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THE INVENTION OF THE PASSPORT

This book presents the first detailed history of the modern passport and
why it became so important for controlling movement in the modern
world. It explores the history of passport laws, the parliamentary debates
about those laws, and the social responses to their implementation.
The author argues that modern nation-states and the international
state system have “monopolized the ‘legitimate means of movement,’”
rendering persons dependent on states’ authority to move about – espe-
cially, though not exclusively, across international boundaries. This new
edition reviews other scholarship, much of which was stimulated by the
first edition, addressing the place of identification documents in con-
temporary life. It also updates the story of passport regulations from the
publication of the first edition, which appeared just before the terrorist
attacks of 9/11, to the present day.

JOHN C. TORPEY is Presidential Professor of Sociology and History and

the director of the Ralph Bunche Institute for International Studies at
the Graduate Center, City University of New York. Before coming to
the Graduate Center, he was an associate professor of sociology at the
University of British Columbia, Vancouver, Canada. Previously he was
an assistant professor and the chair of the International Studies Faculty
Board at the University of California, Irvine. He has held fellowships
from the National Endowment for the Humanities, the German
Marshall Fund, the European University Institute (Florence), and the
Center for European Studies at Harvard. His other publications include
Intellectuals, Socialism and Dissent: The East German Opposition and Its
Legacy (1995), Documenting Individual Identity (2001, coedited with Jane
Caplan), Making Whole What Has Been Smashed: On Reparations Politics
(2006), Transformations of Warfare in the Modern World (2016, coedited
with David Jacobson), and The Three Axial Ages: Moral, Material, Mental
(2017), as well as numerous articles in such journals as Theory and
Society, Journal of Modern History, Sociological Theory, and Genèses:
Sciences sociales et histoire. In 2016–2017, he was president of the
Eastern Sociological Society.
CAMBRIDGE STUDIES IN LAW AND SOCIETY

Founded in 1997, Cambridge Studies in Law and Society is a hub for

leading scholarship in socio-legal studies. Located at the intersection of
law, the humanities, and the social sciences, it publishes empirically
innovative and theoretically sophisticated work on law’s manifestations
in everyday life: from discourses to practices, and from institutions to
cultures. The series editors have long-standing expertise in the inter-
disciplinary study of law, and welcome contributions that place legal
phenomena in national, comparative, or international perspective.
Series authors come from a range of disciplines, including anthropology,
history, law, literature, political science, and sociology.

Series Editors
Mark Fathi Massoud, University of California, Santa Cruz
Jens Meierhenrich, London School of Economics and Political Science
Rachel E. Stern, University of California, Berkeley

A list of books in the series can be found at the back of this book.
THE INVENTION OF THE
PASSPORT
Surveillance, Citizenship and the State
Second Edition

John C. Torpey
Graduate Center, City University of New York
University Printing House, Cambridge CB2 8BS, United Kingdom
One Liberty Plaza, 20th Floor, New York, NY 10006, USA
477 Williamstown Road, Port Melbourne, VIC 3207, Australia
314–321, 3rd Floor, Plot 3, Splendor Forum, Jasola District Centre,
New Delhi – 110025, India
79 Anson Road, #06–04/06, Singapore 079906

Cambridge University Press is part of the University of Cambridge.

It furthers the University’s mission by disseminating knowledge in the pursuit of
education, learning, and research at the highest international levels of excellence.

www.cambridge.org
Information on this title: www.cambridge.org/9781108473903
DOI: 10.1017/9781108664271
© John C. Torpey 2000, 2018
This publication is in copyright. Subject to statutory exception
and to the provisions of relevant collective licensing agreements,
no reproduction of any part may take place without the written
permission of Cambridge University Press.
First published 2000
Second Edition 2018
Printed and bound in Great Britain by Clays Ltd, Elcograf S.p.A.
A catalogue record for this publication is available from the British Library.
Library of Congress Cataloging-in-Publication Data
Names: Torpey, John, 1959– author.
Title: The invention of the passport : surveillance, citizenship and the state /
John C. Torpey, Graduate Center, City University of New York.
Description: Second edition. | New York, NY ; Cambridge, United Kingdom :
Cambridge University Press, 2018. | Series: Cambridge studies in law and society | Includes
bibliographical references and index.
Identifiers: LCCN 2018017263 | ISBN 9781108473903 (hardback) | ISBN
9781108462945 (paperback)
Subjects: LCSH: Passports – United States. | Freedom of movement – United States. |
Passports – Europe, Western. | Freedom of movement – Europe, Western.
Classification: LCC K3273 .T67 2018 | DDC 323.6/70973–dc23
LC record available at https://lccn.loc.gov/2018017263
ISBN 978-1-108-47390-3 Hardback
ISBN 978-1-108-46294-5 Paperback
Cambridge University Press has no responsibility for the persistence or accuracy of
URLs for external or third-party internet websites referred to in this publication
and does not guarantee that any content on such websites is, or will remain,
accurate or appropriate.
For Zoe and Zora
in the hope that they get wherever they want to go
.
The vagabond is by definition a suspect.
Daniel Nordman
CONTENTS

Preface to the Second Edition page xi

Acknowledgments xvi

Introduction 1
1 Coming and Going: On the State Monopolization of the
Legitimate “Means of Movement” 5
Monopolizing the Legitimate “Means of Movement” 8
Modern States: “Penetrating” or “Embracing” ? 12
Getting a Grip: Institutionalizing the Nation-State 17
The Prevalence of Passport Controls in Absolutist Europe 22

2 “Argus of the Patrie”: The Passport Question in the French

Revolution 26
The Passport Problem at the End of the Old Regime 26
The Flight of the King and the Revolutionary Renewal of Passport Controls 31
The Constitution of 1791 and the Elimination of Passport Controls 36
The Debate Over Passport Controls of Early 1792 40
A Detailed Examination of the New Passport Law 44
Passports and Freedom of Movement Under the Convention 54
Passport Concerns of the Directory 63

3 Sweeping Out Augeas’s Stable: The Nineteenth-Century

Trend toward Freedom of Movement 70
From the Emancipation of the Peasantry to the End of the Napoleonic Era 71
Prussian Backwardness? A Comparative Look at the Situation in
the United Kingdom 81
Freedom of Movement and Citizenship in Early Nineteenth-Century Germany 87
Toward the Relaxation of Passport Controls in the German Lands 91
The Decriminalization of Travel in the North German Confederation 99
Broader Significance of the 1867 Law 108

4 Toward the “Crustacean Type of Nation”: The Proliferation

of Identification Documents from the Late Nineteenth
Century to the First World War 114
Passport Controls and State Development in the United States 115

ix
CONTENTS

Paper Walls: Passports and Chinese Exclusion 118

The “Nationalization” of Immigration Restriction in the
United States 124
Sovereignty and Dependence: the Italian Passport Law of 1901 126
The Spread of Identification Documents for Foreigners in France 130
The Resurrection of Passport Controls in Late Nineteenth-Century
Germany 133
The First World War and the “Temporary” Reimposition of Passport
Controls 136
“Temporary” Passport Controls Become Permanent 142
The United States and the End of the Laissez-faire Era in Migration 144

5 From National to Post-National? Passports and Constraints

on Movement from the Interwar to the Postwar Era 151
The Emergence of the International Refugee Regime in the
Early Interwar Period 153
Passports, Identity papers, and the Nazi Persecution of the Jews 162
Loosening Up: Passport Controls and Regional Integration in
Postwar Europe 177

6 “Everything Changed That Day”: Passport Regulations after

the Terrorist Attacks of September 11, 2001 195
Canada 206
The United Kingdom 209
France 211
Germany 215
Conclusion 216

Conclusion: A Typology of “Papers” 218

International Passports 220
Internal Passports 226
Identity Cards 227

References 230
Index 247

x
PREFACE TO THE SECOND EDITION

The idea of examining the history of passports originally suggested itself, in the
early 1990s, as a way to think about changes then taking place on the inter-
national scene as a result of the collapse of the Soviet Union and of Yugoslavia.
In that context, the question arose once again of the “nationality” of people
whose state had dissolved around them or who were set adrift as a consequence
of war and conflict. There were echoes of the processes that followed World
War I, about which Hannah Arendt wrote in an effort to make sense of the
status of those abandoned by history after the collapse of the European land
empires. “What” were these people, nationally speaking? To what state were
they connected, what did they owe that state, and what did that state have to
do for them? It occurred to me as I thought about these issues that they
reflected an older, epochal change in human affairs. This shift I called the
“monopolization of the legitimate ‘means of movement’” by states and their
imposition of mechanisms aiming to tie persons to political orders and to
constrain or facilitate movement, as they saw fit at various times and places.
The passport – that little paper booklet with the power to open interna-
tional doors – seemed the perfect vehicle through which to explore some of the
most important features of modern nation-states. Although I had little knowl-
edge of the literature on migration when I started out, I became willy-nilly
a contributor to the discussions about migration that were gathering pace at
that time. Ultimately, I was a lapsed Marxist and now dyed-in-the-wool
Weberian trying to make sense of the meaning of modern states and their
preoccupation with nationality in both the objective and subjective senses.
The inclusion of the term “surveillance” in the subtitle was somewhat off-
handed, a paean to the often puzzling ascendancy of Foucault in the American
academy during and after my years in graduate school (1985–1992).
Yet the book proved to be part of a burgeoning literature on identification
practices and their spread during the modern (and postmodern) period. This
outcome was a product in part of my collaboration with Jane Caplan on
a companion volume, Documenting Individual Identity: The Development of
State Practices in the Modern World (2001), that appeared a year after
The Invention of the Passport. The volume with Jane Caplan examined identi-
fication practices, documentary controls on movement, and the like across
a range of settings around the world and across historical time. Approximately

xi
PREFACE TO THE SECOND EDITION

a decade later, a follow-on to Documenting Individual Identity sought to further

expand the reach of these studies in historical and geographic terms as well as
to survey the research that had been conducted in this area during the
intervening period (About, Brown, and Lonergan 2013).
The study of passports and of personal identification more generally has
developed significantly since the original publication of The Invention of the
Passport in 2000. The book’s emphasis on documents as the means with which
states seek to “monopolize the legitimate ‘means of movement’” has been
found fruitful by a number of other scholars, such as political scientist Mark
B. Salter and media historian Craig Robertson. Salter found it a valuable way
of approaching the state’s role in regulating international movement (2003,
2008), whereas Robertson was more interested in the ways in which passports
were used to verify and certify identity (2010). Salter flatteringly described the
book as a “landmark survey on the passport in Europe,” but noted that “the
colonial scene complicates” the distinction I made between “national” and
“international space” (Salter 2003: 55–56). Having learned more about
empires in the meantime, I am inclined to agree that I failed to take coloni-
alism properly into account in thinking about the ways in which states have
regulated movement in the modern world (Barkey 2008; Burbank and Cooper
2010). This is not the place to try to rectify that lacuna. But a major contribu-
tion to doing so has recently appeared from the pen of Jaeeun Kim, who has
written brilliantly about the role of passports and other documents in “trans-
border membership politics in twentieth-century Korea.” Kim’s book explores
in tremendous depth the ways in which documents were used to regulate the
movements of and impute nationality to the Koreans of China, Japan, and the
peninsula itself in the shifting contexts of Japanese imperialism, Chinese
revolution, and the building of nation-states in the divided Koreas after
World War II (Kim 2016). Examination of the passport seems to have proven
a productive way to think about how states have extended their capacity to
govern movements that had previously been ungoverned.
At the same time, the insights of the book have been expanded upon by
those who focus on other aspects of passports and other kinds of identification.
First, some, such as Breckinridge and Szreter (2012) and Caplan and Higgs
(2013), have stressed the extent to which identification documents such as
passports may be useful to their bearers, not simply a technique through which
states may impose control. These scholars note that access to public services
and social benefits may depend crucially on people’s ability to verify their
identity to the relevant authorities. Obviously, if a person wants to travel
abroad, a passport is typically a valuable thing to have even if it is not
necessarily required in all cases. Internally, ID cards may be necessary for
gaining access to public goods; the paradigm case at present is the Indian
Aadhaar card, which is intended to provide verified identification to millions

xii
 PREFACE TO THE SECOND EDITION

of Indians so that they can receive welfare benefits from the state
(Government of India 2016).
Next, scholars of identification practices have stressed the ways in which
identification is increasingly a commercial matter, not just one for states.
David Lyon, probably the most distinguished analyst of modern surveillance
techniques, has made this point in a number of his writings (Lyon 1994).
Although it may be true that states could not function without the ability to
identify citizens and to distinguish them from noncitizens, businesses similarly
would not be able to operate if they could not identify customers for purposes of
the payment and delivery of goods and services. The fact that such identifica-
tion is increasingly conducted via computer makes it that much more inescap-
able; anything and everything we do online can now be used against us, so to
speak. The need for cash, which is something like the monetary equivalent of
a passport, declines accordingly – unless, of course, one has reasons to operate
in the shadows. It is difficult to escape the bright light of identification online.
A third aspect of recent scholarship on passports and other identification
documents involves the stress on how these documents distinguish among
identities in a difference-generating manner. That is, possession of the “right”
passport may help speed movement for properly preapproved passengers,
whereas those who have not undergone the prescreening of their identification
documents must wend their way through long, slow lines awaiting processing
at airports and other restricted zones. As David Lyon has stressed, the exigen-
cies of contemporary life are such that mobility must both be smoothed in the
interest of the circulation of goods and persons and filtered to constrain the
movement of unwanted elements (2008). Similarly, Ayelet Shachar (2009:
810) has observed that “we increasingly witness a border that is . . . at once
more open and more closed than in the past.”1 And, as we shall see, the
“border” is a variable quantity not always found at the line one sees on a map.
In addition, there are many who as a practical matter never have a chance to
cross the border in any case, as their passports are inadequate to get them across
without a visa that, in turn, may be prohibitively expensive in money, time, or
other costs. As outlined in the newly drafted Chapter 6, the post-9/11 period
has been marked by heightened security concerns that have put the filtering
process under extraordinary scrutiny; no one wants to be responsible for having
let the next would-be shoe bomber onto an airliner. Yet programs to speed the
movements of those previously approved for expedited movement have
expanded noticeably, as indicated by the emergence in the United States of
such programs as Global Entry, NEXUS, and TSA Pre-Check. While the

1
Shachar’s nuanced view of changes in border control is a valuable alternative to the “static”
versus “disappearing” views of borders that she criticizes. Yet she seems to regard as recent many
phenomena associated with what Aristide Zolberg long ago called “remote control” when
describing efforts to keep potential intruders at bay before they ever embarked on a journey to
the destination country.

xiii

.
PREFACE TO THE SECOND EDITION

passport certainly is still used to constrain the movements of those whose data
are reviewed at a point of entry, more and more people are taking advantage of
opportunities to circumvent the long lines and whisk through checkpoints on
the basis of prior official acceptance that they are who they say they are and
have been found to be unobjectionable.
It was entirely fortuitous that The Invention of the Passport first appeared not
long before September 11, 2001. Needless to say, however, that date marks
a watershed in governments’ efforts to secure their borders and forestall further
terrorist attacks. This new edition includes a completely new chapter examin-
ing developments in documentary controls of international movement since
those attacks. I have also taken the opportunity to make a number of relatively
minor corrections and emendations to the original text. I hope this new
edition brings up to date the fascinating story of how passports have been
used to govern the modern world of international mobility.
I would like to take this opportunity to comment on one reviewer’s reactions
to the book. Although he was generally enthusiastic about it, distinguished
scholar James C. Scott argued in a review in the Journal of Modern History that
I overstated the efficacy of documentary controls on movement: “While it is
true . . . that there is now a hegemonic regime of passports indicative of a ‘hard-
shelled’ state,” Scott wrote, “surely what is at least as remarkable is how porous
and ineffective it is. . . . Every border, every jurisdiction with different laws,
tariffs, price structures, and opportunities is not so much a barrier as an
opportunity.” These objections reflect Scott’s long and illuminating preoccu-
pation with the “weapons of the weak” and their “arts of resistance.” But they
seem at odds with the scorching diatribe against the emergence of states that
can be found in his more recent Against the Grain: A Deep History of the Earliest
States (2017). There, Scott decries the development of states that depended on
economies based on the cultivation of grains and, in the process, chained
individuals to their tasks and to service to the state. Like Scott in Against the
Grain, it did seem to me that the period since about 1600 – the same one he
identifies as marking a new epoch in which states and their tax collectors
covered the earth – bore witness to a new departure in the regulation of human
mobility. Of course the “monopolization of the legitimate ‘means of move-
ment’” has never been completely effective and, as I noted in the book, it is
especially difficult to constrain pedestrians. But with the invention of all sorts
of conveyances, such as railroad cars, airplanes, and, indeed, automobiles, it
has become much easier to subject travelers to regulation. Those who cross
international borders now typically do so in such mobile containers, and are
thus more easily subjected to constraints than the traveler on foot.
Accordingly, the effectiveness of the passport system is much enhanced for
the millions of those who traverse borders in conveyances, but even those who
move on foot widely confront more developed infrastructures of mobility
regulation. Differences across states are a result of their varying bureaucratic

xiv
 PREFACE TO THE SECOND EDITION

capacities, just as their effective sovereignty varies (Krasner 1999). In sum,

while I disagree with Scott’s general criticism from fifteen years ago (and it
seems that he might not agree with it himself at this point), there is unques-
tionably a gap between written regulations and facts on the ground and it is an
empirical question how large that gap may be in particular instances. Still, to
see nothing but loopholes in these laws is to see only trees rather than the
forest they comprise.
In conclusion, I must thank Marianne Madoré and Kamran Moshref, PhD
students at the CUNY Graduate Center, for their research assistance in
preparing this revised edition. I simply couldn’t have done it without them.
Marianne, in particular, made a number of suggestions for improving the text,
some of which I took and some of which I declined; in all events, no one is
responsible for the final text but me.
I must also thank the Graduate Center itself, which has provided a most
congenial and stimulating academic home for me over the past decade and
more. I am more grateful to the Graduate Center and to my colleagues there
than I can adequately say. The opportunity to direct the Ralph Bunche
Institute for International Studies since 2014 has been particularly gratifying,
and I am especially indebted to several of my colleagues there: director
emeritus Thomas G. Weiss, long-time administrative director Nancy Okada,
incoming administrative director Eli Karetny, and the associate director of the
European Union Studies Center, Patrizia Nobbe. They make coming in to the
office every day a genuine pleasure.

xv
ACKNOWLEDGMENTS

While I was confident from the outset that a book about “the history of
the passport” was a clever idea, I was less convinced at first that this was
a subject of any real significance. I therefore owe a great debt to several
historians who helped persuade me very early on that this would indeed
prove a worthwhile undertaking: Paul Avrich, Eric Hobsbawm,
Stephen Kern, Eugen Weber, and Robert Wohl. While I had the
good fortune to enjoy an extended colloquy with Robert Wohl in the
context of a National Endowment for the Humanities–sponsored semi-
nar on intellectuals and politics during the summer of 1994 when the
idea for this study was first formulated, the others simply responded to
an unsolicited query from a young scholar unknown to them. This
generosity only increased the admiration I had for them, which was of
course what had led me to write to them in the first place. Todd Gitlin
also reacted with enthusiasm to the idea of the book. Todd’s endorse-
ment of the project as well as his steadfast support for me and my work
have been a source of great satisfaction over the past decade and more;
I feel honored to have his friendship and encouragement. Without the
generosity of these people, this project would never have become more
than an idle curiosity.
Once I had seriously embarked on the project, two other people,
Gerard Noiriel and Jane Caplan, lent their enthusiasm and provided
shining examples of the kind of scholarship I wanted to produce.
Noiriel’s writings on the history of immigration, citizenship, and iden-
tification documents in France have been a major inspiration for me;
the citations of his work in the text point only to the visible peak of an
iceberg of scholarly debt. Jane Caplan’s support for this project quickly
led to a collaborative undertaking on related issues concerning the
practices that states have developed to identify individuals in the
modern period, to be published elsewhere. Working with her has
been both a real pleasure and an extended private tutorial (entirely
unrecompensed) in scholarly professionalism. I feel profoundly fortu-
nate and grateful that David Abraham put us in touch, somehow

xvi
THE INVENTION OF THE PASSPORT

In the remainder of this chapter, I undertake four tasks. First, I show

how and why states have sought to monopolize the “legitimate ‘means of
movement’” – that is, to gather into their own hands the exclusive right
to authorize and regulate movement. Next, I argue that the processes
involved in this monopolization force us to rethink the very nature of
modern states as they have been portrayed by the dominant strands of
sociological theories of the state. In particular, I seek to show that the
notion that states “penetrate” societies over time fails adequately to
characterize the nature of state development, and argue instead that we
would do better to regard states as “embracing” their citizenries more
successfully over time. Then, I analyze the need for states to identify
unambiguously who belongs and who does not – in order to “embrace”
their members more effectively and to exclude unwanted intruders.
Finally, I examine some of the efforts of early modern states in Europe
to implement documentary restrictions on movement, and thus to render
populations accessible to their embrace.

MONOPOLIZING THE LEGITIMATE “MEANS OF

MOVEMENT”
States have sought to monopolize the capacity to authorize the move-
ments of persons – and unambiguously to establish their identities in
order to enforce this authority – for a great variety of reasons that reflect
the ambiguous nature of modern states, which are at once sheltering
and dominating. These reasons include such objectives as the extrac-
tion of military service, taxes, and labor; the facilitation of law enforce-
ment; the control of “brain drain” (i.e., limitation of departure in order
to forestall the loss of workers with particularly valued skills); the
restriction of access to areas deemed off-limits by the state, whether
for “security” reasons or to protect people from unexpected or unac-
knowledged harms; the exclusion, surveillance, and containment of
“undesirable elements,” whether these are of an ethnic, national, racial,
economic, religious, ideological, or medical character; and the super-
vision of the growth, spatial distribution, and social composition of
populations within their territories.
States’ efforts to monopolize the legitimate “means of movement”
have involved a number of mutually reinforcing aspects: the (gradual)
definition of states everywhere – at least from the point of view of the
international system – as “national” (i.e., as “nation-states” comprised of
members understood as nationals); the codification of laws establishing

8
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