The Origins and Development of Royal Australian Naval Signals Intelligence In An Era of Imperial Defence 1914 - 1945 by Jozef H. Straczek A thesis submitted to the University of New South Wales in fulfillment of the requirements for the degree of Doctor of Philosophy In The School of Humanities and Social Sciences ©J. H. Straczek 2008 ii ORIGINALITY STATEMENT I hereby declare that this submission is my own work and to the best of my knowledge it contains no materials previously published or written by another person, or substantial portions of material which have been accepted for the award of any degree or diploma at UNSW or any other educational institution, except where due acknowledgement is made in the thesis. Any contribution made to the research by others, with whom I have worked at UNSW or elsewhere, is explicitly acknowledged in the thesis. I also declare that the intellectual content of this thesis is the product of my own work, except to the extent that assistance from others in the project’s design and conception or in style, presentation and linguistic expression is acknowledged. Jozef H. Straczek Canberra August 2008 i ii COPYRIGHT STATEMENT I hereby grant to the University of New South Wales or its agents the right to archive and to make available my thesis or dissertation in whole or part in the University libraries in all forms of media, now or hereafter known, subject to the provisions of the Copyright Act 1968. I retain all proprietary rights such as patents rights. I also retain the right to use in future works (such as articles and books) all or part of this thesis or dissertation. I also authorise University Microfilms to use the abstract of my thesis in Dissertations Abstract International. I have either used no substantial portions of copyright material in my thesis or I have obtained permission to use copyright material. Jozef H. Straczek Canberra August 2008 iii iv AUTHENTICITY STATEMENT I certify that the Library deposit digital copy is a direct equivalent of the final officially approved version of my thesis. No emendation of content has occurred and if there any minor variations in formatting, they are the result of the conversion to digital format. Jozef H. Straczek Canberra August 2008 v vi ACKNOWLEDGEMENTS This work has been possible through the good offices, encouragement, support, patience and guidance of a number of individuals to whom I shall be forever grateful. Firstly I acknowledge the support and guidance of my supervisors Dr John Reeve and Professor Peter Dennis, UNSW@ADFA. Their constructive criticisms and intellectual guidance have proven to be of enormous value to me over the years. They have helped in many ways they may not be aware of. My employers Dr David Stevens, Director Historical and Strategic Studies at the Sea power Centre – Australia, and Mr Jim Ryan, Director Classified Archival Records Review, provided time and various resources in order that I may complete this work. The staff at the National Archives of Australia, in Canberra and Melbourne; The National Archives, Kew; UK Naval Historical Branch; US National Archives and Records Administration; Center for Naval History and the Center for Cryptologic History provided guidance and assistance in identifying and accessing records which were essential for the research associated with this work. Chris Dawkins at the ADFA Library was always available and helpful in identifying and acquiring books and other relevant reference material. vii I would also like to acknowledge the following individuals who provided guidance, insight, information and comradeship: Dr Ed Drea, Dr Ed Marolda, John Lundstrom, Antony Best, Peter Dennerley, Michael Whitby, Brett Mitchell, Dave Griffin, Dr Andrew McFadzen and Dr Greg Gilbert. I must also acknowledge the support of David Brown and David Sissons both of who passed away before this research was completed. Special thanks to my friends Ross Gillett and John Mortimer both of who encouraged and cajoled me over the years thereby helping to ensure this thesis was completed. To the many others who have assisted me but I have been inconsiderate enough not to personally acknowledge I offer my apologies and deepest thanks. Finally I would like to mention my wife Lucy and children Alexander and Sarah who supported my work and suffered my absences. Without their help and understanding I would not have managed to reach this point. viii ABSTRACT This thesis examines the origins and development of signals intelligence in the Royal Australian Navy, during the period 1914 to 1945, within the context of an Australian contribution to Imperial defence. In doing so it demonstrates how the development of this capability was shaped by national, Imperial and international forces and events. The thesis thus fills a gap in the historiography of imperial defence and of early twentieth century signals intelligence. It also constitutes a case study of the development of a niche military capability by a small to medium power in the context of great power alliances and major historical events. The thesis is based principally upon the investigation of documents in the Australian, US and UK national archives, some of which have been newly declassified for this purpose. During the First World War the RAN undertook a minor cryptographic effort focused on intercepting and breaking coded messages from the German Pacific Squadron. After the War, and at the request of the RN, the RAN began to develop a signals intelligence capability aimed at the Imperial Japanese Navy. This capability was seen as part of the RAN contribution to Imperial defence. The commitment, made without Australian political approval, would see the RAN conduct two covert intelligence collection operations against the Japanese Mandated Territories. After the Japanese attack on Pearl Harbor and subsequent defeat of the Western Powers in Asia, the RAN signals intelligence organisation became, as a ix consequence of agreements between Britain and the USN, part of the USN organisation in the Pacific. At no stage however, was the RAN involved in the discussions which accompanied these arrangements nor did it have any subsequent say in the strategic direction of this capability. As a consequence, when the Pacific War was drawing to a close the future of the RAN’s cryptographic organisation came in to question. By the time the Japanese surrendered this issue had still not been resolved. Beyond the history of the origins and development of signals intelligence in the RAN, and of its involvement in the signals intelligence war against Japan, the thesis highlights the importance of committed individuals in small military organisations and how they can greatly influence the success or otherwise of these organisations. The ability of personnel from different nations to work together in signals intelligence is reflective of the functioning of the alliance as a whole. The development of such a niche capability by a small to medium power can have an effect on that nation’s standing, in the context of alliance relationships, as it did in this case. As the RAN found however, such capabilities do not provide for automatic access to strategic decision making within an alliance. x This thesis is dedicated to those who listened and did not talk xi xii TABLE OF CONTENTS Originality Statement i Copyright Statement iii Authenticity Statement v Acknowledgements vii Abstract ix Dedication xi List of Tables xiv List of Maps xv List of Charts xv List of Photographs xv Abbreviations xvii Contents Introduction 1 1. Origins and the First World War, 1900–1918 14 2. A Faltering Start, 1920–1929 48 3. The 1930s - Establishing an Imperial Network 84 4. Laying Australian Foundations, 1930–1935 118 5. Signs of Progress, 1935–1939 146 6. The Second World War - From Poland to Pearl Harbor, 1939–1941 176 7. The British Search for a Cryptographic Partner in xiii the Pacific, 1940–1941: 220 Netherlands East Indies 221 China 229 Russia 231 United States of America 233 8. War In The Pacific, 1941–1942 253 9. FRUMEL - a Combined Organisation, 1942–1945 297 10. Conclusion 334 Appendices 1. Code Words and Terms Associated With World War II Signals Intelligence. 346 2. The Holden Agreement on Naval Sigint. 349 3. Japanese Naval Cryptographic Systems. 352 Bibliography 363 TABLES 1.1 Reported Positions of German Warships. 36 2.1 Japanese Naval Morse Code Table Provided to the RAN in 1921. 57 2.1 Royal Navy W/T Interception Coverage Plan 1926. 67 4.1 Personnel Performing Procedure Y Duties. 130 5.1 Estimate For Establishing and Operating Direction Finding Stations. 149 xiv 6.1 Staff of Special Intelligence Bureau, Melbourne 1941. 214 MAPS facing page 1. International Wireless and Undersea Cable Communications Networks, 1914. 20 2. Movements of Vice-Admiral von Spee across the Pacific Ocean, 1914. 42 3. Direction Finding Tracking Exercise, 1939. 102 4. Proposed RAN Direction Finding Organisation. 142 5. D/F fixes on MV Romolo by Australian and New Zealand D/F stations. 184 6. Location of RAN Signals Intelligence Facilities During the Second World War. 272 CHARTS 1. Organisational Structure of the Far East Combined Bureau, With Emphasis on its Naval Components. 96 2. The Exchange of Naval Signals Intelligence in the Pacific. 296 PHOTOGRAPHS SY Franklin used as a signals intelligence collector by the RAN during 1927. 118 HMAS Albatross. Procedure Y operations were conducted from xv Albatross during the early 1930s. 118 HMAS Coonawarra D/F station, c1942. 272 HMAS Harman D/F station, post-war. 272 Photographic