean approach would have never materialized.
• Material—The flexibility to improvise and cannibalize resources enabled
Union miners to dig nearly 40 feet per day.
• Personnel—It was pure happenstance that the 48th Regiment consisted of
ex-miners from Pennsylvania who were willing to engage in subterranean
warfare.
professions.
6. Conclusion
The siege of Petersburg, Virginia offers a glimpse into one of the earliest uses of
subterranean operations by America forces. However, the trend to dig underground still
exists. Even today rudimentary cross-border tunnels are seen throughout the world. It
would not be implausible for an insurgent to infiltrate a country or a military facility, via
a tunnel, with a weapon of mass destruction. Such a happening would be devastating.
Several lessons can be drawn from the Petersburg example and applied to modern
tactical considerations. Rudimentary construction can be seen in any modern day
smuggling tunnel used by criminals or insurgent groups. Concealment is also essential to
preventing an adversary from discovering a subterranean effort. Even with today’s
advances in measurement and signature intelligence (MASINT) and persistent
intelligence, surveillance, reconnaissance (ISR), tunnel detection is severely limited.
Ventilation is also a critical necessity and significant vulnerability. Today, mechanical
air ventilation conduits are common in most rudimentary tunnels and underground
facilities. Knowledge and exploitation of these characteristics can provide modern
militaries the means to counter an enemy’s use of the subterranean environment.
44
C. THE MINING OF MESSINES RIDGE DURING WORLD WAR I (1917)
“Gentlemen, we may not make history tomorrow, but we shall certainly

change the geography.”
Sir Herbert Plumer, 2nd Army Commander44
1. Introduction
The Western Front was caught in a quagmire; by 1916, Germany and a European
alliance had been entrenched in static positions for two years. Both sides were unwilling
to yield ground, but the need for a breakthrough grew more prevalent each day if victory
were to be achieved. The war had already seen hundreds of thousands of men die and
pressured military commanders to conceive a strategy that might end the war quickly. Sir
Herbert Plumer, Commander of the British 2nd Army, proposed that in order to defeat the
Germans, Allied forces needed to utilize clandestine subterranean methods. An
underground approach along the Western Front, more specifically at Messines Ridge, was
devised to provide a tactical advantage to the British.
Messines Ridge was a prominent natural stronghold that had been previously
captured by the Germans in 1914.45 Messines was located to the southeast of Ypres,
Belgium and its significance was that it acted as a natural obstacle for the Germans. For
the British, clearing Germans from the ridge would open a route towards Roulers, a key
German distribution point of matériel and troops.46 From the start of the stalemate,
Messines Ridge had been the scene of persistent harassment for Allied Forces. The
Germans occupied the high ground with fortified entrenchments (machine guns and
artillery) that made any allied assault futile. The British pinned down in the trenches and
receiving casualties, required drastic measures. Sir Herbert Plumer devised an alternative
course of action for the British to break the stalemate.
44 Michael Duffy, “The Battle of Messines,” last accessed March 20, 2013,
http://www.firstworldwar.com/battles/messines.htm.
45 Ibid.
46 Peter Barton, Beneath Flanders Fields: The Tunnellers’ War, 1914–1918 (Staplehurst, England:
Spellmount Press, 2005), 164.
45
2. Background
Plumer knew every inch of Messines, having fought there since 1914. To break
the stalemate, Plumer recommended going underground to disrupt the German defensive
position. At an Allied commander’s conference in England, Plumer revealed an
operational concept to dig multiple mine shafts, fifteen feet under German
entrenchments, nested within a massive above-ground assault. However, tunnels at that
depth could be easily discovered by German countermine efforts, even though they were
not susceptible to artillery bombardment. Plumer discussed the problem with the British
Expeditionary Force geologist. A solution was required that could achieve relative
stealth in terms of preventing German detection while maintaining structural integrity.
The sand and clay layers of Messines were analyzed at varying depths for capacity to dig,
mine, and handle explosives. After some debate, an agreement was reached. The heavy
clay found between 80–120 feet subsurface was the most optimal for the operation. This
would be the layer Allied Forces would use to punch through to achieve surprise.
In preparing for the operation, Plumber had authorized the laying of 22 mine
shafts underneath German lines all along the ten kilometer natural ridge. The plan was to
detonate all 22 tunnels at zero hour on June 7, 1917.47 The attack would then be followed
by infantry assaults against a presumably dazed and confused German defense. This
unique operation was the largest underground attack ever attempted.
Initially, allied countries such as England, New Zealand, Canada, and Australia
heavily recruited civilian miners and tunnellers to join the war effort. With civilian
subterranean experience, a typical engineer soldier could utilize geological and
metallurgical capability never before seen in combat. From Australia alone, over 4,800
miners/tunnellers were recruited and sent to a makeshift basic training camp in Sydney.
In England, “clay kickers” were recruited due to their vast experience developing
aqueducts and underground cisterns in Manchester and London. Naturally, the dire need
for mining skills meant some recruitment standards were overlooked. Some recruits were
47 Duffy, “The Battle of Messines.”
46
well into their late 60s, and others had disciplinary problems. Ex-miners assigned to
other branches were reassigned to engineer tunneling units. In all, about 20,000 miners
were assembled in Belgium.
3. Subterranean
Despite being professionals at home, these men still needed to be educated on the
military aspects of tunneling. For instance, a “listener” was trained to detect enemy
digging utilizing the most rudimentary methods. The listener would drive a stick in the
ground and place the other end between his teeth. The listener would feel for vibrations,
informing him if enemy countermines were occurring underground. Listening posts also
contained medical stethoscopes, which became another method of detection. If any
digging was detected, all work ceased, even if the sound was later identified as coming
from rats. Strings, attached to bells hundreds of feet apart, lined tunnel ceilings in order
to relay warnings from the listener to other miners. Lastly, every listener had a caged
canary nearby. The canary’s small lungs were more susceptible to carbon monoxide and
dioxide than a human’s. A dead canary, or one in distress, was a tell-tale sign that the
tunnel should be evacuated.
Construction of the tunnels proved rigorous for the laborers. A typical miner
rotational schedule encompassed four days in and four days out. As Plumer’s target date
of June 7 loomed closer, the rotations were changed to six days in and two days out.48
Tunneling became a 24-hour operation with a typical shift being around twelve hours.
The living conditions underground were nearly intolerable due to the increased exposure
to lice, bugs, and rats. One miner described it, “If you cut your hand, it was a criminal
offense not to go and be injected against tetanus. Jaundice, boils and tetanus were rife.”49
In addition, at 80 to 120 feet below ground, water became a constant hazard and miners
were consistently operating in roughly one foot of water under poor lighting that affected
them mentally and physically. The military aspect of tunneling was a traumatic
experience for most. Many miners turned to alcohol as a means to cope with their
48 Barton, Beneath Flanders Fields: The Tunnellers’ War, 1914–1918, 182.

49 Ibid., 168.
47
problems and alcoholism became the largest problem warranting punitive action amongst
tunneling units. Any spare time was used to write loved ones back home and fill sand
bags with excess tunnel spoilage.
One of the biggest fears every miner faced was an underground encounter with
the enemy. Before the war, miners did not even consider the possibility of running into
another shaft resulting in a fight to the death. However, in wartime, this became a real
threat. Typically, when one tunnel collapsed into another, fighting was a claustrophobic
brawl, with little room to maneuver. A miner would use anything at his disposal to defeat
his adversary, including picks, shovels and knives. Side arms were seldom used. The
sound of a pistol could give away a miner’s position and compromise the entire
operation. Another fear was being buried alive. One Australian miner, William Bedson,
faced just that outcome when German countermining efforts blew a charge to collapse the
tunnel in which he was located. After the collapse, Bedson was entombed for six days,
surrounded by his dead friends.50
For the regular infantry unit, knowing that a tunneling company was assigned or
attached to them was not an appealing thought. Not only were artillery shells and gas
attacks a concern, now soldiers felt they had to also worry about an attack from below as
well. The Germans routinely conducted fly-overs of Allied positions. Detection of
mountainous heaps of spoilage alerted Germans to Allied tunneling efforts. However, in
reference to countermines, the Germans were deceived and did not know the Allies were
typically digging at least five to ten feet deeper than their own tunnels.
German counter-mining efforts routinely intercepted Allied digging efforts

between 50–60 feet below surface. The Germans developed geophones to measure
seismic activity and direction. To counter this, Allied miners deliberately made as much
noise as possible, at odd locations and depths, to distract attention from an operational
mine that was much deeper. The Allies continued devising creative deception techniques
over a year-long period. One deception technique involved a system of pulleys attached
to two mining picks inside a false or inactive tunnel. Under the pulley system, a British
50 Ibid., 175.
48
soldier would pull a rope, from above ground, which would cause the picks to strike steel
spikes leaning against a tunnel wall at an alternate location. The sound was enough to
resonate onto German geophones to conceal an actual operational tunnel under
construction. Miners would then move the contraption forward to replicate a digging rate
of progress. The deception worked and left the Germans completely unaware of British
underground preparations for a massive assault.
Plumer’s plan was coming to fruition. Like most great concepts, his was simple
and easily understood multiple echelons below. The entire operation was essentially
broken down into three phases. Phase One was the prolonged deception operation. This
phase took the form of multiple mass feint attacks later on. Phase Two was to dig
underneath the German position along Messines Ridge and lay 1,000,000 pounds of
explosives. The explosives would be distributed throughout tunnel pockets called
galleries (see Figure 18). Following the detonation, Phase Three encompassed the
infantry retaking the ridge against presumably dazed German defenders. The infantry
would be supported by close air bombardments of high explosives and mustard gas. The
end state was the capture of Messines Ridge.
Figure 16. British tunnel diagram51
In order to exploit this tactical underground advantage, the galleries were dug
measuring three-by-six feet. After completion of each gallery, a mine was laid in place
51 “Father & the Somme” [image], accessed November 10, 2013,

http://www.aaia.com.au/pedro/ww1/trench.html.
49
containing charges of ammonal up to 95,000 pounds.52 The charge was composed of
ammonium nitrate and aluminum powder. The gallery’s surrounding presented both
advantages and disadvantages. On the positive side, the heavy clay muffled any noise at
that depth and Allied miners could operate in full secrecy without worry of detection.
Another advantage was that being underground minimized artillery bombardments from
above. There was also little chance of the galleries being compromised due to the clay.
However, moisture was another problem. The miners took every precaution to ensure the
preservation of their explosives. Then, Plumer’s timeline was delayed due to focus being
shifted to the Battle of Somme and this delay caused some concern about some of the
charges which had been laid six months previously.
In the days leading up to day zero, heavy and light artillery had been expanded on
the Allied front lines. Over 2,300 guns were lined up wheel to wheel with no effort to
hide their positions. An additional 300 heavy mortars were also brought forth. The
Germans on Messines Ridge included four divisions with two more divisions on reserve.
For two weeks, artillery shells pounded food and water supplies, key roads, and supply
dumps. Mustard gas shells were also fired in an effort to force the Germans to don gas
masks and lose sleep. On two occasions the artillery fires were doubled in total output to
deceive the Germans into believing a massive attack had commenced. In reality, it was
to desensitize them before the actual assault. The bombardment was effective and by
early June almost half of all German howitzers on the ridge were out of action.
As Allied units conducted rehearsals in the final days leading to the assault,
British planners conducted terrain analysis of the breach points above ground. The
miners were also incorporated into the assault as infantry above ground, post-detonation.
The final time of execution was not released until June 5. Great measures were taken to
conceal the date of the offensive, even from the miners themselves. To the British, it
seemed unlikely that the Germans did not know of the deep mines beneath their own
entrenchments. The British assumed that captured British prisoners had been forced to
reveal tunnel locations. In actuality, not one prisoner of war had revealed any
52 Leon Wolff, In Flanders Fields: The 1917 Campaign (Alexandria, VA: Viking Press, 1958), 133.
50
information of the mines to the Germans. By June 5, over 8,000 meters of tunnels had
been dug 100 feet below the surface. After eighteen months of mining, the offensive was
set for execution. Mining officers met beneath the German entrenchments, on the eve of
day zero, for a final champagne toast.
4. Effects
Upon inspection of all 22 underground charges and detonating systems, the

officers and men made their way back to their perspective attack positions. The staging
of Allied troops was done under the cover of darkness with an emphasis on noise and
light discipline in the ranks. The entrenched unsuspecting Germans remained vigilant but
did not take any additional measures to mitigate the impending assault.
At 0310 hours on June 7, the miners were given the order to detonate the charges.
Nineteen of the 22 mines exploded in unison with massive ground turbulence.
Immediately, curious miners peered over their own defenses to catch a glimpse of
nineteen red mushroom clouds that now occupied Messines Ridge. Large amounts of
earth were hurled 3,000 feet into the air. The concussion of the blast knocked the miners
down as they watched. The blast was so loud that Londoners even claimed to hear the
explosion. The simultaneous detonation of nineteen mines comprised the loudest man-
made explosion until that point. Some British soldiers described the detonations as a
pillar of fire across the sky. The trembling of the earth itself could be felt in Lille, a town
twelve miles away.
The effect of the mine explosions upon the German defenders was devastating
(see Figure 19). Some 10,000 men were instantly killed during the explosion alone53.
Within minutes, 80,000 British infantry assaulted through the blast site, capturing over
7,300 dazed and confused Germans prisoners. The operation was a complete success.
Surrendering Germans waved handkerchiefs as they wept, grasping the ankles of their
53 Duffy, “The Battle of Messines.”

51
captors.54 It was as if the earth swallowed up an entire division of men. Craters
hundreds of feet wide and deep took over where fortified trenches once stood and can
still be seen to this day (see Figure 20).
Figure 17. View from crater on Hill 60 (6 July 1917)55
Figure 18. Messines Present Day Crater56
54 Wolff, In Flanders Fields: The 1917 Campaign, 150.

55 “Australians on the Western Front 1914-1918” [image], accessed November 10, 2013,
http://www.ww1westernfront.gov.au/ploegsteert/zwarte-leen/craters-at-hill-60.php#.
52
By examining the applicability to today’s operations in subterranean warfare,

World War I subterranean operations can be analyzed in terms of DOTMLPF:
• Doctrine—Doctrine did not exist in support of either side. Many German
and Allied miners were educated in engineering disciplines. Subterranean
capabilities relied mostly on non-military experiences.
• Organization—The Allies did establish tunneling units for a specific
operation. However, those units were later disbanded and absorbed back
into the conventional force.
The tunneling at Messines Ridge incorporated those with civilian mining
experience prior to the war.
• Leadership—Plumer’s leadership was a driving force for the Allies.
German commanders underestimated the underground threat. Without
Plumer’s intimate knowledge of the Messines Ridge and what was
required to defeat it, the endeavor would not have materialized. The
British chain of command was receptive to Plumer’s plan and properly
nested the actions of units above ground to exploit the explosive breach.
• Matériel—the flexibility to improvise and cannibalize resources enabled
both sides conceal and/or detect mines. New technology was also
developed for tunnel detection (Geophones).
• Personnel—It was mere coincidence that both sides had access to civilian
miners willing to engage in subterranean warfare.
professions.
6. Conclusion
The British offensive at Messines Ridge should not have been such a surprise to
the Germans. Of the original 22 mines installed for the operation, two did not detonate
and one was actually discovered by the Germans prior to the assault. As the Germans
destroyed the mine, they assumed it to be a unilateral effort. It was unconceivable to
them that there could be 21 more mines just as deep. Some German military
commanders had suggested the abandonment of the ridge prior to the blast, but the
56 Alertomalibu, Lochnagar Crater Ovillers [image] accessed November 12, 2013,

http://en.wikipedia.org/wiki/File:Lochnagar_Crater_Ovillers.JPG.
53
German higher command would not allow it. Such an effort would have made the
eighteen months of mining a wasted effort for the British. The German position was firm
as noted by an intercepted communiqué from German leadership that read: “These
strong-points must not fall even temporarily into the enemy’s hands. They must be held
to the last man even if the enemy has cut them off on both sides, and threaten them from
the rear.”57
The battle for Messines Ridge highlighted, for the first time on the Western Front,
that defensive casualties in a major engagement actually exceeded attacking losses. It
was a victory literally years in the making. The battle exemplifies the techniques of
deception and concealment that were never known to the Germans. The success of the
mission can be credited to the unconventional and innovative techniques developed by
former civilian miners. The British were also able to organize these soldiers into
tunneling units which enabled the creativity needed to construct the tunnels undetected.
Allowing the miners to develop their own tactics, technique, and procedures, without
interference, was a significant factor that ensured mission success. Nonetheless, the
Battle of Messines does highlight how a group of men, with underground skill sets, were
brought together for a tactical advantage.
What the Battle of Messines should teach us is how lessons of the past are so
quickly forgotten. World War I may have been the greatest allied use of subterranean
warfare. However, tunneling efforts were dismissed after World War I because they
were deemed too slow and not worth the investment. Today, however, adversaries are
turning to the underground in order to counter U.S. kinetic capabilities, avoid
surveillance platforms, and as a means to cache weapons. There is currently no U.S.
doctrine that identifies subterranean as an operational environment despite the fact that
the U.S. has fought in subterranean environments since the Civil War at Petersburg.
57 Wolff, In Flanders Fields: The 1917 Campaign, 135.
54
D. THE BATTLE OF OKINAWA (1945)
1. Introduction
The largest amphibious assault in the Pacific campaign was that on the island of
Okinawa in 1945 which was larger and more costly than the D-day invasion of Europe.
United States’ casualties from this conflict not only revealed Japanese resolve, but more
importantly, were the deciding factor for President Truman to drop two atomic bombs on
Japan. The high cost to U.S. and Japanese forces, during this engagement, was due to an
evolution of understanding in how the two militaries could better fight each other through
tactical innovations by both sides. One of the most significant of these developments was
the Japanese tactic of going underground for protection as well as inflicting maximum
casualties on the invaders. Thus, the Japanese adopted underground bunker networks to
optimize the effectiveness of their weapon systems and their own survivability. The
battle constituted the culmination of both Japanese subterranean techniques for defense,
as well as U.S. counter-subterranean assault tactics in the Pacific theater.
Okinawa was intended to be the last stand for the Japanese before the main
islands of Japan were vulnerable to invasion. The intent of U.S. forces was to capture the
island in order to utilize it as a staging area for a subsequent invasion of Japan, vital to
U.S. strategy.58 The Japanese viewed the island’s operations as a delaying action in order
to buy time for the entire civilian population of Japan to mobilize for a U.S. invasion.
Japanese military leaders also intended for the battle to inflict enough U.S. casualties to
demoralize the U.S. in hopes of a cease fire. It was critical to Japanese strategy,
therefore, for the Battle of Okinawa to be one of attrition.
2. Background
Prior to the Battle of Okinawa, three years of combat in the Pacific had evolved
into a series of “island hopping” maneuvers.59 From the Battle of Guadalcanal in 1942 to
the Battle of Iwo Jima in 1945, the U.S. and Japanese forces incessantly refined their
tactics, techniques and procedures. The U.S. focused on improving its combined arms
58 Bill Sloan, The Ultimate Battle (New York: Simon and Schuster, 2007), 12.
59 Roehrs and Renzi, “World War II in the Pacific” (2nd ed.), (London: ME Sharpe, 2004), 122.
55
concept to maximize lethality while seizing islands in the approach to Japan. The
Japanese similarly evolved their tactics. The famous Japanese Banzai charge (suicide
charge) was being utilized less frequently, but their ability to utilize subterranean bunker
complexes began to increase as the war progressed. As the Japanese army continued to
lose momentum, due to superior U.S. firepower, it was forced to utilize the only tactical
advantage it had left, preparing underground defensive positions.
By 1945, the U.S. still did not have specially trained soldiers and marines to enter
underground networks in its ranks. Consequently, U.S. troops rarely entered Japanese
tunnels. Instead, to mitigate the underground threat, U.S. troops increased their usage of
pinpoint indirect fire, flamethrowers as well as demolition teams.60 They used these
techniques to neutralize the underground bunkers from above by sealing off or collapsing
tunnel entrances, air vents and exits. Those Japanese that survived U.S. flamethrowers,
by retreating further underground for safety, were left to suffocate or starve to death
unless they surrendered. Many Japanese chose suicide or desperate Banzai charges
against U.S. troops waiting at a solitary exit, only to be cut down by U.S. rifles and sub-
machine guns.
The Island of Okinawa was populated by 400,000 Japanese civilians and a

garrison of 100,000 Japanese soldiers and sailors. The Japanese commander was a calm
and well-liked Army General named Mitsuru Ushijima.61 From the moment Ushijima
assumed command of the island, he immediately began to change the Japanese strategy
from one of coastal defense to fortifying the interior of the island. In previous battles, the
Japanese often gave stiff resistance to a U.S. invasion force, even before the first wave hit
the beach. In this battle, Ushijima chose to allow U.S. troops to land on the island
unopposed in order to allow an adequate quantity of U.S. targets to enter his kill zone.
When U.S. troops were in position, Japanese troops pledged they would fight to the death
while trying to inflict as many U.S. casualties as possible. The option to surrender was
initially not an option for Ushijima’s troops.
60 Sloan, 163–164.
61 Hiromichi Yahara, The Battle for Okinawa, (New York: John Wiley and Sons, 1995), 64.
56
3. Subterranean
Ushijima had formulated his battle plan into two separate defensive strategies. In
the North he employed a token Japanese force to keep the U.S. troops occupied and to
reduce U.S. troop strength as much as possible. In the South, Ushijima focused the bulk
of his combat power into three defensive lines that stretched the entire width of the island
(east to west). The three defensive lines were centered on the Shuri line which became
the most dynamic of the three. The Shuri line also concealed Ushijima’s command and
control center that was 160 feet below Shuri Castle (a Japanese Monastery). The
command bunker was made up of 1,287 feet of tunnels that encompassed 30 rooms and
was impervious to artillery and U.S. air strikes.
Construction of these underground networks was assisted and supported

logistically by local civilians.62 The bunkers were dug into hillsides that consisted of
limestone and coral rock. This factor enabled the complex to maintain strong structural
integrity under U.S. bombardment. All three defensive lines consisted of underground
bunker systems that were mutually supporting. Each defensive fighting position was
concealed, into the hillside, with firing ports that were no more than eighteen inches
wide. The firing positions were designed for rifles, machine guns, and anti-tank guns.
Each position also had interlocking fields of fire with the position to its left and right
flank. Additionally, each firing position was connected to a tunnel network that could
bring reinforcements and ammunition at will. The tunnels were also designed with
several sharp turns at each tunnel entrance and exit to mitigate the threat from U.S.
flamethrowers.63 On the reverse slope of the hill, the Japanese had produced a massive
artillery and mortar capability to support each fighting position on the other side of the
hill. Ushijima emphasized that every approach be pre-sighted for indirect fire support,
while any remaining dead space was heavily mined. Ushijima was intent on producing as
many U.S. casualties as possible.
62 Yahara, 8.
63 Yahara, 71–72.
57
United States’ troops landed on the island of Okinawa on April 1, 1945 at 08:30
hours. The U.S. invasion force was under the command of Army Lieutenant General
Simon Bolivar Buckner. Bucker’s invasion force consisted of two Army divisions and
two Marine divisions. After a successful amphibious landing on the west central coast of
the island, Buckner divided his invasion force by sending the two Marine divisions north
and two Army divisions south. His intent was to locate the bulk of the Japanese force
and destroy it in a decisive battle.64 Buckner had no idea he was playing right into
Ushijima’s defensive plan.
Within the first six days of the operation, the Marines were able to quickly secure
most of their northern objectives with minimal Japanese resistance. The only exception
to this occurred on the northwest coast of the island within the Motobu Peninsula.65 A
small northern Japanese force utilized the wooded and rocky terrain of the peninsula to
put up fierce resistance. However, the underground bunker networks were not yet fully
known and the Marines assumed the Japanese use of the natural terrain was no different
from that of previous engagements. The Marines secured the peninsula on April 8. To
the contrary, the soldiers in the south did not have such a swift success.
While the Marines were quickly securing the north, Buckner’s two Army
divisions began to receive stiff Japanese resistance within 48 hours of their approach
south. Soldiers ran directly into Ushijima’s outposts of the Japanese first line of defense.
Without knowing the location of Ushijima’s main effort, soldiers received an introduction
to the subterranean threat that would define the battle to come. The initial fighting took
place on two fortified ridgelines named the Pinnacle and Cactus Ridge.66 The first of
Ushijima’s defensive lines was surprisingly effective and completely halted the Army
advance south. By April 8, the Army was finally able to clear the initial fortified outposts
at a cost of over 1,500 U.S. casualties. However, in the process, 4,500 Japanese soldiers
64 James Hallas, Killing Ground on Okinawa (Westport, CT: Praeger Publishers, 1996), 25–26.
65 Hallas, 8.
66 Sloan, 85–87.
58
were killed or captured. Buckner was now convinced that he had located Ushijima’s
main force and began to reorganize his operations. The Battle of Okinawa had only just
begun.
Buckner redirected his two Marine divisions south to reinforce his two Army
divisions. As U.S. troops advanced further south, the Marines were positioned on the
western flank and the Army on the eastern flank. Buckner’s troops then came into
contact with Ushijima’s primary defense in depth, the Shuri line.67 Initial contact
occurred on April 11 as Army elements attempted to seize two hills that were connected
by a saddle (Kakazu Ridge) forming the eastern half of the Shuri line’s defense (see
Figures 21). A massive Japanese artillery attack, combined with machine gun fire from
fortified defensive positions within the two hills, inflicted severe U.S. casualties. One
soldier described it as “running into a beehive of bullets.” Eventually, soldiers were able
to utilize their combined arms approach by quickly calling for fire from artillery, naval
guns offshore and close air support to achieve fire superiority. However, the Japanese
defenders simply retreated into the safety of their underground sanctuary to wait for the
U.S. bombardment to cease. This allowed U.S. soldiers to retrieve their wounded and
move to safer positions. Regardless, the U.S. advance was halted once again and the
Japanese had received minimal casualties.
67 Sloan, 169-170.
59
Figure 19. Kakazu Ridge on the Shuri Line68
Ushijima and his subordinate commanders were overjoyed with their initial
success at Kakazu Ridge. Ushijima began to give into the enthusiasm of his troops to
exploit the situation. On the night of April 12, he ordered a counter attack along the
entire length of the Shuri line. The assault was, however, a catastrophic loss that resulted
in 7,000 Japanese killed.69 This event confirmed that Ushijima’s original defensive
strategy was the only option in the face of U.S. fire superiority. The Japanese would
remain on the defensive for the remainder of the battle.
As Ushijima’s devastated troops pulled back to the safety of their underground

bunkers, the U.S. Army remained stalled. Progress became slow and tedious, which
frustrated Buckner as each Japanese fighting position had to be taken one bunker at a
time. In order for platoons or squads to move forward, every available asset (machine
guns, artillery, naval guns, and close air support) had to be utilized to suppress Japanese
positions to the left and right of the target.70 United States’ firepower had to be
synchronized in order for demolition teams and flame throwers to rush forward to
neutralize the targets (see Figure 22). Satchel charges were used to collapse tunnel
entrances as well as kill Japanese troops within range (see Figure 23). Flamethrowers
proved to be invaluable. They were not only used to incinerate enemy soldiers but, more
68 “Background to ‘The Pacific’ Part V: Okinawa” [image], accessed May 17, 2013,
http://padresteve.com/2010/05/17/background-to-%E2%80%9Cthe-pacific%E2%80%9D-part-v-okinawa/.
69 Yahara, 109.
70 Sloan, 143.
60
importantly, to consume all oxygen inside a tunnel in order to suffocate Japanese forces
deep within. The process continued until May 13 when tanks where brought forward to
capture key terrain that anchored the eastern flank of the Shuri line called Conical Hill.
The tanks proved invaluable and were able to seize Conical Hill quickly.
Figure 20. U.S. Marine using a flame thrower to clear bunkers (Okinawa 1945)71
71 “Ebay,” accessed Nov 2013, http://www.ebay.com/itm/B-W-Photo-Marine-Using-Flamethrower-

Okinawa-WWII-WW2-/350438316629#ht_610wt_1133
61
Figure 21. Demo Team using satchel charge to destroy bunkers (Okinawa 1945)72
Meanwhile on the western flank, the Marines were also running into a quagmire.
The western anchor of the Shuri line, crucial to the Marines, was three small hills.
Unknown to the Marines, the three hills were mutually supporting with interlocking
fields of fire for the Japanese. The hills were given names of Sugar Loaf, Half Moon and
the Horseshoe, which would soon be infamous in Marine Corp history.73 Like the Army,
the Marines also utilized U.S. advantages in firepower when approaching these hills.
However, in this case, these hills, that had extensive underground bunkers systems posed
a serious challenge to the Marines. The Marines quickly realized, to move forward, all
three hills had to be suppressed in order to approach one hill. The Japanese fire was so
intense that regiments were reduced to company strength and, in some cases, platoons
and squads simply ceased to exist. To add to the horrific conditions, monsoon rains
began to turn the ground into a muddy tangle of garbage and dead bodies. The decaying
72 Robert M. Cusack, A Demolition Crew from 6th Marin Division Watches Dynamite Charges
Explode and Destroy a Japanese Cave [image], accessed May 17, 2013,
http://en.wikipedia.org/wiki/File:OkinawaMarineCaveDemolition.jpg.
73 Hallas, 34.
62
American and Japanese corpses sank into the mud and made the smell intolerable. Any
Marine forced to seek cover by lying on the ground could expect to be covered in
maggots.74
Many times, Marines were able to make it to the crest of these hills, only to be
driven off by interlocking fire from other hills. In most cases, due to the concealment of
Japanese fighting positions, Marines could not even see the Japanese who were shooting
at them.75 Once Marines were able to maneuver onto a Japanese fighting position,
alternate methods were used to clear the tunnels (see Figure 24). One of the most
effective occurred when Marines poured oil into the tunnels and underground bunkers
(see Figure 25). A flamethrower then would set the oil ablaze, incinerating any Japanese
deep inside. At Sugar Loaf alone, the Marines assaulted the hill eleven times during a
twelve-day period and sustained 2,000 casualties. The intense Japanese fire from
underground bunkers significantly reduced three regiments before the hill was taken on
May 18.
74 Hallas, 199.
75 Hallas, 204.
63
Figure 22. Japanese soldier emerges from smoke filled bunker76
Figure 23. U.S. troops using smoke to clear bunkers (Okinawa 1945)77
76 Pacific War Post, “Seeing the Light” [image], Pacific War Museum, accessed December 18, 2013,
http://pacificwarmuseum.blogspot.com/2010/04/okinawa-photos.html.
77 “WWII Photos,” [image], Game Squad, accessed December 18, 2013,
http://forums.gamesquad.com/showthread.php?104031-WW2-Photos/page10.
64
Ushijima now had his left and right flanks taken by U.S. troops. As Army and
Marine units began to close in on Shuri Castle, Ushijima knew he could hold the Shuri
Line no longer. Ushijima gave the command for his surviving troops to displace and
move south to their third and final defensive line. At this point, the Japanese Army was
losing its command and control structure and organization. As U.S. troops cautiously
pursued the Japanese, resistance began to degrade. The Japanese no longer had the troop
strength to inflict massive U.S. casualties from mutually supporting fortified positions.
The Japanese were reduced to small cells of troops intent on holding out to the death.
The battle evolved into a manhunt as U.S. troops cleared Japanese soldiers from bunker
to bunker. Once again, surviving Japanese had only two options, commit suicide or
surrender. Most chose the former, including Ushijima himself.78 Small elements
continued to be cleared from their defensive positions until June 22 when hostilities
ended.
4. Effects
There is no doubt that the Battle of Okinawa was one of the bloodiest battles of
the entire war. However, if U.S. tactics during this time had been reconsidered, U.S.
casualties could have been reduced. By marines and soldiers disregarding the option to
enter and clear tunnels, they were forced to operate in full view of the Japanese from
other fortified positions. This caused unnecessary U.S. casualties and prolonged the
operation. If specially trained underground teams could have surgically cleared the
complex from within, less manpower might have been placed at risk. To the contrary, if
Ushijima would have not ordered a counter attack, which wasted valuable manpower,
Japanese troops may have continued their defensive strategy for a longer period of time.
This most certainly would have created even more U.S. casualties and enabled a further
delay for Japan to prepare for an inevitable invasion of its homeland.
78 Yahara, 155.
65
By examining applicability to today’s operations in subterranean warfare, World

War II subterranean operations can be analyzed in terms of DOTMLPF:
• Doctrine—Doctrine did not exist in support of either side. However, the
Japanese refined their use of underground bunker systems out of necessity.
The U.S. tactics were to not enter into Japanese tunnels and to counter
them from above ground. Even though neither side established formal
doctrine for their evolved tactics, the U.S. (flamethrowers/satchel charges)
and Japan (bunker networks) did establish techniques and procedures that
were retained at the unit level.
• Organization—The U.S. did not establish a tunneling unit due to
dependency on firepower and policy to not enter the tunnels. The
Japanese utilized their entire force for tunnel construction and operation
(untrained).
• Training—Training for subterranean warfare most likely did not exist. The
Japanese gained experience from prior battles and the U.S. relied on a
combined arms approach from above ground.
• Leadership—Ushijima’s leadership was the driving force to shift the
Japanese center of gravity to an underground defense in order to inflict
massive U.S. casualties. Buckner did not want to involve his force in an
underground fight. Instead, he encouraged his troops to rely heavily on
U.S. fire superiority to neutralize bunker networks.
• Matériel—Flexibility to improvise and cannibalize resources enabled the
Japanese to create bunker systems that were mutually supporting. The
U.S. refined the use of flamethrowers and satchel charges in conjunction
with fire and maneuver tactics.
• Personnel—Neither side had designated subterranean units. Soldiers on
both sides developed tactics through trial and error.
• Facilities—Facilities for subterranean warfare consisted of prior combat
operations that involved subterranean bunker systems.
6. Conclusion
In the end, only 7,000 of the 100,000 Japanese soldiers surrendered. Most were
killed in combat or committed suicide. Approximately, one third (150,000) of the
civilian population of Okinawa was also killed. The U.S., in total, had approximately
13,000 killed and 38,000 wounded. To President Truman, the prospect of even more
U.S. casualties to be expected from another underground threat became an unthinkable
66
option. It was an indication of what an invasion on the home island of Japan would
entail. Measures would have to be taken in order to save American lives, and therefore,
Truman thought, using the atomic bomb became the only reasonable option.
Underground bunker systems are even more likely today than ever before, due to
the superiority of U.S. airpower. Several lessons can be learned from the Battle of
Okinawa and applied to tactical considerations today. One of the most significant is the
decision not to enter a bunker system in order to clear it with superior firepower. It is
well known that currently most adversaries will certainly seek cover while
simultaneously attempting to inflict high numbers of U.S. casualties. The choice to not
enter a subterranean system leaves dead space on the flanks and to the rear that can be a
threat to U.S. troops; this may result in a prolongation of the mission and unnecessary
U.S. lives lost due to not clearing tunnels surgically with troops. On Okinawa, if U.S.
troops had cleared tunnels from below ground, an advance could have been more
efficient with fewer risks to U.S. soldiers above ground. Thus, the need for U.S. troops to
advance while being fired upon by multiple positions would have been mitigated. In
other words, the decision to not enter enemy tunnel systems appears to have been
detrimental in a combat environment.
E. TUNNEL WARFARE DURING THE VIETNAM WAR (1966)
1. Introduction
One of the most notable subterranean efforts by the United States military was
during the Vietnam War. The Viet Cong use of tunnel warfare forced the U.S. military to
reevaluate its subterranean tactics, techniques, and procedures. For the first time, the
U.S. military decided to no longer avoid entering enemy tunnel systems. An
underground capability was needed to breach and clear subterranean safe havens, and
thus, a specialized unit of subterranean warriors was formed to operate underground. A
new method was established by organizing and training soldiers that were specially
selected for their small stature and emotional fortitude; this all-volunteer force
67
transformed themselves into subterranean specialists. Using only a handgun, knife and
flashlight, they trained themselves in tunnel-exploration and tunnel-warfare. They are
best known as “Tunnel Rats.”
Unlike past experiences in World War II, when U.S. troops rarely entered a tunnel
complex, the Vietnam War presented a new underground problem set that U.S. troops
were forced to confront. The Viet Cong (VC) was an insurgent force that preferred not to
reveal its position unless it was at a tactical advantage. In order to conceal its safe havens
and movements, the VC constructed tunnel complexes that ranged from the rudimentary
to sophisticated in construction. These tunnels gave the VC a sense of invulnerability,
which boosted their moral. The tunnels were usually located in the rural areas and
villages of South Vietnam, which “afforded the VC excellent cover and allowed them to
pop-up at any time” while concealing movement to and from combat operations.79 In
most cases, U.S. troops would rarely see more than a glimpse of the VC during an
engagement.
2. Background
The VC utilized hit-and-run techniques that frustrated U.S. troops. This

frustration occurred when U.S. troops attempted to pursue VC members, which then
culminated in only catching a glimpse of them as they melted away into the jungle.
Frequently, U.S. troops would receive sniper fire from a position that was assumed to be
hidden in a tree line. After the tree line was searched, no sign of the enemy was present.
The U.S. troops could not understand how the VC was able to disappear without a trace.
In reality, the VC had utilized a tunnel system to escape and escape out of the area
undetected (see Figure 26).
79 Allen D. Reece, A Historical Analysis of Tunnel Warfare and the Contemporary Perspective, 1998,
last accessed March 11, 2013, http://www.dtic.mil/dtic/tr/fulltext/u2/a339626.pdf
68
Figure 24. Example of Viet-Cong Tunnel System80
After several clearing operations, through VC controlled areas, there were very
few considerable engagements that enabled U.S. troops to close with and destroy VC
units. This all changed in January, 1966 when the 173rd Airborne (ABN) Division
conducted Operation Crimp in a notorious VC stronghold known as the Iron Triangle.
During the operation, U.S. troops encountered several booby-traps and bunkers.
Australian engineer sappers were called in which were attached to the 173rd ABN. As the
Aussie sappers began to clear, they stumbled onto a heavily concealed door that led into a
tunnel entrance. An American working dog was called in to investigate. After the dog
refused to enter the tunnel entrance, the Aussie sappers stood by unsure of what action to
take next. After a brief deliberation, the Aussie sappers entered the tunnel entrance with
a flashlight and a bayonet.81 Once inside, the Aussie sappers were astonished to see the
level of sophistication in tunnel construction. The tunnel complex “turned out to be VC
80 “Vietnamese Tunnels,” [image], accessed November 17, 2013, About Facts Net,
http://aboutfacts.net/Things8.htm.
81 Irrp, “Tunnel Warfare: Vietnam Experience - Six Silent Men,” July 12, 2008, last accessed March
13, 2013, http://lrrp2.wordpress.com/2008/07/12/tunnel-warfare-vietnam-experience/
69
headquarters and one of the biggest intelligence coups in the war to that time.”82 It was
also the first example of soldiers entering a VC tunnel complex in Vietnam. This
complex would be known as the Cu Chi Tunnels.
The Cu Chi tunnel complex was built by the 9th VC Division. The tunnels
consisted of hospitals, dormitories and a command and control centers. Unknown to the
Australians and the 173rd ABN, the tunnel complex stretched from Saigon to the Ho Chi
Minh Trail in Cambodia, which was a distance of roughly 155 miles. It later became a
VC staging area for the Tet Offensive in 1968. As Australian and U.S. troops began to
discover more of the tunnel complex, numerous intelligence documents were discovered
inside. Thus, U.S. commanders were compelled to send even more soldiers into the
tunnels. The intent was to recover weapons caches and documents, and engage the VC
face to face. These subterranean soldiers were all volunteers and became known to U.S.
troops as “Tunnel Rats” and to Australians troops as “Ferrets.” This volunteer cadre was
formed out of necessity and expanded the Vietnam War into two operational
environments, evolving into operations above and below ground.
As word spread of VC tunnel activity in Cu Chi, the U.S. Army soon realized that
attempting to destroy a VC tunnel complex would be inconsequential. If a tunnel was
destroyed before it could be exploited, the opportunity to gather vital intelligence on the
VC would be lost. Moreover, the tunnel could not be bypassed since it would involve
ignoring a threat and would enable the VC to attack from the rear. Thus, there was the
realization that a formal unit must be organized to enter and clear every tunnel
discovered. United States’ Army infantry units began to informally piece together
volunteers to enter this foreign subterranean environment (see Figure 27).
last accessed March 11, 2013, http://www.dtic.mil/dtic/tr/fulltext/u2/a339626.pdf.
70
Figure 25. Tunnel Rat Unit Patch83
3. Subterranean
One of the first attempts to formalize such a unit of “Tunnel Rats” was by a
chemical officer from the 1st Infantry Division, CPT Herbert Thornton. In selecting
volunteers “Thornton sought a special breed of solider. He had to have an even
temperament, an inquisitive mind, a lot of common sense (in order to know what to touch
and what not to), and to be exceptionally brave.”84 Most of Thornton’s men were small
in stature. They were intended to squeeze through tight trap doors and crawl along the
narrow passages with relative ease. Volunteers soon became part of standard operating
procedure for most infantry units.
Due to the operational tempo of infantry units in combat, there was not much time
for formal training for most Tunnel Rat units. Thus, a new Tunnel Rat recruit would be
forced to learn from a more experienced Tunnel Rat, or through direct experience. A
Tunnel Rat soon realized that entering into a tunnel entrance was a terrifying experience.
New techniques had to be developed in order to enter a tunnel entrance while maintaining
security. Before entering a tunnel, each Tunnel Rat would strip off any excess clothing
and/or equipment. This would allow the Tunnel Rat ease of movement underground.
Equipment was kept to a minimum, usually just a flashlight, bayonet, pistol and spare
83 Command Post, “Tunnel Rat Patch” [image], accessed November 17, 2013, Army Surplus World,
http://www.armysurplusworld.com/product.asp?ProductID=27485.
84 Irrp, “Tunnel Warfare: Vietnam Experience—Six Silent Men”, last accessed March 13, 2013,
http://lrrp2.wordpress.com/2008/07/12/tunnel-warfare-vietnam-experience/
71
ammunition. Sometimes a mask was carried if gas had been utilized prior (see Figure 28
and 29). Eventually, the U.S. Army developed tunnel exploration kits that consisted of a
“headlamp, communication system (utilizing a wire and bone microphone), and a .38
caliber revolver with silencer and aiming light. These innovative kits rarely made it to
the troops in the field conducting combats operations.”85 Thus, Tunnel Rats were more
often reliant on a flashlight, 1911 pistol (.45 caliber automatic) and a bayonet (see Figure
30). Most Tunnel Rat units would operate in two to three man teams in order to support
each other in case of enemy contact.
Figure 26. Australian and U.S. troops utilizing a blower to clear tunnel at Cu Chi86
85 Army Concept Team in Vietnam, Evaluation of Tunnel Exploration Kit, 1967 last accessed March
13, 2013, http://www.dtic.mil/cgi-bin/GetTRDoc?AD=AD0804859&Location=U2&doc=GetTRDoc.pdf
86 “Viet Cong Tunnels,” [image], accessed November 17, 2013, Australia and the Vietnam War,
http://vietnam-war.commemoration.gov.au/combat/viet-cong-tunnels.php.
72
Figure 27. Tunnel Rat entering a tunnel wearing a gas mask87
Figure 28. Clearing tunnel with .45 caliber pistol and flashlight (Cu Chi 1967)88
87 “Vietnam War, Tunnel Warfare,” [image], accessed November 17, 2013, Warchapter.com,
http://www.warchapter.com/Vietnam_war_Tunnels.html.
88 Robert C. Lafoon, “SGT Ronald A. Payne Tunnel Rat Vietnam” [image], accessed December 12,
2013, Wikimedia, http://commons.wikimedia.org/wiki/File:Sgt._Ronald_A._Payne_Tunnel_Rat-
Vietnam_War,_1-24-1967.png.
73
One of the most difficult tasks for the troops above ground was tunnel detection.
The VC was able to camouflage tunnel entrances so effectively that a U.S. solder would
have to stomp his foot on the door of a VC tunnel entrance to locate it. Eventually, some
of the indicators for tunnel detection were clumps of bamboo that afforded a terrain
advantage. Even though an entrance was camouflaged, a very distinct trail could be seen
leading through the bamboo. This trail would inevitably end in the area of the tunnel
entrance. Also, air shafts could be detected by looking for bamboo stalks stuck in the
ground meant to look like the surrounding bamboo. These air shafts usually could be
seen by detecting a stalk that had been cut.89
Once a tunnel entrance had been detected, a Tunnel Rat would enter a narrow
tunnel entrance head first, while his teammates would lower him into the tunnel by
holding his ankles (see Figure 31). This allowed the lead Tunnel Rat to have his M1911
pistol in one hand and his flashlight in the other to engage enemy personnel (see Figure
32). Once inside, the lead Tunnel Rat would also utilize his bayonet to probe for mines
or booby traps. As a team would progress further into a tunnel, the lead man would
continue to probe with a bayonet while the number two man would assist in pulling
security while simultaneously checking for trip wires on the ceiling of the tunnel. Some
accounts describe how the VC would hang poisonous snakes (bamboo viper, or krait)
from the ceilings in a tunnel as a booby trap. This created a psychological effect on U.S.
Tunnel Rats that only the most resolute could overcome. For some, the mental factor was
a far biggest obstacle:
…imagine yourself worrying that your heart is beating too loud, is there
enough air, where is the trip wire, where are the snakes, will the pistol
work, how fast can I crawl backwards and I hope the VC is moving away
from me? 90
These were the thoughts that could sometimes overwhelm a Tunnel Rat.
89 Military Assistance Command, Vietnam, Techniques for Detecting, Neutralizing and Destroying
Enemy Tunnels, 1969, last accessed March 13, 2013, http://www.dtic.mil/cgi-
bin/GetTRDoc?AD=AD0683375&Location=U2&doc=GetTRDoc.pdf
90 Fred Meurer (former Tunnel Rat commander), interview with Josh Bowes (author) August 12, 2013
74
Figure 29. Tunnel Rat entering a tunnel head first91
Figure 30. Tunnel Rat inspecting entrance before entering tunnel92
A typical VC tunnel was constructed with several 60 and 120 degree turns. This
would deny Tunnels Rats the ability to fire down a tunnel more that 10–20 yards. It
91 “The Vietnam War Tunnel Rats,” [image], in Cherries: A Vietnam War Novel, accessed December
12, 2013,http://cherrieswriter.wordpress.com/2012/08/04/the-vietnam-war-tunnel-rats-guest-blog/.
92“Vietnamese Army Including the Viet Cong,” [image], accessed November 17, 2013,
http://vietnamresearch.com/nvavc/vc_nva.html.
75
would also provide cover for VC in order to ambush a Tunnel Rat as he approached. If
enemy contact was made in the tunnel, a Tunnel Rat learned to fire his pistol reflexively,
without taking careful aim, due to the close proximity. After the engagement, a Tunnel
Rat quickly conducted a magazine change regardless if his pistol was empty or not. This
was due to the VC knowing how many rounds an M1911 pistol would fire until it was
empty and in need of a magazine change. This delay would provide the VC an
opportunity to engage a Tunnel Rat unopposed.
It was well known to conventional forces above ground that Tunnel Rats would
experience a very physically and mentally demanding task underground. It could also
push a Tunnel Rat’s emotional state to his breaking point. Operating in a confined pitch-
black environment, while crawling for hours looking for a heavily armed enemy, who
have the advantage, would cause most soldiers to mentally break down. According to
Tunnel Warfare, “Occasionally, under the strain, a Tunnel Rat’s nerves would break and
he’d be dragged from the tunnel screaming and crying. Once this happened he would
never be allowed down a tunnel again.”93 Only the strongest were allowed to continue.
Some infantry units developed tear gas generators to utilize in conjunction with
their Tunnel Rats. In order to mitigate these efforts, the VC constructed water traps
underground. A water trap was an obstacle that was intended to seal off a tunnel from
gas. In order to clear a water trap, a person entering the tunnel would need to submerge
under the water to clear the obstacle, in order to continue through the tunnel to the other
side. As a Tunnel Rat would clear a water trap and rise out of the pitch black water, he
was completely defenseless. A VC soldier could easily be waiting on the other side of
the water trap in ambush. The thought of an AK-47 waiting as they raised heads out of
the water, was more that some Tunnel Rats could take. The 25th Infantry Division had a
standing rule for its Tunnel Rats. If a Tunnel Rat cleared more than three water obstacles
in one day, he was relieved by a teammate and was not allowed to continue for the next
24 hours.
93 Irrp, “Tunnel Warfare: Vietnam Experience—Six Silent Men,” 2008, last accessed March 13, 2013,
76
Most Tunnel Rats would describe the experience by saying, “the feeling you get,
crawling into a tunnel, knowing that someone or something is trying to kill you, can
never be fully understood or explained. At the time, we thought we were invincible.”94
Another fear factor for a Tunnel Rat was not only what could happen underground but
also what could happen above ground as they came out at a different tunnel entrance.
The sight of a small man, stripped of a uniform, covered in dirt, would surely be
mistaken for a VC and shot by a fellow U.S. solider. The Tunnel Rats developed signals,
such as simply whistling “Dixie” before he exited a tunnel to alert any fellow U.S.
soldiers.
4. Effects
This underground occupation transformed the Tunnel Rats into a position of

respect and reverence by conventional troops. Most soldiers saw Tunnel Rats in their
units as “brave but crazy” to volunteer for such a job. As for the Tunnel Rats, there were
various reasons to continue in such an occupation. Some enjoyed the admiration from
their fellow soldiers, others were attached to the adrenaline “high” of facing death
underground and living to tell the tale. Regardless, these men were conducting a new
type of subterranean warfare that had not been experienced in prior historical U.S.
conflicts. The U.S. military had not established training or doctrine to draw reference
from. It was simply developed in combat, out of necessity and with great success.
Once a tunnel complex was clear of VC, a ground force commander would make
the decision to destroy the tunnel and U.S. Army engineers would be called in. The
Tunnel Rats would then assist the engineers in destroying a tunnel complex in order to
deny it from being used again by the VC.95 The demolition process would initiate with a
Tunnel Rat having to re-enter the tunnel to place explosive charges. The explosives were
placed at intervals throughout the tunnel. Each satchel charge was set in a descending
order in reference to the time fuses. This would enable the charges to detonate
94 Fred Meurer (former Tunnel Rat commander), interview with Josh Bowes (author) August 12, 2013
95 “Tunnel Destruction pt1-2 1969 US Army Training Film Vietnam War” YouTube video, posted by
“Jeff Quitney,” December 18, 2013, http://www.youtube.com/watch?v=EeNP-aUT0sY
77
simultaneously while allowing the Tunnel Rat time to get to a safe distance away. After
total destruction of the tunnel, Tunnel Rats would consolidate, reorganize and move to
the next tunnel complex to start the process again.
By examining the applicability to today’s operations in subterranean warfare, U.S.

subterranean operations in Vietnam can be analyzed in terms of DOTMLPF:
• Doctrine—Doctrine did not exist in support of either side. The U.S. began
to refined subterranean tactics, techniques and procedure that remained at
the unit level. However, the U.S. military did not develop subterranean
lessons learned into doctrine. The VC refined their underground
techniques and procedures but retained lessons learned at the unit level.
• Organization—The U.S. established tunneling units that specialized in
clearance and destruction of VC tunnel networks. The VC utilized their
entire force for tunnel construction and operation (untrained).
• Training—Training for Tunnel Rats was not conducted in a formalized
setting. Each new Tunnel Rat depended on learning from more
experienced members, within the unit, and on-the-job training. The VC
were untrained and refined their techniques from prior engagements prior.
• Leadership—CPT Herbert Thornton’s initiative was the catalyst that
encouraged the development of subterranean units throughout the U.S.
military in Vietnam. The VC chain of command encouraged underground
operations because of the inability to maneuver in daylight due to U.S.
aircraft. This tactic was adopted out of necessity.
• Matériel—Out of necessity, Tunnel Rats used tools that were already in
the inventory (.45 caliber pistol and a flashlight). The development of
tunneling kits was also prevalent. However, new equipment seldom made
it out to troops in the field, and those that did were regarded as useless and
cumbersome. The flexibility to improvise and cannibalize resources
enabled the VC to create vast tunnel networks undetected.
• Personnel—Tunnel Rats volunteered and were selected at the unit level.
However, those units were reabsorbed back into the regular force after the
war and valuable subterranean experience was lost.
• Facilities—Facilities for subterranean warfare consisted of combat
operations that were ongoing at the time.
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F. CONCLUSION
The tunnel networks during the Vietnam War presented an extensive dangerous
combat environment for U.S. troops. “By the end of 1970, 4,800 tunnels had been
discovered by the United States and allied forces.”96 Viet Cong tunnels were able to
delay and/or stop U.S. infantry units with a profound disruption to combat operations.
With no choice but to clear newly discovered tunnels, the U.S. Army depended on the
specialized skill set of the Tunnel Rats. Without such a specialized force, U.S. troops
would have most certainly incurred far more casualties and achieved far less success. In
future conflicts, much can be learned from references to tactics, techniques and
procedures that were established by the Tunnel Rats. Not to learn from that experience
would constitute a lost opportunity for U.S. military efforts.
During the Vietnam War, the utilization of uniquely skilled subterranean soldiers,
organized into distinct units, was a huge leap forward in underground warfare. It marked
the creation and the disappearance of subterranean doctrine in a combat environment.
Subterranean lessons learned began to be disseminated through the ranks from which
other Tunnel Rat units could benefit. However, valuable subterranean tactics, techniques
and procedures were never established into formal military doctrine. Most of the lesson
learned were filed away into unit store rooms or lost over time.
Rudimentary tunnel systems as experienced during the Vietnam War are not
unique to that conflict; it is an underground pattern that continues today. The U.S. must
not ignore lessons from the past or current threats that are seeking advantages
underground. North Korea, Iran, transnational criminal organizations, and violent
extremist organizations are all known to conduct tunneling activities. Much like airborne
forces are designed to conduct a vertical envelopment, subterranean forces may offer the
strategic surprise of envelopment from below.
last accessed March 11, 2013, http://www.dtic.mil/dtic/tr/fulltext/u2/a339626.pdf
79
80
IV. CASE STUDY COMPARISON AND ANALYSIS
A. TREND COMPARISON
There are several trends that are apparent in warfare. Even though the case
studies that have been presented span many centuries of warfare, there are several
elements that are common to all. The most significant tendency is for militaries to seek a
subterranean advantage when the ability to maneuver has been reduced. In all five case
studies, maneuver was disrupted by either a stalemate at the tactical level, or an
insurgency that was forced underground for protection at the operational level. All
scenarios have also indicated how the subterranean option became logical, to employ,
when no other means of maneuver was possible. A clear understanding of these
subterranean trends will be invaluable to future conflict.
During the siege of Constantinople, the Ottoman Turks were unable to maneuver
in order to defeat the Byzantines inside the city walls. The Turks chose to employ
rudimentary tunnels under the walls to breach the cities’ defenses. During the siege of
Petersburg, the Union army was at a stalemate due to the formable Confederate
entrenchments around the city. The Union army also chose to utilize a rudimentary
tunnel under the Confederate defensive line to emplace an explosive breach. During
World War I, the Allies were also at a stalemate with German forces at Messines Ridge.
To break the quagmire, 22 tunnels were dug in order to detonate simultaneous explosive
breaches that were nested with massive Allied assault. In Okinawa during World War II,
the Japanese chose to construct mutually supporting underground bunker systems. By
going underground, the Japanese minimized their vulnerabilities while maneuvering from
one defensive position to another. In South Vietnam, the Viet Cong were also forced to
seek an underground solution to mitigate being detected by U.S. aircraft or ground troop.
The human instinct to go underground, when maneuver is disrupted, is a key factor in
every case study. It is also an indicator of what an adversary will be inclined to pursue
when faced with in similar circumstances.
81
In terms of significant commonalities, there are also factors that have been
repeated in the past that will provide awareness for the future. In the case studies of the
Byzantines and World War I, both involved tunneling and counter tunneling. The ability
of an attacker to approach a defensive line undetected is problematic for either side. In
both cases, counter tunnels were dug to interdict an attacker’s approach which
demonstrates a defender’s ability to detect and locate an attacker’s tunnel. Finally, both
case studies involve intensive hand-to-hand combat that occurred when contact was made
underground.
The concealment of tunnels is also a repeated. The Turks purposely dug tunnels
at oblique angles, from the walls of Constantinople, to conceal their approach. In
Petersburg, Union miners made an effort to conceal their ventilation system between
siege lines. The use of a fire in the tunnel, for air circulation, was concealed by keeping
multiple Union campfires burning to produce smoke which concealed the air/exhaust
vent. In Vietnam, the Viet Cong created numerous methods to conceal tunnel entrances,
airshafts and exits in plain sight by utilizing what was natural to the landscape.
The superiority of U.S. firepower has also been a factor causing adversaries to
seek the subterranean environment for protection and/or concealment. In Okinawa, the
Japanese were forced to modify above ground operations into subterranean tactics for
protection while inflicting massive U.S. casualties. In the Vietnam War, the Viet Cong
were also forced to go underground for protection in the face of superior U.S. firepower.
However, VC tunnels were utilized as clandestine safe havens instead of fortified
positions. The Okinawa case study also illustrates how the decision for U.S. troops not to
enter Japanese subterranean bunkers became instrumental in causing high U.S. casualties.
To the contrary, the Vietnam case study validates the effectiveness of specialized
U.S. troops to enter tunnel systems to mitigate the VC threat from their rear. The shift in
U.S. tactics became the catalyst for the development of subterranean tactics, techniques
and procedures that remain relevant today. This U.S. underground surgical approach also
resulted in minimal U.S. casualties. In addition, during World War I, the Allies were also
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very successful in the construction of 22 tunnels that required dynamic subterranean skill
sets. The formation of underground units greatly contributed to the overall Allied success
at Messines Ridge.
B. DOTMLPF ANALYSIS OF CASE TRENDS
Given the factors from all five historical case studies, it is easy to see why
subterranean warfare is a trend that continues today. Some broader conclusions from the
cases of subterranean operations can be drawn through the application to DOTMLPF:
• Doctrine—Doctrine did not exist in any of the case studies presented.
However, the refinement of subterranean tactics, techniques and procedure
remained at the unit level in all five case studies. The U.S. military failed
to establish these subterranean lessons into doctrine; the majority of the
lessons it learned were poorly documented, limited to the participating
unit, and not widely distributed throughout the U.S. military.
• Organization—The formation of specialized underground units did not
occur until World War I when the Allies temporally organized ex-miners,
from their ranks, into tunneling companies. The U.S. formation of Tunnel
Rat units refined the organization into a semi-permanent element that was
utilized throughout the war but afterwards disbanded.
• Training—Formalized training for subterranean units did not exist in any
of the case studies presented. The majority of the case studies relied
heavily on the experience and expertise of former miners within their
ranks. In Vietnam, the U.S. military did not provide standardized training
to inexperienced soldiers when assigned to Tunnel Rat units. As a result,
inexperienced Tunnel Rats relied heavily on the lessons learned from more
experienced members within the unit. The high operational tempo of
Tunnel Rat units forced new arrivals to learn by means of on the job
training during combat operations.
• Matériel—Out of necessity, in all five case studies, underground soldiers
were forced to utilize organic resources to construct or clear tunnels. Most
utilized weapons and equipment that were already in their inventories, in a
subterranean environment. For example, in Okinawa, flame throwers
were instrumental in clearing tunnels from above ground. In Vietnam,
Tunnel Rats simply relied on their senses, a .45 caliber pistol, and an
elbow flashlight when entering a tunnel.
• Leadership—The success or failure of all five case studies can be credited
by the leadership of commanders that had a clear and definitive
understanding of the subterranean environment. Not understanding the
capabilities and limitations of underground warfare can be catastrophic to
U.S. forces operating underground.
83
• Personnel—In all five case studies, the majority of organizations relied on
former miners that were already acclimated to a subterranean
environment. In Vietnam, due to lack of miner experience, Tunnel Rats
were an all-volunteer force. Most volunteers were small in stature and
could easily traverse through restrictive rudimentary tunnels. However,
once a Tunnel Rat displayed any mental adversity (an emotional
breakdown) to operating underground, he was never allowed into another
tunnel and was sent back to the regular force.
• Facilities—Training facilities, for subterranean warfare, consisted of
combat operations that were on-going at the time (on the job training).
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V. RECOMMENDATIONS AND CONCLUSIONS
A. ANALYSIS BY DOTMLPF FOR CURRENT U.S. LAND FORCES
1. Doctrine
The extent of subterranean warfare doctrine within the U.S. Army is found within
the following current publications: FM 3-06 Urban Operations, ATTP 3-06.11 Combined
Arms Operations in Urban Terrain, ATTP 3-21.50 Infantry Small-Unit Mountain
Operations, and FM 3-34.170 Engineer Reconnaissance. Historical doctrinal
publications such as FM 90-8 Counterguerrilla Operations, and FM 90-101-1 An
Infantryman’s Guide to Urban Combat also contain fragments of subterranean doctrine.
The U.S. Army’s Asymmetric Warfare Group (AWG) combines a majority of this
doctrine into a single publication titled, AWG Subterranean Handbook. The limitations
of these current publications is the lack of consideration beyond tunnels and urban and
natural cavities, and the limited detail to which other DOTMLPF factors and operational
considerations are discussed. The subterranean environment, as described by this
capstone’s established typology, spans environments ranging from the most rudimentary
tunnels to deep underground facilities; the totality of which current doctrine fails to
address. Today’s military forces, regardless of location or geographic orientation, must
concern themselves with the preparedness to engage in subterranean operations. This
section of the analysis seeks to identify gaps in current publications and highlight the
need for a more comprehensive doctrine.
In order to develop a comprehensive doctrine on subterranean warfare, TRADOC

should consolidate information currently scattered across doctrinal areas. Information
found in FM 3-34.170 on tunnel uses, detection, reconnaissance, and destruction is
valuable to any unit conducting subterranean operations; however, it is unlikely to be
sought after outside of the career engineer field. Similarly, the information found in other
publications is of value to more than their specifically illustrated environments. Once
consolidated, planning considerations, threats, and challenges associated with
subterranean environments can be expanded to include the full scope of the subterranean
85
typology. Integrating the identified subterranean attributes can assist leaders in focusing
intelligence collection and can aid in determining resource allocation. Finally, alternate
approaches should be discussed to provide commanders with options other than
committing forces underground.
a. Planning Considerations
Commanders and planners should have detailed knowledge of the types

and general locations of subterranean systems and structures within their planned
operational areas. The need to plan a subterranean operation may result from a directed
mission or in response to an immediate threat or intelligence opportunity. Subterranean
operations may occur across the full spectrum of combat and rules of engagement.
Mission, enemy, time, terrain, troops available, and civilian considerations (METT-TC)
will often change. The commander’s decision to commit soldiers into a subterranean
environment must be thoroughly analyzed.97
Existing methodologies dealing with intelligence preparation of the

operational environment (IPOE) can assist in providing the best operational picture, and
should include known or suspected subterranean systems or structures within the area of
operation (AO). A Subsurface Area Overlay, such as that discussed in FM 3-06, applies
not only to other environments beyond urban, but should be expanded to incorporate
assessment of engagement factors described within the subterranean typology and
illustrated using the subterranean graphical symbol. In many areas, imagery intelligence
(IMINT) exists or may be requested to support analysis. Also, measurement and
signature intelligence (MASINT) platforms can be leveraged to provide closer analysis of
known underground structures. Multi-spectrum imagery may be able to detect surface
anomalies that could indicate subsurface vents, intakes, or portals. Tunnels and existing
underground infrastructure may extend into areas controlled by insurgents and even
97 U.S. Army Asymmetric Warfare Group, Subterranean Warfare Handbook (Fort Meade, MD:
Headquarters, U.S. Army Asymmetric Warfare Group, 2009), 3-1.
86
among different parts of the population. The IPOE process is a cycle and should be
continually evaluated to assess changes in the environment and how these systems impact
culture and economic conditions in the AO.98
Conducting a thorough terrain analysis can reveal locations of

subterranean activity. Any areas that employ access control measures such as fences or
walls could be undermined. International borders, in particular, are targets for
subterranean operations; this may be done in order to capitalize on the illicit
transportation of smuggled goods and persons. Areas of high typographical relief
changes such as mountains and canyons should be analyzed for indicators of subterranean
activity. Roads or trails that seem to end abruptly or lead to nowhere may illuminate a
transportation network supporting subterranean activity. Roads, power and other utility
lines must go somewhere. Following these structures on imagery to places where they
seemingly disappear can reveal an underground facility. Unexplainable or isolated
surface structures such as power transformers not near population centers, or buildings
that radiate excessive amounts of heat may indicate infrastructure support to a UGF.
Keeping this in mind, some surface structures may serve as decoys or deception
mechanisms to disguise the extent or layout of subterranean areas. Cut-and-cover
facilities may be more difficult to detect, but can be exposed by human behavior. Small
isolated buildings that have more vehicles parked outside than would reasonably be
expected could indicate a vertical shaft access portal. It is important to conduct
surveillance of these areas to identify suspicious anomalies.
In order to identify and document all known vulnerabilities, a micro-

terrain analysis should be conducted of any suspected subterranean site to include any
site occupied by friendly forces for an extended period of time. These site surveys are
important to IPOE in order to visualize where infrastructure and vulnerabilities may exist.
Surface infrastructure and existing buried infrastructure that can be used to circumvent
force protection measures must be identified. Planners should plot site information on a
map using imagery and identify the most likely areas from which the enemy can tunnel.
98 Ibid., 3-2.
87
Understanding the surrounding local infrastructure is critical to force protection.
Intelligence should be gained on what residences or businesses have been recently
purchase or rented. Distances from perimeter protection to surface infrastructure and
residences or businesses should be identified.
Entering a subterranean structure should be a deliberately planned

operation. Once a subterranean structure is identified, the area should be isolated and
surface structures cleared before entering. Maneuvering forces above ground and below
ground simultaneously should be avoided. Above ground personnel need to be prepared
to provide support to personnel deployed in subterranean environments. Subterranean
teams have a difficult task to provide situational awareness to above ground elements.
Current doctrine that discusses the organization and techniques for Cordon and Search
Operations can be applied. Tactics described in current doctrine, including clearing
hallways and establishing above ground cordon and security, are all applicable.
However, the tactics in tunnel destruction described in FM 3-34.170 by “firing one or two
magazines from a rifle into the tunnel entrance” prior to conducting a loudspeaker call-
out would not only be counterproductive, but likely a useless waste of ammunition.
Additionally, there are much more effective ways to breach access portals than placing a
grenade on portal covers.99 This method of destruction seems to be adapted from battle
drill five, “Knockout a Bunker.” If the friendly element is not engaged from the
subterranean structure, clearing and site exploitation prior to destruction or access denial
of the site would be a greater use of resources.
b. Threats
The environmental hazards of subterranean operations include flooding,

cave-ins, and suffocation. Air quality, degraded by smoke, gas, or airborne debris is a
primary concern. Soldiers will also face psychological challenges brought on by
claustrophobic spaces, limited visibility, and disorientation. Lack of ambient light will
challenge night vision devices, and communication signals may be difficult to maintain in
99 Department of the Army, Headquarters Department of the Army, FM 3-34.170/MCWP 3-17.4,

Engineer Reconnaissance (Washington, DC: Headquarters, Department of the Army, 2008), 4-23.
88
a range of underground depths. The risk of booby traps and unexploded ordinance will
further increase the risk to force and degrade speed of movement.100
An enemy that is prepared to use the subterranean environment can force

the fight on two levels and extend resources beyond more than just street-level fighting,
thus challenging traditional battle planning strategy. Subterranean passages provide the
enemy with covered and concealed routes into and through built-up areas. This enables
the enemy to launch attacks along roads that lead into the city while infiltrating a force
behind established perimeters. Document ATTP 3-06.11, section VII Subterranean
Operations, discusses the advantages and disadvantages associated with the role of
attacker and defender. What is important to realize in the COE is that the role of attacker
and defender changes often. These roles become so blurred that the only clear reality is
that the enemy, whether attacking or defending, has the advantage in the subterranean
environment. Only intelligence, planning, and preparation can lessen this advantage.
Underground passageways provide tight fields of fire that force troops to

advance in dangerous, funnel-like formation. Obstacles placed at tunnel intersections set
up excellent ambush sites and turn subterranean passages into deadly mazes. The enemy
can easily gain the element of surprise through selection of ambush positions and
withdrawal routes. The enemy’s familiarity with the subterranean systems will facilitate
its use for ready-made lines of communication, movement of supplies and supply caches,
and evacuation of casualties.
c. Challenges
Soldiers who find themselves within the subterranean operational

environment will be faced, not only with the unique challenges of being underground, but
will find these challenges compounded by effects of above ground combat.101 The
placement of underground facilities in populated areas near schools, hospitals, religious
buildings, and other civilian infrastructure makes detection and elimination of these
facilities difficult. Military planners must be able to conduct subterranean operations
100 U.S. Army Asymmetric Warfare Group, Subterranean Warfare Handbook, iii.
101 Ibid.
89
with consideration not only for the operational safety of soldiers and mission
accomplishment, but also with concern for civilian casualties and collateral damage.
Traditional equipment found within today’s military is not designed for

subterranean combat. Load carrying equipment and body armor is too bulky to be worn
inside restrictive subterranean environments. Shedding this equipment becomes an
operational necessity and an additional risk for commanders to consider. Night vision
devices are really light amplification devices and in environments where there is no
ambient light, or with smoke, these devices are useless without the use of supplemental
Infra-Red (IR) lighting. Rifles may be too long to be effectively wielded in restrictive
environments. Pistols have shown to be of greater use, yet few soldiers are issued a
secondary weapon. The sound amplification caused by confined spaces in subterranean
environments causes increased risk to soldiers’ hearing during the firing of weapons or
use of explosives. Radio communications systems typically operate along line-of-sight
(LOS) and are limited in their ability to transmit or receive through terrain. Maintaining
communications with surface elements is difficult without “bread-crumbing” personnel
throughout the subterranean system. Air quality is a significant risk to forces in a
subterranean environment, thus portable air monitors would need to be acquired. Many
solutions exist or are being developed to provide enhanced capability and mitigate risks
in subterranean environments. Unfortunately, this equipment is not widely fielded
because the subterranean problem-set has not presented itself to enough forces to justify
the cost. Training with the equipment that units have, adapting it to any potential
problem-set, and understanding its limitations becomes the priority.
d. Indicators and Detection of Subterranean Activity
The detection of tunnels and the identification of tunneling activity are key
skills in eliminating an enemy’s ability to build and use underground facilities. While
innovations in tunnel detection technology offer promising long-term strategy,
technology cannot be the sole solution. Technology can assist in subterranean activity
detection and is utilized on the U.S./Mexico border and other locations globally.
Although a number of detection technologies exist, no single piece of equipment,
90
currently available, is sufficiently accurate for routine subterranean detection. Inherent
difficulty exists, in part, because of the varying sizes and depths of tunnels in diverse
geological conditions. Currently, subterranean detection technology is in use by the U.S.
military only in Afghanistan. Because the technology is not widely used, it is important
for soldiers to know the indicators of subterranean activity to assist in non-technical
detection. Situational awareness is critical.
Many of the indicators of subterranean activity require persistent

surveillance, routine patrols, and human intelligence (HUMINT) reports. Personnel
should be suspicious of mounds of loose or disturbed soil and/or dirt scattered within
close proximity to residences, businesses, or water sources. Soil that is a different color
from the surrounding soil can indicate that it has been displaced.
During searches, all wires should be traced to determine both the power
source and what is being powered. Large amounts of wire are needed for communication
lines and to power lights, fans, and digging equipment.
Holes in the ground or pipes sticking out of the ground can be used to
provide ventilation to a subterranean structure. Hoses, metal piping, or PVC piping can
be used to provide air to a tunnel, or to move water out. Water is also needed to keep
dust down to a minimum during construction. As with wire, it is important to trace a
hose, beginning to end, to determine its source and what is being watered.
Increased truck/vehicle activity in a residential or commercial area may

also provide an alert to the movement of loads of dirt from underground construction
sites. Particular attention should be given to dirt–laden trucks departing structures when
there is no other discernible construction activity.
Groups of people who enter an establishment and do not depart in a

reasonable time may be suspect. Also, people with muddy clothes or shoes in a dry
climate provide clues. Large quantities of empty barrels or rice/flour/fertilizer bags may
be present to remove soil. These items may contain dirt residue. Digging hand tools,
buckets and headlamps found in the absence of a construction site may also be reasons to
investigate further.
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e. Alternate Approaches
The United States Army describes the mission of infantry as “to close with
the enemy by means of fire and maneuver in order to destroy or capture him, or to repel
his assault with fire, close combat, and counterattack. The Infantry will engage the
enemy with combined arms in all operational environments to bring about his defeat.”102
This may not be the best way to proceed when dealing with subterranean operations.
Placing troops in a subterranean environment must be carefully thought out.
Commanders must determine the driving force requiring ground forces to enter a
subterranean environment. Personnel recovery, securing a high value target, or weapon
of mass destruction may be that mission which requires the commitment of ground forces
into the underground.
Commanders may consider alternative approaches to committing forces

underground. One such alternative is called the Tactical Callout. This technique can be
used to assist in removing personnel from a tunnel or underground facility prior to
committing soldiers to a subterranean environment. A tactical callout is a non-lethal
approach to getting a target out of a building or village. The tactical callout gives the
assault force the opportunity to cordon off the intended target area and gives the enemy
an opportunity to walk out or surrender without duress or injury.103 It provides
maximum force protection especially when the intended target is low priority or there is
no immediate threat to U.S. forces or no chance of the target(s) fleeing. It is important to
know the location of tunnel exits or escape hatches so that they can be secured. In
addition, a tactical callout helps facilitate the information operations’ plan to further
provide leads to future targets.
Commanders might consider the use of a siege in an underground

situation. Siege warfare has been a tactic used since ancient times. It was used when a
city or fortress was too difficult to overtake and casualty count would be high. Effective
102 Headquarters, Department of the Army, Field Manual 3-21.8, The Infantry Rifle Platoon and
Squad (Washington, DC: Headquarters, Department of the Army, 2008).
103Headquarters, Department of the Army, Field Manual 3-24.2, Tactics in Counterinsurgency,
(Washington, DC: Headquarters, Department of the Army, 2009).
92
sieges involve surrounding the target and blocking the reinforcement, re-supply, or
escape of troops. This could be coupled with locating and sealing off entrances/exits,
cutting off power, attacking ventilation, and other life support mechanisms.
Unfortunately, a commander may not have the undetermined amount of time required for
a siege to be effective and all exits may not have been secured.
Robotic technology is another resource that is of value in working in

subterranean environments. Robots are particularly suitable for performing
reconnaissance, breaching, and/or recovery operations. They are extremely mobile, can
negotiate stairs or obstacles, can be outfitted with day/night cameras, various grippers,
and even saws mounted on double-jointed arms. During a tactical call-out, robots can be
mounted with a speaker to relay commands and can also be mounted with a weapon
system.
The subterranean environment can be extremely hazardous, with the

presence of both natural and man-made obstacles. When available, robots should be
utilized for exploration of tunnels before personnel enter. Once deployed, robots can
safely detect such hazards as enemy personnel, booby traps, animals (snakes/insects), and
if equipped with a gas meter, oxygen and hazardous gas levels. Robots have different
capabilities depending on the robot’s category, power source, weight, size, and mobility
configuration. Radio frequency (RF) robots operate on line-of-sight, so as the robot
advances in a tunnel or takes a turn, the signal may degrade or be lost. The particular
mission set and tunnel configuration will dictate the best robot to utilize, should choices
be available.
Military working dogs (MWD) are quite popular with ground forces and
bring a unique combat multiplier to the battlefield. A dog can be used prior to sending a
team into a subterranean structure, or can be used in conjunction with a clearing team.
Some dogs are trained to detect explosives and can prevent the triggering of booby traps.
Dogs are notorious for instilling fear in the opposition and can assist in locating
personnel. When planning operations, these advantages should be weighed against the
military working dog’s potential vulnerability to drowning or lack of air, disorientation
93
from an enclosed environment, unusual sounds, and susceptibility to booby traps. Dogs
need to be screened and trained to identify which can operate in a subterranean
environment.
2. Organization
The current organizational structures of Army maneuver forces are adequate for
dealing with subterranean threats. Light infantry, reconnaissance, combat engineers, and
Special Forces are particularly adaptable to this type of warfare. Although historical
examples have shown the utility of specially organized subterranean units, these elements
were formed during wartime in order to meet immediate threats. Today’s military should
anticipate future conflicts and recognize the value of having widely skilled and adaptable
forces for any operational environment, to include subterranean.
In terms of task organization for any given subterranean operation, every situation
will be different and the extent of subterranean environments is difficult to assess from
the surface. Rudimentary tunnels may only require a two or three man clearing team,
while large underground facilities could require a battalion-level operation. Tactical
leaders can be expected to assess operational requirements and utilize the fundamental
task organization of assault, support, and security elements. The key to success is having
available the right enabler(s) such as a NBC reconnaissance team, MWD handler, EOD
technician, tactical MISO team, demolition team, and specialized SSE teams. In a perfect
world, all these enablers should be readily available in support of subterranean
operations; however, units must strive to attain even the most basic internal capabilities
within each of these areas.
United States military forces are highly adaptable. When given the task to
conduct operations in subterranean environments no hesitation is likely to be found.
However, commanders must understand that this environment is indeed unique and other
DOTMLPF elements should be considered in order to mitigate risks and provide the best
possible conditions for success. The Army should develop skilled individuals across
organizations that allow for an increased knowledge base and enhanced overall
capability.
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3. Training
Realistic training is the decisive aspect of DOTMLPF that will determine success
in subterranean operations. The high operational tempo since 2001, and ever-increasing
demand for technological solutions, has found many units training with and employing
new equipment while engaged in combat operations. Combat is not the first place
soldiers should be exposed to operating underground. As units conduct collective
training prior to combat, they must be exposed to the challenges of subterranean
operations.
Although many urban training areas have underground tunnels, many units are not
comfortable in their use, or mark them as “off limits” for risk mitigation. Not since the
Vietnam War has the Army had formalized training on operations against tunnels.
Today, many soldiers that encounter caves, aqueducts, or tunnels in Afghanistan simply
venture into these spaces without proper planning and equipment.
Training for the complexities of the subterranean environment begins with

fundamental skills that can be practiced in any environment. Training that includes
confined spaces with no ambient light can identify personnel that are best suited for
subterranean operations. Climbing techniques, obstacle courses, trench clearing, room
clearing, and movement techniques in hallways are all fundamental skills that can apply
to subterranean environments.
In addition to training on operational techniques, training on specialty equipment

is essential to the development of a specialized subterranean capability. Soldiers
preparing for subterranean operations should be comfortable with the use of various types
of breaching equipment, respiration devices, and robotic vehicles that can greatly
increase survivability. Soldiers can easily adapt these devices into any training scenario,
and familiarity with them will increase survivability across the range of operational
environments.
4. Matériel
Through the U.S. Army’s acquisition processes and rapid fielding initiatives, new
technologies and current equipment upgrades have flooded today’s battlefield. There are
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many current pieces of soldier equipment that can enhance capabilities during
subterranean operations; however, much of this gear is not widely distributed beyond the
SOF community. Other equipment that has been found to be essential for subterranean
operations is available on the civilian commercial market. Available commercial-off-the-
shelf (COTS) items that can be adapted for military uses in subterranean environments
are currently in use by the fire and rescue, commercial mining, industrial safety, and
recreational climbing communities.
a. Air Quality
A significant risk to soldiers in subterranean environments is air quality.

In urban environments and commercial mines, dangerous gases can be odorless, and can
quickly incapacitate, or can ignite to create explosions. Lethal particulates are bi-
products of mechanical and dynamic breaching tools used by personnel attempting to
gain access to subterranean facilities. Any unit entering a subterranean environment
should carry an air quality meter, an example seen in Figure 33, to ensure necessary
levels of oxygen exist, and alert to the presence of harmful gases. Miner safety courses,
such as those taught by Colorado School of Mines, can educate soldiers on appropriate
levels of oxygen, lethal types of particulates and gasses, and how to determine the
appropriate types of air quality meters.
Figure 31. MX6 iBrid on miner104
104 Industrial Scientific, “IBRID MX6” [image], accessed December 13, 2013,
http://www.indsci.com/products/multi-gas-detectors/mx6/#overview.
96
b. Optics/Visibility
Although the use of night vision devices is essential in subterranean

operations, these devices are severely degraded without the presence of ambient light.
Due to the natural characteristics of the underground environment, there is no ambient
light without the assistance of man-made devices. Units employing night vision devices
underground must possess light with infrared (IR) capabilities. The latest night vision
device is the AN/PSQ-20 Enhanced Night Vision Goggle (ENVG) which has enhanced
capability in low-light situations and fuses thermal imaging (see Figure 34). The
AN/PSQ-20 has three operational modes: image intensifier only, thermal only, and image
intensifier/ thermal fused. The capability to use thermal optics greatly increases visibility
when operating in no light or smoke conditions. However, due to the limited fielding of
items like the AN/PSQ-20 within GPF, soldiers should employ the use of IR filters or
covers on tactical flashlights until the requirement can be filled. Every soldier entering a
subterranean environment should carry a weapon, helmet, and hand portable lights with
IR filters. The use of white lights should be avoided unless an area is secured.
Figure 32. View of soldier using AN/PSQ-20105
When used in combination with night vision devices, IR laser

aiming/targeting devices such as the AN/PEQ-4 or LA-5/PEQ can be used to “sparkle”
105Defense Update, “PSQ-20” [image], accessed December 18, 2013, http://defense-update.com/wp-

content/uploads/2011/10/psq-20.jpg.
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tripwires or illuminate areas. Sparkling tripwires occurs when the IR light is reflected off
metal or monofilament wire. Although laser devices are typically mounted on rifles, they
can be hand carried when operating in a restricted tunnel.
c. Chemical, Biological, Radiological, and Nuclear
Soldiers in subterranean environments should carry chemical detection

paper such as the M8 or M9 papers when there is the potential for chemical, biological,
radiological, or nuclear (CBRN) exposure. However, the M8 and M9 papers only detect
liquid nerve and blister agents. If the potential for WMD exists, additional chemical,
biological, radiological, and nuclear (CBRN) detectors, alarms, and mission oriented
protective posture (MOPP) equipment must be readily available. Although the presence
of WMD is not limited to the size of the environment, there is greater likelihood this type
of threat would be seen in larger UGFs. If this type of threat is suspected or discovered,
the area should be isolated and SMU with CBRN reconnaissance capabilities employed.
d. Hearing Protection
The amplification of sound waves in confined subterranean environments

demands the need for enhanced hearing protection and sound limiting devices. Tactical
electronic hearing protectors that limit decibel levels and use microphones to enhance
hearing are excellent devices underground operations. Specifically, the style of headsets
that completely covers the ears, such as those shown in Figure 35, would be ideal for
subterranean operations. Some tactical electronic hearing protectors have
communications connectors to allow radio communication directly through them. Due to
the increased sound amplification and decibel levels of gunfire and explosives, dual
hearing protection, combining earplugs with hearing protectors, should be considered.
Weapon suppressors, for both rifle and pistol, should be used underground. The
overpressure exerted by firing weapons underground results in excessive amounts of dust
and debris to cloud the air. This not only impairs visibility, but also degrades air quality.
The use of a suppressor will reduce the decibel level of weapons fired as well as reduce
the flash signature, making it harder for the enemy to effectively return fire. Weapon
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suppressors are not readily available outside of SOF. Their utility goes beyond their use
in the subterranean environment and fielding should be expanded to GPF.
Figure 33. Peltor Comtac II Electronic Headset106
e. Breaching Equipment
Subterranean areas in urban environments and particularly UGFs may

require the use of advanced breaching tools. Cutting devices such and “quickie-saws,”
thermo-baric “broco” torches, hydraulic spreaders, and other power tools may be
required. It is important to keep in mind how the use of these devices can degrade the air
quality and may require the use of a respirator or self-contained breathing apparatus
(SCBA). The exhaust of gas-power tools may also choke out the tool’s intake in
confined spaces and render it inoperable. Training with these mechanical breaching tools
must be conducted so that operators can master the challenges associated with these
devices in confined spaces.
f. Incendiary Weapons
Incendiary weapons have proven effective in the past in combating

underground threats. Though the M2 flamethrower (see Figure 36) is no longer in the
U.S. military’s inventory, it would be an excellent addition to GPF currently conducting
106 Optics Planet, “Peltor Comtac II Electronic Headset 21db Hearing Protection” [image], accessed
December 18, 2013, http://www.opticsplanet.com/peltor-comtact-ii-electronic-headsets-military-green-
mt15h69fb-47.html.
99
subterranean operations. The AWG should be tasked to conduct research on the
employment of flamethrowers by U.S. forces within subterranean environments.
Incendiary weapons that are currently in the U.S. military’s inventory such as the
AN/M14 incendiary grenade and the M15 white phosphorus grenade should be tested in
subterranean training sites for possible TTPs.
Figure 34. Soldier demonstrates flamethrower107
g. Remote Controlled Robotics
The use of remote controlled robotics was previously discussed in

alternate approaches. Tactical robots are either RF operated or controlled by means of an
electronic tether. This tether is usually made up of a single fiber optic wire or multiple
wires covered by a protective shroud. Regardless of operation, robots in subterranean
environments should be tethered in order to retrieve them in case of a loss in
communication or if they become stuck on an obstacle. The communications tether
should not be used as a retrieval tether due to the risk of damaging the wiring. Type III
nylon, commonly referred to as 550-cord, is an effective tether and can be easily tied to
most robots. Tactical robots are designed for a multitude of environments and have
various mobility platforms, optics, tool and sensor attachments, and even weapon
attachments. The utility of a robot operating in advance of soldiers in a subterranean
107 “Flamethrowers,” [image], accessed December 12,, 2103, Homemade Defense,

http://homemadedefense.blogspot.com/2010/05/flamethrowers.html.
100
environment cannot be overstated. However, operators must understand that obstacles
such as debris and water in subterranean environments can significantly degrade the
effective use of robots. Soldiers should use them to clear entry points, corners, and other
dead space (see Figure 37). As technology advances, the effective use of robots will
increase, improving the survivability of soldiers.
Figure 35. Soldier uses a robot to detect booby traps in an Afghanistan cave108
h. Air blowers
Ventilation is crucial in subterranean environments. As previously

discussed, poor air quality can endanger the lives of U.S. forces and render mechanical
breaching tools inoperable. Air blowers can be used as a hasty means to ventilate a
subterranean structure. Technical rescue and miner rescue teams have historically
employed air blowers such as the one shown in Figure 38 to ventilate confined spaces.
108“Can Human-Robot Bonding Affect Mission Performance?,” [image], accessed December 18,
2013, Military 1, http://www.military1.com/products/military-technology/military-robots/article/406317-
can-human-robot-bonding-affect-mission-performance.
101
Figure 36. Technical rescue team using portable air-blower109
Blowers can also be used against enemy forces occupying a subterranean

environment. For example, during the Vietnam War, engineer and chemical troops used
a portable blower, called the M106 Mity Mite, to flush enemy forces out of tunnels by
forcing smoke into the entrance. At the same time, additional entrances were exposed by
smoke exiting the ground.110
5. Leadership and Education
Tactical leaders and operational planners must be prepared to adapt to any

operational environment. In order to prepare ground forces for subterranean operations,
scenarios involving tunnels, urban and natural cavities, and underground facilities should
be incorporated into training exercises both in force generating schools and unit level
training.
Leaders must be creative and seek opportunities to learn about the subterranean
domain. Courses taught by civilian institutions on underground mining, confined space
search and rescue, along with government agencies that specialize in intelligence
collection and analysis of underground facilities can be just the beginning to gaining a
high degree of preparedness for subterranean operations. Due to the lack of emphasis on
109 Image taken by author during field research.
110 Rottman, Gordon L. Viet Cong and NVA Tunnels and Fortifications of the Vietnam War. Oxford:
Osprey Publishing, 2006.
102
training in the subterranean environment, leaders are only limited by their imagination
and the unit’s willingness to resource training, not the availability of facilities.
6. Personnel
The operational environment underground is a dynamic problem set that is

mentally and physically demanding. Conventional techniques above-ground are
impacted by additional mental and physical stresses when conducted below ground. A
former Tunnel Rat commander in Vietnam describes several discriminating factors that
should be addressed in order to identify soldier with a natural capacity to operate in a
subterranean environment.
It is not the intent of this project to create an organization that specializes in

underground operations. However, historic data can be pulled from training programs
similar to the Tunnel Rats of Vietnam to prepare leaders for what to expect. Leaders
must expose their forces to types of subterranean environments to observe which soldiers
can endure the physical and mental stress associated with tunnel, urban and natural
cavities, and UGFs. For example, U.S. forces are administered swim tests in order for
leaders to identify strong and weak swimmers. This is not to say that those identified as
weak swimmers will not conduct water crossings or bypass water hazards, but actions are
taken to mitigate harm to the soldier. If a soldier shows symptoms of claustrophobia in
confined spaces then he should be employed in other ways, such as providing security at
the opening of the underground structure. Several hundred meters into a tunnel during
combat operations should not be the first time a leader identifies a soldier as
claustrophobic. In addition to claustrophobia, Tunnel Rats were assessed for physical
stature, physical endurance, mental aptitude, and comfort in confined spaces. These
personal attributes are applicable today and across the range of subterranean typology.
7. Facilities
United States Army installations do contain facilities that address some of the
underground structures presented in this project; however, they fall short of the full range
identified within the typological space. Today’s fiscal environment requires creative
training solutions and home station opportunities. The following are training facility
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environments the SWG experienced through field research that represents the range of
subterranean typology. Characteristics of these training areas can also be developed into
existing home station training areas.
a. Tunnel Training
The tunnel is the easiest type of subterranean environment to replicate for

training. The CTCs and the majority of urban training sites have both rudimentary and
sophisticated tunnels that can be used by U.S. forces. In addition to the CTCs, the
Muscatatuck Urban Training Center (MUTC), Butlerville, Indiana, offers over one mile
of searchable tunnels in which a unit might conduct training. Operated by the Indiana
National Guard, the tunnels range from rudimentary to sophisticated, and can be modified
to include opposing forces (OPFOR), weapons caches, or any number of other situations.
The Joint Tunnel Testing Range (JTTR), at Yuma Proving Grounds is a recently opened
underground tunnel facility designed to replicate the low-tech tunnels found along the
U.S.-Mexico border, and those in Southwest Asia. This training area was specifically
chosen for the soil and dry ground composition that resembles what is currently seen in
Afghanistan. In addition to military facilities, access to civil underground structures
should be researched to provide variety to underground training. Coordination with local
communities could assist in facilitating an enduring training relationship.
b. Urban & Natural Cavity Training
Similar to tunnel training areas, many CTCs and urban training areas
contain opportunities for leaders to replicate urban cavity training. Additionally, civil
underground facilities such as subway systems and building sub-structures may be
utilized through memorandums of agreement. Locations that support training within
natural cavities also exist at CTCs (see Figure 39); however, these areas may have
restrictions that prevent employment of devices such as pyrotechnics and weapon
simulators. In addition to replicating combat effects, exercise control and safety
procedures may be constrained by the natural complexities of subterranean environments.
Complicating training factors include degraded radio communications and visibility.
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Figure 37. Cave locations at the National Training Center, Fort Irwin, CA111
c. Underground Facility Training
White Sands Missile Range (WSMR) offered an excellent opportunity for

training in a shallow underground missile silo/bunker environment, and was recently host
to 2013’s Network Evaluation Integration 14.1 and 14.2 distributive test events, which
were meant to identify capability gaps in the force. Within the event was a subterranean
assessment hosted by the AWG for soldiers assigned to Company B, 1st Battalion, 6th
Infantry Regiment, 2nd Brigade Combat Team, 1st Armored Division. The AWG
operational advisors utilized the WSMR facilities to replicate a series of complex and
unpredictable subterranean environments and situations to build soldier confidence (see
Figure 40).
The majority of the techniques employed in UGFs are similar to those

employed in above ground urban environments. Therefore, training should focus on the
understanding of vulnerabilities associated with UGFs. The target audience for this type
111 Brant Hoskins, Todd Heintzelman, and Melvin Cuffee, “National Training Center Offers New
Training Opportunities” [image], Army Chemical Review (Jul–Dec 2005), 23.
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of training should be tactical leaders and planners and should capitalize on existing
opportunities offered by the DIA’s UFAC.
Figure 38. Soldiers move through an UGF during NIE 14.1112
d. Other Training Opportunities
In the conduct of field research for this project, it was discovered that most
installations with maneuver units have trench complexes that can be modified to replicate
rudimentary tunnels. The AWG has devised effective means for conducting subterranean
training. One concept being proposed essentially modifies a unit’s subterranean training
plan to address any of the three outlined typologies. An installation could possibly
procure shipping containers from the Defense Reutilization and Marketing Office
(DRMO), and create underground training environments by emplacing them
underground.
112 Sonise Lumbaca, “AWG Subterranean Risk Reduction Exercise Prepares Soldiers for NIE
14.1,” [image] The Army Homepage, accessed November 25, 2013,
http://www.army.mil/article/111831/AWG_Subterranean_Risk_Reduction_Exercise_prepares_soldiers_for
_NIE_14_1/.
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B. AREAS FOR CONTINUED RESEARCH
This project serves as a platform for future development of subterranean warfare

awareness and operational proficiency within the U.S. Army and across the Department
of Defense. The project alone cannot possibly encompass the totality of research that
should be sought in order to enhance the understanding and operational capability of
ground forces within the subterranean operational environment. This research was
conducted concurrently with the AWG’s initiative on subterranean warfare, and select
units are presently being exposed to the challenges that this research highlights. Through
the research and analysis of the subterranean warfare problem set, several topics have
presented themselves for potential future exploration.
In order for the dynamics of subterranean warfare to become inherent within unit
level collective training, research should be conducted to evaluate how this unique
environment could be incorporated into the force generation elements of the U.S. Army.
Courses such as basic training, officer basic courses, and tactical leader courses such as
the Sapper Leaders Course and Ranger School could potentially develop programs of
instruction (POI) of TTPs when operating in the subterranean environment. Part of this
future research should be on the development and analysis of specific tasks essential to
subterranean operations. Potentially a course unique to subterranean warfare could be
developed maximizing individual skill development in techniques for both differing
subterranean categories and specialty equipment use training.
Additional research and analysis could be conducted on the procurement and

sustainment of specialty matériel solutions. Equipment that enhances survivability, such
as SCBA, rebreathers, respirators, and other PPE not currently widely available in
maneuver units might be considered for rapid fielding. Equipment identified as COTS
may require unique training by industry subject matter experts at additional cost.
In order to conduct operations against subterranean threats, such locations must

first be found. Throughout this research it was apparent that although many attempts at
technological solutions for detection, mapping, and characterization have been pursued,
all have fallen short in real-world defense applications. An examination of current and
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emerging technologies could be valuable to many different government agencies,
potentially spurring the development of new capabilities.
C. CONCLUSION
The authors believe that this capstone provides sufficient support to confirm
original arguments:
• Current U.S. military doctrine does not properly prepare units for
operations in subterranean environments.
• Future conflicts will require GPF to deal with subterranean threats.
• Understanding the use of incendiary weapons is critical in the conduct of
subterranean operations.
1. Case Studies
Support of arguments has been based on the examination of five case studies that
show multiple forms of subterranean environments, uses, and techniques. These case
studies cover over half a millennium, ranging from a single battle to an entire campaign.
The main “take-away” from the case studies is that subterranean warfare has been a
persistent aspect of warfare throughout history. It has evolved from siege warfare, to
conveyance of forces, to cross-border smuggling, and to storage of WMD. This
illustrates that, though considered primitive, it will always have an application in modern
warfare. Recent warfare has not been traditional siege warfare. Maneuver forces have
found tunnels used by the enemy and tried to exploit them for intelligence value as well
as deny their further use to the enemy. The enabling effects of the subterranean
environment for enemy forces can be seen today in Israel, Afghanistan, Central America,
Syria, and on the Korean Peninsula. The predominant theme throughout the case studies
is that of complexity. The case studies show that the underground option is always taken
when one side has the technological advantage; a primitive tactic to defeat a modern
military.
2. Typology
The recommended typology and classification methodology provided in this

capstone will allow ground elements and military planners to understand what
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information is critical before leaders commit forces. The coding system and graphical
symbol provided will enable commanders and staffs the ability to use a template to
quickly describe and communicate the subterranean threat in their areas of interest and
operations.
In defining the typology, attributes most relevant and significant for planning
considerations have been identified. By merging the efforts of the DIA, U.S. Customs
and Border Protection, and the Asymmetric Warfare Group, the authors have created a
lexicon that can be applied by any element conducting operations in a subterranean
environment.
As demonstrated below, the recommended typology and classification can be

applied to the selected empirical case studies:
Figure 39. Siege of Constantinople
Figure 40. Petersburg (American Civil War)
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Figure 41. Messines (WWI)
Figure 42. Okinawa (WWII)
Figure 43. Cu Chi Tunnels (Vietnam War)
Additionally, this typology and classification can be applied to current

subterranean threats for allied forces:
Figure 44. Gaza, Israel
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Figure 45. A Karez tunnel in Afghanistan
Figure 46. Cross-border tunnels in Central America
These examples show the flexibility of the proposed typology and classification
which recognizes the widely varying uses for a subterranean system. It also affords a
leader the ability to control the collection process for planning operations in this complex
environment. By simply “plugging” the information into the graphic, commanders and
staffs are forced to acknowledge the multiple challenges that could be faced underground.
3. DOTMLPF
This research shows that when ground forces encounter a subterranean

environment, leaders will commit forces into that underground site. Not doing so
provides enemy forces with a safe haven to conduct operations providing them with a
military advantage.
Most units that have encountered subterranean threats in the COE have limited
formal training, and have had to learn on the job. Subterranean pre-mission training
should be included for deploying forces that are likely to encounter underground threats.
As shown in the DOTMLPF analysis, most Combat Training Centers (CTCs) have
rudimentary tunnel networks. At a minimum, this provides leaders the opportunity to
expose their soldiers to the psychological impacts of being in a confined space.
111
The AWG has developed a Subterranean Warfare Handbook that provides
relevant information to units conducting operations within subterranean systems and
underground structures and facilities. Though a tactical application, it is a large step in
the right direction and will assist leaders in prioritizing training tasks during a pre-
deployment phase for upcoming operations.
4. Incendiary Weapons, Cyber-based Attacks, and MISO:
This project has also provided possible non-traditional approaches to countering

subterranean threats including the use of incendiary weapons, cyber-based attacks, and
MISO (see Appendix A). Considering the dangers associated with subterranean
operations, non-traditional approaches must be considered in terms of either defeating the
subterranean threat or mitigating some of the risks to ground forces. These approaches
provide the U.S. military with other options to countering such threats, other than
airstrikes and committing ground forces.
The paper’s case studies have shown that incendiary weapons such as
flamethrowers and napalm have proved effective in the tunnels and UGFs of
Constantinople, Okinawa, and Vietnam. Incendiary weapons are a simple, cost-effective
means of combating subterranean threats and have immediate psychological and physical
effects.
In some cases there may be a subterranean threat that cannot be engaged due to an
overwhelming risk. This research shows that although incendiary weapons would be the
appropriate choice in such a scenario, leaders will not authorize their use due to a
normative taboo. Soldiers should not take unnecessary risks when there is a capability
that could reduce or eliminate those risks. This capstone has addressed this taboo and
recommends that U.S. forces be properly trained on the effects of incendiary weapons,
when they should be used, and how they should be used.
Cyber-based attacks, as described in the Stuxnet incident, are a valid option

against UGFs. As with incendiary weapons, cyber-based attacks limit the exposure and
risks to ground forces and have proven effective against underground threats in the past
112
(see Appendix A). Due to the lack of training and doctrine for subterranean
environments, electronic warfare should be further explored and incorporated to fill this
gap.
Military information support operations (MISO) are another historically proven

indirect approach toward subterranean warfare (see Appendix A). The advantage of
MISO over cyber-based attacks is its flexibility to be applied to all types of underground
environments (underground facilities, urban/natural cavities, and tunnels). If proven
credible, MISO can influence the audience through themes, messages, and actions such
as contaminated air supply, structure collapse, food/supply shortages, fire/smoke
inhalation, flooding, tunnel remediation, social media, and the local populace. These
operations can enable U.S. forces to shape the information battle-space in order to
persuade, change, or influence the behaviors of those associated with the subterranean
threat.
5. Final Thoughts
In recent conflicts, wherever U.S. forces have overwhelming combat power,

adversaries have sought to fight on very primitive levels. Enemies understand the value
of hiding themselves and their sensitive equipment underground. Subterranean operations
are conducted in the worst environments imaginable. This is not merely a problem set for
the U.S. military, but also, police forces, first responders, border patrol, and other security
organizations. Therefore, it is the recommendation of this research group that the
TRADOC Intelligence Support Activity recognize “subterranean” as an operational
environment.
An instruction from the Commander-in Chief for the need of research such as that
done with this capstone can be seen below:
In order to credibly deter potential adversaries and to prevent them from

achieving their objectives, the United States must maintain its ability to
project power in areas which our access and freedom to operate are
challenged. In these areas, sophisticated adversaries will use asymmetric
capabilities, to include electronic and cyber warfare, ballistic and cruise
missiles, advanced air defenses, mining and other methods, to complicate
our operational calculus. States such as China and Iran will continue to
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pursue asymmetric means to counter our power projection capabilities,
while the proliferation of sophisticated weapons and technology will
extend to non-state actors as well. Accordingly, the U.S. military will
invest as required to ensure its ability to operate effectively in anti-access
and area denial environments.113
By empowering ground forces with the proper understanding, training, and PPE
to operate underground, the overall risk to forces is lowered while their ability to operate
in an asymmetrical environment is raised. Regardless of the tactics, techniques, and
procedures (TTPs) employed, or special equipment developed to conduct subterranean
operations, leaders should begin to consider the preparedness of forces to engage threats
within this domain. The subterranean environment has been mentioned in narratives of
historical military campaigns, and its use is likely to continue as a valuable tactic in
future engagements, large and small. Additional analysis and research should be
conducted on specific subterranean structures within emergent threat locations. The
DIA’s UFAC collects classified information for use by weapons developers and airborne
attack planning. This information would also be of value to those training facilities that
might need to replicate these potential environments and structures as part of troop and
mission preparedness.
Military adversaries and unlawful civilians will continue to use subterranean

structures and facilities because they are an inexpensive and effective means to provide
sanctuary and move personnel and supplies. The U.S. soldier must have the most current
and in-depth training necessary for a successful mission in subterranean warfare.
113 Office of the Secretary of Defense, Sustaining U.S. Global Leadership: Priorities for 21st Century
Defense (Washington, DC: Office of the Secretary of Defense, 2012), 4.
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APPENDIX A. INFORMATION DOMINANCE
A. MILITARY INFORMATION SUPPORT OPERATIONS AND MILITARY

DECEPTION
Military information support operations (MISO), formerly known as

“psychological operations,” is another historically proven indirect approach toward
subterranean warfare. The advantage of MISO is its ability to target the full typology:
tunnels, urban and natural cavities, and underground facilities. Joint Publication 1-02
defines MISO as follows:
Planned operations to convey selected information and indicators to

foreign audiences to influence their emotions, motives, objective
reasoning, and ultimately behavior of foreign governments, organizations,
groups, and individuals. The purpose of military support operations is to
induce or reinforce attitudes and behavior formidable to the originator’s
objectives.114
Nested within MISO is the ability to conduct military deception or “MILDEC”

which can target the full typology of subterranean warfare. Also, from Joint Publication
1-02, MILDEC is defined as: “Those measures designed to mislead the enemy by
manipulation, distortion, or falsification of evidence to induce the enemy to react in a
manner prejudicial to the enemy’s interest.”115
The authors of this capstone had the ability to conduct site visits on at least one
example of each of the subterranean structures that encompass the full typology. Based
on those site visits, the proceeding areas were deemed possible points of interest for
MISO and MILDEC which can possibly influence a subterranean target audience through
themes, messages, and actions.
1. Contaminated Air Supply
Military deception (MILDEC) could be designed to influence combatants to

believe that an underground structure’s air supply is compromised. The most courageous
114 Department of Defense, Joint Publication 1-02, Dictionary of Military and Associated Terms,
(Washington, DC: Government Printing Office, 2011), 234.
115 Ibid., 97.
115
of personnel in an underground setting cannot avoid the mental stress associated with
thoughts of contaminated air. Contaminated air can stem from particulates associated
with underground works or can come from above (e.g., chemical agents). Soviet forces
were reported to have used such agents against Mujahedeen hiding in karez systems in
Afghanistan.
2. Structure Collapse
Also, MILDEC could be designed to influence combatants to believe that an

underground structure is in jeopardy of collapsing or will be collapsed by air strike or
ground force action. Just recently, 21 entombed German soldiers were discovered by
archeologists near the town of Carspach, along what was the Western Front during World
War I.116 The men were German counter-miners who were buried alive when an Allied
shell collapsed their tunnel. In 2010, a Chilean mining shaft’s structure collapsed on its
own, trapping 33 miners over 2,000 feet underground for just over two months.
3. Food/Supply Shortages
Designed MILDEC could influence combatants to believe that an underground

structure’s supply lines are cut off, resulting in looming food and supply shortages.
Despite a combatant’s best efforts, the human body cannot go more than three days
without water or three weeks without food. Messages to this effect can be used to
concede surrender from underground structure inhabitants.
4. Fire/Smoke Inhalation
Military deception could be designed to influence combatants to believe that an

underground structure’s ventilation systems are compromised and fire/smoke inhalation
is imminent. Incendiary weapons previously discussed in this capstone have proved their
116 Graham Smith, “The ‘Pompeii’ of the Western Front: Archaeologists Find the Bodies of 21 Tragic
World War One German Soldiers in Perfectly Preserved Trenches,” Mail Online, February 10, 2012,
accessed November 1, 2013, http://www.dailymail.co.uk/news/article-2099187/Bodies-21-German-
soldiers-buried-alive-WW1-trench-perfectly-preserved-94-years-later.html.
116
mettle against subterranean environments in World War II and Vietnam. The ability to
vacuum oxygen out of a confined space is what makes the armament so effective and
psychologically debilitating to combatants.
5. Flooding
Specific MILDEC could be designed to influence combatants to believe that an

underground structure will be flooded. Flooding is a relatively cheap way of functionally
defeating an underground system, although only for a limited time. Flooding does not
always have to be through water. In February 2013, Egyptian forces turned from water to
sewage to flood cross-border tunnels used for smuggling and launching militant
attacks.117 Sewage proved the deciding factor in maintaining an underground system
inoperable for relatively long periods of time (see Figure 49).
Figure 47. A Palestinian attempts to clean out sewage from a tunnel in Rafah.118
117 Ibrahim Barzak, “Hamas Accuses Egypt of Flooding Gaza Tunnels,” Associated Press, February
19, 2013, accessed November 1, 2013, http://news.yahoo.com/hamas-accuses-egypt-flooding-gaza-tunnels-
132142173.html.
118 Ibrahim Barzak, “Hamas Accuses Egypt of Flooding Gaza Tunnels,” [image], accessed November
1, 2013, http://news.yahoo.com/hamas-accuses-egypt-flooding-gaza-tunnels-132142173.html.
117
6. Tunnel Remediation
Further, MILDEC could be designed to influence combatants to believe that an

underground structure will be remediated. Tunnel Remediation occurs when a
discovered underground structure is filled with cement (see Figure 50). It is costly but
achieves complete structure defeat. For fiscal year 2013, the city of Tucson, Arizona
spent $21,088 on 10.5 cubic yards of 3000 PSI concrete to remediate drug tunnels.119 An
underground structure can never be used again if it has been properly remediated.
Figure 48. U.S. Customs and Border Protection Agents contract cement trucks to fill a
tunnel along the Tucson sector of Nogales.120
7. Social Media
The design of MISO could influence combatants to concede surrender from an

underground structure through social media. Social media such as Facebook, Twitter,
Instagram, and YouTube are this generation’s leaflet technology for influencing emotions
and behaviors. The Arab Spring in 2012 and 2013 saw the power of the Twitter hashtag
mobilize an Army of youth to revolt against the Egyptian government. The combatant
119 U.S. Customs and Border Protection “Mapping the Smuggling Threat” (presented at Virginia Tech
Applied Research Corporation, Alexandria, VA, 8 January 2013).
120 Ibid.
118
age males that comprise both non-state and state actors operating underground are avid
users of this technology despite some of their safe havens deemed “failed states.”
military information support teams (MIST) can also target these mediums to observe
patterns of life. The CORE Lab located at the Naval Postgraduate School in Monterey,
California was able to map Twitter hashtags posted during the Arab Spring, to map
patterns of life and movements of key personnel.121 Such creative adaptations of
technology should be leveraged in order to draw combatants out of underground
structures and prevent hostile actions on both sides.
8. Local Populace Interaction
Specific MISO design could influence the local populace surrounding

subterranean structures to aid GPF in their location. The local populace will almost
always know the location of subterranean structures in the area. They may be involved in
one aspect or another (e.g., digging, smuggling, concealing) or have no role at all, but
fear retribution for speaking out. The fear – more times than not – comes from a lack of
security. Since 2008, over 30 drug smuggling tunnels have been discovered in three main
cities along the U.S.-Mexico border in Otay Mesa, Tecate, and Calexico.122 An alarming
TTP was the use of local businesses and warehouses for tunnel entrances and exits, as
well as the use of electric outlets to power underground lighting and ventilation systems
(see Figure 51). Professional packing materials were used to simulate normal product
distribution, but in reality carried spoilage for removal. The locals found themselves in a
dilemma. If they reported the underground works to authorities, they risked retribution
from the cartels. If they complied with the cartels, they now provided a safe haven for
drug smuggling.
121 Gregory Wilson, “CORE Lab Introduction” (lecture at Naval Postgraduate School, Monterey, CA,
August 15, 2012).
122 Joint Task Force North, “Counter Tunnel & Tunnel Detection” (presentation at Virginia Tech
Applied Research Corporation, Alexandria, VA, January 8, 2013).
119
Figure 49. Cartels force local vendors to conceal tunnel entrances and exits
In summary, MISO and MILDEC serve as force multipliers that shape the
information environment in order to persuade, change, or influence the behaviors of a
target audience. To optimize their value, they must both be integrated early into planning
at all levels of war: strategic, operational, and tactical. Effective MISO and MILDEC
must also receive adequate intelligence, organization, and evaluation feedback from first-
line leaders.
Additionally, products designed for MISO and MILDEC operations must be

credible to their audience. The effectiveness of any MISO or MILDEC operation
depends on the enemy’s perception of what can be lost if there is no compliance. This
can best be achieved by those who themselves have experienced an underground
environment. While this caveat may seem unrealistic, many of the CTCs have included
rudimentary tunnel complexes to their sites. Personnel from MIST must themselves
experience the environment if they are going to produce products related to it.
Psychology is a significant factor of life underground that cannot be easily

dismissed. Details such as warm colors and pastels, paintings and furniture are often
used underground to calm the human subconscious from focusing too much on the idea
120
of living and working underground. Efforts made to understand this psychology further
will enhance MISO and MILDEC operations and increase their probability of success.
B. CYBER AND ELECTRONIC ATTACK
1. Introduction
The purpose of this segment is to shed light on an already proven indirect

approach towards achieving defeat of a subterranean complex: cyber-based attacks.
There are several thousand cyber intrusions on a daily basis attempting to access an array
of systems that range from commerce to government. Domestically, in the last few years,
the U.S. has been the victim of countless cyber-attacks. More often than not, these
intrusions stem from both nation state and non-state actor sponsorship, but attribution
may not always be clear. As the technical skill of attackers increases, the ability to
identify the perpetrator’s identity decreases.
The following description is of a cyber-attack that not only made domestic and
international news headlines, but is currently altering the way cyber activities in both the
legal and ethical sense are being considered. Many aspects of the events that unfolded in
Natanz, Iran have been and are generally deemed still classified in nature. There were,
however, many open lessons learned of which state and non-state actors have taken
notice, reevaluating internal cybernetic infrastructure intended to protect interests above
and below ground. The most important lesson remains that underground facilities,
specifically HDBTs, capable of withstanding air and ground strikes, must now also
contend with cyber-attacks. Stuxnet, as the virus was termed, became the first ever
cyber-attack used to cause physical destruction.
2. Stuxnet
What is known about Stuxnet began in June of 2010 when a highly sophisticated
computer worm was first detected. Stuxnet was discovered by a Belarus-based security
company which traced the worm to an Iranian client after a complaint of a software
glitch. Originally the virus was thought to have been designed to steal industry secrets.
Stealing industry secrets by means of the web has long been a common practice within
121
the competitive business world. This worm, however, was acting differently, targeting
specific Siemens123 settings, and self-injecting malicious code into the program logic
control (PLC).124 The code’s role was to change existing cybernetic infrastructure.
The significance of the PLC is one that cannot be understated. For Natanz, it was
also a major point of vulnerability. A PLC like the one in Figure 52 serves as the
operations hub for many machinery and industrial-type systems. Conveyor belts,
elevators, and roller coasters are just a few examples that operate by means of a PLC. As
Stuxnet self-injected into the Natanz PLC, it cleverly remained undetected. Investigators
believe it was purposely built this way to avoid raising alarm; an indicator of the
technical expertise of the code’s author(s). By all best estimates, the PLC may have
intruded well into a year before it was discovered.
Reports on the damage caused by Stuxnet vary due to the sensitive and top-secret
nature of nuclear facilities. One source said the damage done to the centrifuges was
significant enough to set back the nuclear program for at least three years.125 Nuclear
centrifuges serve an important role of separating U-235 and U-238, the two isotopes
required to power a nuclear plant or make a bomb. By the first account, Stuxnet caused
hundreds of centrifuges to essentially spin beyond control, ultimately breaking in the
process. A second report had the facility well on its way to recovery only six months
after the attack.126 United Nations inspectors representing the International Atomic
Energy Agency (IAEA) witnessed over 900 centrifuges removed from the underground
123 Siemens is a Europe-based electronics and engineering company.

124 Robert McMillan, Was Stuxnet Built to Attack Iran’s Nuclear Program?,” PC World, September
21, 2010, accessed October 15, 2013,
http://www.pcworld.com/article/205827/was_stuxnet_built_to_attack_irans_nuclear_program.html.
125 Kim Zetter, “Legal Experts: Stuxnet Attack on Iran Was Illegal ‘Act of Force,’” Wired, March 25,
2013, accessed October 19, 2013, http://www.wired.com/threatlevel/2013/03/stuxnet-act-of-force/.
126 Joby Warrick, “Iran’s Nuclear Facility Quickly Recovered from Stuxnet Cyberattack,” Washington
Post, February 16, 2011, accessed October 19, 2013, http://www.washingtonpost.com/wp-
dyn/content/article/2011/02/15/AR2011021506501.html.
122
facility and replaced with new centrifuges.127 Regardless of which explanation is true,
Stuxnet achieved what has been previously defined as functional defeat of a subterranean
facility.
3. Subterranean Lessons Learned
The underground facility at Natanz was by the definition laid out in this capstone,
an HDBT. The point of vulnerability was ultimately its cyber defenses, which lent access
to the PLC where the disruption occurred. Today’s underground facilities are typically
used around the world for uranium mining, processing, enrichment, heavy/light water
processing, and C3I structures. Most of these operate cybernetically through a PLC, and
vary in cryptic defense. Since Stuxnet, Iran has positioned over 100 academics to work
on information security in an effort to prevent future mishaps.128
The malware that Stuxnet loaded into Natanz’s subterranean facility was aimed
specifically to target the Siemens PLC. What can be deduced is that the author(s) of
Stuxnet had prior intelligence of the internal infrastructure and built the virus around that
knowledge. This validates the point that while cyber-attacks by themselves are extremely
potent, when coupled with human intelligence (HUMINT), the probability of success
naturally increases.
If the manner in which Iran’s subterranean facility was infiltrated appeared

simple, it is because deception was achieved on multiple fronts. Though Stuxnet was
deliberate and thorough in its attack, it was assumed to be time-consuming to plan and to
cost millions to produce. The virus was also tested prior to its infiltration, another key
factor when planning cyber weapons.129
The authors of Stuxnet may never be identified further than speculated. What is
known is that there are only a handful of technical experts worldwide capable of
127 Ibid.
128 John Arquilla, “Conflict in the Information Age” (lecture at Naval Postgraduate School, Monterey,
CA, October 24, 2012).
129 60 Minutes Overtime, “Stuxnet Copycats: Let the Hacking Begin,” CBS News, March 4, 2012,
accessed October 15, 2013, http://www.cbsnews.com/8301-504803_162-57389729-10391709/stuxnet-
copycats-let-the-hacking-begin/.
123
conducting such an attack. Like SOF, hackers are not mass produced. While the U.S. is
making strides in building tomorrow’s cyber warrior within the Armed Forces, hackers
are the key. The U.S. government seems to prosecute rather than cultivate such skills.
Anyone can go from enemy to hero. This was the case for the V2 rocket scientists in
World War II that joined Allied Forces after leaving the Nazis, in itself a huge strategic
narrative victory.
Cyber-attacks may prevent the need for ground forces altogether. However,
cyber-attacks can also be coordinated with ground forces. This scenario was almost a
reality during the 2007 cyber-attack against Estonia, reportedly at the hands of Russia for
retribution when a Red Army statue was removed in the Estonian capital of Tallinn.
Troops were mobilized; however, cyber force never reached physical force. To this day,
a cyber-attack has yet to be retaliated against by ground forces.
4. Conclusion
Stuxnet is in the past; focus is now shifted to the next cyber-attack. As FBI
Director Robert Mueller said, “I do believe that the cyber-threat will equal or surpass the
threat from counterterrorism in the foreseeable future.”130 State actors and non-state
actors capable of conducting similar attacks understand that cyber has low entry costs and
based on the skill of the “wizard” can be difficult to trace. As for those capable of
triggering a “Cybergeddon,” “Cyber Pearl Harbor,” or a “Cyber 9-11,” the number of
master hackers, state-sponsored or not, are a limited few. In the U.S., it has been
traditional to alienate those whose capabilities could be harnessed for self-defense. A
disturbing thought is that some nation states have more Internet users than the U.S. has
people.
As stated, no doctrine exists in defining subterranean as its own operational

environment. This affects the training and implementation of ground forces in such
structures and facilities. Special operations forces have capability, but their capability to
130 Ibid.
124
affect the underground is limited by manpower. Electronic warfare is a proven capacity
against underground facilities that must be further explored and incorporated as a
normative U.S. arsenal method of engagement.
Figure 50. Former Iranian President Mahmoud Ahmadinejad touring a centrifuge

facility.131
Figure 51. Siemens PLC132
131“Long War Journal,” [image], accessed October 15, 2013, http://www.longwarjournal.org/threat-

matrix/archives/2009/11/uranium_centrifuges_and_uraniu.php.
132 “Spanish Alibaba,” [image], accessed October 15, 2013, http://spanish.alibaba.com/product-
free/siemens-plc-cpu-312c-110556357.html.
125
126
APPENDIX B. APPLICATION OF INCENDIARY WEAPONS
Currently, U.S. forces conducting combat operations are having difficulties

defeating enemy personnel in tunnels, urban/natural cavities, and underground facilities.
In the past, the effective weapons used against these strongholds were incendiary
weapons. Specifically, ground flame weapons (flamethrowers and napalm) were
documented as having positive results during World War II, the Korean War, and the
Vietnam War. According to the Protocol on Prohibitions or Restrictions on the Use of
Incendiary Weapons (Protocol III), incendiary weapons are defined as:
Means of any weapons or munitions which is primarily designed to set fire

to an object or to cause burn injury to persons through the action of flame,
heat, or a combination thereof, produced by a chemical reaction substance
delivered on the target.133
There are no national or international laws that prevent U.S. forces from using
incendiary weapons against confirmed enemy forces and positions. FM 27-10 The Law
of Land Warfare states that:
The use of weapons which employ fire, such as tracer ammunition,

flamethrower, napalm and other incendiary agents, against targets
requiring their use is not in violation of international law. They should
not, however, be employed in such way as to cause unnecessary suffering
to individuals.134
The Protocol on Prohibitions or Restrictions on the Use of Incendiary Weapons

(Protocol III) states the following:
It is prohibited in all circumstances to make the civilian population as

such, individual civilians or civilian objects the object of attack by
incendiary weapons.
133 International Committee of the Red Cross, “Humanitarian Law: Protocol on Prohibitions or
Restrictions on the Use of Incendiary Weapons (Protocol III). Weapons Category,” October 10, 1980.
http//www.icrc.org/web/eng/siteeng0.nsf/iwpList2/Humanitarian_law:Weapons?openDocument.
134 Headquarters, Department of the Army, FM 27-10, The Law of Land Warfare (Washington, DC:
Headquarters, Department of the Army, 1956).
127
It is prohibited in all circumstances to make any military objective located
within a concentration of civilians the object of attack by air-delivered
incendiary weapons.
It is further prohibited to make any military objective located within a

concentration of civilians the object of attack by means of incendiary
weapons other than air-delivered incendiary weapons, except when such
military objective is clearly separated from the concentration of civilians
and all feasible precautions are taken with a view to limiting the
incendiary effects to the military objective and to avoiding, and in any
event minimizing, incidental loss of civilian life, injury to civilians and
damage to civilian objects.
It is prohibited to make forest or other kinds of plant cover the object of

attack by incendiary when such natural elements are used to cover,
conceal or camouflage combatants or other military objectives, or are
themselves military objectives.135
Despite the absence of any legal prohibition, the U.S. military has developed a
normative taboo against the use of incendiary weapons. The term “normative taboos”
refers to the widespread repulsion against incendiary weapons and the widely held
inhibitions on their use.136 This normative taboo is hindering military ability to
effectively defeat and destroy certain types of subterranean threats in the COE. This
normative taboo stems from three catalysts:
• Civilian deaths during World War II, the Korean War, and the Vietnam
war
• The perception that incendiary weapons are only used by terrorists
• The negative stigma that incendiary weapons cause the unnecessary
suffering of enemy personnel
Section One will provide a historical account of the use of incendiary weapons by
U.S. forces during World War II, the Korean War, and the Vietnam War. This section
will show how the irresponsible and improper use of such weapons contributed
significantly to the current normative taboo against incendiary weapons. The majority of
research provided in this section was derived from the International Committee of the
Red Cross (ICRC) report, Weapons that may Cause Unnecessary Suffering or have
135 International Committee of the Red Cross, “Humanitarian Law.”
136 Nina., Tannenwald, The Nuclear Taboo: The United States and the Non-use of Nuclear Weapons
Since 1945. Cambridge: Cambridge University Press, 2005, 435
128
Indiscriminate Effects, and Dr. Malvern Lumsden’s Incendiary Weapons. Both readings
provided a detailed account of all incendiary weapons used by international military
forces from World War I to the end of the Vietnam War. Though the intent of both
reports is to provide detailed information on incendiary weapons in order to prevent their
use, they do point out when incendiary weapons had successful results.
Section Two will show that the successful use of incendiary weapons by terrorist
organizations has contributed more to the normative taboo by branding it as a “weapon
used by terrorists.” The following three cases where terrorist organizations have
successfully used incendiary weapons will be examined:
1. 2004 Beslan School massacre
2. 2011 attack in Mumbai, India
3. 2012 attack on the U.S. Consulate in Benghazi, Libya.
For the Beslan School massacre and bombings in Mumbai the thesis, Braving the Swarm:
Lowering Anticipated Group Bias in Integrated Fire/Police Units Facing Paramilitary
Terrorism, conducted by Fire Department of New York CPT Sean Newman provides
sufficient information on the attacks. Captain Newman’s argument that terrorist
organizations are shifting more towards the use of incendiary weapons and tactics adds
credibility to the negativity that can be associated with this normative taboo. Many
people believe that the use of incendiary weapons projects an image of terrorism. The
Accountability Review Board Report (unclassified) on Benghazi Embassy Attack,
provided information that showed a terrorist organization’s successful use of incendiary
weapons and tactics resulted in catastrophic losses.
Section Three addresses the stigma that incendiary weapons cause the
unnecessary suffering of enemy personnel. This stigma also drives the normative taboo
against incendiary weapons through what Tannenwald refers to as “taboo talk.” For
example, she mentions lines like “this is simply wrong” and “we just don’t do things like
this” and how they may help identify a normative taboo.137 The International Committee
of the Red Cross report, Weapons that May Cause Unnecessary Suffering or Have
Indiscriminate Effects provides a great deal of data that spans what is called the
137 Ibid.,440.
129
“principle categories of weapon and their effects.” These principle categories consist of:
explosive, penetrating, incendiary, nuclear, biological, and chemical.138 The report
provides an excellent account of what medical risks come with each category, but could
not show whether one principle category caused more suffering than the other.
The conclusion will state the need for a paradigm shift away from the normative
taboo against incendiary weapons to a responsible acceptance of these enabling
capabilities. Finally, the authors of the capstone will recommend how and when
incendiary weapons should be employed in order to prevent future taboos.
A. SECTION ONE: CIVILIAN DEATH DURING WORLD WAR II, THE

KOREAN WAR, AND THE VIETNAM WAR
In previous wars, the use of incendiary weapons was an obvious choice due to the
psychological effect against enemy combatants. Weapons that May Cause Unnecessary
Suffering or Have Indiscriminate Effects, states “man seems to have an intense inbred
fear of fire, and incendiary weapons, particularly those based on scatter-type agents, may
unnerve him to an extent that other forms of attack may not.”139 Even the Old
Testament: Book of Judges tells a story of Samson and his use of incendiary weapons
when angered by the Philistines. Samson captured 300 foxes, set their tails on fires, and
then released them into a cornfield occupied by his enemies.140 Though incendiary
weapons can be traced as far back as the creation of fire, U.S. forces did not start
employing incendiary weapons systematically until World War II.
1. World War II
According to Stockholm International Peace Research Institute Member and

author of Incendiary Weapons, Dr. Malvern Lumsden, the incendiary weapons employed
by U.S. forces during World War II were: man-portable flamethrowers, mechanized
138 International Committee of the Red Cross, Weapons that May Cause Unnecessary Suffering or
have Indiscriminate Effects (Geneva: Stockholm International Peace Research Institute, 1973), accessed
November 4, 2013, http://www.loc.gov/rr/frd/Military_Law/pdf/RC-Weapons.pdf, 22.
139 International Committee of the Red Cross, 58.
140 American Bible Society. Old Testament: Book of Judges. New York, NY: American Bible
Society, 1816, 15, 3-6
130
flamethrowers, and various incendiary bombs dropped by U.S. aircraft.141 The first
successful employment of flamethrowers was used by U.S. forces on January 15, 1943 at
the battle of Guadalcanal against Japanese forces.142 The original report states that the
flamethrowers were specifically successful “against caves and tunnels.”143 Though the
flamethrower was employed in both theatres of World War II, it was used more
frequently in the Pacific. Lumsden states that this was due to the fact that “the Japanese
soldier was said to be less likely to surrender than his German counterpart, who might
give up a position when confronted by a flamethrower.”144
The primary use of incendiary weapons by U.S. forces during World War II was
via strategic bombing. The U.S. forces viewed strategic bombings as a means of bringing
the war to the center of Germany and its industrial infrastructure. The majority of these
bombings were conducted at night and incendiary bombs were used at the beginning of
each raid to mark targets for subsequent aircraft actions.145
Lumsden states “incendiary bombs were used in Asia with much the same
rationale as in Europe—as weapons for mass destruction.”146 The U.S. forces dropped
over 650,000 tons of bombs in the Pacific Theatre. Some of these bombing attacks
consisted solely of incendiary weapons:
Altogether during WWII, the U.S. Army Air Force dropped about 14,000
tons of napalm bombs, over two-thirds of them the Pacific area. U.S.
military experts concluded that napalm bombs were most effective against
human targets and in addition had a terrorizing effect, though prisoners of
war state that widely dispersed napalm bomb hits had little or no effect on
morale.147
141 Lumsden, Malvern. Incendiary Weapons. Stockholm: Stockholm International Peace Research
Institute, 1975, 78–79.
142 Lumsden, Incendiary Weapons, 38–39.
143 Ibid, 39.
144 Ibid, 39.
145 Ibid, 33.
146 Ibid, 36.
147 Ibid, 40.
131
The philosophy of destroying the enemy’s means of production through strategic
bombing with incendiary munitions caused a catastrophic number of civilian deaths.
General Curtis Lemay was quoted as saying, “I’ll tell you what war is about, you’ve got
to kill people, and when you’ve killed enough they stop fighting.”148 This tragedy
stimulated what is now the normative taboo against incendiary weapons. What seemed to
be a successful use of flamethrowers was overshadowed by the outlandish civilian death
toll caused by incendiary bombing raids.
2. Korea
The Korean War witnessed the transition to napalm bombs via the U.S. Far East
Air Force (FEAF). Lumsden states that the FEAF “used a total of 32,557 tons of
napalm” during the Korean War.149 Napalm tactics showed initial success against enemy
forces, however, the irresponsible use of this enabler resulted in negative media attention.
During the Korean War, U.S. ground forces also used flamethrowers, flame land-mines,
and flammable liquids. Due to the negative overshadowing outcomes of incendiary
bombings, it is difficult to find data of successful uses, especially regarding incendiary
weapons by ground forces. Poor target selection and “cure-all-ism” with bombing raids
added fuel to the growing normative taboo against incendiary weapons.
3. Vietnam
The Vietnam War saw the most profligate use of incendiary weapons. The
negative media alone might be responsible for the normative taboo against incendiary
weapons. Most notably was the Pulitzer price-winning photo of the “Napalm Girl” taken
by Nick Ut (see Figure 54). According to Lumsden, of the 6,650,543 tons of munitions
dropped by aircraft, 400,000 tons were incendiary bombs.150 The blast from the atomic
bomb dropped in Hiroshima was equivalent to 15,000–20,000 tons of TNT.
148 Stephen L. McFarland, America’s Pursuit of Precision Bombing, 1910-1945, (Tuscaloosa:

University of Alabama Press, 1995), 199.
149 Lumsden. Incendiary Weapons, 43.
150 Lumsden, Incendiary Weapons, 52.
132
Figure 52. Napalm Girl151
The quantities of ground flame weapons procured by U.S. forces were 394 million
AN-M14 thermite incendiary grenades and 379 million white phosphorus grenades.152
The XM-191 was also fielded in 1969 and replaced the flamethrower. This incendiary
weapon fired up to four rockets filled with a pyrotechnic fuel that would ignite once it
impacted its target. Again, due to the overwhelming number of civilian deaths tied to
aerial napalm and incendiary bombing attacks, little data has been reported of the positive
effects of ground based incendiary weapons.
Reports began to filter through to the West in the press and other mass media
about the use of incendiaries, and in particular napalm, by U.S. troops in Vietnam. The
increasing number of these reports contributed to a wave of public concern. This public
interest, in turn, led to a number of investigations and it is possible that these were
instrumental in the formation of more restrictive rules of engagement.153 Negative public
opinions stemming from horrific scenes of napalm attacks in Vietnam have contributed
greatly to the normative taboo against incendiary weapons. However, instead of learning
from mistakes made and correcting how incendiary weapons are used, incendiary
weapons have simply been removed from property books.
151 Nick Ut, “Napalm Girl” [image], June 1972, accessed December 18, 2013,
www.npr.org/2012/06/03/154234617/napalm-girl-an-iconic-image-of-war-turns-40.
152 Ibid, 53.
153 Ibid, 56.
133
B. SECTION TWO: WEAPONS USED BY TERRORISTS
Recent successful terrorist attacks that have benefited from the use of incendiary
weapons have added to the normative taboo against these weapons. Fire is a simple,
cheap, and easily employed weapon for terrorist organizations. The psychological and
physical consequences of incendiary weapons used by terrorists are severe. The idea of
dying by fire is religiously symbolic, making this technique even more appealing to
terrorists.
1. 2004 Beslan School Massacre
On September 1, 2004, a Chechen terrorist organization attacked School Number

One in Beslan, North Ossetia (Russia).154 At the conclusion of the siege, a large fire was
started in the gymnasium where most of the hostages were being held.155 Reports
conflict as to whether a terrorist initiated the fire or if a bullet fired from the security
force struck an explosive device. Either way, the fire that ensued benefited the terrorists
and caused confusion amongst the security forces. The dilemma for the security forces
was whether the priority was the fire, the terrorists, or the hostages. Of the 400 people
killed during the Beslan School Massacre, 160 were killed by the fire.156
2. 2008 Attack in Mumbai
In November 2008, members from the terrorist group Lashkar-e-taiba executed a

series of attacks in Mumbai, India.157 The attacks targeted multiple high-profile
structures and resulted in almost 200 deaths, with an additional 300 people injured.158 In
addition to body armor and assault rifles, the terrorists used incendiary weapons to delay
security forces, create more casualties, and cause damage to buildings. Combining small
154 Sean S. Newman, Braving the Swarm: Lowering Anticipated Group Bias in Integrated Fire/police
Units Facing Paramilitary Terrorism (Master’s thesis, Naval Postgraduate School, Monterey, CA, 2011).
20.
155 Ibid, 20.
156 Ibid, 20.
157 Ibid, 17.
158 Ibid, 17
134
arms fire and incendiary weapons proved to be an effective tactic. Firefighters and
security forces were not trained to put out fires during a gunfight and the results were
catastrophic.
The most resonating image of the 2008 bombings in Mumbai was one with
plumes of smoke and fire pouring out of the symbolic Taj Mahal. Public safety first-
responders stood helpless as the civilians trapped inside perished. This horrible scene is
an example of how incendiary weapons can contribute to the creation of a normative
taboo.
3. 2012 Attack on the U.S. Consulate in Benghazi
On September 11, 2012 members of a terrorist organization attacked the U.S.

Consulate in Benghazi, Libya. The event was “a series of attacks, involving arson, small-
arms and machine-gun fire, and use of rocket-propelled grenades (RPGs), grenades and
mortars, focused on two U.S. facilities.”159 As the attack progressed, the terrorists used
fuel cans from the compound’s generators and set fire to the building where the
Ambassador was located. This use of fire resulted in confusion amongst the
Ambassador’s security force and ultimately his death from smoke inhalation.
The terrorists attack in Benghazi caused the “deaths of four U.S. government
personnel, Ambassador Chris Stevens, Sean Smith, Tyrone Woods, and Glen Doherty;
seriously wounded two other U.S. personnel and injured three Libyan contract guards;
and resulted in the destruction and abandonment of the U.S. Special Mission compound
and Annex.”160 The terrorists’ use of incendiary weapons in Benghazi adds to the
normative taboo against incendiary weapons and is responsible for the loss of life,
injuries, and damage to U.S. property.
This normative taboo creates a slippery slope logical fallacy that “terrorists use
incendiary weapons. Therefore, if U.S. forces use incendiary weapons then they are also
159 U.S. Department of State, Accountability Review Board Report (unclassified) on Benghazi
Embassy Attack, December 2012, Accessed June, 2013,
http://www.state.gov/documents/organization/202446.pdf, 1.
160 Ibid. 4.
135
terrorists.” However, like terrorists, U.S. forces also use body armor and assault rifles
and that does not make them terrorists. Nor does it make body armor and assault rifles
“weapons of terrorists.” If incendiary weapons are employed properly against enemy
combatants (in accordance with international law and the Department of the Army FM
27-10) then it is simply another way to achieve victory in combat.
C. SECTION THREE: THE NEGATIVE STIGMA THAT INCENDIARY

WEAPONS CAUSE THE UNNECESSARY SUFFERING OF ENEMY
PERSONNEL
According to Weapons that may Cause Unnecessary Suffering or Have

Indiscriminate Effects, there are three components to incendiary weapons. These
components are: incendiary agents; munitions for dispensing the agent; and a delivery
system for transporting the munitions to the target.161 Due to the ranging vulnerability of
targets (i.e., wood, concrete, metal) a variety of incendiary weapons have been
developed. An ICRC report categorizes incendiary weapons based on their chemical
characteristics: metal, pyrotechnic, pyrophoric, and oil-based.162 Obviously, the human
body suffers horribly from exposure to any category of incendiary weapons.
Incendiary weapons cause deep and excessive burns since they have been
engineered to the level required to damage targets that are more durable than the human
body.163 Lumsden and the ICRC argue that victims of serious burns do not always die
immediately. Depending on the quality of accessible medical treatment, size of the burn,
and the degree of burn, victims may suffer for “hours, days, or even weeks.”164 They
also argue that “skin does not have the immediate impact of, say a bullet wound in the
heart or brain.”165 This “suffering” from burns contributes to the normative taboo against
incendiary weapons.
161 International Committee of the Red Cross, “Humanitarian Law,” 55.

162 Ibid, 56.
163 Lumsden, Incendiary Weapons, 185.
164 Ibid, 185.
165 Ibid, 185.
136
This project argues that not all bullets hit the “heart or brain” and not all explosive
fragmentations or blasts result in immediate deaths. Many injuries from explosive or
penetrating weapons have prolonged physically painful and psychologically damaging
effects. In fact, Lumsden states that third degree burns destroy pain receptors and the
victim may die without feeling much pain.166 This is not common with explosive and
penetrating weapons that are currently employed by U.S. forces. Unless the explosive or
penetrating weapon causes damage to the spinal column, pain is instant and excruciating.
In terms of pain, incendiary weapons could be less painful if the burns are deep enough.
An obvious secondary lethal effect from incendiary weapons is the victim

breathing in harmful smoke, carbon monoxide, and particulates. According to British
and German authorities, carbon monoxide turned out to be a major lethal agent in
incendiary attacks on German cities during World War II.167 The most common cause of
death as a result of fire is due to asphyxiation from smoke. In their reports, neither the
ICRC nor Lumsden could define how asphyxiation “feels” in terms of pain. Many
interviews with fire victims revived by CPR show that though their initial feeling was
panic, some experienced a sense of euphoria and calmness before passing out from
smoke inhalation. Deaths by fire, explosions, penetration, and drowning have their own
types of suffering. None of which is more unnecessarily harmful than the other.
All categories of weapons and their effects cause suffering. However, just like a
combatant can be taught to “shoot to wound” or “shoot to kill,” soldiers can also be
taught to employ incendiary weapons in a way that would not cause unnecessary
suffering. If employed against the proper type of targets, incendiary weapons could
prevent the unnecessary loss of U.S. soldiers. The matrix for whether a particular
weapon should be employed should not be based on suffering, but on how well it can
help win the fight, while not creating human-rights problems.
166 Ibid, 185.

167 Ibid, 207.
137
D. CONCLUSION
In conclusion, the U.S. military has developed a normative taboo against the use
of incendiary weapons. This normative taboo is preventing troops from effectively
defeating the enemy in certain types of strongholds and fortified positions. These
positions include caves, underground tunnels, and subterranean complexes. Given the
fact that there are no national or international laws that expressly forbid them, there
should be nothing preventing U.S. forces from using incendiary weapons. Decision
makers would not expect a soldier to clear a room with his or her knife, or engage a tank
1,000 meters away with a shotgun. With efficient training in proper use and rules of
engagement, U.S. forces would benefit from the use of incendiary weapons.
In the past, incendiary weapons have been used irresponsibly during World War
II, the Korean War, and the Vietnam War. In each case, the most negative results came
primarily from incendiary weapons being used via aircraft. In caves, underground
tunnels, and subterranean complexes, incendiary weapons would be employed via man-
portable devices. Man-portable devices are easier to control and do not indiscriminately
destroy large areas at a time. In World War II, the Korean War, and the Vietnam War,
the reports of man-portable devices were positive, especially against “both caves and
tunnels.”168 Any weapon can have a negative result if used incorrectly or irresponsibly.
However, U.S. forces should not suffer today due to a normative taboo that has
manifested from mistakes in the past.
The fact that terrorists have used incendiary weapons also adds to the normative
taboo. Incendiary weapons are cheap, simple, and effective. These characteristics are
why terrorists use them, not because incendiary weapons are evil, but because they work.
Terrorists have also successfully used social media and networks to plan and execute
successful attacks. Does this mean that having a Twitter or Facebook account implies
conducting or planning acts of terror? Due to the organizational design of terrorist
groups they quickly adopt effective tactics and techniques for recruiting, supporting,
168 Ibid, 39.
138
funding, training and executing their operations. Today they may use incendiary
weapons; tomorrow they may use cyber terror. Not using a weapon or tactic simply
because terrorists use it is unacceptable.
The negative opinion that incendiary weapons cause unnecessary suffering of

enemy personnel also contributes to the negative taboo. It would be thoughtless to deny
that the potential injuries and deaths from incendiary weapons are horrific. However, this
can also be said about deaths and injuries from any type of weapon. The reality is,
combatants have to fight each other. The results of these fights are injuries and deaths on
both sides of the conflict. The authors of this project agree that means should be taken to
prevent unnecessary suffering from incendiary weapons. However, it is not agreed that
the way to prevent unnecessary suffering is to not use them. Combat is an unfortunate
experience and no real soldier gains pleasure from taking someone’s life. Still, this does
not mean that U.S. forces should suffer from a normative taboo against a weapon that
could save lives.
United States forces should be properly trained on how and when to use
incendiary weapons. Leaders who irresponsibly use these weapons and cause the
unnecessary suffering or death of civilians should be severely punished. This project
recommends that in order to overcome these normative taboos, incendiary weapons
should be used in a way that shows their positive effects. For example, they should be
employed in an environment where they have been successful in the past (i.e., man-
portable devices in tunnels and caves). Simply removing incendiary weapons as an
option for U.S. forces does not increase the forces’ chances of survivability or success.
139
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140
APPENDIX C. ANNOTATED BIBLIOGRAPHY
A. PHYSICAL CHARACTERISTICS STUDIES
In a February 2004 appearance before the Senate Armed Services Committee,

Vice Admiral Jacoby, Director of the DIA, stated that more than a dozen foreign military
or defense related UGFs were under construction. Several countries with known WMD
programs are expanding their use of UGFs in order to protect and conceal equipment and
leadership.169 Both nation states and non-state actors looking to tip the scale of
vulnerability have recognized that conducting nefarious activities deep underground is
the only way to escape the “unblinking eye” of U.S. ISR, and the kinetic effects of aerial
delivered munitions. Before military planners can commit ground forces to subterranean
targets, they must be able to clearly distinguish the characteristics of the environment.
1. Underground Structures of the Cold War: The World Below by Paul

Ozorak
Paul Ozorak’s book, Underground Structures of the Cold War: The World Below,
is a historical compilation, detailing the use of bunkers and complex underground
facilities by more than 60 countries during the Cold War. The book describes the types
of underground structures used by countries from Afghanistan to Vietnam. The
particular focus is on the threat posed by the use of nuclear weapons and the protection
needed to ensure retaliatory capabilities, continuity of governments, and civil defense.
Paul Ozarok, a Canadian military historian, allocates a large portion of text to the politics,
protocols, defense capabilities, and planning associated with underground nuclear
defense structures. As expected, the largest sections are committed to the United States,
Russia, Germany, China, and the author’s home, Canada. Many critical characteristics of
underground facilities such as depth, sizes of blast doors, ventilation systems, escape
hatches, and life support elements are highlighted.
169 Statement to the Senate Armed Services, Current and Projected National Security Threats to the
United States, Hearing, 109th Cong., (2004) (statement of Jacoby E. Lowell).
141
This compilation of research illustrates the global proliferation of underground
structures during a very dark and unstable point in history. As technology in the
precision and effect of conventional munitions increases, more and more countries,
interested in illicit activities, are turning to subterranean environments for cover and
concealment of critical infrastructure and defense capabilities. Defense community
professionals must understand that even though many of the structures discussed are no
longer in use, the use of underground facilities has continued, and the fundamental
characteristics of these structures have not changed. Advances in tunneling and
construction technology have made newer facilities more concealable and hardened.
Rather than building underground facilities under government buildings or in isolated
areas, governments choosing to take advantage of aversions to collateral damage, are
likely to build illicit underground facilities under traditional “no fire areas,” such as
schools, hospitals, religious centers, and cemeteries. As aerial delivered munitions are
unlikely to be used in such environments, ground forces must be prepared to enter and
clear these types of underground structures.
2. Lexicon of Hardened Structure Definition and Terms, by the Defense

Intelligence Agency
The DIA has composed a Lexicon of Hardened Structure Definition and Terms,
that establishes consistent terminology used by intelligence, operations, and weapon
development communities. The focus of this reference is on hardened structures and
serves as a guide to understanding the construction of hard and deeply buried targets
(HDBTs). 170 Subterranean environments used for military purposes can be both natural
and man-made. Understanding the mission of these underground structures is critical and
proper identification and typology is the first step in assessing how effects can be applied.
Scientists and engineers have studied the subterranean environment in great detail, and a
goal of this project is to integrate terminology across disciplines in order to better
communicate an understanding of the unique subterranean environment.
170 Ibid.
142
3. Classification of the Typologies of Artificial Cavities in the World, by
the Speleological Society of Italy.
Classification of the Typologies of Artificial Cavities in the World presents a

typological tree of subterranean environments. The Speleological Society of Italy
subdivides the subterranean environment, and its work, into seven categories: hydraulic,
war, worship, civil settlement works, mines, transit, and other works.171 Each category
has further sub-categories. Further analysis could include historical examples of military
uses found with each category.
4. [Title Classified Secret] a Thesis by James Papineau at the Naval

Postgraduate School
In order to explore the vulnerabilities of subterranean structures, it is important to

understand the different types of construction, as well as internal and external support
systems. By understanding the vulnerabilities, a classification of hardness can be
distinguished to determine critical node targeting by ground forces. A classified thesis by
James Papineau in December 1994, outlined the need for this type of analysis.
Unclassified elements can be extracted to build upon areas for continued research.
Papineau focused on the problem-set of UGFs which are classified by Papineau as tunnel
facilities and cut-and-cover types. The DUGs are considered those with 20 or more
meters of overburden. 172 Because the amount of overburden is primarily a consideration
when discussing kinetic aerial munitions, this is an unnecessary distinction when
applying ground forces; UGFs will be sufficient. There are two types of tunneled UGFs,
vertical shaft and hillside facilities. Vertical shaft facilities, as the name suggests, are
constructed by excavating a vertical shaft to a desired depth and then tunneling out the
space required. Hillside facilities are tunneled directly into steep-sided terrain. The use
of natural wall material or the installment of artificial walls, roofing and flooring should
also be considered in characterization and vulnerability assessments. Papineau’s thesis
discussed elements commonly found in UGFs, including internal subsystems such as life
171 Carla Galeazzi, “Classification of the Typologies of Artificial Cavities in the World” (presented at
International Workshop, Turin, Italy, 18, 19, and 20 May 2012).
172 James Papineau, [Title classified S] (master’s thesis, Naval Postgraduate School, 1994). This
document is classified Secret.
143
support, power, and environmental control. He also discussed surface support elements
such as ventilation openings, water supply, waste handling, municipal power,
communication connections, and transportation corridors. All of these characteristics
will be considered in developing a typology of all military purposed subterranean
environments.173
Once a clear typology based on potential missions and common characteristics is

determined, mission planning considerations and operational guidelines can be improved.
Referencing unclassified portions of Papineau’s 1994 thesis, U.S. forces can implement
principles discussed about UGFs, to all forms of subterranean structures. Papineau
discusses the application of the CARVER principle against UGFs. The CARVER
principle is a Special Operations target analysis process that considers criteria of
criticality, accessibility, recuperability, vulnerability, effect, and recognizability, in order
to determine the best attribute of a particular target to attack to achieve the desired effect.
Aside from offering a general description of characteristics and vulnerabilities in all
UGFs, effects-based planning is also discussed. Structural kills (destruction) versus
mission kills (operational disruption) must be decided upon when targeting any
underground structure, be it a tunnel, fortification, or facility. Physical damage to
ingress/egress route, restricting air intake/exhaust vents, disabling personnel, and causing
failure of essential components can all be accomplished without committing ground
forces into the subterranean environment. Mission planners must be clear on the exact
desired effect of mission of ground forces preparing to operate in the subterranean
environment. The characterization and mission of these structures is essential in
determining if the use of ground forces is appropriate.174
B. HISTORICAL PUBLICATIONS
1. The Fall of Constantinople 1453, by Steven Runciman
During the fifteenth century, one of the most consequential struggles during the
middle ages took place in the Byzantine Empire during the siege of Constantinople. The
173 Ibid.
174 Ibid.
144
forces of Ottoman Sultan Mehmed II laid siege to the ancient city of Constantinople.
This forced its Christian inhabitants to seek refuge underground. Entire underground
cities began to form under Constantinople to mitigate the threat from their Muslim
enemies.175
2. The Battle of the Crater, by Alfred P. James
The tendency for military units to seek defensive positions underground continued
to play a significant role in defensive positions through the centuries. This was again
demonstrated in 1864 during the American Civil War. Confederate forces were heavily
entrenched and fortified around Petersburg, Virginia when Union forces laid siege to the
city. These elaborate, in many cases underground confederate defensive positions
prompted Union forces to attempt an offensive tunneling campaign by emplacing a large
amount of explosives underground to breach confederate lines. Results of the explosion
were disastrous and caused a catastrophic loss to union forces during the battle. This
required the Union forces to reevaluate their subterranean operations.176
3. In Flanders Fields: The 1917 Campaign, by Leon Wolff
Subterranean warfare continued to evolve into a simultaneous struggle of

offensive and defensive tunneling by the beginning of the 20th century in World War I.
This was illustrated in the Battle of the Messines in 1917. German and Allied Forces
were locked in a stalemate of trench warfare in Flanders, Belgium along the Messines
Ridge. Both sides made valiant efforts to tunnel their way under the defenses of one
another to break the stalemate. However, as they tunneled towards each other, they
began to interdict their enemy’s underground advances by counter-mining tunnels to
intercept their foe. Subsequently, several underground engagements occurred and
resulted in a new and horrifying aspect of underground warfare for the troops on both
175 Steven Runciman, The Fall of Constantinople 1453 (Cambridge, UK: Cambridge University Press,
1965).
176 Alfred P. James, “The Battle of the Crater,” The Journal of the American Military History
Foundation 2 (1938).
145
sides.177 The experiences of the British, Australian, Canadian, and New Zealand
contingent caused U.S. forces to approach subterranean defensive positions with caution
during World War II.
4. Okinawa: The Last Battle of World War II, by Robert Leckie
Towards the end of World War II, the Japanese Army made a tactical decision to
use underground defensive positions throughout the Pacific in order to neutralize U.S. air
power and naval gunfire. The U.S. forces in the Pacific were ordered not to enter
underground defensive positions occupied by the Japanese. During the Battle of
Okinawa in 1945, U.S. forces focused on using incendiary weapons such as
flamethrowers to drive out or kill Japanese troops in their underground positions. The
mounting casualties and difficulties associated with an invasion of the fortified and
entrenched Japanese homeland may have been a contributing factor in the Truman
administration’s decision to use the first nuclear weapons in warfare, in order to save
American lives.178
5. The Tunnels of Cu Chi, by Tom Mangold
The lessons learned from World War II, also played a role in future U.S.
subterranean conflicts. One of the most notable was during the Vietnam War. Instead of
attempting to drive North Vietnamese from their subterranean defensive positions, to
engage the enemy above ground, U.S. forces adopted a new strategy of entering tunnels
to engage the enemy in order to clear a tunnel. This became evident in the Cu Chi
tunnels east of Saigon. The tunnel complex became so extensive it caused severe
disruption to U.S. forces.179
177 Leon Wolff, In Flanders Fields: The 1917 Campaign (Alexandria, VA: Viking Press, 1958).
178 Robert Leckie, Okinawa: The Last Battle of World War II (Australia: Penguin Books, 1996).
179 Tom Mangold, The Tunnels of Cu Chi (New York, NY: Random House, 1985).
146
6. A Historical Analysis of Tunnel Warfare and the Contemporary
Perspective, by Major Allen Reece
A monograph by then Major Allen Reece titled, “A Historical Analysis of Tunnel

Warfare and the Contemporary Perspective,” examines the use of subterranean combat
during the Civil War, World War I, World War II, Korea, and Vietnam. Each of these
conflicts can illuminate unique characterizations and operational challenges to specific
uses of the subterranean environment. Major Reece’s monograph concludes by assessing
that current U.S. doctrine is sufficient to combat the challenges of subterranean
warfare.180 This assessment is challenged by the lack of organizations, training, and
equipment found in today’s military, to combat subterranean threats.
7. Underground Combat: Stereophonic Blasting, Tunnel Rats, and the

Soviet-Afghan War by Lester W. Grau
The current U.S. FMs also fail to address weaponry and personal protective
equipment (PPE). According to Lester W. Grau’s (1998) article, Underground Combat:
Stereophonic Blasting, Tunnel Rats, and the Soviet-Afghan War, concussion, explosive,
thermo-baric, incendiary, fire and smoke tactics and munitions were extremely effective
against insurgents in Afghanistan, Pakistan, Iran, and Vietnam.181 These forms of
weaponry have been successful in combating tunnel networks in multiple theaters by
many military organizations, yet U.S. doctrine has failed to provide what U.S. forces
should use when conducting a subterranean operation.
C. DOCTRINAL PUBLICATIONS
1. ATTP 3-06.11 Combined Arms Operations in Urban Terrain
The subterranean environment that exists as part of the urban operational

environment does not adequately emphasize the level of planning needed when
considering all the possible subterranean threats used by today’s adversaries. The newest
2011 revision, ATTP 3-06.11 Combined Arms Operations in Urban Terrain, covers much
180 Allen D. Reece, “A Historical Analysis of Tunnel Warfare and the Contemporary Perspective”
(monograph, School of Advanced Military Studies, Fort Leavenworth, KS, 1997).
181 Lester Grau and Ali Ahmad Jalali, “Underground Combat: Stereophonic Blasting, Tunnel Rats,
and the Soviet-Afghan War,” Engineer 28, no. 4, (1998): 20–23.
147
of what the tactical planner or soldier should consider when preparing to enter urban
tunnels and basements. On the spectrum of typology, urban subterranean environments
are one element, and although many of the same tactical considerations can be applied,
understanding the environmental challenges from rudimentary tunnels to underground
facilities and everything between is essential.
2. FM 90-8 Counterguerrilla Operations, FM 90-10 Urban Operations,

and FM 90-10-1 An Infantryman’s Guide to Combat in Built Up
Areas
FM 90-8 Counterguerrilla Operations, FM 90-10 Urban Operations, and FM 90-

10-1 An Infantryman’s Guide to Combat in Built Up Areas, only provide doctrine on
subterranean in urban sewage systems and rudimentary tunnels similar to the Cu Chi
Tunnels in Vietnam.182 Subterranean environments can range from rudimentary tunnels
like the ones found in Gaza, Israel, to hardened underground facilities like the ones
protecting nuclear weaponry for various nation states. The types of underground
environments are vast and though there are some similarities, each one will require its
own special considerations and techniques.
182 Department of Defense, Field Manual, Counterguerrilla Operations (Washington, DC:

Government Printing Office, 1986, 1993, 2003).
148
GLOSSARY
Accessibility—Relates to the capabilities required to breach portal entrances, gain access

to critical support infrastructure, and reduce obstacles between portals and
functional workspaces. An accessibility level I structure is one which requires
little to none or only simple tools used in mechanical breaching to gain access,
such as a Halligan tool, grappling hooks, sledge hammers, or bolt cutters. An
accessibility level II structure may contain hatches or doors that require explosive
or ballistic breaching techniques. An accessibility level III structure may contain
blast doors, steel gates, or security doors that require dynamic breaching including
advanced cutting and extrication tools. An accessibility level IV hardened
structure may be beyond the capabilities of the individual soldier and may require
heavy engineer equipment or kinetic munitions to reduce exterior obstacles.
Civil works—Such as sewers, subways, electrical and exhaust tunnels, and aqueducts, all
support habitability in a growing urban population. Although these structures are
primarily used to support a civilian population, both state and non-state actors can
use these same structures to facilitate clandestine movement of high value
personnel and equipment, and storage of weapons and illicit matériel.
Environmental hazards—Include naturally occurring gasses that affect air quality;

dangerous insects, arachnids, reptiles, and other wildlife; unstable ground control;
stagnant water that may release deadly gases such as hydrogen sulfide or deep
water that creates a drowning hazard.
Function—Attribute is used to describe the purpose of a particular subterranean target

area. Functions within the subterranean environment include C3I (Command,
Control, Communications, and Intelligence), production, storage, and
conveyance.
Hard and deeply buried target (HDBT) —This generic term refers to all types of
intentionally hardened targets, either above ground or below ground, that are
designed to withstand or minimize kinetic weapon effects. 183
Hardened structure—A structure that is intentionally strengthened to provide protection

from kinetic weapons effects. This strengthening is in excess of the amount
required for normal building design loads. 184
183 Defense Intelligence Agency, Lexicon of Hardened Structure Definitions and Terms
(UNCLAS/FOUO) (Washington, DC: Defense Intelligence Agency, 2011), 85.
184 Ibid. 85.
149
Hard structure—Hard structures include those that are intentionally or unintentionally
hardened. Hard structures, such as highway or railroad tunnels, certain types of
bridges, and some airfield runaways, may be inherently hard without special
construction because of their normal design.185
Incendiary weapons—Means of any weapons or munitions which is primarily designed

to set fire to an object or to cause burn injury to persons through the action of
flame, heat, or a combination thereof, produced by a chemical reaction substance
delivered on the target.
Infrastructure—Attribute is used to describe the support systems tied to the particular

subterranean target area. Subterranean infrastructure includes ventilation, power
supply, water supply, waste discharge, transportation, and communications.
Matériel hazards—Include those hazards artificially introduced into the environment.

These can include, explosives, booby traps, and improvised explosive devices
(IEDs); nuclear, biological, or chemical (NBC) storage or production equipment;
fuel and other petroleum, oil, and lubricants (POL); as well as other man-made
implements.
Mobility—Within a subterranean passage typically coincides with the largest item to be

conveyed through or housed within the functional workspace. The mobility
attributes are defined as restricted, semi-restricted, permissive, and unrestricted.
Permissive—Adits that allow for the fully upright movement of persons in columns of
two.
Personnel hazards—Account for the presence of potentially hostile persons within the
subterranean structure. This could include armed defense forces or non-
combatants that may become hostile once encountered.
Restricted—Adits that are characterized by their confined space permitting only the
single file movement of persons in a prostrated or less than fully upright posture.
Rudimentary tunnels—Are typically hand dug using mechanical and/or general purpose
tools. The walls of these tunnels are bare and have limited to no support features
or shoring to prevent structural collapse. Rudimentary tunnels have little to no
infrastructure installed and instead rely on natural air flow ventilation and
structurally designed water removal.
Semi-restricted—Adits that allow for the fully upright movement of persons in single
file.
185 Ibid.
150
Sophisticated tunnels—Are typically dug using mechanical tools or larger heavy
equipment. Equipment must rely on air compressors or electricity for power,
unless significant ventilation is available to support the use of combustion
engines. A noticeable characteristic in sophisticated tunnels is the effort placed in
shoring up of access portals and walls. The use of concrete-like material or
masonry and timber to line the walls indicates a deliberate effort to maintain a
lasting subterranean passage.
Substructures—Constitute basements and similar subterranean spaces that are attached

to an above ground structure. These basement facilities may be accessed from
within the above ground structure, but may also have exterior access points and
umbilical infrastructure.
Threat—Attribute characterizes the potential risk to forces entering the subterranean

environment. This threat attribute may also factor into the size, composition,
weapons posture, and special equipment needed to effectively operate in a
particular subterranean environment. Threat characteristics within subterranean
environments include environmental, personnel, and matériel.
Tunnels—Tunnels are generally used as a means to clandestinely move people and items
between two or more locations. Tunnels can be classified into two subcategories,
Rudimentary and Sophisticated.
Unrestricted—Adits that are large enough to support upright movement of more than a
two person column and may even support the movement of vehicles.
Underground facilities (UGFs) —UGFs are characterized by their purpose-built design

and construction to resist destruction by conventional and nuclear munitions. The
subcategories of UGFs are Shallow Underground Facilities (UGS) and Deep
Underground Facilities (DUGs). 186
Urban and natural cavities—Most have dual usage; meaning the original structure can
be adapted for military purpose; cover a wide variety of structures, with the focus
being on potential impacts on the civilian population. The subcategories of Urban
and Natural Cavities are Substructures and Civil Works.
186 Ibid.
151
152
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NAVAL

THE ENEMY BELOW: PREPARING GROUND FORCES

Thesis Advisor: Leo Blanken

Approved for public release; distribution is unlimited

14. SUBJECT TERMS 15. NUMBER OF

THE ENEMY BELOW: PREPARING GROUND FORCES FOR SUBTERRANEAN

Submitted in partial fulfillment of the

MASTER OF SCIENCE IN DEFENSE ANALYSIS

NAVAL POSTGRADUATE SCHOOL

Author: Joshua S. Bowes

Approved by: Leo Blanken, PhD

John Arquilla, PhD

John Arquilla, PhD

This capstone project analyses subterranean threats in the contemporary operational

Figure 1. Restricted .........................................................................................................12

Table 1. Subterranean Operational Environment Typological Coding System .............22

AWG Asymmetric Warfare Group

The Military Problem

The Department of Defense provides training, doctrinal, organizational and

To create a subterranean typology and classification the Subterranean Working

Figure 1. Subterranean Typology

Subterranean Targeting Attributes

Within subterranean physical structures, targeting attributes have been identified

Figure 2. Subterranean Targeting Attributes

Incendiary Weapons, Cyber-Based Attacks, and Military Information

A cyber-based attack, as shown in the Stuxnet incident, is a valid option against

Military information support operations (MISO) have historically been successful

This capstone finds that:

Historic and current intelligence shows both a persistent and an immediate

The purpose of this project is to conduct an analysis of subterranean threats in the

The primary scope of this research is to define subterranean as an operational

This project focuses on subterranean operations in three areas of emphasis:

Non-state actors such as trans-national criminal organizations (TCOs), and violent

This project is designed to address the anticipated challenges faced by ground

An array of thought exists regarding subterranean environments on best practices

1. Doctrinal Void for General Purpose Forces

The Defense Intelligence Agency’s Lexicon of Hardened Structure Definitions

2. Historical Trajectory of Subterranean Threats

2. Future Conflicts Will Require General Purpose Forces to Deal With

Historically, incendiary weapons have been effective against underground enemy

1. Defining the Typology

The purpose of a typological classification of subterranean environments is to

The property-space of the subterranean operational environment is framed by

The function attribute is used to describe the purpose of the particular

The infrastructure attribute is used to describe the support systems tied to a

6 Kahili Hamra, The Guardian [image] http://www.theguardian.com/world/2009/feb/10/gaza-tunnels-

9 Aeroflight [image], accessed December 12, 2013, http://www.aeroflight.co.uk/waf/albania/af/pics/F-

Figure 5. Subterranean Targeting Attributes

Different names are given to a wide spectrum of subterranean structures.

Figure 6. Subterranean Categorization

Rudimentary tunnels are typically hand-dug using mechanical and/or general

Substructures consist of basements and similar subterranean spaces that are

The UGFs are characterized by their purpose-built design and construction to

The DIA identifies four types of shallow underground hardened structures:

Using this typology and classification methodology to describe the subterranean

Classification Typological Attributes

Figure 7. Subterranean Area Graphical Symbol

In 1453, during the siege of Constantinople, the Ottoman Turks reached a

In every case, the pattern of human behavior, seeking an advantage by going