Landmark decision by the Federal Administrative Court on identity checks in the naturalization process

In its ruling of 23.09.2020 – 1 C 36/19 – the Federal Administrative Court made a fundamental decision on the verification of identity in the naturalization procedure. In order to naturalize as a German citizen, naturalization applicants must prove their identity in accordance with Section 10 (1) StAG and Section 8 (1) StAG. This is made possible by the ruling even without proof of personal official documents.

The plaintiff was a Chinese national of Tibetan ethnicity, according to her own statements. She had been admitted to a Tibetan nunnery as a child and ordained there. Neither her date of birth nor her name were known to her. Her age was then estimated. She did not have any state identity documents, nor had she ever been officially registered in China. The applicant applied for naturalization in September 2016. She submitted various non-official documents as proof of her identity, including a certificate from the monastery and a confirmation of birth from the office of the Dalai Lama’s representative. The Stuttgart Administrative Court dismissed her complaint. Naturalization was ruled out as her identity had not been clarified. The applicant then lodged an appeal with the Federal Administrative Court.

The plaintiff’s appeal was successful. In the reasons for its decision, the Federal Administrative Court referred to a 4-step model to be used to establish identity:

  • Stage 1: As a rule, proof of naturalization is provided by presenting a passport or, alternatively, a recognized passport substitute or another official identity document with a photograph, e.g. identity card or identity card.
  • Level 2: If no such document is available and it is objectively impossible or unreasonable for the naturalization applicant to obtain it, the identity can be proven by other suitable official documents. Ideally in conjunction with a photograph, such as a driving license, service card or military ID. However, this is not mandatory, so that official documents without a photograph can also be considered, e.g. birth certificates, registration, baptism or school certificates.
  • Step 3: If the naturalization applicant is also not in possession of such other official documents and if it is objectively impossible or subjectively unreasonable to expect him/her to obtain them, he/she may use other means of evidence permitted under § 26 I 1 and 2 VwVfG to prove his/her identity. This includes, in particular, unofficial certificates or documents that are suitable to prove the information about his person, including witness statements if necessary.
  • Step 4: If recourse to other evidence within the meaning of Section 26 I 1 and 2 VwVfG is also objectively impossible or subjectively unreasonable for the naturalization applicant, the identity of the naturalization applicant may exceptionally be regarded as proven solely on the basis of his or her submission, provided that the personal details are established to the conviction of the naturalization authority on the basis of a comprehensive assessment of the circumstances of the individual case and the entire submission of the naturalization applicant.

Stages 1 – 3 of the identity check are already anchored in the general administrative regulations on Section 5.1.1a of the Residence Act. However, the ruling is of particular significance in that the Federal Administrative Court has now ruled on this procedure and thus enshrined it in case law. In particular, by extending the possibility of establishing identity by one level, namely in that it can be sufficient in the individual case if the naturalization applicant whose identity is to be clarified does not have any documents as proof. It is then possible for the applicant to prove their identity by making a coherent and credible claim about themselves. However, this requires particular care when evaluating the statements and should be used as a guide. The credibility of the statements and the credibility of the person to be naturalized are of particular importance here. In particular, it is important not to generalize, but to always weigh up each individual case.

This is a major step forward for naturalization practice, as the Federal Administrative Court has created an additional criterion to enable people without identity documents to naturalize as German citizens.

(see Federal Administrative Court – judgment of 23.09.2020 – 1 C 36/19)