Title: YOUR PASSPORT, PLEASE! – AN OVERVIEW OF THE HISTORY OF ID DOCUMENTS

Your Passport, please! – An overview of the history of ID Documents

Marita Häuser, ICPP 

Introduction

“Your passport, please!” – In most cases this request does not cause spontaneous joy and happiness.  

Passports, passwords and the like are not instruments originating from the “digital era” where most actions in the digital world require an authentication. In former times there were many occasions where individuals needed to authenticate, e.g., to prove that they were the person they seemed or claimed to be. Attributes such as clothes, signs of social status or physical properties were used for that purpose. In addition friends or partners were able to act as witnesses. Already in medieval times passports and citizens’ registers for purposes of passport verification were introduced. This chapter gives a non-exhaustive overview of the development of identifiers in European societies taking examples mainly from France and Germany. 

Identity and Identification in Early European States

To be able to identify individuals in a reliable way always has been of importance, especially in the context of social groups (e.g. clans) and later in the context of States. This need typically covered all phases of human life, from birth to death. The context for identification always has been the determination of membership or non-membership in a group, a clan or State, and the regulation of access to resources, ownership or participation in this context.  

In early societies such as the Greek Polis, identification was done by inspection. Societies were not very large, so every citizen knew every other citizen of his Polis in person. In fact in times of Solon (ca. 640 to 560 B.C.) a largely accepted thesis was that a democracy could not exceed 20,000 citizens, as this number would lead to a situation where people stopped knowing each other and thus society could not function effectively.  

This situation changed dramatically already in the Roman Empire. From time to time Roman Emperors tried to count their citizens using a census, as reported for example in the Bible (e.g. by the evangelist Lukas in chapter 2.1). The census information was important to calculate taxes, the number of slaves and the number of possible soldiers. A census did not provide a means for identification of individual citizens.

Identity and Identification in the Medieval Age

In the 13th century King Friedrich II, Holy Roman Emperor, introduced a modern, for that time, administration in Sicily (Italy). This approach included the first citizens’ registers run by the State. This was the first attempt to create a written basis for the identification of individuals. But it did not become common practice.

Instead another practice became common: the use of travel documents for individuals. Typically these documents were used for persons with a special status such as rich citizens and noblemen. These travel documents typically were documents for passing through an area: visa or letters of recommendation. The purpose of these documents was to reduce the risks of travelling. This was accomplished by a certificate of a reference person (typically a person of high status that was widely known) that the travelling person travelled for legitimate reasons, was trustworthy and worth being protected and supported on the journey by local authorities. 

Taking in criminals was supported by using warrants of apprehension. They included a detailed description of the person searched for, the so called ‘signalement’, and were copied many times after printing of books was developed.

An example for early registration of large numbers of persons is the registration of colonists in Portugal at the end of the 15th century. The reason for this registration was that certain groups were not allowed to move to the colonies. Overall this system proved to be not effective at all, as the authenticity of the registered names remained questionable.

After the reformation the Catholic Church needed to know – among others for tax reasons – how many members belonged to it. To facilitate this, the Council of Trent decided in 1563 that priests should write lists of persons who were baptised and married, and later also of those who were confirmed and buried. From the perspective of the Catholic Church this information was most important as it showed the real identity of a member of the church: Through baptism people became members of the church, a Christian marriage was important for a Christian life of couples and families, and a Christian burial also was very important. This way of showing the identity of the church member helped in guaranteeing that a person could be resurrected from death with a complete body, despite illness, wounding and death in his physical life.

Identity and Identification in Modern Times

After the Holy Roman Emperor King Josef II (Heiliges Römisches Reich Deutscher Nation) gave the order in the 18th century that a copy of each church’s lists should be taken for purposes of the State, local authorities gained wide access to citizens’ data. This included their number, age, sex, place of birth and residence, and in some cases profession. This information mainly was used for tax calculation purposes, recruitment of soldiers and the calculation of money needed to support poor people.

In 1796 Johann Gottlob Fichte stated that citizens need to be detectable for public authorities at any time. For this purpose he suggested the introduction of a passport for every citizen, which precisely describes the passport holder. Pursuing the same target, Jeremy Bentham suggested in 1843 that every citizen should bear a unique name. This name should be noted in a citizens’ register and also should be tattooed on the wrist of the corresponding citizen. This permanent link between a physical person and a name certified by public authorities would strengthen the law and result in the disappearance of many criminal activities, Bentham claimed. In addition the identification would support prosecution in case of criminal actions.

The French Revolution led, among other things, to the introduction of the “Code Civil” as civil law on 20th of September 1792. Because of the resulting modern understanding of citizenship, citizens’ registers were run by the State instead of the churches. Identification of citizens of the State was based on a paper-based ID document together with an appropriate entry in the citizens’ register by public authorities.

The reintroduction of ID documents that were terminated earlier in the French Revolution resulted in a dilemma that was quite typical for the 19th century. On one hand increasing liberalisation required free movement without passports standing in the way. On the other hand in times of real or perceptible crises, inner security (today often called homeland security) became a bigger issue and thus registration of citizens and foreigners together with issuing ID documents was undertaken regularly. But the target of effective administrative control in practice was seldom achieved due to putting off implementation of identifying measures. Noblemen typically did not need any ID documents, while normal citizens needed them as soon as they were leaving the county where they were living. Foreign travellers in addition had to keep strictly to a prescribed route and faced in addition numerous controls on their way. De facto migration started to be a serious issue already in the 19th century. Millions of people moved around without any passport, changing effectively the demographic, political and economic landscape of Europe.

But ID documents also became important in another context in the 19th century. Police forces throughout Europe had introduced registers of poor people and of people that were moving around such as beggars, crippled people, veterans from various wars, prostitutes, lepers and showmen. Security of the local population was a motivating factor for this registration, but different treatment of the local bereaved persons compared to moving poor people also was an issue. Based on the right of people at home the local poor population got better support (e.g., food and housing) compared to other groups. In any case to receive grants, people had to identify themselves using ID documents.

When States in Europe changed from absolute monarchies to constitutional States in the 19th century, the relationship between State and its citizens changed. Passports (pass from the French term passer: going from one place to another, port from porter: to carry) turned to be more than an ID document, they also confirmed that the holder was member of the issuing State and thus accepted as citizen and protected by it. Especially the issuing State allowed the travelling, including return and reintegration in the State of origin after return. Though the 19th century also is called the passport-less century – most States in middle and western Europe cancelled the obligation to carry a passport in the last third of this century –, a number of different regulations on ID documents and citizens’ registration remained.

An example for this is the “passport law for the Prussian monarchy (Pass-Edikt für die Preussische Monarchie)” from 1817 and the  “law on the integration of newly arriving persons (Gesetz über die Aufnahme neu anziehender Personen)” from 1842. Both laws required the registration of travellers in hotels and the transfer of the registration data to the police by the hotel owners. In contrast to this the Federation of Northern German States (Norddeutscher Bund) since 1876 had a “law on free movement (Gesetz über die Freizügigkeit)”, which remained generally in place in Germany until 1933.

In the First World War (1914-1918) in Germany an ID card was introduced, as in times of war control of people moving around and their identification seemed to be very important. Originally it was planned to have fingerprints in this ID card, but this was not implemented as dactyloscopy (comparison of fingerprints) typically was used as a forensic method at that time, replacing the anthropometria (registration and comparison of physical properties of persons) developed by Alphonse Bertillion at the end of the 19th century. At that time the German State decided to use photos in ID cards in order not to convey the impression that the ID card holder might be a criminal.

To verify identity information stated in ID documents various registers such as citizens’ registers or registers of the status of persons are used.  

In the local “law on citizens’ registration (Gesetz über das Meldewesen)” issued in 1929 in the city of Hamburg in Germany, taken over by Prussia in 1933, the transfer of personal data to other public administrations was regulated. The use of personal data, originally stored for citizens’ registration purposes, became common also for other purposes. In 1938 a centralised citizens’ register issued by the Ministry of the Interior was introduced for the whole of Germany. In the context of the National Socialist ideology, control of citizens in every aspect of life and registration duties at hotels, meeting places and the like were expanded and enforced. In case of data transfer among different registers and authorities a feedback (so called Rückmeldung) to the central citizens’ register was introduced. The underlying idea was to establish a central citizens’ register as the source for various purposes of the State, municipalities, the police and even the National Socialist Party. In cases of any “remarkable data” such as the belonging to a certain ethnic group, genetic diseases and migration, the “Secret State Police” (Geheime Staatspolizei, Gestapo) was informed. In this context the transfer of data could result in serious harm for persons concerned.

In the 1930s in Germany a national ID card (so called Kennkarte) was established. Originally nobody needed to have or carry one, but in 1938 carrying the ID card at any time became mandatory for Jews. This ID card was made of grey paper, strengthened by using linen, and it contained a photo and a fingerprint together with a big J (for Jew) stamped on it. Since 1939 carrying an ID card became mandatory for every citizen, but under the pressure of the “total war” since 1944 this was not enforced any more. The (ab)use of citizens’ registers and ID documents in totalitarian States is an interesting story on its own – for sure the history of the German Democratic Republic (GDR) also belongs to that chapter. But this is not in the scope of this contribution .

After the Second World War already in 1945 a new national ID document, the so called “Personalausweis”, was introduced as a grey booklet for every citizen aged 16 or older. In difference to the passport, the “Personalausweis” does not confirm the German citizenship and need not to be carried by its holder at any time. Since 1987 the “Personalausweis” is implemented as polycarbonate laminated ID card. This contains a Machine Readable Zone (MRZ) and since 2001 in addition a so-called “Identigramm” which is a holographic security element. Data contained in the MRZ are described in the German country report. 

Today citizens use a large variety of ID documents, e.g., passports, national ID cards, e-health cards, social insurance cards, credit cards, driving licenses, membership cards of various organisations, customer loyalty cards etc. These ID cards are used as a certificate for the (partial) identity of its holder, confirmed by private enterprises or public institutions. They confirm certain attributes, properties or authorisations of their holders, such as the membership in an organisation, the right to drive cars in certain countries or to get access to a certain area. They are meant to be used in a specific context. Typically they contain personal data such as the name, first name, date of birth, address, signature and photo of the holder and (official) seals or stamps. Usually the content that is certified is limited; for example a national ID card is not used to confirm that someone is allowed to drive a car, or a driving license cannot be used to cross borders. In case one could analyse all ID documents of a person, a quite impressive overview of his or her partial identities would result. This could give an overview on properties, interests, authorisations, abilities and possibly also intentions. 

Today citizens’ registers in Germany store many personal data based on the federal law for citizens’ registers (Melderechtsrahmengesetz). The registers are publicly accessible, so everyone has the right to access certain citizens’ data for defined purposes. Generally available data are: 

1. Surname, name of birth, first name 

2. Doctoral degree, pseudonymous name if existent 

3. Date and place of birth, gender 

4. Status of employment 

5. Children in custody younger than 27 

6. Nationality 

7. Membership of churches 

8. Address, secondary address if existent, former addresses and dates when they were changed 

9. Family status (single, married etc.), date and place of marriage, name of spouse, children younger than 27 

10. Existence of a national ID card and passport, issuing authority and expiry dates 

11. Date and place of death  

12. Reasons for the revocation of the right to vote (if revoked) 

13. Tax data 

14. Reasons for not being issued a passport (if existent) 

The “Melderechtsrahmengesetzt” also states who is allowed to access which data for which purposes. In special cases the access to these data can be blocked totally, e.g., in cases of danger to life, health or freedom.  

In addition to the citizens’ registers, Germany since 1876 has a citizens’ register office (Standesamt). Based on the law on persons’ status (Personenstandsgesetz), books on the persons’ status are administered. These books contain data on birth, marriage and death and additional data of changes of person’s status such as divorcement, changes in the membership of a church or change of gender. It is planned to substitute the traditional books by a central database by 2009.  

Currently national ID documents and passports are changing their character, as smart chips, RFID chip, magnetic stripes or laser engraved zones (a so-called laser band) are increasingly introduced. They are used to store information about the holder of the ID document digitally. In fact digital storage, transfer and processing of identifying information become increasingly important. One example of this is credit cards which also can be used for payment purposes via the internet. In the USA where currently no national ID card exists, the credit card also is used for identification purposes, e.g., in hotels or when booking a flight. In fact in Anglo-American countries national ID documents never were really established except in times of war.  

The corresponding illegal use of digital identities (or more precisely: digital identifiers) leads to identity fraud and identity theft. In case somebody is able to obtain and use relevant attributes, he is able to carry out (digital) transactions in the name of the original identity bearer. In this context reliable identification is an important instrument often referred to.

To improve the reliability of identification of citizens, new attributes are increasingly used by states. One example for this is the use of biometrics, e.g., in the context of epassports introduced in various European member states since November 2005. Reliable identification is of interest for public authorities such as police forces, border control authorities and the military, and also for the private sector to secure financial transaction and credit card payment.  

Summary

In this contribution the spotlight was directed at the history of reliable identification of persons, the establishment of citizens’ registers and the use of personal data stored on ID documents and in the registers. In the context of citizens’ registers, originally introduced as a means to verify data on ID documents, digital and central storage in databases and ID numbers for addressing and indexing purposes gain increasing importance.  

References

Brockhaus 1898 

Brockhaus, Konversationslexikon, Leipzig, 1898.

Caplan 2001 

J. Caplan, ‘This or that Particular Person’, in: Caplan & Torpey, Documenting individual identity, Princeton, 2001.

Donatsch 2000 

A. Donatsch, ‘Identifizierung von Tatverdächtigen’, in: unipublic, Veröff. der Uni Zürich, Oktober 2000.

Dülmen 2001 

R.V. Dülmen (Ed.), Entdeckung des Ich, Köln, 2001.

Fahrmeier 2000 

A. Fahrmeier, Citizens and Aliens, New York, 2000.

Gosewinkel 2001 

D. Gosewinkel, Einbürgern und Ausschließen, Göttingen, 2001.

Groebner 2004 

V. Groebner, Der Schein der Person, München, 2004.

Meder & Süßmuth 2006 

K. M. Meder & M. Süßmuth, Kommentar „Melderecht des Bundes und der Länder“, Stuttgart, 2006.

Wesel 1997 

Wesel, Geschichte des Rechts, 1997.