Defence Honours and Awards Appeals Tribunal THE REPORT OF THE INQUIRY INTO UNRESOLVED RECOGNITION FOR PAST ACTS OF NAVAL AND MILITARY GALLANTRY AND VALOUR THE REPORT OF THE INQUIRY INTO UNRESOLVED RECOGNITION FOR PAST ACTS OF NAVAL AND MILITARY GALLANTRY AND VALOUR This publication has been published by the Defence Honours and Awards Appeals Tribunal. Copies of this publication are available on the Tribunal’s website: www.defence-honours-tribunal.gov.au © Commonwealth of Australia 2013 This work is copyright. Apart from any use as permitted under the Copyright Act 1968, no part may be reproduced by any process without written permission from the Defence Honours and Awards Appeals Tribunal. Editing and design by Biotext, Canberra. LETTER OF TRANSMITTAL INQUIRY INTO UNRESOLVED RECOGNITION FOR PAST ACTS OF NAVAL AND MILITARY GALLANTRY AND VALOUR Senator The Hon. David Feeney Parliamentary Secretary for Defence Parliament House Canberra ACT 2600 Dear Parliamentary Secretary, I am pleased to present the report of the Defence Honours and Awards Appeals Tribunal’s Inquiry into Unresolved Recognition for Past Acts of Naval and Military Gallantry and Valour. The Inquiry was conducted in accordance with the Terms of Reference. The Tribunal that conducted the Inquiry arrived unanimously at the findings and recommendations set out in this report. In accordance with the Defence Honours and Awards Appeals Tribunal Procedural Rules 2011, this report will be published on the Tribunal’s website — www.defence-honours-tribunal.gov.au — 20 working days after the report is provided to you. Yours sincerely, Mr Alan Rose Chair Defence Honours and Awards Appeals Tribunal 21 February 2013 iii CONTENTS Letter of transmittal iii Terms of Reference ix Executive summary 1 Chapter One Introduction 12 Part One General considerations 23 Chapter Two Imperial and Australian honours systems 24 Chapter Three Constitutional issues and Australian sovereignty 27 Chapter Four The Imperial honours system 32 Chapter Five The Australian honours and awards system 56 Chapter Six End of war lists and reviews 62 Chapter Seven Retrospectivity, revision and belated awards 70 Chapter Eight Tribunal consideration 76 Chapter Nine Summary of individual cases 97 Chapter Ten Conclusions and recommendations 105 Part Two Individual cases 107 Chapter Eleven Gunner Albert Neil (Neale) Cleary 108 Chapter Twelve Midshipman Robert Ian Davies 119 Chapter Thirteen Leading Cook (Officers) Francis Bassett Emms 133 Chapter Fourteen Lieutenant David John Hamer 144 Chapter Fifteen Private John Simpson Kirkpatrick 160 Chapter Sixteen Able Seaman Dalmorton Joseph Owendale Rudd 186 Chapter Seventeen Ordinary Seaman Edward Sheean 198 Chapter Eighteen Leading Aircrewman Noel Ervin Shipp 232 Chapter Nineteen Lieutenant Commander Henry Hugh Gordon Dacre Stoker 248 Chapter Twenty Captain Hector Macdonald Laws Waller 262 Chapter Twenty-One HMAS Yarra 296 Chapter Twenty–Two Lieutenant Commander Robert William Rankin 318 Chapter Twenty-Three Lieutenant Commander Francis Edward Smith 327 Chapter Twenty-Four Acting Leading Seaman Ronald Taylor 333 Part Three Other nominations from members of the public 341 Chapter Twenty-Five Other nominations from members of the public 342 Abbreviations and acronyms 347 Contents v Appendixes 351 Appendix 1 Individuals and organisations who provided submissions to the Inquiry 352 Appendix 2 Tribunal hearing dates and witnesses 357 Appendix 3 List of persons from whom information was sought 365 Appendix 4 Additional material examined by the Tribunal 368 Appendix 5 Establishment of Australian honours and awards — Key dates 401 Appendix 6 Valour, gallantry and distinguished service criteria 402 Appendix 7 Imperial gallantry awards to Australian forces 406 Appendix 8 Honours by service per number who served 419 Appendix 9 Australian Victoria Cross awards 420 Appendix 10 Statement of Ordinary Seaman Jack Archibald 427 Index 431 Tables Table 4-1 Imperial gallantry awards 32 Table 4-2 Operational scale applied to service in Vietnam 34 Table 5-1 Imperial and Australian gallantry awards 57 Table 7-1 ‘Retrospective’ awards of the Imperial Victoria Cross 71 Table 8-1 Victoria Cross Awards made to the Royal Navy 81 Table 8-2 Recent Imperial Victoria Cross sales in Australia 85 Table 16-1 Australians who took part in the Zeebrugge raid 190 Table 16-2 Honours awarded to Australians who took part in the Zeebrugge raid 193 Table 17-1 The fate of those onboard HMAS Armidale 210 Table 17-2 Witness statements — HMAS Armidale 228 Table 18-1 Operational scale applied to service in Vietnam 239 Table 18-2 Comparison of the RANHFV with other RAN awards 240 Table 18-3 Comparison of awards to the RANHFV versus the RAAF No. 9 Squadron 241 Table 25-1 Individuals nominated by the public for acts of gallantry and valour 343 Table 25-2 Groups nominated by the public for acts of gallantry and valour 346 Table A6-1 First level of gallantry and distinguished service awards 402 Table A6-2 Second level of gallantry and distinguished service awards 403 Table A6-3 Third level of gallantry and distinguished service awards 404 Table A6-4 Fourth level of gallantry and distinguished service awards 405 Table A7-1 Imperial awards to Australian forces 409 Table A7-2 Imperial gallantry awards to Australian Forces — awards made for actions during conflict 410 vi The report of the inquiry into unresolved recognition for past acts of naval and military gallantry and valour Table A7-2A Imperial gallantry awards to Australian Forces — Australian Army 411 Table A7-2B Imperial gallantry awards to Australian Forces — Royal Australian Navy 411 Table A7-2C Imperial gallantry awards to Australian Forces — Royal Australian Air Force 412 Table A7-3 Imperial gallantry awards to Australian Forces by Service 413 Table A7-3A Imperial gallantry awards to Australian Forces — Boer War 413 Table A7-3B Imperial gallantry awards to Australian Forces — First World War 414 Table A7-3C Imperial gallantry awards to Australian Forces — Second World War 414 Table A7-3D Imperial gallantry awards to Australian Forces — Korean War 415 Table A7-3E Imperial gallantry awards to Australian Forces — Malayan Emergency 415 Table A7-3F Imperial gallantry awards to Australian Forces — Confrontation 415 Table A7-3G Imperial gallantry awards to Australian Forces — Vietnam War 416 Table A7-4 Imperial awards to Australian forces by Service 416 Table A7-5 Imperial awards to Australian forces made for actions during conflict 417 Table A7-6 ‘Posthumous’ imperial gallantry awards to Australian forces by Service 417 Table A7-7 ‘Posthumous’ Imperial gallantry awards to Australian forces made for actions during conflict 418 Table A8-1 Honours by service per number who served 419 Table A9-1 Imperial VC — Boer War (5 awards) 420 Table A9-2 Imperial VC — First World War (63 awards) 421 Table A9-3 Imperial VC — Second World War (19 awards) 424 Table A9-4 Imperial VC — Vietnam War (4 awards) 425 Table A9-5 Imperial VC to Australians serving in British Units — Boer War (1 award) 425 Table A9-6 Imperial VC to Australians serving in British Units — First World War (1 award) 425 Table A9-7 Imperial VC to Australians serving in British Units — Russian Civil War (2 awards) 425 Table A9-8 Imperial VC to Australians serving in British Units — Second World War (1 award) 425 Table A9-9 Australians awarded the Victoria Cross for Australia (3 awards) 426 Contents vii viii The report of the inquiry into unresolved recognition for past acts of naval and military gallantry and valour TERMS OF REFERENCE On 21 February 2011, the Parliamentary Secretary for Defence, Senator The Hon. David Feeney, directed the Defence Honours and Awards Appeals Tribunal (the Tribunal) to inquire into the matter of Unresolved Recognition for Past Acts of Naval and Military Gallantry and Valour. The Tribunal considered draft terms of reference and, following receipt of its comments, the Parliamentary Secretary forwarded new Terms of Reference (as set out below) to the Tribunal on 29 April 2012. The Tribunal is directed to inquire into and report on the appropriate recognition for specific acts of gallantry or valour performed by the following naval and military personnel: • Gunner Albert Neil (Neale) Cleary — Army • Midshipman Robert Ian Davies — Navy • Leading Cook (Officers) Francis Bassett Emms — Navy • Lieutenant David John Hamer — Navy • Private John Simpson Kirkpatrick — Army • Lieutenant Commander Robert William Rankin — Navy • Able Seaman Dalmorton Joseph Owendale Rudd — Navy • Ordinary Seaman Edward Sheean — Navy • Leading Aircrewman Noel Ervin Shipp — Navy • Lieutenant Commander Francis Edward Smith — Navy • Lieutenant Commander Henry Hugh Gordon Stoker — Royal Navy • Leading Seaman Ronald Taylor — Navy • Captain Hector Macdonald Laws Waller — Navy The Tribunal is directed to make recommendations on the eligibility of the naval and military members, as listed, to be awarded the Victoria Cross, the Victoria Cross for Australia, or other forms of appropriate recognition for their gallantry or valour. The Tribunal is to examine relevant documentary evidence and consider any other material relevant to these claims, including, but not limited to, any previous reviews conducted with regard to appropriate recognition for this service. The Tribunal must consider the nature and context of the members’ actions in relation to the criteria for Australian and Imperial awards in order to arrive at a fair and sustainable response to claims for appropriate recognition. The Tribunal may interview such persons as it considers appropriate and consider material provided that is relevant to the Terms of Reference. The Tribunal is to report to the Parliamentary Secretary for Defence on any recommendations that arise from the Inquiry. In formulating its recommendations, the Tribunal is required to maintain the integrity of the Australian honours system and identify any consequential impact any finding or recommendation may have on that system. Terms of reference ix In addition, the Tribunal is also directed to receive submissions supporting the recognition of acts of gallantry or valour performed by other members of the Defence Force.