I have produced a short guide to researching Chinese Australians in Immigration (Restriction) Act records in the National Archives of Australia in Sydney.
The guide aims to be a practical introduction to the records, their context and content. It covers the administrative background and processes, how-to steps for researching, a description of the main record series with examples, and copies of various certificates and forms.
Although the examples given in the guide relate to Chinese Australians, information about other ‘non-white’ Australians, such as those of Syrian, Afghan, Indian and Japanese backgrounds, can also be found in the records discussed.
In June 1857, four Chinese men from Melbourne – named Sun Tring, Yun Peng, Sun Woee and Hoy Peng – applied for naturalisation. Their memorials for naturalisation give basic details about them:
Sun Tring of Melbourne, 29 years, merchant, arrived on the Annie Bailie in 1852, desires to purchase and hold land
Yun Peng, of Melbourne, 30 years, merchant, arrived on the Challenge in 1854, desires to purchase and hold land
Sun Woee, of Melbourne, 35 years, merchant, arrived on the Cornwall in January 1857, desires to purchase and hold land
Hoy Peng, of Melbourne, 30 years, merchant, arrvied on the Liverpool in 1854, desires to purchase and hold land.
The memorials for naturalisation were each signed by the same six witnesses who knew them and attested to their good character and reputation.
The men were granted their naturalisation certificates on 2 July 1857. They were four of the eight Chinese men granted naturalisation in Victoria in 1857 – the others were Louis Ah Mouy, John Affoo, William Tsze Hing and Abu Mason.
Looking at the signatures on the memorials for naturalisation, I realised something odd about these four men. Their names are the same as those of the Sze Yup (四邑) or Four Counties districts:
Confirmation that the men were granted naturalisation is found in Ancestry.com’s Victoria, Australia, Index to Naturalisation Certificates, 1851-1928 (original data: Chief Secretary’s Department. Index to Naturalization Certificates (1851–1922), VPRS 4396. Public Record Office Victoria).
Over the first few years of the 20th century, Form 21 (Certificate of Domicile, then Certificate Exempting from Dictation Test) went through various iterations as the procedures for administering the Immigration Restriction Act were bedded down. After 1906, the CEDT form remained basically the same until the Dictation Test was abolished in the late 1940s.
The certificates below are the first example of each iteration of the certificate found in the records of the NSW Collector of Customs in the National Archives in Sydney. Certificates of Domicile and CEDTs issued in Sydney are held in series ST84/1, except for those issued in 1902 which are held in SP11/6.
1902 – First Certificate of Domicile
The first Certificate of Domicile issued in New South Wales is found in a volume of certificates from 1902 in NAA: SP11/6, CERTIFICATE DOMICILE MISCELLANEOUS PASSENGERS 1909-1926. More about SP11/6 in an earlier post.
I suspect I will never be finished in my quest to understand the workings of the White Australia policy in the early decades of the twentieth century. My most recent work (which I hope will be published in the next year) has focused on the entry and residence of Chinese wives between 1902 and 1920, including the well-known ‘Poon Gooey case’.
While much of what I know about how the Immigration (Restriction) Act was administered comes from individual case files (known as correspondence files), there has been a gap between these files and the legislation itself. Two items in the National Archives (AP214/9 and D3193) help fill this gap. The Collector of Customs in Adelaide – who like Customs officers in the other states administered the Act in accordance with regulations, rules and instructions from the Department of External Affairs – kept a valuable, and seemingly unique, record of this correspondence from External Affairs. I have not come across other similar items for other states (always happy to be corrected though!)
I’ve had D3193 digitised by the National Archives and, while the cost of digitisation of A214/9 was prohibitive because of conservation concerns, I have photographed it and put the images up in Dropbox (link below). There is another series, AP378/37 – ‘Confidential instructions (old system), 1900–45’, listed in RecordSearch as being held in Sydney, but I haven’t looked at this to see if it contains similar material.
AP214/9 is a register containing copies of the Immigration Restriction Act and related correspondence, dating from 1901 to 1913. It was created by the Collector of Customs in Adelaide, South Australia.
The contents of the register includes:
copies of the Immigration Restriction Act 1901 and subsequent amendments, as well as related regulations and statutory rules
notes for the guidance of officers administering the IRA
copies of forms used in administering the IRA
instructions from Department of External Affairs to the local Collector of Customs at Port Adelaide.
Much of the content concerns ‘coloured’ arrivals, including ships’ crews, and arriving passengers with physical diseases or disabilities.
It is a large bound volume, with folios marked with page numbers up to 292. The documents (either printed or typsescript carbon copies) are pasted into the register, rather than being written out by hand. Folios 232 to 267 are blank. There is a separate alphabetical index (which doesn’t seem very complete). The last dated document is from 31 December 1913.
AP214/9, VOLUME 1 is held in the National Archives of Australia in Adelaide and is not digitised in RecordSearch (as of 20 June 2017). My images of AP214/9 are available in Dropbox.
D3193 is a volume containing confidential instructions relating to the Immigration Act (as the Immigration Restriction Act was known after 1912), dating from 1914 to 1919.
The small printed volume has been annotated with handwritten notes and insertions of further documents by the Collector of Customs, Adelaide. The original volume is titled Immigration Act Instructions together with Immigration Act 1901–1912 and Immigration Regulations 1913 and was produced by the Department of External Affairs in 1914.
The contents of D3193 are similar to those in AP214/9.
Next month I will be giving a paper on Chinese women in colonial New South Wales at the International Conference on Chinese Women in World History at Academia Sinica in Taipei. My paper will focus on the early period of Cantonese migration to Australia, from the 1850s to 1880, and present short biographical sketches of four Chinese women who arrived in New South Wales in the 1860s – Ah Happ, Ah Fie, Kim Linn and Sam Kue. Before 1881 there were no legislative limits on the entry of Chinese women to New South Wales.
I was particularly interested in these four women because of their early arrival in the colony, and their rarity among the colonial Chinese population, but there are others I’ve come across whose lives I’d also like to know more about. One of those is Chin Sheng Geong, the wife of the fabulously named missionary and interpreter George Graham Mackie Ah Len.
Chin Sheng Geong (born c. 1856) married George Ah Len (born c. 1837) in Canton in about 1876, while he was on a visit home from Australia. They seem to have arrived back in Australia together in 1877 (along with a female Chinese servant who accompanied Chin Sheng Geong). They lived in the Rocks, which was then Sydney’s Chinatown, in Queen Street, a laneway that ran off Essex Street between George and Harrington streets. There Chin Sheng Geong gave birth to and raised her family of six: Jane (b. 1877), Mary (b. 1879), Ada (b. 1882), James (b. 1886), and twins Peter and Thomas (b. 1888). The children were all baptised. George Ah Len died in 1889, after which time Chin Sheng Geong returned to China with her children.
George Ah Len coincidentally also features in my naturalisation research. He was naturalised as a British subject in 1878 (No. 78/206), and in 1882 was registered as a ‘person known to Government whose endorsement is considered sufficient’ on applications for naturalisation. From 1882 to 1888 he endorsed the naturalisation applications of more than 60 Chinese in New South Wales.
Typically, there is much more to be found about husband than wife, but within his story we can find traces of her. The following brief chronology about George Ah Len and Chin Sheng Geong in Australia is compiled from historical newspapers, government gazettes, naturalisation records, Sands Directories, BDM records and immigration files.
Early in the year Ah Lin was baptised at Maryborough, Victoria, and later, as George Ah Lin, he began his training as an evangelist under Rev. William Mathew in Melbourne.
In October, three Chinese women (one perhaps being Chin Sheng Geong?) were in the congregation at the baptism of six Chinese men by the Rev. Dr Steel, assisted by George Ah Len, at St Stephen’s Church.
On 16 June 1886, birth of James Ah Len, to George and Sheng C, 11 Queen Street, Sydney (NSW BDM 2324/1886 and 1314/1886 V18861314 46; NAA: SP42/1, C1904/71). Birth was attended by Mrs Strange (nurse) and Mrs Morrison.
Birth of twins, Peter and Thomas Ah Len, to George and Shenn, Sydney (NSW BDM 1748/1888 and 1356/1888 V18881356 46 and V18881356 47; 1749/1888 and 1357/1888 V18881357 46)
In January, there was an unclaimed letter at the General Post Office, Sydney, for Mr Ah Len, Queen Street.
1889 ‘No. 32. LIST OF LETTERS RETURNED FROM THE BRANCH AND SUBURBAN OFFICES, AND NOW LYING AT THE GENERAL POST OFFICE, UNCLAIMED’, New South Wales Government Gazette, 2 January, p. 25, http://nla.gov.au/nla.news-article224311037
On 23 April, George Ah Len died at 4 Queen Street, Sydney, aged 52 (NSW BDM 717/1889)
During World War I, young Percy Sam of West Wyalong applied for both a CEDT and an Emigration Certificate before travelling with his father to China – at the same time as his older brothers were away fighting in the AIF. It’s a story that illustrates the contradictory ways that Australians of part-Chinese descent were treated by government authorities in the early twentieth century. For more on that see my earlier blog post and my Inside History article. Alastair Kennedy’s Chinese Anzacs book also discusses the Sam brothers.
Five documents about the Sam family are featured the National Archives exhibition:
a police report about father William Flood Sam that accompanied his CEDT application (NAA: SP42/1, C1915/4058)
photographs of father William and son Percy Sam that accompanied their CEDT applications (NAA: SP42/1, C1915/4058; SP42/1, C1915/4032 )
a letter from mother Jane Sam giving permission for son Percy to travel overseas with his father (NAA: C1915/4032)
The display is behind glass in a drawer, so it’s a bit hard to photograph. The main text reads:
At the outbreak of World War I the Sam brothers, like many young Australian men, were eager to represent their country. Two of the brothers – James and Norman – enlisted in November 1914 and went on to serve at Gallipoli in 1915. Over the remainder of that year, three more brothers – Henry, George and Tom – also enlisted.
Also in 1915 their father William and younger brother Percy wanted to travel to China, William’s birth country. While some family members were considered ‘sufficiently European’ to serve overseas in the Australian Imperial Force, William and Percy had to apply for a Certificate of Exemption from the dictation test before they could travel due to their part-Chinese heritage.
Alas, there are a couple of problems with this short account.
First, only four Sam brothers enlisted (a fifth, Tom, was said to have gone off to war, but there is no record of him actually having served – a check of B2455 would have shown that); two Sam grandsons, with the surname Loolong, did also enlist though.
Second, a Certificate of Exemption (from the dictation test) was different from a Certificate Exempting from the Dictation Test, which is what William and Percy applied for and were granted.
Third, William Sam did not have ‘part-Chinese’ heritage as the caption implies – he was ‘full’ Chinese.
On 6 November 1925, the Land newspaper featured the following on its ‘Answers to Questions’ page.
The Land was indeed correct in its answer. In 1925, Chinese aliens (non-British subjects) could not be naturalised in Australia, no matter how long they had lived here.
Five years earlier the Nationality Act 1920 had replaced the Naturalization Act 1903, removing the racial barrier to the naturalisation of Asians. However, after 1920 the Australian government continued with its policy of preventing Asians from being naturalised. This did not change until 1956 when concessions were brought in for long-term residents.
For Australians whose Chinese ancestors arrived in the nineteenth and early twentieth centuries, tracing the family history back to China can be a real puzzle.
Whether you’re simply curious about your Chinese origins or are wanting to visit your ancestral village in China, there are two things you need to know – your Chinese ancestor’s name in Chinese characters and their village and county of origin.
Here you will find some suggestions for using Australian records to find these critical pieces of information.
Most Chinese who arrived in Australia in the nineteenth and early twentieth centuries came from the rural Pearl River Delta region of Guangdong province, south of the provincial capital of Guangzhou, north of Macau and inland from Hong Kong. A smaller number of Chinese migrants came from other parts of Guangdong province and from Fujian province (through the port of Xiamen, known historically as Amoy), as well as from other places such as Shanghai.
This post concentrates on Cantonese migrants who came from the Pearl River Delta.
Cantonese migrants came from a number of different areas in the Pearl River Delta, including:
Sam Yup (Sanyi, meaning the ‘three districts’): Namhoi (Nanhai), Poonyu (Panyu) and Shuntak (Shunde)
Heungshan (Xiangshan), later known as Chungshan (Zhongshan)
Changshing, Tsengshing (Zengcheng)
Koyiu (Gaoyao) and Koming (Gaoming)
Sze Yup (Siyi, meaning the ‘four districts’): Sunwui (Xinhui), Sunning (Xinning) or Toishan (Taishan), Hoiping (Kaiping) and Yanping (Enping).
The Cantonese migrants spoke a range of dialects including: standard Cantonese, Cantonese variations such as Shekki dialect, Longdu (Zhongshan Min) dialect, Sze Yup dialects such as Taishanese, and Hakka. The earlier Amoy Chinese spoke Hokkien.
The big stumbling block
To successfully track your family back to China you ideally need your ancestor’s name and their village and district of origin in Chinese characters. If your family migrated to Australia more recently and this information is known within the family, you have a tremendous advantage. If you don’t have this information, you will need to try and work it out from records available in Australia. This can be very tricky.
Until the twentieth century there was no standard way of romanising the various Chinese languages and dialects. Because of this, and because Chinese in Australia spoke different sorts of Cantonese, there is a lot of variation in how personal and place names are recorded in Australian English-language sources. Only rarely are Chinese characters to be found. The discrepancies in how Chinese names were written down in colonial Australia are not necessarily an indication of racist or uncaring attitudes toward the Chinese, but more a reflection of the fact that nobody, including the Chinese themselves, knew how to spell the names ‘properly’ in English.
Chinese personal names usually comprise three characters, with one being the family name and two being the given name – for example, 鐔梅玲 Tam Moyling. A few Chinese family names comprise two characters (e.g. O’Young, Seeto), and sometimes a given name comprises only one character.
Although the characters remain the same, the pronunciation of a name changes depending of the dialect spoken. For example, the two-character surname 司徒 is pronounced Situ in Mandarin, Seeto in Cantonese and Soohoo in Sze Yup. The common family name 陳 is pronounced Chen in Mandarin, Chan/Chun in Cantonese, Chin in Hakka, and Tan in Hokkien.
Chinese personal names were recorded in many different ways in Australian records and, in the nineteenth and early twentieth centuries at least, rarely was a name written down ‘correctly’. A person’s name might have been recorded with multiple spelling variations – for example, one early Sydney resident was recorded as Man Sue Bach, Mum Shou Pac, John Ah Shue Bach, John A. Sue Bach, John Ah Sue and John a Shue.
Because of the different word order (surname first in Chinese but last in English), many Chinese given names came to be used as surnames in English – for example, Wong Chun Bun might became known as Jimmy Chun Bun and his children registered under the surname Bun.
Many, many Chinese personal names also include ‘Ah’ or ‘A’. This represents the character 阿, which is a prefix added to a given name as a familiar or informal form of address, much like adding ‘ie’ or ‘y’ to the end of a name in English (Ann to Annie, Tom to Tommy).
While sometimes confusing, romanised versions of personal and place names can tell us helpful things. For example, personal names written with a ‘sl’ or ‘shl’ or ‘thl’ sound at the beginning (like Dang Bown Sluey or Slit Schin) suggest that these people were likely to be from Taishan, as this sound is particular to Sze Yup sub-dialects rather than standard Cantonese.
Or, a woman’s name that includes a ‘See’ or ‘Shee’ (氏) usually gives her father’s family name and indicates that the woman was married – a bit like the term née. Ham See, for example, would be a married woman who was born into the Ham (鐔) family – Ham would be her father’s, not her husband’s, surname.
Emma Woo Louie has written on Chinese American names, much of which applies in the Australian context. Her book is Chinese American Names: Tradition and Transition (McFarland & Company, 2008). A preview of the book is available from Google Books. She has also published articles on the subject in the Chinese Historical Society of America’s journal Chinese America: History and Perspectives.
Janis Wilton, Golden Threads: The Chinese in Regional New South Wales 1850–1950, New England Regional Art Museum, 2004
Jon Kehrer, ‘Who was “John Chinaman”’, The Ancestral Searcher, vol. 24, no. 4, December 2001, pp. 201–205
Jon Kehrer, ‘Honourable ancestors: My search for the Chinese connection’, The Ancestral Searcher, vol. 27, no. 4 December 2004, pp. 328–333
Gary Presland, ‘Some difficulties in researching Chinese ancestry’, in From Gold to Federation: Papers from the Fourth Victoria Family State Conference, ed. Noelle Oke, Penfolk Publishing, Melbourne, 2001.
The native place of many Chinese is recorded in Australian sources as Canton – which variably refers to the province of Guangdong or the capital city of Guangzhou. However, most migrants came from the rural counties outside the capital, rather than the city itself. Unfortunately if ‘Canton’ is all the information you can find about your ancestor’s origins you will probably not be able to progress your research much further.
More occasionally county, city, town or even village names are recorded: Sunning, Sun Wui, Heung Shan, Amoy, Shekki, Kongmoon, Lee Yuan, Chuk Sau Yuen or Bak Shek, for example. Sometimes it’s easy to identify these places, sometimes it’s not. The smaller the place, the harder it can be to identify, but the more useful it will be if you eventually work out where it is.
The trick is to be able to translate from the old romanised version of a place name to how it is known today. The Cantonese city known in Mandarin today as Jiangmen (江門), for instance, might have been written Quong Moon, Kong Mun, or Kongmoon.
There are several words that often appear as the last syllable in village names that it can be useful to recognise:
choon or toon – 村 cun, meaning ‘village’
g. 南潮村 Nam Chew Toon
lee or lay – 里 li, meaning ‘village’
g. 南勝里 Nam Sing Lay
yuen – 園 yuan, meaning ‘garden’
g. 竹秀園 Chuk Sau Yuen.
You can use clues you find in other records, such as distance from a larger town or physical characteristics of the place, to help narrow down your search for your particular village. If you know your ancestor’s surname you can also cross-check village names with the surname. The following database of village names is useful for this purpose:
The ‘Location, location, location’ section of the Chinese Genealogy forum (http://siyigenealogy.proboards.com/) is an excellent place to read up how others have gone about identifying and locating their ancestral villages.
If your ancestor came from Taishan, Xinhui or Zhongshan counties, you might find relevant information in the material produced by a project undertaken by the Asian Library at the University of British Columbia that identified the village and town of origin of Chinese migrants to Canada. Many migrants to Australia came from the same places as those who went to Canada. See:
You should obtain Australian marriage and death certificates for the original Chinese ancestor, as well as birth certificates for their children and death certificates if the children died young. Sometimes a Chinese groom or father will have signed his name in Chinese characters and the birthplace will be more specific than just ‘Canton’ or ‘China’.
Immigration, travel and alien registration records
Immigration and travel records, as well as alien registration records, might contain details of people’s place of origin and their name in Chinese. Twentieth-century travel documents issued to Chinese Australians under the Immigration Restriction Act and related records are held by the National Archives of Australia. ‘Aliens’ (people who were not British subjects) were required to register with the government from World War I. These records are also held by the National Archives and can contain Chinese signatures, information about place of birth and so on.
Some Chinese migrants became naturalised British subjects in the colonial period, and their application forms and certificates can include details such as place of origin and their original signature in Chinese. Naturalisation applications, rejected applications and cancelled and confiscated naturalisation certificates are found in state archives and in the National Archives of Australia.
From the 1890s, Australia’s Chinese communities had their own Chinese-language newspapers, including the Chinese Australian Herald and the Tung Wah Times. The Tung Wah Times has been indexed in English, which allows you to search without knowing Chinese. The index can be helpful in identifying articles that might include an ancestor’s name in Chinese.
The major early Australian Chinese-language newspapers are also available through the National Library of Australia’s discovery service, Trove. If you have located names in Chinese characters you can search the newspapers even if you only have basic Chinese language skills. See:
In the early twentieth century, young Chinese were allowed to come to Australia to study. Most who came were the children or relatives of people already living here. These students were issued with special Chinese student passports that included their name and place of origin in Chinese characters as well as in English. Many of these passports are held in immigration files in the National Archives of Australia. On how you might be able to use these passports to identify your ancestor’s village of origin, see:
This morning I have put a pdf copy of my latest publication up on my website, and it should also soon be available through the University of Wollongong’s Research Online digital repository. These facts don’t seem very remarkable, except that this week I’ve had to assert my rights to be able to do so.
The original contributor agreement I signed for this publication fitted with my desire for my research to be available to as many people as possible – not held prisoner behind a paywall or buried in an unafforable hardcopy volume. Turns out, the book is an unafforable hardcopy volume, published by Routledge – but at least I would be able to make my chapter available. Or so I thought.
The original publisher of the book, Ashgate, was taken over by Taylor & Francis at some point in the book’s gestation, hence why it has come out through Routledge (part of the Taylor & Francis group). In the original contributor agreement with Ashgate, I retained the following rights as author:
to photocopy the work for my own use
to excerpt the work and/or develop the content in a new publication, providing due acknowledgement was made of the original publication
to include the work in a collection of my own previously published work, providing due acknowledgement was made of the original publication
to upload the published version of the chapter to my institutional repository and/or my personal website, with full publication details of the book – and Ashgate would send a pdf of the published version on request.
This week I contacted Taylor & Francis to request the pdf copy of my published chapter. I was told by Taylor & Francis that I needed to sign another form, a Professional Academic Licence Agreement, before they would provide me with the pdf. This form stated that the pdf (the ‘original files’) would be provided for academic use at my institution, but that I could not:
use the original files for any personal, non-commercial purpose
use the original files for any commercial purpose
make the original files available to anyone [!?!]
It also stated that Taylor & Francis would take legal action should ‘illegitimate copies of the work be distributed’ by me or any third party. Nice.
This was clearly not what I had agreed to when I signed the original Ashgate agreement, so I questioned it. After a couple of emails back and forth with Taylor & Francis, I was sent the pdf in an email that stated:
‘I gather that the department that deals with this sort of thing generally expects a new licence to be signed, but they have agreed to work with your Ashgate agreement, so have supplied the attached file.’
So they should.
P.S. I’d like to add that I’m really pleased that the book’s editors included my work in the volume, and I thank them for their effort in putting the collection together. I’m still waiting on my author’s copy to arrive, but am looking forward to reading it cover to cover.