Kamikazes: The Legacy of Soviet Naval Aviation, Pt. 2

The following selections are derived from an article originally published in the Naval War College Review under the title, “Kamikazes: The Soviet Legacy.” Read it in its original form here.

Read Part One here.

By Maksim Y. Tokarev

As it was, the crews of the field-parked Backfires, in the best aviation tradition, had to accept the primary flight data during briefings in the regiments’ ready rooms. Of course, they had the preliminary plans and knew roughly the location of the incoming air-sea battle and the abilities of the enemy—the task force’s air defenses. In fact, the sorties were carefully planned, going in. But planning was very general for the way out. The following conversation in the ready room of the MRA ’s 183rd Air Regiment, Pacific Fleet NAF, which occurred in the mid-1980s, shows this very honestly. A young second lieutenant, a Backfire WSO fresh from the air college, asked the senior navigator of the regiment, an old major: “Sir, tell me why we have a detailed flight plan to the target over the vast ocean, but only a rough dot-and-dash line across Hokkaido Island on way back?” “Son,” answered the major calmly, “if your crew manages to get the plane back out of the sky over the carrier by any means, on half a wing broken by a Phoenix and a screaming prayer, no matter whether it’s somewhere over Hokkaido or directly through the moon, it’ll be the greatest possible thing in your entire life!” There may have been silent laughter from the shade of a kamikaze in the corner of the room at that moment.

The home fields of MRA units were usually no more than 300 kilometers from the nearest shoreline (usually much less). Each air regiment had at least two airstrips, each no less than 2,000 meters long, preferably concrete ones, and the Engineering Airfield Service could support three fully loaded sorties of the entire regiment in 36 hours. The efforts of shore maintenance were important, as all the missiles, routinely stored in ordnance installations, had to be quickly fueled and prepared for attachment to the planes before takeoff.

The takeoff of the regiment usually took about half an hour. While in the air, the planes established the cruise formation, maintaining strict radio silence. Each crew had the targeting data that had been available at the moment of takeoff and kept the receivers of the targeting apparatus ready to get detailed targeting, either from the air reconnaissance by voice radio or from surface ships or submarines. The latter targeting came by high-frequency (HF) radio, a channel known as KTS Chayka (the Seagull short-message targeting communication system) that was usually filled with targeting data from the MRSC Uspekh (the Success maritime reconnaissance targeting system), built around the efforts of Tu-95RC reconnaissance planes. The Legenda (Legend) satellite targeting system receiver was turned on also, though not all planes had this device. The Backfire’s own ECM equipment and radar-warning receivers had to be in service too. With two to four targeting channels on each plane, none of them radiating on electromagnetic wave bands, the crowd of the Backfires ran through the dark skies to the carrier task force.

Where Are Those Mad Russians?

Generally, detailed data concerning the U.S. air defense organization were not available to Soviet naval planners. What they knew was that F-4, and later F-14 planes could be directed from three kinds of control points: the Carrier Air Traffic Control Center on the carrier itself, an E-2 aloft, or the Air Defense Combat Center of one of the Aegis cruisers in formation. Eavesdropping on the fighter-direction VHF and ultra high-frequency radio circuits by reconnaissance vessels and planes gave Soviet analysts in 1973–74 roughly the same results as were subsequently noted by late Vice Admiral Arthur Cebrowski: “Exercise data indicated that sometimes a squadron of F-14s operating without a central air controller was more effective in intercepting and destroying attackers than what the algorithms said centralized control could provide.”

SNAF planners found that interceptor crews were quite dependent on the opinions of air controllers or FDOs, even in essence psychologically subordinate to them. So the task of the attackers could be boiled down to finding a way to fool those officers—either to overload their sensors or, to some degree, relax their sense of danger by posing what were to their minds easily recognizable decoys, which were in reality full, combat-ready strikes. By doing so the planners expected to slow the reactions of the whole air defense system, directly producing the “golden time” needed to launch the missiles. Contrary to widespread opinion, no considerable belief was placed in the ability of launched missiles to resist ECM efforts, but the solid and partially armored airframe of the Kh-22 could sustain a significant number of the 20mm shells of Close-In Weapon System (CIWS) guns. (Given the even more rigid airframe of the submarine-launched missiles of the Granit family —what NATO called the SS-N-19 Shipwreck—it would have been much better for the U.S. Navy to use a CIWS of at least 30mm caliber.)

1984 – A U.S. Navy Grumman F-14A Tomcat of Fighter Squadron VF-1 “Wolfpack” escorting two Soviet Tupolev Tu-16 aircraft (NATO reporting “Badger”). (Photo via Wikimedia Commons)

Things could become even worse for the carriers. In some plans, a whole VVS fighter air regiment of Su-15TM long-range interceptors would have escorted the MRA division, so that the F-14s over the task force might have been overwhelmed and crowded out by similar Soviet birds. Though the main targets for the Sukhois, which as pure interceptors were barely capable of dogfighting, were the E-2 Hawkeyes, it is possible that some F-14s could have become targets for their long-range air-to-air missiles with active radar seeker (such as R-33, similar to the AIM-54). Sure enough, no Sukhoi crews had been expected to return, mainly because of their relatively limited range and the fact that they, mostly unfamiliar with long flights over the high seas, depended on the bomber crews’ navigation skills.

Long before reaching the target, at a “split” position approximately 500 kilometers from the carrier task force, and if the target’s current position had been somehow roughly confirmed, the air division’s two regimental formations would divide into two or three parts each. The WSO of each plane adopted his own battle course and altitude and a flight plan for each of his missiles. As we have seen, the early versions of Kh-22 had to acquire the target while on the plane’s hardpoints, making this a terrible job very close to that of a World War II kamikaze, because between initial targeting of the carrier by the plane’s radar and missile launch the Backfire itself was no more than a supersonic target for AIM-54s.

The more Phoenixes that could be carried by a single interceptor, the more Backfires that could be smashed from the sky prior to the launch of their Kh-22s. So if the Backfires were the only real danger to U.S. carriers up to the fall of the USSR , it would have been much better for the U.S. Navy to use the F-111B [carrier-based interceptor], a realization of the TFX (Tactical Fighter Experimental) concept, than the F-14. A Tomcat could evidently carry the same six Phoenixes as an F-111B, but there were the data that the “Turkey” could not bring all six back to the carrier, owing to landing-weight limitations. Imagine a fully loaded Tomcat with six AIM-54s reaching its “bingo point” (limit of fuel endurance) while on barrier CAP station, with air refueling unavailable. The plane has to land on the carrier, and two of its six missiles have to be jettisoned. Given the alternating sorts of approaches by Backfire waves, reducing the overall number of long-range missiles by dropping them into the sea to land F-14s safely seems silly. Admiral Thomas Connolly’s claims in the 1960s that killed the F-111B in favor of the F-14 (“There isn’t enough power in all Christendom to make that airplane what we want!”) could quite possibly have cost the U.S. Navy a pair of carriers sunk.

A General Dynamics F-111B (BuNo 151970) in flight over Long Island, New York (USA), in 1965. (Photo via Wikimedia Commons)

The transition of the U.S. Navy from the F-14 to the F/A-18 made the anti-Backfire matter worse. Yes, the Hornet, at least the “legacy” (early) Hornet, is very pleasant to fly and easy to maintain, but from the point of view of range and payload it is a far cry from the F-111B. How could it be otherwise for a jet fighter that grew directly from the lightweight F-5? Flying and maintaining naval airplanes are not always just for fun; sometimes it takes long hours of hard work to achieve good results, and it had always been at least to some degree harder for naval flyers than for their shore-based air force brethren doing the same thing. Enjoying the Hornet’s flying qualities at the expense of the Phoenix’s long-range kill abilities is not a good tradeoff. Also, the Hornet (strike fighter) community evidently has generally replaced its old fighter ethos with something similar to the “light attack,” “earthmover” philosophy of the Vietnam-era A-4 (and later A-7) “day attack” squadrons; all the wars and battle operations since 1990 seem to prove it. It is really good for the present situation that the ethos of F/A-18 strike fighter pilots is not the self-confident bravado of the F-14 crews but comes out of more realistic views. Yet for the defense of carrier task forces, it was not clever to abandon the fast, heavy interceptor, able to launch long-range air-to-air missiles—at least to abandon it completely.

To fool the FDOs, the incoming Backfires had to be able to saturate the air with chaff. Moreover, knowing the position of the carrier task force is not the same as knowing the position of the carrier itself. There were at least two cases when in the center of the formation there was, instead of the carrier, a large fleet oiler or replenishment vessel with an enhanced radar signature (making it look as large on the Backfires’ radar screens as a carrier) and a radiating tactical air navigation system. The carrier itself, contrary to routine procedures, was steaming completely alone, not even trailing the formation.

To know for sure the carrier’s position, it was desirable to observe it visually. To do that, a special recce-attack group (razvedyvatel’no-udarnaya gruppa, RUG) could be detached from the MRA division formation. The RUG consisted of a pair of the Tu-16R reconnaissance Badgers and a squadron of Tu-22M Backfires. The former flew ahead of the latter and extremely low (not higher than 200 meters, for as long as 300–350 kilometers) to penetrate the radar screen field of the carrier task force, while the latter were as high as possible, launching several missiles from maximum range, even without proper targeting, just to catch the attention of AEW crews and barrier CAP fighters. Meanwhile, those two reconnaissance Badgers, presumably undetected, made the dash into the center of the task force formation and found the carrier visually, their only task to send its exact position to the entire division by radio. Of course, nobody in those Badgers’ crews (six or seven officers and men per plane) counted on returning; it was 100 percent a suicide job.

After the RUG sent the position of the carrier and was shattered to debris, the main attack group (UG, udarnaya gruppa) launched the main missile salvo. The UG consisted of a demonstration group, an ECM group armed with anti-radar missiles of the K-11 model, two to three strike groups, and a post-strike reconnaissance group. Different groups approached from different directions and at different altitudes, but the main salvo had to be made simultaneously by all of the strike groups’ planes. The prescribed time slot for the entire salvo was just one minute for best results, no more than two minutes for satisfactory ones. If the timing became wider in an exercise, the entire main attack was considered unsuccessful.

 An aerial view of the U.S. Navy Battle Group Echo underway in formation in the northern Arabian Sea on 1 November 1987. (Photo via U.S. National Archives)

Moreover, in plans, three to five planes in each regimental strike had to carry missiles with nuclear warheads. It was calculated that up to twelve hits by missiles with regular warheads would be needed to sink a carrier; by contrast, a single nuclear-armed missile hit could produce the same result. In any case, almost all Soviet anti-carrier submarine assets had nuclear-armed anti-carrier missiles and torpedoes on board for routine patrols.

Having launched their missiles, it was up to the crews, as has been noted above, to find their way back. Because of the possibility of heavy battle damage, it was reasonable to consider the use of intermediate airfields and strips for emergency or crash landings, mainly on the distant islands, even inhabited ones, in the Soviet or Warsaw Pact exclusive economic zones. The concept of using the Arctic ice fields for this purpose was adopted, by not only the MRA but the VVS (interceptors of the Su-15, Tu-128, and MiG-25/31 varieties) too. Though the concept of maintaining such temporary icing strips had been accepted, with the thought that planes could be refueled, rearmed, and even moderately repaired in such a setting, it was not a big feature of war plans. The VVS as a whole was eager to use captured airfields, particularly ones in northern Norway, but the MRA paid little attention to this possibility, because the complexity of aerodrome maintenance of its large planes, with their intricate weapons and systems, was considered unrealistic at hostile bases, which would quite possibly be severely damaged before or during their capture.

All in all, the expected loss rate was 50 percent of a full strike—meaning that the equivalent of an entire MRA air regiment could be lost in action to a carrier task force’s air defenses, independent of the strike’s outcome.

An Umi Yukaba for the Surface and Submarine Communities

Although the first massive missile strikes on carrier task forces had to be performed by SNAF/DA forces, there were at least two other kinds of missile carriers in the Soviet Navy. The first were guided-missile ships, mostly in the form of cruisers (CGs), those of Project 58 (the NATO Kynda class), Project 1144 (Kirov class), and Project 1164 (Slava class). Moreover, all the “aircraft-carrying cruisers” of Project 1143 (the Kiev class, generally thought of as aircraft carriers in the West) had the same anti-ship cruise missiles as the CGs of Project 1164. Also, the destroyers of Project 956 (Sovremenny class) could be used in this role, as well as all the ships (the NATO Kresta and Kara classes) armed with ASW missiles of the Type 85R/RU/RUS (Rastrub/Metel, or Socket/Snowstorm) family, which could be used in an anti-ship mode. The main form of employment of guided missile ships was the task force (operativnoye soedinenie, in Russian), as well as the above-noted direct-tracking ship or small tactical groups of ships with the same job (KNS or GKNS, respectively, in Russian).

The other anti-carrier missile carriers were nuclear-powered guided-missile submarines (SSGNs), in a vast number of projects and types, using either surface or submerged launch. The most deadly of these were the Project 949A boats (NATO Oscar IIs), with P-700 Granit missiles. (The SSGN Kursk, recently lost to uncertain causes, was one of them.) The operational organization for the submarine forces performing the anti-carrier mission was the PAD (protivo-avianosnaya divisiya, anticarrier division), which included the SSGNs, two for each target carrier, and nuclear-powered attack submarines for support. In sum, up to fifteen nuclear submarines would deploy into the deep oceans to attack carrier task forces. One PAD was ready to be formed from the submarine units of the Northern Fleet, and one, similarly, was ready to assemble in the Pacific Fleet.

1986 – An elevated port side view of the forward section of a Soviet Oscar-class nuclear-powered attack submarine. (Photo via U.S. National Archives)

A detailed description of the tactics and technologies of all those various assets is beyond the aim of this article, but one needs an idea of how it worked as a whole. The core of national anti-carrier doctrine was cooperative usage of all those reconnaissance and launch platforms. While they understood this fact, the staffs of the Soviet Navy had no definite order, manual, or handbook for planning anti-carrier actions except the “Tactical Guidance for Task Forces” (known as TR OS-79), issued in 1979 and devoted mainly to operational questions of surface actions, until 1993, when “Tactical Guidance for Joint Multitype Forces” entered staff service. The latter document was the first and ultimate guidance for the combined efforts of the MRA , surface task forces, and submerged PADs, stating as the overall goal the sinking of the designated target carriers at sea with a probability of 85 percent.

It is no secret that the officers of the surface community who served on the guided-missile ships counted on surviving a battle against a U.S. Navy carrier air wing for twenty or thirty minutes and no more. In reality, the abilities of the surface-to-air missiles (SAMs) installed on the ships were far less impressive than the fear they drew from U.S. experts. For example, the bow launcher of the Storm SAM on the Kresta– and Kara-class ASW destroyers shared a fire-control system with the Metel ASW missile. It would be quite possible for U.S. aircraft to drop a false sound target (imitating a submarine) ahead of the Soviet formation to be sure that the bow fire-control radars would be busy with the guidance of ASW missiles for a while. The bow SAM launchers of the destroyers of these classes would be useless all this time, allowing air attacks from ahead. Even “iron” bombs could mark the targets.

SSGNs were evidently considered in the West to be the safest asset of the Soviet Navy during an attack, but it was not the case. The problem was hiding in the radio communications required: two hours prior to the launch, all the submarines of the PAD were forced to hold periscope depth and lift their high frequency-radio and satellite communication antennas up into the air, just to get the detailed targeting data from reconnaissance assets directly (not via the staffs ashore or afloat); targeting via low- or very-low-frequency cable antennas took too much time and necessarily involved shore transmitting installations, which could be destroyed at any moment. There was little attention paid to buoy communication systems (because of the considerable time under Arctic ice usual for Soviet submarines). Thus the telescoping antennas in a row with the periscopes at the top of the conning tower were the submarine’s only communication means with the proper radio bandwidth. Having all ten or fifteen boats in a PAD at shallow depth long before the salvo was not the best way to keep them secure. Also, the salvo itself had to be carried out in close coordination with the surface fleet and MRA divisions.

However, the main problem was not the intricacy of coordination but targeting —that is, how to find the carrier task forces at sea and to maintain a solid, constant track of their current positions. Despite the existence of air reconnaissance systems such as Uspekh, satellite systems like Legenda, and other forms of intelligence and observation, the most reliable source of targeting of carriers at sea was the direct-tracking ship. Indeed, if you see a carrier in plain sight, the only problem to solve is how to radio reliably the reports and targeting data against the U.S. electronic countermeasures. Ironically, since the time lag of Soviet military communication systems compared to the NATO ones is quite clear, the old Morse wireless telegraph used by the Soviet ships was the long-established way to solve that problem. With properly trained operators, Morse keying is the only method able to resist active jamming in the HF band. For example, the Soviet diesel-electric, Whiskey-class submarine S-363, aground in the vicinity of the Swedish naval base at Karlskrona in 1981, managed to communicate with its staff solely by Morse, despite a Swedish ECM station in the line of sight. All the other radio channels were effectively jammed and suppressed. While obsolete, strictly speaking, and very limited in information flow, Morse wireless communication was long the most serviceable for the Soviet Navy, owing to its simplicity and reliability.

But the direct tracker was definitely no more than another kind of kamikaze. It was extremely clear that if a war started, these ships would be sent to the bottom immediately. Given that, the commanding officer of each had orders to behave like a rat caught in a corner: at the moment of war declaration or when specifically ordered, after sending the carrier’s position by radio, he would shell the carrier’s flight deck with gunfire, just to break up the takeoff of prepared strikes, fresh CAP patrols, or anything else. Being usually within the arming zone of his own anti-ship missiles and having no time to prepare a proper torpedo salvo, the “D-tracker’s” captain had to consider his ship’s guns and rocket-propelled depth charges to be the best possible ways to interfere with flight deck activity. He could even ram the carrier, and some trained their ship’s companies to do so; the image of a “near miss,” of the bow of a Soviet destroyer passing just clear of their own ship’s quarter is deeply impressed in the memory of some people who served on board U.S. aircraft carriers in those years.

Lieutenant Commander Tokarev joined the Soviet Navy in 1988, graduating from the Kaliningrad Naval College as a communications officer. In 1994 he transferred to the Russian Coast Guard. His last active-duty service was on the staff of the 4th Coast Guard Division, in the Baltic Sea. He was qualified as (in U.S. equivalents) a Surface Warfare Officer/Cutterman and a Naval Information Warfare/Cryptologic Security Officer. After retirement in 1998 he established several logistics companies, working in the transport and logistics areas in both Europe and the Commonwealth of Independent States.

Featured Image: March 3, 1986 – A left underside view of a Soviet Tu-22 Backfire aircraft in flight. (Photo via U.S. National Archives)

Flotilla SITREP: Restoring the Warfighting Imperative and Expeditionary Anti-Submarine Warfare

By Dmitry Filipoff

In February, the CIMSEC Warfighting Flotilla will discuss restoring the warfighting imperative for great power navies, and the role of Marine Corps forces in expeditionary anti-submarine warfare. If you haven’t already, sign up through the form below to become a Flotilla member and receive the invites to our upcoming off-the-record February discussions. The full listings for these upcoming discussions are featured down below.

In January, the Flotilla discussed the state of tactical skill in the Surface Navy, China’s aircraft carrier operations, and the combat potential of small aerial drones at sea. These candid conversations yielded interesting insights on naval force development while promoting connections between the participating navalists and warfighters.

Feel free to visit the Flotilla homepage to learn more about this community, its activities, and what drives it.

Upcoming February Sessions
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Restoring the Warfighting Imperative

The warfighting focus of great power navies can atrophy when faced with little high-end competition for decades. Without the press of a true competitor to center the organization, unhelpful habits and mindsets can proliferate, and the skills needed to win a hard fight are eclipsed by less consequential matters. In light of renewed great power competition, how can modern navies restore the primacy of the warfighting imperative? How can navies reorient themselves to truly be about winning wars, first and foremost? Join us to discuss these questions and more as we can consider the state of the warfighting imperative and how to elevate it.

Read Ahead: A Warfighting Imperative: Getting Back to Basics for the Navy,” by Capt. Gerard Roncolato (ret.)
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Expeditionary Anti-Submarine Warfare

The need for more ASW capability is rising with the size of competitor ASW fleets. Existing ASW assets may be stretched thin, and could struggle to threaten adversary submarines in decisive littorals. How can the Marine Corps enhance ASW capability in contested environments? How can expeditionary advanced bases and stand-in forces contribute to the ASW mission? Join us to consider the possibilities as we discuss expeditionary ASW.

Read Ahead: Implementing Expeditionary ASW,” by Captain Walker D. Mills, U.S. Marine Corps, Lieutenant Commanders Collin Fox, Dylan “Joose” Phillips-Levine, and Trevor Phillips-Levine, U.S. Navy

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Previous January Sessions
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The State of Tactical Excellence in the Surface Navy

The Surface Navy is looking to improve its tactical skills to meet the demands of high-end warfighting. What is the state of tactical learning today in the Surface Navy and how are things trending? How can the Surface Navy better organize to improve its tactical development and professionally incentivize above average tactical skill? Join us to consider these questions as we consider the state of tactical excellence in the Surface Navy.

Read Aheads:

“The Surface Navy: Still in Search of Tactics,” by Captain Christopher H. Johnson

“What Got Us Here Won’t Get Us There,” by Vice Admiral Roy Kitchener, Rear Admiral Brad Cooper, and Rear Admiral Paul Schlise
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China’s Growing Aircraft Carrier Capability

China has fielded multiple new aircraft carriers within only several years. As a newcomer to carrier operations, China has much to learn in employing this complex capability. What force development challenges may China face in developing its carrier forces? What are the long-term ramifications of China’s carrier capability for Indo-Pacific security? Join us to discuss these questions and more as we consider the implications of China’s new carriers.

Read Ahead:Lessons from the Changing Geometry of PLA Navy Carrier Ops,” by CDR Michael Dahm, (ret.)
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Warships and Aerial Drone Warfare

Small aerial drones have the potential to dramatically change maritime operations, both in the gray zone and in conflict. What kinds of concepts of operations can small drones enable when deployed from ships? How can drones be used to shape norms below the threshold of war? Join us to discuss these questions and more as we consider the potential of small aerial drones at sea.

Read Ahead:Responding to Drone Swarms at Sea,” by LCDR Kristopher Thornburg
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Dmitry Filipoff is CIMSEC’s Director of Online Content and Community Manager of the Warfighting Flotilla. Contact him at [email protected].

Rules of Engagement and Undersea Incursions: Reacting to Foreign Submarines in Territorial Waters

This article is part of a series that will explore the use and legal issues surrounding military zones employed during peace and war to control the entry, exit, and activities of forces operating in these zones. These works build on the previous Maritime Operational Zones Manual published by the Stockton Center for International Law predecessor’s, the International Law Department, of the U.S. Naval War College. A new Maritime Operational Zones Manual is forthcoming.

By LtCol Brent Stricker

“We have attacked, fired upon, and dropped depth charges on a submarine operating in defensive sea area.”–USS Ward (DD-139) December 7, 1941, Pearl Harbor, Hawaii.

Submerged foreign submarines in a nation’s territorial sea pose a unique situation that is inconsistent with the rule of innocent passage. Under certain circumstances, their concealed presence without the consent of the coastal state could be considered a threat to the territorial integrity or political independence of the coastal state. A modern submarine fulfills its peacetime mission and combat role while submerged. If the coastal state detects a submerged submarine in the territorial sea, it is faced with a dilemma on the appropriate measures that can be used to force the submarine to surface or leave the territorial sea. The recent sabotage of the Nord Stream pipeline and the vulnerability of the world’s vast subsea network of electricity and network cables highlights the danger posed by unknown submersibles.

Norway and Sweden have faced this problem for more than 50 years from suspected Soviet and later Russian submarines. Both countries have used warning shots in an attempt to signal the submerged contacts to surface or leave the area. Use of explosives in this manner, however, could be misinterpreted as an attack on the submarine. Balancing the protection of territorial sovereignty with avoiding escalation poses a predicament.

Innocent Passage

All ships, including warships, enjoy the right of innocent passage through the territorial seas of a coastal state without prior notification or consent. This rule was discussed in detail in the Corfu Channel case before becoming codified in the United Nations Convention on the Law of the Sea. The Corfu Channel is a narrow passage between Albania and the Greek island of Corfu. The United Kingdom’s Royal Navy was confronted by Albanian coastal artillery fire when transiting the channel in May 1946. In October 1946, two Royal Navy destroyers transited the channel while at action stations to be prepared to respond to coastal artillery fire or other threat posed by the Albanians. These destroyers struck naval mines laid in the channel. As a result, in November 1946, the Royal Navy conducted minesweeping operations to clear the channel.

The United Kingdom brought a case against Albania in the International Court of Justice seeking reparations for the loss of life and damages to its warships. The ICJ upheld the Royal Navy’s right of innocent passage through Albanian territorial waters, rejecting Albania’s arguments that the ships were not in innocent passage because they were sailing in formation and the sailors on board were at action stations. Rather, the Court found that sailing in formation and running at action stations were appropriate defensive measures. The Court found that the minesweeping operation was inconsistent with innocent passage and a violation of Albanian sovereignty, rejecting the British arguments that this was a measure of “self-protection.” Corfu Channel illustrates how innocent passage may include defensive measures. The case has long presented a conundrum because it determined that states are entitled to innocent passage, yet are restrained from taking defensive action, such as minesweeping, to exercise their right.  

Innocent passage is governed by the United Nations Convention on the Law of the Sea (UNCLOS). Norway and Sweden are signatories to UNCLOS, and the United States, while not a signatory, recognizes much of it as customary international law. UNCLOS codified the right of innocent passage in Articles 17-21. Innocent passage must “not be prejudicial to the peace, good order, or security of the coastal state.” A foreign vessel’s passage is not innocent if its actions constitute “any threat or use of force against the sovereignty, territorial integrity or political independence of the coastal State.” A special provision for submarines, Article 20, requires submarines engaged in innocent passage to “navigate on the surface and to show their flag.”

A coastal state that discovers an unknown submerged contact in its territorial sea is faced with a dilemma. Examples from Norway and Sweden of submerged contacts lingering in their territorial waters are inconsistent with the definitions of both passage and innocent passage. The coastal state, under Article 25 of UNCLOS, may “take the necessary steps in its territorial sea to prevent passage which is not innocent.” There is no agreement on exactly what steps are deemed necessary. Furthermore, these measures are limited when applied to sovereign immune warships. Thus, while an unknown submerged contact is not exercising innocent passage, it is unclear what measures a coastal state can apply to exercise its rights under Article 25. Articles 30 and 31 of UNCLOS allow a coastal state to require the submerged contact to leave its territorial sea and places liability for any damages on the flag state of the submerged contact. Armed force against an unknown submerged contact, however, may only be used in self-defense under Article 51 of the UN Charter. In most cases, use of force would not be justified simply because the submarine is submerged or refuses to surface and the mere presence of the submarine does is not tantamount to an “armed attack.” This determination is complicated when the submerged contact’s intensions cannot be ascertained.

Norway

Norway has been dealing with suspected intrusions by foreign submarines for more than 50 years. These contacts in Norwegian fjords are difficult to track due to the mixing of fresh water runoff and salt water in the fjords which can provide cover for submarines from sonar detection. Acoustic detection is complicated by the fjord’s subsurface structure, currents, and civilian surface traffic. For two weeks in November 1972, Norwegian vessels aided by Norwegian and British aircraft attempted to locate and force to the surface an unknown underwater contact, believed to be of Soviet or Warsaw Pact origin, in the Sogne Fjord using depth charges. Hand grenades and then depth charges were used to signal to the underwater contact to surface. Ultimately, the Ministry of Defense was given permission to sink the contact if it did not surface and identify itself.

For the Norwegians to use force against the unknown submerged contact, they would need to articulate how an otherwise benign submerged vessel posed an imminent threat that would justify the use of force in self-defense. Violating Article 21 of UNCLOS in and of itself does not constitute such a threat of imminent attack, even if the submarine is engaged in an intelligence or reconnaissance mission. Such a mission may be illegal under Norway’s domestic law, but it does not imply an illegal use of force, let alone an armed attack.

In limited situations, the location and duration of the unknown submarine in territorial waters could be considered as a threat, as noted in the radio transmission of the USS Ward when it engaged an unknown submarine in a defensive sea area. The Norwegians would be more concerned by the location of the unknown submersible if it were in such an area or in close proximity to another sensitive military exercise or base. The longer the submarine remained at depth, the greater potential one might consider it laying in wait to attack. Nonetheless, the Norwegians employed an escalating use of force in 1972 with attempts to signal with hand grenades and ultimately culminating with firing anti-submarine missiles at the suspected target. The Norwegians were ultimately unable to force the contact to the surface, identify it, or sink it.

Norwegian experiences with unknown submarine contacts continued over the decades. The official Norwegian policy on the use of force remained somewhat ambiguous. In 1983, Brigadier Asbjorn V. Lerheim stated on the use of force, “It is a tough decision, it is still peacetime, and you can’t really destroy a submarine . . . it is not an attack on Norwegian soil.” Norway seems to have adopted a set of measures to escalate the use of force against these intrusions. The first measure is to signal the submarine to surface. If the submarine complies, it would be taken under escort. If not, depth charges would be dropped within 300 meters from the submarine with a two-minute interval to indicate this was a signaling measure, not an attack. If this failed to surface the submarine, Norwegian captains were authorized to attack with depth charges, but torpedoes were prohibited in the attack because of the potential of catastrophic damage to the boat and loss of the entire crew. It is speculated that the anti-submarine missiles fired in 1972 used homing devices and proximity fuses and were not a real attempt to hit the submarine.

Suspected Soviet incursions into Norwegian territorial waters continued as late as 1990. Norwegian authorities received reports of suspected submarines in the summer of 1990 at Skipton, a Norwegian bay twenty-five miles from the Russian border. The area was put under surveillance when, in November 1990, a mini-submarine was observed briefly on the surface. The sea floor was examined and a series of tracks were found that indicated a submersible crawler had been deployed. Similar tracks were discovered elsewhere in Sweden and Norway near military installations. The Soviet Northern Fleet possessed such miniature submarines at the time. It was speculated that the miniature submarine was launched from a nearby mother ship to conduct a Spetsnaz training or reconnaissance mission.

As late as 2021, Norway was subjected to an undersea intrusion by unknown submersibles. The Norwegian Institute of Marine Research operates a network of undersea sensors in northern Norway to monitor the marine environment. It can also be used to monitor submarines in the area. These sensors are interconnected by a series of fiber optic cables. In April 2021, it was discovered that 2.5 miles of fiber optic cable had been cut and stolen. Several of the sensors had been tampered with and moved. The reason for the intrusion is speculative but includes the potential for reverse engineering.

Sweden

Like Norway, Sweden has been troubled by intrusions of foreign submarines in its territorial waters for a similar period of time. Unlike Norway, Sweden has actually caught one submarine on the surface in the infamous “Whiskey on the Rocks” incident in 1981. This incident noted increased intrusions throughout the 1980s that have continued as late as the 2010s. To date, the Whiskey is the only foreign submarine caught on the surface in Swedish territorial waters.

On October 27, 1981, a Soviet Whiskey class submarine, the U-137, was found grounded on a rock in Swedish territorial waters. The Whiskey was an early Cold War diesel electric submarine, not a nuclear-powered submarine. The Swedish Navy contacted the submarine’s captain, Captain Second Rank A. M. Gushchin, who claimed a navigational error. Captain Gushchin claimed he thought he was 20 miles off the Polish coast when the collision occurred. This claim is rather dubious considering the submarine had transited submerged through a “perilous series of narrow straits infested with rocks and islands” before the grounding. The submarine’s grounding within ten kilometers of the Swedish naval base at Karlskrona while a major naval exercise was being conducted was certainly not just a coincidence brought about by a navigational error. Upon inspection, Swedish officials found no problems with the boat’s navigational equipment and noted its logbook had been altered.

The boat remained grounded for eleven days while the Swedish authorities inspected the submarine and questioned the captain. The Soviet Union responded by sending a flotilla of warships that stayed just outside Swedish waters. The Swedish Prime Minister made a shocking announcement on November 5, 1981, that the submarine was suspected of carrying nuclear weapons. The Swedish government made demands to the Soviets before releasing the submarine. However, weather intervened and Sweden released the submarine before these demands were met. The submarine was exposed to gale force winds and was listing 17 degrees. Swedish authorities were concerned that the boat’s battery acid could spill and cause a fire or release chlorine gas that could kill the crew. Swedish authorities stopped the captain’s interrogation and boat inspection, refloated the boat, and the submarine left on November 6, 1981.

Following this incident, the Swedish government released the Submarine Defense Commission Report in 1983, which detailed the history of foreign submarines intruding into Swedish waters. Prior to the Whiskey incident, and even subsequently, critics had claimed these submarine scares were an excuse to increase the Navy’s budget. The report detailed how foreign submarines entered Swedish waters typically one to two times a year in the 1970s before a dramatic increase during the 1980s. These incursions were concentrated around naval facilities such as coastal defense points, ports, sensor networks, and minefields.

The Report and increased submarine intrusions led to a change in Swedish Rules of Engagement (ROE) applicable to submarine contacts. Prior rules prohibited a commander from firing on an unknown contact without authorization from the civilian leadership. The Swedish Navy was only allowed to make contact with the submarine to identify it and escort it out of Swedish waters. The new ROE allowed the submarine to be fired upon without warning. Initially, warning shots were to be used, either through the employment of depth charges or missiles. The ROE were intended to prevent the damage or destruction of the submarine, but the ROE made a distinction on the location and behavior of the contact. If the submarine was located in Sweden’s outer waters, these are waters beyond the internal archipelago to the 12-mile limit, it would be warned and escorted out. If the submarine was found in internal waters, these are waters of Sweden’s internal archipelago, and refused to leave or proceeded further, it could be treated as hostile and force designed to damage or destroy the submarine could be used.

The Swedish ROE may have contributed to their inability to force submarines to the surface. If they employed depth charges or other devices with an eye toward avoiding damaging the detected submarines, the submarines could simply ignore these attempts. There is evidence that the Swedish ASW may have damaged a submarine. In the summer of 1988, eight pieces of unknown foreign submarine rescue equipment were recovered in the Stockholm archipelago. Similar equipment had been recovered in the 1970s and 80s.

The Swedish Navy continued to deal with foreign submarines intruding into Swedish waters throughout the 1980s. The government stopped providing statistics on these incursions in 1987. Subsequent reports have been vague in their descriptions. This may be to avoid highlighting their inability to stop or deter these incursions.

There is evidence that these incursions did occur. The Swedish Navy noted that these incursions have become more sophisticated with the use of multiple submarines, miniature submarines, and divers. The evidence for these incursions comes from sightings, sonar, and magnetic detection from Swedish sensor networks. There has also been evidence of keel marks and track marks on the sea floor similar to the Norwegian miniature submarine event noted above.

The miniature submarines may have also allowed military forces to surreptitiously land on Swedish territory. Between 3 to 6 March 1984, Swedish forces fired at swimmers on the island of Almo. The island was searched and food caches were located. The Swedes have also noted attacks on their “submarine nets, break-ins ashore, to the disruption and destruction of underwater mine lines.” In one case, they were blamed for the theft of a naval mine. Most shockingly, in 1985 fisherman pulled a drowned swimmer up in their nets. The nets had been placed illegally near a naval mine. It is presumed the diver was scouting the mine when he became entangled and drowned. The fisherman did not recover the body and abandoned their nets. When Swedish authorities investigated, the body had been cut out of the net and removed by unknown persons.

Conclusion

This historic submarine incursions remain relevant today, particularly considering heightened tensions from the Russian invasion of Ukraine and the recent application of Finland and Sweden to join the North Atlantic Treaty Organization. Much like the Norwegian fjords, the Swedish archipelago would be an area for these submarines to operate. The reasons for the incursions remain relevant today for any NATO-Russian conflict whether it be to conduct reconnaissance or the insertion of Special Forces. If there is a repeat of one of these Cold War examples such as a stranded submarine like the Whiskey, or more concerning, NATO forces hunting a submarine contact, the consequences could be manifold. First, NATO forces chasing a submarine contact trying to force it to surface might be viewed as an attack on the submarine. The use of explosives to signal a submarine might accidentally damage it or injure the crew. These signals could be misinterpreted as an attack allowing or even requiring a submarine to respond in self-defense. Second, any hostilities in territorial waters directly implicates the collective self-defense clause of Article 5 of the North Atlantic Treaty.

The conduct of Russian submarine espionage in the territorial seas of its neighbors presents one of the greatest challenges to avoiding conflict in the Baltic Sea. These incidents reveal the gap between the law of the sea and the use of force in self-defense against an armed attack. The Nordic coastal states must walk a fine line between protecting their territorial integrity and avoiding escalation of an incident that might quickly spin out of control.

LtCol Brent Stricker, U.S. Marine Corps, serves as the Director for Expeditionary Operations and as a military professor of international law at the Stockton Center for International Law, U.S. Naval War College. The views presented are those of the author and do not necessarily reflect the policy or position of the U.S. Marine Corps, the U.S. Navy, the Naval War College, or the Department of Defense.

Featured Image: Russian Kilo-class submarine in the English Channel. (UK Ministry of Defence photo via Wikimedia Commons)

Sea Control 410 – “Mutiny and Ice,” The SS Ohio with David Reamer

By Anna McNiel

David Reamer joins Sea Control to discuss his Anchorage Daily News article, “Mutiny and Ice: The 1908 Journey of the S.S. Ohio from Seattle to Nome.” Mr. Reamer is a historian who writes about the city of Anchorage, Alaska. His peer-reviewed articles include topics as diverse as baseball, housing discrimination, Alaska Jewish history, and the English gin craze. You can follow Reamer’s Twitter handle, @ANC_Historian, for daily Alaskan history posts.

Download Sea Control 410- The SS Ohio with David Reamer

Links

1. “Mutiny and Ice: The 1908 Journey of the S. S. Ohio from Seattle to Nome,” by David Reamer, Anchorage Daily News, December 18, 2022.

Anna McNiel is a co-host and producer of the Sea Control podcast. Contact the podcast team at [email protected].

Fostering the Discussion on Securing the Seas.