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“Trade with security” : how Canada and the Netherlands relocated state frontiers through civil aviation… Sulmona, Luigi Giuseppe 2012

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“TRADE WITH SECURITY”: HOW CANADA AND THE NETHERLANDS RELOCATED STATE FRONTIERS THROUGH CIVIL AVIATION NETWORKS  by Luigi Giuseppe Sulmona M.A., The University of British Columbia, 1992  A THESIS SUBMITTED IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF  DOCTOR OF PHILOSPHY  in  The Faculty of Graduate Studies (Geography)  THE UNIVERSITY OF BRITISH COLUMBIA (Vancouver)  April 2012 © Luigi Giuseppe Sulmona, 2012  Abstract Since the 1980s, globalization has driven rapid civil aviation industry growth, creating enforcement issues for border control agencies and complicating passenger service. In response, airlines, airports, and the state jointly pursued trade facilitation, including Advanced Border Control (ABC) programs (i.e. Automated Border Kiosks, United States Preclearance Service, and Advanced Passenger Information Systems). As September 11, 2001 (9/11) attacks drove resurgent border control policy, the ABC programs became increasingly useful. Post-9/11 national security policy also had globalization implications, summarized in 2003 by the U.S. Ambassador to Canada, Paul Cellucci, as “security trumps trade”. This thesis therefore examines how ABC programs influenced the civil aviation industry, and the balance between trade and national security from 1985 to 2010, with case studies from Canada and the Netherlands. The methodology involved a review of the academic literature, relevant policy and corporate documents, and stakeholder interviews. The research concludes that the civil aviation firms and border control agencies maintained continuous collaboration, despite political, business, and technical challenges. Relations did change post-9/11, especially in Canada with increased state leadership. The research thus contributes to understanding border control partnerships between agencies, airlines, and airports that worked towards a “trade with security” strategy. The research also identifies that this private and public sector coordination encouraged collaboration with the U.S. on trade and national security policies. Conceptually, this multi-decade symbiotic state-firm “partnership” had material implications for trans-national relations by contributing to the “relocation of frontiers to ii  extra-territorial and virtual spaces”. The ABC program “remote-control” tools thus permit the re-working of spatial interaction, with the “re-location” of territory that redefines where the state may “perform” its sovereign duties. For globalization, this means firms contribute to “negating border controls, but not sovereign borders”, which paradoxically strengthens the ability for the state to protect national security interests through the “projection of sovereignty”. These practices however need attention given the potential for human rightsrelated exclusion, along with unwarranted firm complexity. However, in looking towards a world where mobility and connectivity become paramount for societal participation, streamlined linkages enabled by sophisticated ABC programs can permit local spaces to better participate in global flows.  iii  Preface  In compliance with University of British Columbia, Faculty of Graduate Studies requirements, the following section identifies the components of the research that was partly or wholly published in articles, was part of a collaboration, or required the approval of the UBC Research Ethics Boards.  The research project involved:   Initial collaboration between the researcher and Dr. Ken Denike in establishing the overall research scope and project limits;    Ongoing collaboration between the researcher and Dr. Edgington with regard to the research proposal and topic content;    Ongoing collaboration between the researcher and Dr. Ken Denike, Dr. David Edgington, Dr. Elvin Wyly, and Dr. Antje Ellermann with regard to research methods and refining research project drafts; and,    Obtaining from the UBC Office of Research Services, approval from the Behavioural Research Ethics Board based on the following Certificate Number H10-02019.  iv  Table of Contents  Abstract ........................................................................................................................... iii Preface ............................................................................................................................iv Table of Contents ............................................................................................................ v List of Tables ................................................................................................................. viii List of Figures ..................................................................................................................ix Glossary .......................................................................................................................... x Acknowledgements ....................................................................................................... xiii Part I  Research Introduction and Literature Review................................................ 1  Chapter 1. 1.1. 1.2. 1.3. 1.4. 1.5. 1.6. 1.7.  Overview .............................................................................................................. 1 Research Scope ................................................................................................. 16 Research Hypothesis ......................................................................................... 24 Case Study Selection ......................................................................................... 32 Research Methodology ....................................................................................... 39 Research Contribution ........................................................................................ 47 Thesis Structure ................................................................................................. 49  Chapter 2. 2.1. 2.2. 2.3. 2.4. 2.5. 2.6. 2.7. 2.8. 2.9.  Literature Review and Assessment ...................................................... 51  Introduction ......................................................................................................... 51 Globalization/Trade versus National Security Framework .................................. 55 Framework Assessment ..................................................................................... 57 Border Studies .................................................................................................... 66 Globalization, Trade, and National Borders ........................................................ 70 Civil Aviation Networks ....................................................................................... 78 International Relations, Migration, and National Security ................................... 87 State And Private Sector Interaction................................................................... 98 Literature Assessment Summary...................................................................... 108  Part II  Research Topic Background and Case Study Assessment ...................... 112  Chapter 3. 3.1. 3.2. 3.3. 3.4. 3.5.  Introduction ............................................................................................ 1  Civil Aviation and ABC Program Background..................................... 112  Introduction ....................................................................................................... 112 Research Topic Background ............................................................................ 112 Industry Wide Traffic Activity ............................................................................ 116 Case Study (Canada And Netherlands) Traffic Activity .................................... 118 Global Regulatory Framework .......................................................................... 120 v  3.6. Early ABC Program Developments (Pre-1985) ................................................ 127 3.6.1. Civil Aviation ................................................................................................. 127 3.6.2. ABC Programs .............................................................................................. 129 3.7. Rapid Globalization Era (1985 - 2000) ............................................................. 133 3.7.1. Canada-U.S. Developments (1985 - 2000) ................................................... 135 3.7.2. Netherlands - Europe Developments ............................................................ 142 3.8. Current Period (2001 - 2010) ............................................................................ 145 3.8.1. Canada-U.S. Developments ......................................................................... 145 3.8.2. Netherlands - Europe Developments ............................................................ 156 3.9. Civil Aviation and ABC Program Summary ....................................................... 158 Chapter 4. 4.1. 4.2. 4.3.  Introduction ....................................................................................................... 160 ABC Program Relationships ............................................................................. 160 State-Firm Relationship Summary .................................................................... 164  Chapter 5. 5.1. 5.2. 5.3. 5.4. 5.5. 5.6. 5.7.  Supra-State and Global Private Sector Organizations ....................... 165  Introduction ....................................................................................................... 165 International Civil Aviation Organization (ICAO) ............................................... 165 International Criminal Police Organization (INTERPOL) .................................. 174 International Air Transport Association (IATA).................................................. 178 Airport Council International (ACI) .................................................................... 184 Civil Aviation Industry Association .................................................................... 188 Supra-National Organization Summary ............................................................ 192  Chapter 6. 6.1. 6.2. 6.3. 6.4. 6.5. 6.6. 6.7. 6.8. 6.9. 6.10. 6.11. 6.12. 6.13. 6.14. 6.15.  State-Firm Relationships .................................................................... 160  Canada Case Study ........................................................................... 194  Introduction ....................................................................................................... 194 Canada Border Services Agency (CBSA) ........................................................ 194 Canadian Department of Foreign Affairs and International Trade (DFAIT)....... 201 Canada Public Sector Summary....................................................................... 210 Air Transport Association Of America (ATA) .................................................... 212 Air Canada (AC) ............................................................................................... 217 United Airlines (UA) .......................................................................................... 222 Vancouver International Airport Authority (YVRAA).......................................... 226 Toronto International Airport Authority (GTAA) ................................................. 233 Montreal International Airport Authority (ADMTL) ............................................. 238 Ottawa International Airport Authority (OMCIAA) ............................................. 242 Can/Am Border Trade Alliance (CABTA).......................................................... 246 A Private Consultancy ...................................................................................... 257 Former U.S. Ambassador to Canada ............................................................... 262 Canada Private Sector Interviews Summary .................................................... 271 vi  Chapter 7. 7.1. 7.2. 7.3. 7.4. 7.5. 7.6. 7.7. 7.8. 7.9. 7.10.  Netherlands Case Study .................................................................... 273  Introduction ....................................................................................................... 273 European Commission, Directorate-General for Home Affairs (DGHA) ........... 273 FRONTEX ........................................................................................................ 282 Netherland Ministry of Justice, Immigration Naturalization Department (IND) .. 286 Netherland Public Sector Interviews Summary................................................. 293 KLM Royal Dutch Airlines (KLM) ...................................................................... 293 Amsterdam International Airport (Schiphol) ...................................................... 298 Aruba International Airport (AUA) ..................................................................... 308 Netherlands Private Sector Interviews Summary ............................................. 313 Case Study Summary ....................................................................................... 314  Part III Research Assessment and Conclusions ......................................................... 315 Chapter 8.  Research Assessment ....................................................................... 315  8.1. Case Study Assessments ................................................................................. 315 8.1.1. ABC Program Evolution in the Rapid Globalization Era ................................ 315 8.1.2. Post-9/11 Major Changes ............................................................................. 323 8.2. Trade and National Security Policy Implications ............................................... 328 8.3. Contemporary ABC Program Status................................................................. 336 8.4. Future ABC Program Issues for Stakeholders .................................................. 345 8.5. Alternative Assessment .................................................................................... 351 Chapter 9. 9.1. 9.2. 9.3. 9.4. 9.5. 9.6. 9.7. 9.8. 9.9.  Thesis Conclusions ............................................................................ 353  Introduction ....................................................................................................... 353 Relationship Structure Implications .................................................................. 354 State–Firm Implications .................................................................................... 356 Inter-State Relations Implications ..................................................................... 363 Globalization/Trade versus National Security Implications ............................... 367 Transportation Network Implications ................................................................ 369 Critical Geographies Implications ..................................................................... 372 Policy and Future Research Implications ......................................................... 380 Concluding Remarks ........................................................................................ 382  Bibliography ................................................................................................................ 385 Appendices ................................................................................................................. 409 Appendix A: Research Project Methodology ............................................................... 410 Appendix B: Case Study Interview Schedule .............................................................. 421 Appendix C: Case Study Interview Questions ............................................................. 423 vii  List of Tables Table 1 ABC Program Definitions ................................................................................... 3 Table 2 ABC Program Evolution (pre 1985 - 2010) ..................................................... 115 Table 3 Canada–U.S. Air Route and Capacity Changes (1994 - 2005) ...................... 119 Table 4 Major External Events Affecting Civil Aviation (1970 - 2010) ......................... 128 Table 5 Major Biometric System Developments (1920 - 1980) ................................... 129 Table 6 Canada-U.S. Air Service Destination Changes (1994 - 2005) ........................ 147 Table 7 E.U. ABK Programs (2009) ............................................................................ 156 Table 8 ABC Program Case Study Summary ............................................................. 327  viii  List of Figures Figure 1 Case Study Sites............................................................................................. 20 Figure 2 Research Methodology ................................................................................... 39 Figure 3 Globalization versus National Security Framework ......................................... 54 Figure 4 ICAO Inter-State and State-Firm Decision Making Framework ..................... 122 Figure 5 Amsterdam Airport Privium Kiosk.................................................................. 144 Figure 6 Civil Aviation Firm and Inter-State Relationships (1985 - 2010) .................... 161 Figure 7 Aruba Airport Departure Terminal Signage ................................................... 312  ix  Glossary 9/11  Terrorist attacks in the United States on September 11, 2001  ABC  Advanced Border Controls  ABK  Automated Border Kiosks  AC  Air Canada  ACI  Airports Council International  ADMTL  Aéroports de Montréal  AMS  Amsterdam International Airport [Schiphol]  APIS  Advanced Passenger Information System  AQQ  APIS Quick Query  ASA  Air Services Agreement  ATA  Air Transport Association of America  AUA  Aruba Airport Authority N.V.  CABTA  Can / Am Border Trade Alliance  CAC  Canada Airports Council  CANPASS  Canadian Passenger Accelerated Service System  CBA  Canadian Bar Association  CBSA  Canada Border Services Agency  CCRA  Canada Customs and Revenue Agency  CIC  Citizenship and Immigration Canada  CUFTA  Canada - United States Free Trade Agreement (1988)  DFAIT  Canada Department of Foreign Affairs and International Trade  DGHA  Directorate General Home Affairs  E.C.  European College of Commissioners  EDIFACT  Electronic Data Interchange for Administration, Commerce, and Transport (UN)  E-PIL  Electronic Primary Inspection Line  EPPS  Expedited Passenger Processing Services  ESTA  Electronic System for Travel Authorization [U.S.]  ETA  Electronic Travel Authorization (Australia) x  E.U.  European Union  FRONTEX  European Agency for the Management of Operational Cooperation at the External Borders of the Member States of the European Union  GDP  Gross Domestic Product  GTAA  Greater Toronto Airport Authority  IATA  International Air Transport Association  IBSM  Integrated Border Security Model (E.U.)  ICAO  International Civil Aviation Organization [UN]  ICT  Information and Communications Technology  IND  Immigration and Naturalisation Service of the Netherlands  INS  Immigration and Naturalization Service [U.S.]  INTERPOL  International Criminal Police Organization  IRPA  Immigration and Refugee Protection Act [Canada]  IRTPA  Intelligence Reform and Terrorism Prevention Act [U.S.]  ITPC  In-Transit U.S. Preclearance  KLM  KLM Royal Dutch Airlines  MRTD  Machine Readable Travel Document  NAFTA  North American Free Trade Agreement (1994)  NDPC  Netherlands Data Protection Commission  NORAD  North American Aerospace Defence Command  OMCIIA  Ottawa Macdonald-Cartier International Airport Authority  OPEC  Organization of Petroleum Exporting Countries  OSA  Open-Skies Agreement  PNR  Passenger Name Record  PSA  Public Safety [and Emergency Preparedness] Act [Canada]  RFID  Radio Frequency Identification Detection  RNM  Royal Netherlands Marechaussee [military police]  RT  Registered Travelers  SAA  Schengen Agreement Area  SAA VIS  SAA Visa Information System xi  SARPs  Standards and Recommended Practices  SBA  Shared Border Accord (1995)  SBD  Smart Border Declaration (2001)  Schiphol  Amsterdam International Airport N.V.  SENTRI  Secure Electronic Network for Travelers Rapid Inspection (U.S.)  SPT  Simplifying Passenger Travel [IATA]  STB  Simplifying the Business [IATA]  TT  Trusted Traveler  UA  United Airlines  UN  United Nations  U.S.  United States of America  U.S. CBP  U.S. Customs and Border Protection  U.S. DHS  U.S. Department of Homeland Security  U.S. INS IG  U.S. Immigration Inspector General  USCS  U.S. Customs Service  USPC  U.S. Preclearance Service  US-VISIT  U.S. - Visitor and Immigrant Status Indicator Technology  WCN  World City Network  WHTI  Western Hemisphere Travel Initiative (U.S.)  WMD  Weapon of Mass Destruction  WTO  World Trade Organization  YOW  Ottawa (Macdonald-Cartier) International Airport  YUL  Montreal (Trudeau) International Airport  YVR  Vancouver International Airport  YVRAA  Vancouver International Airport Authority  YYZ  Toronto (Pearson) International Airport  xii  Acknowledgements  The genesis for this research extends back more than two decades with inspiration from Mr. Gerry Bruno. This remarkable leader has enhanced the protection of civil society and encouraged economic development through transportation and border control innovation. This author much appreciates Mr. Bruno’s insight and persistence, with many thanks for his long-standing friendship and support. In parallel, the development of this researcher’s intellectual capacities to undertake this work would simply not have been possible without ongoing guidance by Dr. Ken Denike. His mentoring relationship over the past twenty-seven years is reflective of Dr. Denike’s commitment to excellence in teaching and scholarship. My appreciation is extended to the Supervisory Committee, especially Project Supervisor, Dr. David W. Edgington, along with Dr. Antje Ellermann and Dr. Elvin Wyly. Thanks also to Dr. Daniel Hiebert, Dr. Tae Oum, and Dr. Claude Comtois. This project also required the valuable assistance in looking at the world in different ways; thus, my gratitude to Dr. Garland Chow, Dr. David Emerson, Dr. Trevor Heaver, Dr. Michael Tretheway, Dr. Bill Waters, as well as to Guy Brazeau, Claude Brunet, Kevin Caron, Deb Day, Brian Flagel, Christian Hansen, Doug Hibbins, Wayne McNeal, Natalie Meixner, Joe O’Gorman, Paul Ouimet, Jim Phillips, Henry Ristic, David Stewart, Perry Staniscia, Tony Testini, Chris Wiesinger, and Dr. Arianna Yakirov. My special thanks to Solomon Wong for his extensive support. Finally, encouragement of family, friends, and other professional colleagues who contributed to preparing the manuscript was indispensable. xiii  Part I Research Introduction and Literature Review  Chapter 1.  1.1.  Introduction  Overview “Shippers are seeking international gateways that can provide services consistent with seamless logistics. This places pressure on public and private organizations, such as customs [agencies] and freight forwarders, to adopt competitive technologies and systems. Electronic data and integrated management practices enable significant improvement in border procedures. A comparison [in Canada, the Netherlands, the United Kingdom, and the United States] reveals strategic changes by custom [agencies] will enable more efficient logistics services. However, customs and [freight] forwarders are progressing at different rates”. (Heaver, 1992)  This prescient excerpt from, The Role of Customs Administration in the Structure and Efficiency of International Logistics: An International Comparison reflects on the importance of border control agencies and transportation firms working together in response to globalization and national security pressures. Although this particular article deals with the movement of goods and was prepared well before the terrorist attacks in the U.S. in 2001, the concepts identified by Heaver are informative for this thesis concerning how state-firm relations influence trans-national air passenger networks. As well, Heaver concludes that competitive advantages are available to those gateway service providers that collaborate with border control agencies to “get new infrastructure and services in place early”. Regrettably, the transportation geography literature has yet to address the spatial implications of the Advanced Border Control (ABC) programs. 1  As such, and central to this thesis is the role of globalization that stimulated a nearly 950% increase in air passenger traffic from 1945 to 2010 (Airbus, 2010). This increase occurred despite the shocks to the industry since formation in 1944 of the United Nations (UN) International Civil Aviation Organization (ICAO). For example, between 2002 and 2010 global air travel grew 45%, despite traffic reductions after the September 11th, 2001 (9/11) attacks that contributed to the downward trend associated with the failure of the “” earlier in 2001. Likewise, the 1995 Canada-U.S. “Open-Skies” treaty that partially liberated air service enabled a doubling of air travel between 1995 and 2005 (InterVISTAS Consulting Inc., 2005). Europe experienced similar air traffic increases (Groenewege, 2003). In parallel, states sold public assets to the private sector, including the sale of Air Canada in 1988 and KLM Dutch Airlines in 1998, in addition to gradual airport commercialization (Air Canada, 2010; KLM 2010). The airlines and airports in the trade-dependent states of Canada and the Netherlands responded to these structural changes by adopting innovative Advanced Border Control (ABC) programs as detailed in Table 1. These collaborative initiatives involved trust-based relationships that Aoyama et al. (2007) explained are understudied in the logistics field. The thesis thus contributes to explaining why certain border control agencies accepted partnerships to enhance national security while facilitating air passenger travel in a globalizing world. However, the ABC programs are dependent on a “fluid” policy of immigration and national security controls that, when applied in a world of “space of flows” can mean accessibility for “certain” people and a space of barriers for “others”. Although the subject of this research is state-firm relations, geographers must account for these broader unsettling societal forces in explaining spatial relations. 2  Table 1 ABC Program Definitions United States Pre-Clearance    for passengers departing by commercial airlines to  Service (USPC)  Advanced Passenger  U.S. destinations   (ABK)  Pre-journey transmission of passenger data from commercial airlines to border control agencies in order  Information Systems (APIS)  Automated Border Kiosks  U.S. border control services offered in foreign airports  to support admissibility eligibility decisions   Biometric-enabled techniques that permit self-service inspections supervised by traditional enforcement practices with some form of pre-enrolment  Source: Biometric Consortium, 2010; IATA, 2006; U.S. CBP, 2002:2011  From a geographic perspective, these border control changes emphasize the notion that frontiers could be “relocated” in both space and time. Although steam-ship companies faced legislated pre-journey requirements commencing a century and half ago (Torpey, 2000), ABC programs enable a new phenomenon. In the modern era, sophisticated Information and Communications Technologies (ICT) permit private firms in partnership with border control agencies to both “virtualize” and “extra-territorialize” a core sovereign function. This thesis thus asserts that these tools permit states to reinforce control over their territorial frontiers, despite the warnings by Ohmae (1991) that globalization demanded “A Borderless World” paradigm. In the post-9/11 national security oriented environment, states have accepted “remote-control” (Zolberg, 2002) practices as important to both protect the state and to facilitate trade. As this thesis argues, in a sense, this evolving situation results in the “relocation of state frontiers” through the shift of border controls to non-territorial locations, such as to foreign airports, and/or into cyber-space through pre-journey traveler data transmissions. 3  As such, the ABC programs grew in parallel with the recent era of globalization and the melding of economic supply chains across territorial frontiers. For example, in 1988, in order to facilitate passenger travel from Japan to Canada, the civil aviation sector successfully pursued, with border control agencies in both countries, the establishment of the first pre-journey data-sharing program anywhere (Private Consultancy Interview, 2010). As Japanese travelers were viewed by the Canadian border control service as generally “low-risk”, this program involved the facsimile transmission of passenger manifests upon aircraft departure from Japanese airports, which during the long trans-Pacific flight were scrutinized by Canadian border control agencies for potential threats and to streamline traveler entry. This initiative, along with a parallel “green lane” pilot program for flights from Japan to select United States (U.S.) west coast major airports (e.g. Honolulu, Los Angeles, San Francisco) became the foundation for the Advanced Passenger Information System 1 (APIS) which is currently adopted by numerous states (IATA Interview, 2010). These early APIS programs were voluntary, requiring informed traveler consent. However, the APIS model evolved significantly and, in the post-9/11 era, involved mandatory access by the state to airline Passenger Name Record (PNR) databases. The situation now involves travelers providing pertinent details (e.g. passport) during reservations and/or through scrutiny during passenger check-in. The policy changes  ------------------------------------------------------------------------------------------------------------------1 APIS involves data transmission prior to flight departure including: Last name; First name; Middle name (if available); Valid date of birth; Gender; Document type; Document number; Document country of issuance; Document expiration date; Country of citizenship/nationality; Country of residence (arrival only); Address while in the United States (arrival only, visiting foreign nationals), (U.S. CBP, 2007). 4  related to 9/11 accelerated APIS program implementation, and, by 2006, the U.S. Customs and Border Protection (CBP) agency reported processing 87 million prejourney records for passengers arriving from abroad by air (U.S. CBP, 2007). Early changes to border control programs represent a facilitation-related phenomenon that became technology-enabled over time. For example, the U.S. Preclearance Service (USPC) program implementation in 1952 at the Toronto (Malton) Airport improved network reliability by avoiding arrival bottlenecks at U.S. airports. This involved the novel undertaking of relocating inspection staff to departure airports (i.e. U.S. Customs officers relocated to Canada), rather than the traditional practice of inspecting travelers on arrival, which had the early effect of “relocating state frontiers”. The USPC program continued to grow serving other Canadian airports in addition to Bermuda and the Bahamas (i.e. Nassau and Freeport). The emergence of the North American trading space encouraged pursuit of USPC innovations (Vancouver International Airport Authority Interview, 2010). This led in 1999 to the Parliament of Canada adopting Bill S22, the Preclearance Act, which enabled the civil aviation industry to pursue international transit traffic destined for the U.S. (Karas, 2000). In 2002, the U.S. CBP undertook to celebrate the fact that the UPSC program had been in 50 years of continuous operation (i.e. including during the 9/11 period), with the following news release (2002) describing how travelers interfaced with the program: “A preclearance inspection is the same inspection an individual would experience at any U.S. port of entry, except it is conducted on foreign territory (italics added). As a result, the individual does not have to undergo a U.S. inspection again upon arrival. Instead, the traveler merely arrives at a U.S. domestic terminal facility and either connects to a U.S. domestic flight or leaves the airport. 5  Passengers are afforded the benefits of making quick domestic and international connections and by having their checked luggage automatically transferred between flights by air carriers without being reclaimed. [Foreign] airports benefit by having more direct flights to U.S. destinations. Meanwhile, U.S. airports enjoy the benefit of reduced passenger delays in the international arrival area, [and airlines benefit from] increased services from [foreign] destinations”. While this “fact” sheet contains a factual error, namely that travelers arriving at a U.S. port-of-entry from a USPC site remain subject to further inspection, the press release identifies how the program facilitated post-9/11 travel. In this regard, the operational scale is significant relative to overall U.S. air arrivals. In 2010, 27% and 26% of air traffic at the Toronto-Pearson Airport (YYZ) and the Vancouver International Airport (YVR) respectively, involved the USPC service (Greater Toronto Airport Authority, 2010; Vancouver International Airport Authority, 2010). Although the remaining USPC sites in Canada, the Caribbean, and the Netherlands (i.e. Aruba) have lower traffic levels, together, the combined level of offshore USPC inspection activity represents approximately 25% of total U.S. entries by air (U.S. CBP, 2011). Subsequently, and of great importance to the thesis argument, as noted, 9/11 did not interrupt the USPC program trajectory, as new operations were established at airports in Halifax, Canada (2006), Limerick-Shannon (2009), and later in Dublin, Ireland (2010), encouraged by both community and civil aviation industry support (InterVISTAS Consulting Inc. Interview, 2010). Research interviewees indicated that the absence of the USPC program would have resulted in greater arrival airport congestion, higher operating costs, lower levels of customer service, and the increased risk of punitive fines for airlines for the carriage of improperly documented travelers. 6  As such, aviation facilitation2 is not incidental to strategy questions for the firms involved. Indeed, an alternative perspective has emerged that border controls represent a sizable interference in transport systems. In this regard, states may be pursuing a trade-deflection strategy through the deceitful application of “non-tariff barriers”. The UN Trade Facilitation Network identifies the myriad of problems that accompany trade when states do not pursue border control coordination. This might involve providing insufficient resources; limit the testing of new enforcement tools, failing to adopt international standards, lack of transparency in defining entry eligibility, avoiding coordination with other states, and the minimum political involvement in encouraging policies that serve both trade and national security interests (UN Global Facilitation Partnership, 2005). The research respondents and transport geography re-affirm these trade-inhibiting faults, as illustrated by Button et al. (2001) in Handbook of Transport Systems, as follows: “In many cases the [border control] bottlenecks are…deliberate and deemed to be an effective way of meeting explicit non-transportation objectives. This does still, however, raise questions about the efficiency with which these border activities are conducted. In addition, border [control] constraints can serve as non-tariff barriers to trade of a less explicit type…[in response] there have been a number of efforts to reduce the impediments associated with border crossings. While formalization…is relatively new, there has been a steady movement to improve interoperability, interconnectivity, and inter-modality”. (p. 364)  ------------------------------------------------------------------------------------------------------------------2  Aviation Facilitation is defined as actions taken by governments, airlines, airports and others involved in civil aviation to standardize, simplify, and reduce governmentimposed airport formalities. The main objectives are to improve efficiency for passengers and cargo service users and to reduce time and costs so to retain the advantage of speed inherent in air transport (ICAO Annex #9, 2005a). 7  However, the inherent advantages of the USPC program face hurdles. First, the program is expensive, especially concerning the cost of relocating inspection staff to airports in foreign nations. As well, the inspection throughput rate is low given the highintensity physical engagement between the inspecting officer and the traveler. The bilateral arrangements between the host and inspecting state (e.g. Canada and the U.S.) are also challenging, requiring a high degree of political cooperation to achieve acceptance of a foreign state undertaking the inspection of travelers in local airports. However, these USPC program challenges are insufficient to discourage other states, such as the United Arab Emirates, from pursuit of favoured U.S. access, as follows: “As part of a joint commitment to strengthen security and promote global trade and travel, Secretary Napolitano met with the Abu Dhabi Crown Prince to promote aviation security through UAE participation in the U.S. Immigration Advisory Program, as a first step toward the establishment of a passenger Pre-Clearance pilot program. While in the UAE, Secretary Napolitano also met with the UAE Minister of Interior to discuss the facilitation of legitimate trade and travel.” (U.S. DHS, 2011)  Alternatively, secure identity management systems, generally known as biometrics3, represented another form of change in border control programs, which also influenced the evolution of the civil aviation industry. These sophisticated techniques have involved Automated Border Kiosks (ABK), which have enabled a shift away from the traditional physical interaction with a border control officer, and toward an audit------------------------------------------------------------------------------------------------------------------3  Biometrics are automated methods of recognizing a person based on a physiological or behavioural characteristic. Among the features measured are face, fingerprints, hand geometry, handwriting, iris, retinal, veins, and voice scans. Biometric technologies are becoming the foundation of an extensive array of highly secure identification and personal verification solutions. (Biometrics Consortium, 2010). 8  based compliance system. Initial ABK programs involved the U.S., Canada, and the Netherlands. For example, the airport in Vancouver (YVR) led a joint initiative, which in the mid-1990s enabled the Government of Canada to launch the trial Canadian Passenger Accelerated Service System (CANPASS). Even from the early days, an optimistic view existed as to what the future might hold for these automated tools (CABTA Interview, 2010). Soon after 9/11, the U.S. and Canada agreed to link their ABK programs to permit simplified trans-border crossings. As of June 15, 2011, the joint Canada-U.S. NEXUS Air program had 560,000 Canadian citizen or permanent resident participants. These NEXUS travelers have access to a dedicated border control channel at Canadian airports for an enrolment fee of $50 USD/CAD for five years (follow-up interview CBSA, 2011). Similarly, the CANPASS / NEXUS Land program, which uses a remote-enabled Radio Frequency Identification Detection (RFID) technology, has 3.4 million Canadian participants, representing about 10% of Canada’s population (ibid, 2011). A similar Dutch program continues to grow, and in 2009 was joined with the U.S. Global Entry ABK program (Amsterdam Schiphol Airport Interview, 2010). The ABK programs also operate in places such as Germany, Hong Kong, and Australia (FRONTEX, 2010). Although the ABK programs represent the smallest participant volume by comparison to the APIS and USPC programs, together these systems have proven important in the practice of aviation facilitation. Nevertheless, these innovations question the future of traditional border controls. However incorrect, perceptions remain, even amongst informed academics, that these changes were driven by 9/11 policy changes. For example, Andreas (2005) observes: 9  “No longer able to quietly ignore [italics added] the border as was the case in the pre-9/11 era, U.S. and Canadian policymakers are now ambitiously trying to have it both ways: create a border that performs as a better security barrier and as a business-friendly economic bridge at the same time. To facilitate “low risk” border crossers, Canada and the U.S. are launching a joint NEXUS program for air travelers that includes iris biometric technology at Ottawa and Montreal airports” (p. 458).  Another common theme amongst the critical literature is the assertion that these types of facilitation tools lead to “racialized exclusion” (Inwood, 2010). According to Amoore and De Goede (2008), along with Ceyhan (2008) the introduction of “biopolitical” techniques in the post-9/11 terrorist interdiction environment reflect a culture of “threat” in order enable the state to further enforce citizen control. Similarly, Salter (2006) refers to 9/11 as the catalyst for sophisticated identification and surveillance systems that extends the “relationship between the sovereign and the body”. Moreover, Crampton (2007a) in The Bio-political Justification for Geo-surveillance argues that the: “bio-political use of geo-surveillance can create and sustain a politics of fear…the question is not one of identifying which areas [of society] are at risk but of seeing everything at risk, to different degrees, as measured against a background of what is normal. Geo-surveillance must be coextensive with that risk; that is, everywhere. Blanket geo-surveillance is therefore a logical outcome of the state’s representation of its residents as risk factors who need to be controlled, modified, and logged”. (p. 389:391)  This literature provides no historical context on the pre-9/11 ABC program goals. Rather, rapid globalization caused pressures on border control agencies and civil aviation firms that encouraged a sophisticated technical response. At the same time, Pickles (1991) identified these techniques created profound implications for society through heightened “geo-veillance”. However, the expanse of critical literatures that 10  challenges the eminent practices of state control consistently ignores the consequences of unfettered access in the modern era that has led to trans-national coordination amongst states through the UN to thwart organized crime and mass murder by independent political actors. The typical criticism of the state invokes the following language by Crampton et al. (2007b) that makes no individual “excludable”, as follows: “In this political activity we find the concerns of governmentality underlined by Foucault; abnormality, deviancy, moral imbecility, marriageability, patriotism, and so on the affect the quality of the “race”. (p. 232) It is insufficient to define “race” as differences, without reflecting on the commonality of interests amongst humanity, and that “abnormality”, “deviancy”, and “immorality” are real characteristics of certain non-racialized individuals that have belligerent intent towards others, regardless of their ethnicity, gender, or faith. The naïve perspectives of organizations such as “No One Is Illegal” which promote utopianisms, such as “we struggle for a world …where people can move freely in order to live and flourish in justice and dignity” (2012), would in this researcher’s estimation make instead for a chaotic world. This organization’s critical perspective would prohibit interdiction of those “dangerous classes” that demonstrate their ability to ignore border control systems and cause mayhem amongst the very communities in need of protection. As such, the families of the 329 passengers and crew on board the “Emperor Kanishka”, an Air India operated Boeing 747, along with two baggage handlers at the New Tokyo International Airport (Narita) have faced life-altering losses caused by simultaneous attacks on June 23, 1985. Only a flight delay at Vancouver airport prevented hundreds more from becoming victims to the world’s single most deadly civil 11  aviation-related terrorist event prior to 9/11. These attacks appear motivated by proponents of the Khalistan movement, whose belief system sanctioned murderous vengeance from India to the center of Canadian society (CBC, 2006). Globally, this single act of egregious mass slaughter led to costly international conventions related to border controls and aviation security. Hence, the critical debate that denounces all forms of migration-securitization presumes that the state takes advantage of any provocation to expand its role in controlling society. Granted, states do abuse contingent situations to advance political agendas, however, trans-national mobility limitations at territorial frontiers represent more than “exclusionary” practices of an economic and/or racialized origin. Accordingly, and while acknowledging that the concerns raised in critical literature in regard to the potential for human rights abuse are valid, the absence of an integrated academic perspective that considers migration together with the real threats from trans-national non-state actors leaves a literature gap. Moreover, these issues specifically generate questions concerning the political exigencies arising from 9/11. As such, academics have questioned whether these policy changes have rebalanced the globalization agenda away from a freer, or at least a lessimpermeable border, and instead towards a policy framework that places national security interests as the highest priority. Paul Cellucci, former U.S. Ambassador to Canada at the time of 9/11 dramatically articulated this concept in the context that for the foreseeable future, regardless of political leanings of the day, the U.S. Administration, when confronted with policy choices, would make decisions based on the paradigm that “security trumps trade” (Cellucci, 2005). By contrast, this thesis 12  argues that in the 25 years up to 2010 Canada and the Netherlands have pursued a “trade with security” strategy that involved partnerships with the private sector to “relocate state frontiers” through virtual and extra- territorial means. For Canada, with its long dependence on the U.S. for economic security, the reality was that the new, stark, post-9/11 worldview meant the government faced serious challenges. Sands (2006) noted the Canadian response was to seek security harmonization in a way that the Canadian public did not view as undermining sovereignty. The stakes for Canada in maintaining streamlined trade access were significant, as evident in the comments by the then Canadian Minister of Industry, David Emerson (Canada Ministry of Industry, 2005) as follows: “Competitiveness will be driven by transportation and logistics systems. The Pacific Gateway initiative is an example of infrastructure investments, regulatory changes, and other initiatives that combine to create an integrated approach to ensuring that Canadian industry can participate in global supply chains. If you cannot play an intrinsic role in global supply chains in the economy today, in my opinion, you are at serious risk of being marginalized economically. So you can look at transportation and logistics as another key pillar, [italics added] along with technology, skills, and human resources” (Parliamentary Committee minutes).  Despite the well-publicized changes in U.S. border control priorities following 9/11, this research project documents a far more nuanced approach to state-firm and inter-state relations. The research findings also reveal a long-term set of collaborative strategies, developed over decades, intended to achieve both state national security objectives as well as permitting firms to enhance their trading strategies. For example, the current U.S. and Canadian border control leaders reinforced this collaborative view (Canada Ministry of Public Safety, 2011), as follows: 13  “A commitment made by Minister Toews and Secretary Napolitano will see Canada and the U.S. working more closely with international partners, such as ICAO to enhance global supply chain security—how products are moved from suppliers to customers around the globe. Canada and the U.S. will continue to cooperate in global supply chain security initiatives designed to prevent terrorist exploitation, promote international security, and further facilitate legitimate trade and commerce to promote economic prosperity, stated Minister Toews”.  From a geographic perspective, the forces of globalization force new ways of looking at space, which become even more “uneven” and remarkably difficult to navigate for those travelers that lack the correct documentation, if they have any identity documents whatsoever (Torpey, 2000). As the political geographer Stuart Elden describes in Territory without Borders (2011) this does not mean “de-territorialisation”. Rather, for Stuart, “it is the concomitant processes of re-territorialisation—the constant making and remaking of territories—that should perhaps be more of the focus in our empirical and political studies” (p.1). Indeed, the very focus of this empirical research is to address how the uneven spaces at traditional frontiers are being “re-made” in virtual and extra-territorial locations. Hyndmann and Mountz (2008) demonstrate the damaging consequences that can apply to the traveler captured in “ambiguous spaces”, which in the case of Australia involves remote islands declared as non-territory for migrant processing purposes. Similar U.S. exclusion zones exist for foreign origin travelers connecting at Canadian airports who proceed through the In-Transit USPC service, but might find themselves barred from U.S. entry, and then must seek unwitting entry to Canada. This “unevenness of trans-national spaces” will become even more acute as the ABC programs in question further develop and become ubiquitous throughout the world’s civil aviation network. 14  Rapid air passenger expansion also has implications for spatial networks and the formulation of economic activity across space. In this regard, Keeling (1995) identified that “air networks and their associated infrastructure are the most visible manifestation of interactions between world cities… and airline links are an important component of a city’s aspirations to world city status”. This view is in keeping with Castells (1996) and the concept of “space of flows”. Furthermore, these arguments are consistent with World City theorists such as Sassen (1991) who identified the role of global cities as new service production centers that intrinsically depend on high quality transportation and telecommunication systems. Similarly, Taylor (2004) articulated the view that “contemporary globalization is premised upon new telecommunications and information technologies” (p. 24). In an early literature relevant to the topic, Taylor also refers to Keeling (1995) as useful in identifying broader World City Network (WCN) trajectories. In this regard, civil aviation’s role in the “new economy” has become an important literature topic with Derudder and Witlox (2008) observing “the original paper by Keeling contained the most systematic overview of the usefulness of airline statistics in analyzing the World City Network”. As the expansion of ABC programs have contributed to globalization by facilitating trade by air, an obvious linkage exists between WCN theory and this unexplored topic of how these state territorial control methods have influenced civil aviation networks. From a comparative basis, what makes this research different is the “focus” beyond the considerable literature attention on U.S. border control policy. In the U.S. case, the evolution of border control programs centers solely on the state. Instead, the case study assessment of Canada and the Netherlands provides insights into state-firm 15  relations that simply do not exist within the U.S. context. In this regard, the thesis only makes arguments applicable to Canada and the Netherlands. Thus, shifting the research focus to include U.S. advanced border control policy would be interesting, but few insights on the question of state-firm relations would be forthcoming. Finally, the tension evident in these introductory remarks reflects the challenges emerging from the overwhelming forces of globalization that drive towards standardization and the “flattening” of differences, versus the ongoing attempt by states, communities, and locally “fixed” firms to retain differentiation for both economic and national security reasons. As identified by Grygiel (2006) in Great Powers and GeoPolitical Change, considerable academic effort exists to negate “locality” and void the contingency of space – power relations. However, this researcher strongly agrees with the Grygiel’s view regarding the “premature death of geography”, as follows: “…while the prevailing literature of international relations theory discounts the role of geography, I argue that geography continues to be a key variable shaping the grand strategy of states”. (p. 1)  1.2.  Research Scope  In providing context to the research scope and without negating the tragedy of lost lives, the political and academic discourse that declares everything changed because of 9/11 is rhetoric worthy of challenge. No less a personage than Michael Kergin, who from 2000 to 2005 was Canada’s Ambassador to the U.S., proceeded, in a public address (Canada Ministry of Foreign Affairs, 2005a) just prior to his retirement from this post, to overturn “the cliché that security trumps economy had become [the] 16  currency of U.S. – Canada relations”. Moreover, Kergin pointed out that the Smart Border Declaration (SBD) signed three months to the day after 9/11 with 30 priorities for national security action was just part of a long-standing continuum of U.S. – Canada collaboration “made possible by the introduction of information technologies” (ibid, p. 2). More importantly, Canada’s High Representative from Canada to the U.S. noted that trade facilitation was already high on the agenda in response to significant trade expansion arising from the 1988 Canada–U.S. Free Trade Agreement (CUFTA) and the 1994 North American Free Trade Agreement (NAFTA) arrangements. In part, this research project supports debunking the myth that 9/11 initiated border control system changes, which instead commenced more than a decade earlier through state-firm collaboration involving new ways of “relocating state frontiers through civil aviation networks”. This thesis also challenges the renewed attention in the international relations literature given to the notion that national security became an overwhelming imperative after 9/11, and thus was rightly the central debate for public policy makers. Instead, this thesis argues that despite the escalation of trans-national threats from both political and criminal sources, border control programs have more crucially adapted to the demands of globalization and trade expansion in the post-World War II era. These program changes have reflected more of a metaphorical interpretation of the “Borderless World” thesis (Ohmae, 1991) with the rapid flow of trade altering domestic economic policy. Admittedly, evidence from both the Canada and the Netherlands case studies identified, in some cases, the dismantling of traditional border controls. In this regard, working with private firms, states were able to maintain sovereign control over territory 17  whilst facilitating trade and dealing with growing threats from trans-national origins. This view of globalization versus national security imperatives in the post-9/11 milieu remains untold. As such, the research scope only addresses trans-national civil aviation activity. Notably, about 10% of all flights early in the study period involved a border crossing, which increased to nearly one-third of industry activity by 2010 (ICAO, 1988:2010). Thus, the project only assesses the involvement of major airlines that provide air services between nation states (e.g. Canada-U.S.) and major airports with Advanced Border Control (ABC) services (e.g. Aruba Dutch Antilles). As well, the research addresses a lengthy period (1985 to 2010) of civil aviation industry development. The selection of Canada and the Netherlands is purposeful, as elaborated upon in Section 1.4. At this stage, it is simply worth noting that these states and their locally based civil aviation industry choose for strategic trade reasons to become front-runners in the early development of new methods for state control of international passenger flows. In addition, the scope of the research underlines the role of emerging virtual and/or extra-territorial border control tools, which have affected and continue to affect civil aviation firm strategy. Thus, this study is of particular interest in examining the novel forms of relations between the evolving modes of frontier control (Torpey, 2000) supported by the private sector. The decision to assess the civil aviation industry also recognized the legislation that requires this sector to act beyond the territorial frontier on behalf of the state. For example, airlines seeking entry to Canada are required to transport passengers from foreign origins in particular ways (e.g. checking passengers for valid travel documents before departure) in order to avoid non-compliance penalties 18  (Canada Ministry of Justice, 2002). The civil aviation industry has also been compelled to build border control facilities at firm expense, rather than under the traditional public funding model used for other transportation modes. For example, compared to the private sector investment in international airports, the recent multi-million dollar investment in the truck crossing between Washington State and British Columbia (i.e. connecting I-5 / Hwy 99 respectively) was funded entirely by the public sector (Canada Ministry of Transport, 2009a). Figure 1 identifies the investigation sites in this research that involved some form of state-firm partnership in support of aviation facilitation. This included the USPC and ABK programs in Canada (i.e. Montreal, Ottawa, Toronto, and Vancouver), and in the Netherlands (i.e. Amsterdam and Aruba). As the APIS program operates in virtual space, the mapped component of the ABC program is referential only.  19  Figure 1 Case Study Sites  Source: Created by and with permission from Eric Leinberger, University of British Columbia, 2012. 20  The first case study examines the ABC programs in Canada, with changes commencing in the1980s arising from expanded trade inaugurated by the 1988 CUFTA and the 1994 NAFTA arrangements. Of note, Reisman (1985), the lead Canadian CUFTA negotiator, suggested that trade liberalization would lead to increased transport flows and generate border control pressures. The second case study, which assessed the Dutch ABC program evolution, is also instructive. For example, as the Netherlands prepared to devolve their overseas Caribbean territories, the opportunity arose to implement the USPC program at the Aruba International Airport (AUA). Subsequent to successful treaty negotiations with the U.S., the USPC program commenced in 1996, becoming an important catalyst for tourism from the U.S. to this Caribbean island (AUA Interview, 2010). Interestingly enough, the Schiphol Group that operates both Amsterdam and Aruba airport has a reputation amongst research respondents as a global leader in the ABC program field (Airports Council International Interview, 2010). In both Canada and the Netherlands, the events of 9/11 re-emphasized the advantages of ABC programs. These circumstances encouraged bilateral partnerships with the U.S., and facilitated implementation of heightened national security protocols at shared territorial frontiers. Despite expanded border control regulations that followed 9/11, the facilitation contribution of ABC programs proved useful in offsetting concerns of “border thickening”, a reference made by political, and business commentators to the perceived increase in border delays and interference in routine trade activities. As explained in Part II, these requirements were not always coordinated between allied states. For example, states expanded APIS programs in ways that created inter-state conflict and state-firm issues, such as evident between the European Union (E.U.) and 21  the U.S. regarding the privacy of personal data for travelers destined for a U.S. airport. However, in the view of the private civil aviation firms interviewed, these circumstances did not prevent the continued cooperation between the various stakeholders over time. Moreover, the research addresses how the state has remained dependent on civil aviation firms to implement virtual and extra-territorial border controls. At the same time, civil aviation firms require and have required state support for expanding trade linkages. In this regard, regional and local economic development interests also have had a role in this dialogue as the benefits of trade facilitation extend beyond the firm and include sub-national economies (McMaster and Nowak, 2007). While state-firm relations are the focus of this research, in a globalizing world it should not be surprising that territorial frontier controls have implications at various geographic scales. Part III addresses this multi-scalar perspective and relates to the “Borderless World” thesis by Ohmae (1991) and the changing role of the state in serving local and national needs. For clarification, this research also relates to the growing “smart borders” literature, mainly reported on by political science and international studies scholars such as Andreas (2003), Walters (2006), and Salter (2006). Political geographers, except for Sparke (2006), have focussed on other aspects of border controls such as refugee exclusion (Hyndmann and Mountz, 2008); while economic geographers have focussed on how to overcome impediments in global supply chains (e.g. Dicken, 2007). As the conceptual focus of this thesis relates to the role of the private sector in facilitating access through border control processes, the “broader” strategies of the state remain relevant and pertinent.  22  Despite the literature gaps in how state-firm relations have evolved, the literature identified in Chapter 2 is useful in explaining the role of supra national and inter-state relations, together with related changes in border control practices. For example, the ICAO, the IATA, and other organizations were important in influencing border control policy at the nation state level. Furthermore, and as evident in Part II, globalization had enormous implications for the state, which traditionally had monopolistic control over its borders. While the ‘border-studies” literature well explains that in a globalizing world the state has little choice but to enhance its efforts towards inter-state cooperation at its frontiers, this research project identifies that in the case of Canada and the Netherlands, cooperation between the public sector and civil aviation firms was equally important. Thus, this thesis argues, that these mutually reinforcing shifts were crucial to maintain a balance between national security interests and globalization forces. Nevertheless, national security policy did change after 9/11, which intensified border control practices even with traditional U.S. allies. This created a considerable challenge and thus the research undertakes to evaluate the validity of the famous “security trumps trade” quote by former U.S. Ambassador Cellucci by:   providing ABC program chronology from inception during the 1980s (Chapter 3);    explaining the relationship between supra-national organizations, states, and the private sector (Chapter 4); and    assessing documents and interviews to show the influence of ABC programs in the period from 1985 to 2010 in Canada and the Netherlands (Chapter 5, 6, 7). Finally, and despite the attention of both the public and private sectors to the  ABC programs under study, the academic literature provides scant evidence that the 23  topic area is important. By contrast, the organizations interviewed for this thesis had well-considered views, both written and verbal, with highly experienced staff and consulting specialists available to support policy and corporate strategy development. Moreover, as the ABC programs serve significant volumes of travelers in new ways, this thesis will contribute to the understanding of how globalization and national security interests intertwine in the global “spaces of flows” (Castells, 1996).  1.3.  Research Hypothesis  The research hypothesis fits within the economic geography sub-field related to spatial analysis of transportation systems. From a geography literature perspective, Black (2003) in Transportation: A Geographical Analysis identified a range of interesting questions that are relevant to the research project, including: •  Why networks are located in particular places?  •  What types of flows occur over particular networks?  •  How choices are made on which routes are preferred?  •  Which places can be reached by the easiest method?  •  What are the dominant routes and nodes in a network?  •  Where activity is clustered on the network, and why? In this regard, the societal consequences of “aero-mobility” (Adey, 2007) and the  implications of ABC programs on civil aviation networks are interesting notions in themselves. However, the primary purpose of this thesis is to explain why the state and firms would collaborate to develop and implement such systems. 24  The context of “border studies” and the effects of globalization on “space” are also highly relevant as this particular form of mobility directly implicates inter-state relations and control of people movements across frontiers. As such, Friedman (1999:2000) identified these new ways of seeing the world as involving the important debate regarding the forces involved in creating the overarching level of global integration. Friedman also identified that such an interwoven fabric led to circumstances where local threats and opportunities were dependent on the degree of state and firm connectivity at a global level. Friedman further explained how the dynamic changes that enable “information technology, properly harnessed and liberally distributed, [would have] the power to erase not just geographical borders, but also human ones” (p. xvi). According to Harvey (1990), serious issues emerge from this “general speeding up of all kinds of events that intensify the turnover of capital and that implode on human existence as substantive levels of stress”, which is interpreted by Janelle (2001), as: “The transcendence of global capital over local domains thrives on shortened time horizons and on the ability to eradicate distance as an inhibitor to exchange and dominance. The ability of capital to shift resources to different places easily, and often with impunity to the disruption of life at the local scale, suggests that time-space compression may denigrate the importance of place in human society. It is in the inherent mobility and speed of such possible actions that time-space compression challenges any attempts to define the time-space nature of society too rigidly”. (p.748) Arguably from this researcher’s perspective, the globalization-driven changes observed by Friedman and Harvey depend on more than the “virtualization” of space, and the ability to interact in “real-time” through the spread of “fibre-optic” networks. In a world that were to become divided by impenetrable border controls that frustrated global 25  mobility, the “virtualization of power-relations” would become a fallacy (Boonstra, 2009) as the threat of power dissipates without the potential for real “performance”. By contrast, the facilitation of “fast [aviation] transport” systems (Castells, 1990) through advanced border control techniques permits the rapid physical presence of the “body” in far-flung locales to interact with local economic and societal forces. Thus, the “research problem” evident to the researcher is that the modern study of geography, which is intimately involved in explaining this type of spatial interaction, does not sufficiently explain the causes of the impediments (i.e. border controls) that retard global “circulation” and mobility, and the corresponding actions by the state and firms to overcome such “barriers” . Albeit, credit is due to Keeling, and others, for demonstrating that the civil aviation industry does matter in understanding globalization. In any event, this thesis hypothesizes that the pioneering efforts to develop ABC programs to expand trade and protect national security interests represents a new form of state-firm relationship in Canada and the Netherlands that materially affects spatial relations across territorial frontiers. In order to determine the validity of this hypothesis, the research will seek to answer the following primary question: “As states have pursued ABC programs which virtually and extraterritorially relocated frontier controls, did this affect the relationship between civil aviation firms and the state?”  Thus, the research aims to determine whether, and to what extent did the state adopted policies concerning ABC programs that affected (a) civil aviation industry development, and (b) international travel expansion, which caused (c) iterative policy and operational interaction with the private sector. The assessment of these questions 26  involves reviewing (a) state policy regarding ABC programs, and (b) firm strategy in dealing with border control imperatives. The thesis considers other related topics that are especially relevant to the academic debate on the globalization of production and consumption, and to what degree these forces are diminishing state control over domestic policy (Glassman, 2011). No doubt exists that this is occurring; however, as firms seek markets and supplies beyond territorial boundaries, major efforts have been required to negotiate access to “international spaces”. In the case of civil aviation, and despite the global scope of this industry, no international access is possible without serious state intervention (Smith, 2000). In such non-local spaces, firms no longer could rely on the advantages arising from the “customs, practices, and strategies associated with navigating the domestic milieu”, and often sought state trade promotion and facilitation assistance (Helliwell, 2005). This attention to how firms remain “dependent” on the state generates a further question of importance with regard to how ABC program development affects state-tostate relations. Although a secondary focus, the research routinely identified the importance and influence of effective inter-state relations for the implementation of ABC programs, especially as all program forms have some trans-national element, including the Automated Border Kiosks (ABK) when expanded to involve citizens of partner states. Thus, the influence on inter-state relations is central to the research query. From a civil aviation industry perspective, maturing domestic markets demanded new strategies in order to engage with foreign opportunities that required favourable trade policy (Tretheway, 1994). Foreign expansion also necessitated a domestic policy 27  response at territorial frontiers. For states, higher traffic volumes placed pressure on budgetary constraints and, at the same time, sophisticated trans-national political and criminal threats were creating higher enforcement demands. It is worth noting that states did make explicit choices on how best to deal with these issues, and in the case of the U.S., solutions to border control problems remained mostly within the public sphere. For example, civil aviation firms in the U.S. were generally reactive to legislative directives rather than adopting a pro-active stance with mutual sharing of responsibilities for facilitating trans-national air travel. For this reason, the research addresses why airports and airlines in Canada and the Netherlands proceeded with a collaborative response, permitting the emergence of some degree of co-dependence between border control agencies and the civil aviation industry. As detailed in Part II, these public policy choices came into stark relief in the post-9/11 environment. Although this thesis does not assess the advantages and disadvantages of the ABC programs, these systems do relate to broader debates of the role of the state in a globalizing world. Instead, and consistent with Friedman (2005) who asserted that Information and Computing Technologies (ICT) contributed to the “flattening of borders”, the ability for ABC programs to virtually and / or extra-territorially relocate borders should act as a catalyst for globalization. As such, with two decades of public and private sector efforts, the research will assess whether these programs in Canada and the Netherlands have made a material, or at least a symbolic difference, in reducing border-crossing impediments for the civil aviation industry. Part III assesses these questions and those previously noted. As such, the research findings will provide a contribution to the transportation geography literature 28  regarding the relationship between the state and civil aviation firms. Moreover, for civil aviation firms in a globalizing world, these questions relate to how best to formulate corporate strategy when dealing with complex trade relations in the face of heightened national security policy. For Black, these impediments to trade represent another form of the “friction of distance” that impedes “spatial interaction” (ibid, p. 67:119). However, another reason exists for underscoring the questions from Black that relate to the lack of attention to the role of border controls. As well, with a little attention to the sophisticated ICT based techniques under study, the transportation geography literature would become more robust and relevant to academic discourse. For example, Docherty et al. (2004) identified how states in the globalization era have pursued liberalization and deregulation of transport systems. However, this literature provides no reference to how the newly privatized firms interacted with border control agencies that previously occurred at the inter-departmental level (i.e. national security, finance, infrastructure, operations, etc.). Closely related to the research case studies, Dion et al. (2002) discussed how the world economy influenced the transfer of Canadian ports and airports to the private sector. The results of this research identify the challenge for these local organizations to participate in global trade but no reference exists to how border controls enabled or impeded access to foreign markets. Similarly, Goetz and Graham (2004) referred to the inter-relationships that interconnect stakeholder strategies in the differing U.S. and E.U. geopolitical contexts. However, and despite acknowledging the impacts of the post-9/11 crisis, the authors do not focus attention on border controls as relevant. In addition, the literature by O’Connor (2003) on the geography of airline passenger traffic only acknowledged the role of aircraft technology as the major 29  influence on travel networks and provided no explanation as to how airports were actually “relieving congestion”. Finally, while Weber and Williams (2001) conceptually identified that traditional barriers (i.e. borders) to trans-national interaction have influenced airline network development, this reflection remained empirically unexplored in the Drivers of Long-Haul Air Transport Route Development article. Chapter 2 contains further detailed examples of this literature gap. The literature also does not appear to have engaged with how transportation systems influence globalization. For example, the Canadian Minister of Industry, David Emerson (Canadian Ministry of Industry, 2005) indicated that trade facilitation supported the growth for domestic enterprises. The view from Emerson was similar to Krugman (1991) who explains that effective trade systems depend on “good harbours”. As such, understanding the domestic milieu (Helliwell, 2005) is also highly relevant in the rapid period of globalization in North America given the 1994 NAFTA and the 1995 CanadaU.S. “Open Skies” agreement. As such, it is worth noting that from 1992 to 1997 Emerson held the post of Chief Executive Officer at the newly autonomous Vancouver International Airport Authority (YVRAA). In this pre-Ministerial private sector role, Emerson had considerable strategic influence in how the USPC service and ABK programs expanded at one of Canada’s major airports. Thus, the assertions by Emerson in his Ministerial role a decade later, on the need to overcome “trade frictions” through investment in transportation and ICT, was learned and certainly influenced state policy and its accompanying firm strategy, at least in the Canadian context. Moreover, the continuing debate between Canadian and U.S. stakeholders on whether U.S. national security policies were causing “border thickening” makes this 30  project even more pertinent. For example, John Manley, the then Deputy Prime Minister responsible for Canada’s 9/11 response recently challenged the effectiveness of the 2001 “Smart Border Declaration” (SBD), which is detailed in Part II. Now in private life, Manley has made a number of public complaints, including: “the smart border concept has been largely abandoned in favour of what some would call a ‘stupid border’…The security-transfixed U.S. government has been compromising economic security in favour of perceived-but unproven-threats to physical security on a daily basis. While Europe and Asia build economic blocs that are broader, more efficient and multinational, North American borders have become stickier, constituting barriers to trade and obstacles to efficiency for those companies whose businesses are integrated across the border”. (Manley, 2008)  The U.S. disputes this claim although acknowledging the continuing challenges in state efforts to facilitate trade flows, as identified in an unverified cable released by WikiLeaks from the former U.S. Ambassador to Canada, David Wilkins: “When It Works (which It Usually Does), It Works Well; When It Doesn't Work, It Is Awful: In general we found a disconnect between the rhetoric of a ‘thickening border’, in which longer lines and bureaucratic delays make border crossings more difficult, and the reality the border in most places runs smoothly. There are situations when the border simply can't handle the traffic volume, however. Progress or Modernization Has Been Significant, but Piecemeal: There has been a vast amount of border modernization by both countries. There have also been significant advances in facilitating crossing and travel, like combining air, land, and sea components of the NEXUS trusted traveler program. But the progress has not been comprehensive and has rarely been part of a strategic plan, instead depending on local or regional initiatives”. (U.S. Department of State, 2007, based on Wikileaks release) This degree of contingency was noted by Nicol and Gault (2005) as “while territory and power are embodied within borders, permeable borders do not negate 31  sovereignty but may, in fact, be instrumental in extending and revitalizing national legitimacy beyond the context of geographical territory”(p. 415). Thus, the question of trade enhancement versus national security is also relevant in Europe where the migration-securitization debate represents a source of major policy contention. While the European debate differs in scope from those dominant in North America, the essential question remains the same; to what degree should national security policies have precedent over the movement of people across frontiers. As such, the recent literature on “smart borders” represents an interesting and entirely new policy paradigm (Andreas, 2003). While the conceptual and empirical issues that arise need attention, they extend well beyond the scope of this project. For example, the 1995 Canada-U.S. Shared Border Accord (SBA) addresses only three of the 30 identified priorities. In concluding this section, it is necessary to establish what the research would need to find to invalidate the hypothesis. As such, should the research conclude that civil aviation firms only responded to efforts to innovate border control systems arising from state legal directives, this situation would be consistent with the existing literature concerning the theory of the firm under regulation. Moreover, should this situation arise, the theorization of the “trade with security” paradigm would not be supportable.  1.4.  Case Study Selection  The literature on border studies considers the case study approach as an acceptable and reliable method of enquiry. For example, political geographers Purcell 32  and Nevins (2005) explained the pre-9/11 border control changes in Pushing the Boundary: State Restructuring, State Theory, and the Case of U.S.–Mexico Border Enforcement in the 1990s. This useful literature traces the history of the U.S. engagement at the Mexican frontier primarily during the 1990s, both in terms of enforcement practice changes, and in terms of the political actions that created a broad tension between the citizenry and would-be Mexican migrants. Relevant for this research project are the insights that confirm that “border studies” benefit from both a longitudinal approach and a holistic analysis that addresses broad issues that come together at the territorial frontier, as noted: “…one cannot understand the [U.S.] boundary build-up that took place in the 1990s without taking into consideration longer-term developments and the thinking that informed them” (p.221).  Similarly, Ackleson (2005) extended this longitudinal analysis in Constructing Security on the U.S.–Mexico Border, which addressed the period before and after 9/11. Thus, the research enquiry parallels the conclusions from Ackleson that suggests: “This article has also demonstrated that the line between societal and state security in the U.S. has gradually been blurred over the past two decades, particularly vis-a-vis the U.S.–Mexico border. This trend continues, albeit in slightly different ways, in the post-9/11 period under concerns about ‘homeland’ security in the face of terrorism” (p.180).  However, the rationale for selecting the countries of Canada and the Netherlands relates to a different set of forces that were evident in the U.S. or in Australia, states also involved in early ABC program development. First, and as noted by Purcell and Nevins (2005), case selection must consider the broader economic and societal setting, 33  which have considerable parallels when considering Canadian and Dutch histories. As such, both states are highly trade dependent; both countries utilize their trading skills to build gateway networks; and both states have strategically adapted their trade and national security policies to the dominant influence of U.S. and E.U. neighbours. The other bi-national parallel is the shift from public to private operation of gateway transportation services, which became the catalyst for supporting the evolution of territorial frontier control practices. By contrast, other states pursued different approaches in the face of globalization-wrought changes. As such, despite three decades of airline liberalization, all major U.S. airports remain controlled by the state. For example, the City of Atlanta owns and operates the world’s busiest airport, Atlanta-Hartsfield International (City of Atlanta, 2010). As well, U.S. airport involvement in ABC programs is incidental to the overall border control approach by the U.S. administration. Although Australia shares similar trade-dependent attributes, with the domestic airports and airlines have become fully private over the past few decades, but as in the U.S. it would appear no evidence exists that Australian firms pursued ABC program partnerships with the state. Accordingly, the specific set of spatial-relations in Canada and the Netherlands reinforces why the events in these two states represent a unique form of private and public ABC program partnership, and thus forms the basis for the research hypothesis. This specific context also generates the question of whether ABC developments in these two states were representative of a larger pool of countries. As explained in detail in Part II, this was not the case as the respective border control agencies and civil aviation firms in these two trade-dependent states were leading pioneers of the ABC 34  programs under study. Part III assesses the implications for not just these two states and their airports and airlines, but the broader implications arising from 9/11. Granted, it would be inappropriate to leave the impression that other states did not contribute to ABC program development. The U.S. began early trials of the INSPASS program, were receptive of early APIS development, and long-supported the USPC program, although these efforts were pursued on a unilateral basis with border control agencies maintaining a considerable distance from the private sector. Moreover, and despite the importance of civil aviation and the breadth of leading technologies readily available in the U.S., it is somewhat surprising that the U.S. government did not involve the private sector in delivering ABC programs prior to 9/11 when trade facilitation was a higher priority. As identified in Part II, this is in contrast to the efforts of U.S. based airlines that were actively engaged in implementing the USPC program at Canadian airports more than 50 years ago. Similarly, during the 1990s, U.S. airlines were strong proponents of ABC program adoption elsewhere, but this did not translate into partnerships with the U.S. government before 9/11 and certainly not afterwards. In addition, the U.S. government sources technology and other support services from the private sector through typical procurement methods, but only in recent years has private sector funding emerged for border control infrastructure. For example, in 2007, the expansion of the congested San Ysidro land port-of-entry between California and Mexico involved a public-private partnership (California Department of Transport, 2007). As well, this view does not suggest that leading states like Australia, or other states such as Macau, the United Kingdom, the Republic of China (Taiwan), and the U.A.E have not participated in ABC programs or had no interest in this leading-edge 35  topic. Rather, these states did not follow the public-private sector partnership path of the Netherlands and Canada. Although this research project did not extensively study these other programs, the researcher is familiar with most ABC programs. In only one case did a similar level of private sector involvement become evident. Commencing in 2006, the private-sector oriented Dublin Airport Authority (DAA), which operates the major airports in Dublin and Limerick-Shannon, undertook to obtain approvals for the establishment of U.S. Preclearance Service (USPC). For further elaboration, the original research scope included a complete assessment of this private-sector involvement in the Republic of Ireland. The rationale for including Ireland was similar to the Canadian and Dutch cases: that is, civil aviation firms in these small trade-dependent states pursued aviation facilitation to foster transnational activity. Accordingly, an early thesis draft contained the full Irish site research findings, but the document assessment and interviews conducted with the Dublin Airport Authority (DAA), British Airways, and the Irish government did not provide any particularly new insights. As well, since the USPC operations at the Shannon – Limerick and Dublin airports commenced towards the end of the research period, no comparison is possible with the pre-9/11 period. As a result, the final manuscript did not include the Ireland case study results. In any event, where appropriate the case studies provide insights from other relevant actors. For example, while the Europe case study involves the Netherlands, the European Union (E.U.) itself has emerged in the post-9/11-era as an important player in the ABC program field (European Commission, 2009). As the European Commission (E.C.) is the supra-state organization responsible for continent-wide immigration policy, 36  extensive coordination occurs between member states. Accordingly, useful learning arises from the E.U. Schengen Agreement Area (SAA) program, which provides for relatively unobstructed [immigration] border controls between Austria, Estonia, Greece, Latvia, Slovakia, Belgium, Finland, Hungary, Lithuania, Norway, Slovenia, France, Italy, Spain, Germany, Netherlands, Luxembourg, Poland, Malta, Portugal, and Sweden, together with unaligned Switzerland,. Moreover, the SAA already represents a significant form of extra-territorial border control as citizens and “third-country” nationals entering via participant E.U. member states may enter another participant state without further controls, subject to certain limited exceptions. Furthermore, it is important to understand the SAA Visa Information System (SAA VIS), which forms the backbone of border control to address common national security threats, given that the E.U. plans to implement an APIS program in the next few years (ibid, 2009). Another case selection challenge dealt with addressing the interests of those states not in a leadership role but subject to the ABC programs of the case study states. In order to resolve this issue, the research engaged with the ICAO, which is a speciality UN agency responsible for advising member states on air policy, including facilitation. The ICAO also has delegated authority to manage international travel document standards and identity systems including biometric protocols. The ICAO is also responsible for regular revisions to a treaty on the research topic, known as “Facilitation Annex #9”. As the ICAO operates on a consensus basis among states, although heavily influenced by powerful members (i.e. U.S. and E.U.), contact with this organization provided a broad view of the topic. In addition, given the advisory ICAO structure, the  37  research interview and document assessment were confirmative rather than leading in nature. The final case study selection question that needs attention is whether these particular Western trade-dependent states were reflective of circumstances where cross-border economic activity was less pertinent. The fact that few states pursued ABC programs prior to 9/11, regardless of trade inclination, somewhat answers this question. For example, the only major state, besides the U.S., that had a leading ABC program role prior to 9/11 was Australia. In this case, ABK and APIS initiatives were state-led, including pioneering efforts involving the development of a highly sophisticated pretravel approval program in 1998, namely the Electronic Travel Authorization (ETA) program (Australia Department of Immigration and Citizenship, 2011). Australia has continued to develop sophisticated border control programs in the post-9/11 period, but Hyndman and Mountz (2004) explained that these efforts represent questionable practices to thwart undocumented immigrant arrivals from reaching Australian territory for processing. Furthermore, Australia pursued these innovations at the state level, with little direct industry involvement. In summary, Canada and the Netherlands arguably represent a unique form of partnerships in a field that traditionally has exclusively been the realm of the state. This particular set of spatial circumstances warrants attention and explains the selection of the two states for intensive assessment.  38  1.5.  Research Methodology  Figure 2 depicts the research methodology utilized to complete the thesis.  Figure 2 Research Methodology  Identify Problem "national security related barriers to global mobility"  Establish Hypothesis "ABC programs represent new statefirm relationships that deal with trade and security issues"  Report Findings "draft manuscript reviewed by academics and practioners" "TRADE WITH SECURITY": Confirm Hypothesis Validity "demonstrate research findings support hypothesis"  HOW CANADA AND THE NETHERLANDS RELOCATED  Determine Research Method "document review and interviews"  STATE FRONTIERS THROUGH CIVIL AVIATION  Assess Research Inputs "test validity of inputs against expected results"  NETWORKS  Collect Supplementary Data "follow-up interviews and document reviews"  Collect Data "obtain historical documents"  Conduct Field Investigations "interview policy and corporate advisors" 39  In keeping with the methodology depicted in the previous figure, the research project used qualitative, rather than quantitative reasoning to draw conclusions from the literature, interviews, and the documents reviewed to assess the research questions. According to The Dictionary of Human Geography (Johnson et al, 2000), the common theme of qualitative methods is a concern for a shared system of meaning. The primary goal of qualitative methods is to provide access to the “aspirations, motives, and power relationships that help shed light on how places, people, and events are made and represented” (ibid, p. 660). Qualitative reasoning also allows for more diversity in respondent responses and the flexibility to address any problems that arise out of the research process itself. Likewise, it was important that the research method not rely on generic document reviews or mail-back survey responses from border control agencies, civil aviation firms, and other actors. For this reason, the traditional sample survey approach has far fewer benefits that than a focused interview. Given the paucity of states and private firms involved in the two-decade long ABC program deployment, the research interview process was effective in interviewing nearly all relevant actors. However, this method of interviewing elites has limitations (Berry, 2002). First, the agency of such individuals must not be discounted as this generates a powerful capacity to counter-act researcher enquires through their sophisticated understanding of the topic field. Thus, and in keeping with the admonitions from Herbert (2000) that requires attention to circumspect responses from interviewees, the analysis involved a process of cross-referencing the interview results with the publicly available documents.  40  Second, careful attention to the researcher’s professional engagement in this field required that the documentation of meeting and document requests with elites, which provides clarity and transparency of the research method. This approach proved successful as interviewees routinely requested clarity on the use of their inputs, which assisted the organization in determining its willingness to participate. For example, a prominent global private sector organization made an explicit decision to participate in a public manner after internal consultations, as follows: “The questions are focused on a specific entity and its responsibilities/ reactions to government mandates. Our responses to these questions would have to be based on impact on the [overall] industry - which is probably ok in context of the overall study. I will need to speak with XXXX concerning how our responses would be handled i.e. either quoted directly as XXX or under confidentiality clause. Should have decision tomorrow, as XXXX is out of the office today” (Interviewee Response, 2010). Berry further identified the engagement criticism concerning “most commonly, elites in a particular institution are chosen at random” (2002, p.679). In order to address this problem, the process involved target selection of interviewees. For example, the interviews excluded certain elites from a state organization as these particular individuals had only recently become responsible for ABC programs and thus were unable to provide a reliable chronology and interpretation of historical events. Instead, as this organization has an extensive public record of its involvement in this field, the research involved a review of these documents (see bibliography for details). Admittedly, engagement with this organization would have been useful, but given the frequent staff turnover when combined with the wholesale re-organization post-9/11, it  41  undertaking interviews with these individuals for the sake of completeness appeared unproductive. As well, even it a quantitative method had merit, a qualitative method for identifying key variables for further study would have been initially necessary. As such, a quantitative analysis involving passenger opinion surveys of experiences with ABC programs would not have addressed the relationship between the state and civil aviation firms, nor would it have identified the broader linkages between trade and national security. First, while CBSA reports high-levels of CANPASS participant satisfaction, these routine traveler surveys only involve operational questions relating to service reliability and benefits. The purpose of asking participants questions regarding the policy and corporate decisions involved in delivering this ABC program does not appear particularly useful. Second, the USPC program is subject to routine passenger surveys by airport authorities, although the results of such surveys are not public for competitive reasons. Third, as the Passenger Name Record (PNR) data is confidential and protected by national privacy laws in Canada and the Netherlands, the how airlines collect this information and the manner in which border control agencies use the PNR fields are not directly observable by the public. Furthermore, the authoritative Global Airport Performance Benchmarking Project, authored by aviation management academics and led by Oum (2011) did not refer to ABC programs in its publicly available reports. Moreover, the comparison of “Total Factor Productivity” measures between airports is fraught with methodological challenges, and therefore comparisons of airport systems are useful only as general indicators of performance (Gillen and Lall, 2000). Consequently, and even if relevant 42  productivity data become available, which would assist in determining ABC program efficacy, this field of academic enquiry is not in keeping with the research hypothesis. Even with these potential weaknesses in the research method, interestingly, the research results were generally consistent across the state agencies and civil aviation firms, despite the respondents being located on two different continents and reflecting on activities spanning more than 20 years. For further explanation, Appendix A contains the detailed methods used for the interviews of public and private sector experts. Furthermore, to develop sufficiently reliable findings, the research method required engagement with field experts and analysis of relevant documents, such as archival materials. One of the goals of the qualitative interviews was to record the views of professionals who were chosen for their knowledge in the field. As the research topic is widely documented, another expectation from the interview process is to search for elaboration, recognizing that given the challenging world of border controls and civil aviation networks, important concepts may remain hidden in the document sources. However, a drawback to the qualitative reasoning approach used in this research project was the need for the researcher to be aware of the drawbacks associated with social construction and the meaning of language, as well as the potential for misinterpretation of a holistic analysis approach. This was not a small problem given that part of the research touches on highly sensitive national security matters, which are not generally available for broad public discourse. Even more problematic is that since 9/11 states have adopted many undisclosed policy changes that remain opaque to public scrutiny to avoid adversaries from gaining insights into border control tactics.  43  It is also important to define the critical lens for interpreting the accumulated data. Without reiterating the main epistemologies, this research project attempted to engage with events as they unfolded over two decades on two continents. Thus, the learning is incremental and relational to broader changes in the theory of the state and the firm. Yet, with a primarily realist approach, understanding the weaknesses of this knowledge process is necessary. Accordingly, the interplay between events, mechanisms, and structures must account for global changes. For example, in assessing the national security related policies, especially post-9/11, the findings address the contested views of how advanced border controls create serious social justice issues, with views from Agamben (2004), Sparke (2006), Hyndmann and Mountz (2008), and others. As well, given the sensitive nature of the topic, some relevant materials may not have been available in the public domain, which will have created some analytical gaps. Within this framework, the assessment of the Canadian and Dutch situation involved an overview of the relevant state and private sector organization’s background, an explanation of documents, and then a description of interview observations that indicate the degree of cooperation. Of note, the research results identified similarities within regional groupings (i.e. Europe compared to North America) which led to the thesis structure that follows. In particular, airline feedback generally supported the effectiveness of the ABC programs with a preference for global standardization. This contrasts with feedback from Dutch and Canadian airports interviewees who typically indicated that localized perspectives and programming efforts were vital in dealing with local market and supply circumstances. Thus, some difficulty existed in categorizing the interviews. This situation reflects the messy reality of the global level of international 44  airline (e.g. Air Canada, KLM) engagement, which is often in conflict with how firm strategy might affect local airport hubs in their host state. While this view certainly fits within modern globalization literature, the local versus global dichotomy has long challenged civil aviation firm strategy. The qualitative method also demands the exposition of the researcher’s own views. Thus, for transparency purposes the manuscript routinely identifies the professional involvement of the researcher in certain case study sites. In particular, this researcher was involved as a civil aviation and ABC program professional from the mid1980s to just prior to 9/11, and on select projects in the post-9/11 era. For example, the researcher was an advisor to the DAA in its efforts to obtain USPC approvals from the Irish and U.S. governments. As such, the question arises as to what degree does a “participant observer”, defined as an assessor of events through direct engagement in the activities of study, influence the outcomes of the research (Kawulich, 2005). This type of engagement is not new and represents “a staple in anthropological studies, especially in ethnographic studies, and has been used as a data collection method for over a century” (ibid, 2005). According to Demunck and Sobo (1998) the advantages of this observatory approach include access to particular cultures, rich descriptions and interpretations, flexibility in dealing with contingent circumstances, and Dewalt and Dewalt (2002) “add that it improves the quality of data collection and interpretation and facilitates the development of new research questions or hypotheses” (p.8). Of course, this type of intimate participation in research practice has disadvantages when undertaken by “biased human[s] who serve as the instrument of data collection” (ibid). From an ethical 45  perspective, the foregoing identifies that no researcher can claim freedom from prejudice, or has the ability to remain at all times impartial in reporting on evidence that might be contrary to fundamental beliefs the researcher might hold. From this researcher’s perspective, transparency assists in the reporting process so that the construction of the analysis can become evident to others. Moreover, the case study research is replicable to the degree that the documents used and interviewee accounts, in all but one case, are identifiable to other researchers. Finally, in the field of human geography, this type of “ethnographic” research represents an important source of data, and Herbert (2000) made the compelling case “For Ethnography”, which is the title for a recent article in Progress in Human Geography. This literature concludes with the following advice: “This is not to say that ethnography is a flawless methodology. I have reviewed three potent and sometimes accurate criticisms leveled against ethnography. Yet these criticisms are not fatal if their admonitions are taken seriously; the careful ethnographer can acknowledge these pitfalls and produce work that simultaneously considers the micro and macro levels, work that informs us of both the particulars of a given group and the general, theoretical lessons the group can teach us”. (p.564)  Finally, Appendix A identifies the research methodology details. Appendix B contains the interview details with individual names protected from disclosure for privacy reasons. Appendix C contains the interview question set.  46  1.6.  Research Contribution  The analysis of ABC programs over the last two decades has not been subject to academic analysis, and thus this research represents a unique contribution to the evolving geographies of air transportation systems and border studies. At a conceptual level, the research deals with important globalization-related questions with regard to the changing relationship between the state and the firm. As such, in this era of global connectivity the case studies demonstrate that during the early part of the research period, a cooperative and integrated approach existed between states and firms that enabled the mutual advancement of both national security and trade-facilitation objectives. The policy changes arising from 9/11 placed a much greater emphasis on the securitization of border controls. Despite this urgency to address national security weaknesses, the states and firms involved did not materially change policy and/or corporate strategy direction in a manner that negatively affected air passenger trade. These continued efforts towards civil aviation facilitation respected the migration securitization policy priorities but within the context of preserving access to global supply chains and offshore markets. While many legitimate complaints have emerged regarding the implications of intensified border controls resulting in some loss of economic activity, in the grand scheme, the drivers of globalization remain largely intact. The research also identified how the civil aviation firms and states involved adopted a “trade with security” strategy. The firms contacted for this research expressed the view that partnership efforts that addressed national security would also generate commercial advantages. For the state itself, national security and trade-facilitation 47  objectives demanded integration with the civil aviation firms that were principal international supply chain actors. As such, the Netherlands and Canada pursued a relatively balanced public policy that actively mitigated the potential for civil aviation networks to become conduits for illegitimate activity at their frontiers but in a manner that did not relinquish territorial sovereignty to the firms or allied states involved. Finally, a few public and private sector leaders responded to the request for input on the final draft manuscript. The response from an industry association was that the results were “good” and well captured “the implications of leading-edge border control practices on air transport over the past few decades”. Another private sector professional responded that this work represented “a good essential finding and I support the conclusions”. This individual also suggested that the multi-national element of the topic would become increasingly important. As such, “just as multi-national industries transcend borders, so too does the [policy] instrument of border movements occur on bilateral or even multi-lateral basis, which will have enormous consequences for the economic relationship between multiple countries”. In addition, a public sector professional commented that in a globalized and multi-state world, it is important to reinforce the view that both civil aviation firms and states have an inherent interest in achieving the "trade with security" paradigm. These insightful remarks reiterate that in a globalized world the traditional notions of national security become integral to the progressive and outward looking formation of economic policy.  48  1.7.  Thesis Structure  The structure of the thesis originally anticipated distinguishing between the various ABC programs as depicted in Table 1. However, this proved to be ineffective in practice when considering the interview results. While the interview questions dealt with specific ABC program topics, the responses from both state and private sector informants tended to refer to the totality of policy or corporate strategy. This perspective shift recognizes that state policy and corporate strategy are generally reflective of a consistent set of organizational goals, although as explained in the case study findings, some discrepancies did emerge during the discussions. As the interviewees were at the most senior level involved in the research topic, such individuals consistently demonstrated a broad and integrated view across their own responsibilities and those of related organizations. This breadth of insight became most apparent when considering how the various organizations dealt with the highly contentious topic of pre-journey data sharing (i.e. APIS) between firms and states. In considering the foregoing, the thesis structure is holistic, which is consistent with the theoretical concepts that acknowledge border controls, national security, and trade facilitation are not discrete and separate topics. While this complicates the analytical process, the result is a better understanding of how states and firms approach this complex topic. Accordingly, Part I of this research project contains two chapters. Chapter 1 outlines the overall scope of the research project and explains the case study choices, followed by the research methodology. Chapter 2 identifies and assesses the relevant literature for framing this study and analyzing the various research-related documents, 49  along with interviews of private and public sector professionals. The literature itself draws from “border studies”, economic globalization, transportation geography, international relations, migration - security studies, and state-firm relations. Part II includes the background overview and the case study research findings. Chapter 3 provides a brief history of the civil aviation industry and the ABC programs from prior to 1985 up until 2010. The subsequent four chapters explain the substantive component of the research over these past few decades, which involve the assessment of documents and interviews with key professionals at the supra-national level, in Canada and in the Netherlands, and with a relevant analysis of border control policy in the U.S. and the European Union. Part III contains the research assessment (Chapter 8) and the thesis conclusions (Chapter 9). This involves examining the implications for existing theories of relations between the firm and the state, along with addressing the broader conceptual issues that arise from the interplay between national security and forces of economic globalization. The concluding chapter identifies future areas of study that are relevant for academic attention, as well as for policy and corporate strategy consideration. The research project also contains an extensive bibliography and appendices that provide details of the research methodology.  50  Chapter 2.  2.1.  Literature Review and Assessment  Introduction “It is possible to see that today’s most important geo-surveillant resources are bio-political technologies that include not only the well-known border fences …but a new generation of mapping technologies. The kind of security desired by the U.S. and other countries depends on a whole suite of digital spatial mapping and so-called locative technologies. These locative technologies allow people and objects to be geo-surveilled; that is, to be tracked, marked, noticed, and logged as they move from one place to another. It comprises RFID chips, location-based services, cell phones, GPS, and many other locative technologies. In effect, then, this adds a new dimension to surveillance (Crompton, 2007).  These new ABC program techniques are not without ethical controversy and reflect an expansion of efforts by the state to interdict and exclude various trans-national travelers, although what is routinely forgotten is that these interdiction efforts also apply to citizens, and not just the “foreign other”. Establishing such exclusionary practices in a manner that utilizes commercial traveler data to “spatially-track” travelers across both space and time is also problematic for the civil aviation industry. Indeed, the researcher would articulate a criticism of the state to the effect that the legislated use of private civil aviation assets for “remote-control” purposes (Zolberg, 2002) arguably reflects an “abuse of power” that could be eliminated through the full undertaking of border controls with travelers. This does not resolve the “bio-intensification” of technological control of citizens and others, but removes the potential for firms to purposefully, or otherwise, contribute to state encouraged “terror” (Bobbitt, 2008).  51  Thus, this chapter identifies and assesses the literature that can assist in understanding the linkages between civil aviation development and advanced border control strategies. Unfortunately, this particular topic is underdeveloped in the literature by comparison to traditional studies of “borders”, globalization, trade expansion, transportation, and trans-national migration. Furthermore, while economic and political geography literature influences the research approach with particular attention to the transport geography sub-field, adherence to these academic perspectives would be insufficient to capture the breadth of issues related to civil aviation firm and border control agency relations. Thus, the thesis incorporates literature from a broader stream of thinking, as reflected within the emerging “border studies” field. This framework incorporates a range of relevant topics including inter-state relations, national security, and securitization - migration concepts, with much of the current literature addressing the challenging topic of how local places and regions are responding to powerful globalization forces (Brunet-Jailly, 2007). However, the “border studies” debate, rich as it is, gives little attention to the actual modalities for crossing borders, and instead treats the transportation system as a subcutaneous element of the geographies that permit spatial interaction. Indeed, a core rationale for this project is to assess, at least in the civil aviation mode, the implications of advanced border control strategies for the evolution of transportation networks. Admittedly, border studies have begun to deal with transportation. For example, this topic was dealt with in the “Border Regions in Transition” (BRIT) forum, which convened at the University of Geneva, in September 2011, for the first “Mobile Borders”  52  conference. Consistent with this researcher’s view that transportation is under studied the conference poster included a relevant passage: “The notion of mobile border embodies a larger dimension when considering the evolution of border functions the location of which is no longer constrained to the limits of national sovereignty areas, but on the contrary tend to be pushed back and forth, projected, multiplied, diffused. The control function can notably be disseminated within a national territory, and no longer fixed at its entry point. Biometric, numeric, or smart borders illustrate that tendency. Borders are more and more organised as networks, therefore promoting the idea of reticular borders located within communication hubs. Whether in airports or train stations, or following mobile teams of officers, migration and transactions are now controlled through “mobile borders” (p. 2).  In this regard, Figure 3 provides an interesting structure to explain the diversity of literature pertaining to civil aviation and border control. The following section explains how this literature applies to the framework, followed by an assessment of the depicted relationship.  53  Figure 3 Globalization versus National Security Framework  Literature Examples  Porter (1990) Dicken (1998)  McCallum (1995) Helliwell (1998) Black (2003) Keeling (1995)  Mintzberg and Quinn (1988)  Globalization/Trade (Civil Aviation)  International Agreements (WTO / ICAO)  ICAO Guidelines (APIS)  Bi-national Commercial Treaties  Domestic Aviation Economic Policy  Firm Corporate Strategy  National Security (Facilitation)  Literature Examples  International Agreements (ICAO)  Slaughter (2004) Brunet-Jailly (2007) Torpey (2000)  Bi-national Security Agreements State-Firm and Inter-State Partnerships (ABC Programs)  Bobbitt (2008) Napoleoni (2008) Ellermann (2006)  State Border Control Programs  Andreas (2003) Sands (2006) Mountz (2004) Hyndmann (2008)  Firm Border Control Strategy  Koslowski (2004) Sparke (2006) Amoore (2006)  54  2.2.  Globalization/Trade versus National Security Framework  The twin pillars in Figure 3 illustrate the careful balance between state and suprastate policy regimes that enables globalization and trade expansion (left-hand side), while at the same time recognizing often contradictory policies that serve national security interests (right-hand side). The figure also provides examples of the literature necessary to understand these complex arrangements between states, and with the firms conducting commerce between states. With regard to the left-hand side globalization pillar, civil aviation must operate within a global trade framework established between states. In particular, the creation of the International Civil Aviation Organization (ICAO) provides states with economic and technical advice to permit global industry coordination. As explained in Chapter 3.4, the role of the ICAO has grown in importance because of the industry’s growth trajectory towards international markets. With the combination of globalized markets and supplyside liberalization, the literature (e.g. Porter, 1990; Ohmae, 1991) that addresses global economic policy change becomes relevant for this thesis. Within this context, states pursue advantageous commercial arrangements with other states through various trade agreements. In the case of civil aviation, this involves explicit treaties, known as “air bilaterals” that enable air service operations between states. Therefore, important literature (e.g. McCallum, 1995; Helliwell, 1996) relevant to this topic relates to the potential impediments to these types of cross border movements. States must also make economic policy decisions on the manner in which firms compete in domestic markets, which is often the foundation for international 55  expansion. In this regard, the relevant literature (e.g. Keeling, 1995; Black, 2003) addresses the changing structure of civil aviation networks in global markets. Finally, each firm must adopt its own strategy and thus the literature related to relations between the state and the firm, becomes relevant (Mintzberg and Quinn, 1988). The right-hand side pillar relates to state and supra-national security priorities, which of course have escalated in the post-9/11 period. Yet, the overall structure of national security relations between states and their influence on civil aviation firms has not changed in the modern era. In fact, Torpey (2000) identified that the 19th century steam-ship firms crossing the Atlantic organized on-board accommodation, in part, on how inspections would occur for arriving immigrants at U.S. ports-of-entry. As such, states have adopted trans-national arrangements for mutual security protections, and a large volume of literature (e.g. Slaughter, 2004; Brunet-Jailly, 2007) exists regarding the evolution of these inter-state agreements. These overarching frameworks provide constructive guidance (e.g. ICAO Facilitation Annex #9) for bilateral agreements on dealing with regional or even local security issues. Thus, a range of literature (e.g. Bobbitt, 2008; Napoleoni, 2008) exists on bi-national security arrangements that explain these global arrangements. Although states have many choices as to border control implementation practices, the literature (e.g. Andreas, 2003; Sands, 2006) primarily focuses on the inter-state relations rather than on private sector integration efforts. As the thesis denotes, some academics have begun a literature base (e.g. Koslowski, 2004c; Sparke, 2006) on this topic. Finally, as indicated in Chapter 1, this research contributes to the literature regarding the new linkages between globalization and state choices regarding national 56  security. Thus, the introduction of ABC programs over the past two decades has become a central component in Figure 3 that involves new forms of state-firm partnerships. Moreover, while considerable literature exists on the role of the private sector in providing traditional state services, such as privatization of water systems (Yu and Danqing, 2005), this literature generally deals with commercial for-profit undertakings. For Canada and the Netherlands, engagement by the public sector with the private sector involves operational and facility planning co-dependence, rather than the traditional pursuit of alternative delivery mechanisms that deliver public cost saving benefits. Thus, the current literature does not address this type of interaction, nor explain why states would accept the delivery of core sovereignty-related services through such partnerships with civil aviation firms.  2.3.  Framework Assessment  The most crucial element of the framework identified in Figure 3 relates to the “Firm Border Control Strategy” component that exists on the right-hand side at the base of the national security pillar. In contrast to the significant attention to migration securitization issues in the literature, the occurrence of firm strategy, including an explicit national security policy objective, has not received attention in the literature as to why such a relationship between firms and states would evolve, and does not generally appear in other passenger transportation modes. This thesis argues that this phenomenon represents a new form of state-firm relation that has emerged in response to globalization opportunities. In the absence of these new relations, that were further 57  stimulated in the post-9/11 policy era, the balance inherent in Figure 3 becomes more susceptible to reaching a “tipping point” that can destabilize the equilibrium and tilt towards much heavier border control intervention in firm activities. As identified in Part II, a number of case study interviewees commented that the work done in building ABC program confidence in the previous decade had enormous benefits for Canada-U.S. relations, and permitted the early resumption of reasonably normal trading relations, albeit at a much higher level of border control scrutiny. Fortunately, literature is emerging concerning how firms have adapted to conflicting inter-state policies. For example, in Redefining global strategy: crossing borders in a world where differences still matter, Ghemawat (2007) acknowledged that political and cultural boundaries matter in developing firm strategy. Furthermore, the changing forms of border control are challenging the traditional distinction between economic analyses of cross-border flows from the inter-state issues that emerge from border control functions. This involves two different sets of knowledge, the first involving economic theories and globalization, the second emphasizing the political at a national and trans-national level. As well, the ICT investments that enable the ABC programs have required intensive state-firm cooperation. For example, the international airlines identified in Part II noted that while APIS began as a voluntary data sharing arrangement to facilitate “low-risk” travelers, this became mandatory after 9/11. This in turn required significant alteration of the programming architecture of airline data systems developed for customer service purposes. These state controls now extend beyond airlines and have influence over choices made at the airport level, as many  58  airport operators are investing in sophisticated ICT systems to support airline operations that then become subject to state data handling mandates. However, not all these changes have been problematic for firms. As will also be detailed in this thesis, state policy changes have contributed to the formation of strategic partnerships with civil aviation firms that viewed these technology-based innovations as an opportunity to facilitate trade through the reduction of border control impediments. Albeit, a challenge for this cross-disciplinary project is to avoid the literature review becoming a litany of diverse publications without indicating how the concepts fit together. As previously identified, this problem is not just contextual but must account for the evolving dynamic of state and firm ABC program interaction over the past few decades. Accordingly, to determine causality involves understanding and accounting for the numerous other changes in the form of relations between states, with travelers, together with transportation firms over this lengthy period. Nevertheless, these complex circumstances demonstrate that a static and unchallenged view of the historical literature would be problematic, and thus a modern literature should address how states and firms have cooperated to simultaneously enable civil aviation expansion, achieve national security objectives, and balance these frequently conflicting priorities through sophisticated trade facilitation practices. In this regard, the relevant literature that explains civil aviation expansion involves economic geography and globalization theories that have enabled a liberalized private sector, controlled by public regulation. As noted in Chapter 1, these changes to the civil aviation industry became a catalyst for broad economic change, especially by enabling developing states and sub-national communities to better participate in trade. 59  This literature is generally robust, and thus the literature review will identify those issues that relate to the influence of ABC programs on trans-national economic activity. As for the manner in which the state manages national security interests, including temporary migration that represents the vast majority of cross-border travelers, most of the relevant literature deals with inter-state relations policy. However, little information exists on the role of virtual and/or extra-territorial border controls in influencing transportation firm strategy. Accordingly, this component of the literature review draws on related topics to assist in formulating sound perspectives. The third element of the literature involves understanding the choices available to states and firms to achieve their objectives, which for both parties involve facilitation. As such, the literature is replete with important 9/11 related policy changes that prompted heightened territorial scrutiny, and created serious consequences , arising from widespread adoption of national security mindsets by Western policy-makers. As such, this thesis does not argue that this literature is unimportant, or that 9/11was nothing short of a “watershed” event that will alter the course of global society for the near future. Instead, from this researcher’s perspective, what is of interest here is the reality that the 9/11 tragedy brought to light major gaps in the national security analysis and the resulting policy formulations introduced to deal with trans-national non-state actors that arose during the rapid era of globalization. This view is not new, espoused most notably by none other than Richard Clarke, the Special Counter-Terrorism Advisor to President G.W. Bush at the time of 9/11. In this regard, Ward (2004) reports that:  60  “In Against All Enemies…Clarke recounts how the U.S. Administration was asleep at the switch, not taking proper stock of repeated warnings or those of the C.I.A., which that summer was receiving escalating intelligence reports of Al-Qaida activity. In Spring 2001, Clarke sent [Secretary] Rice and N.S.C. [National Security Council] an e-mail saying Al-Qaida “was trying to kill Americans, to have hundreds of dead in the streets of America”.  Furthermore, investigating the evolving co-dependence between civil aviation firms and trade-dependent states is useful in understanding how states can maintain the balance between national security and trade expansion goals. For example, Potter and Biukovi (2011) provided a contemporary assessment of trade mediation literature in Globalization and Local Adaptation in International Trade Law. The foreword by Potter deals with relevant international commercial law matters, and provides a promising reference to the importance of “trans-boundary transportation” (ibid, p. 9) in resolving the challenges from globalization at the local level. The Canadian Airports Council expressed a similar view that border control agencies “privilege” resources towards traditional gateways at the expense of smaller communities. This thesis therefore argues that an entirely new border control paradigm can emerge through the adoption of Information and Communication Technology (ICT) as a component of the broader “Smart Border” policy imperative. As such, ABC program tools can eliminate economically unfair disparities between historically endowed international gateways and emergent local centers of innovation and creativity that require direct access to “spaces of flows” without the enormous friction caused by intermediary transport nodes. From an empirical perspective, Part II addresses this issue, and explains the critical role the International Civil Aviation Organization (ICAO) plays as a tool for 61  mediating the challenges of inter-state border control conflicts, although positive statefirm relations represent the dominant mode of cooperation in the case studies. However, Part II also identifies major differences within the civil aviation industry with airlines tending to prefer border control harmonization at the global level, while local serving airports generally must focus on the needs of nearby travel markets. In considering how trade and national security forces influence each other, from a conceptual perspective, two principal forms of power emerge from examining these inter-linked policy arrangements. The first involves economic interaction driven by globalization efforts, and the second deals with national security interfaces between states. On the economic side of the scale, the focus is on globalization as liberalization enables firms to become oriented towards trans-national forms of commerce. These arrangements require trade agreements between states that permit the efficient functioning of commercial transactions for airlines and airports across territorial frontiers. In the modern era, ICT techniques have become the functional enablers of these types of spatial interaction that permit civil aviation firms a global reach. A similar pattern exists with national security objectives that involve international transportation coordinated at the level of the UN and other related inter-state institutions (e.g. INTERPOL, NATO). These arrangements can involve formal multi-state agreements including conventions on halting the narcotics trade, the prevention of human smuggling, terrorist detection, and countering illicit WMD transport (i.e. Weapons of Mass Destruction including radiological, chemical, and biological munitions). Slaughter (2004) indicated that these formal agreements often arise from historical  62  informal arrangements that evolve over time between professionals working across organizational divides, rather than from state-to-state negotiations alone. However, the national security arrangements identified in Figure 3 are not typical of how states address trans-national threats at other frontiers. Although the state retains and implements most aspects of border control policy, in the air transportation sector the state has developed a high degree of dependence on civil aviation firms to provide information and facilities that have traditionally been state functions. As noted in Chapter 1, regulatory requirements exist for private firms to develop strategies and implement components of border control functions. Invariably, the ability of ICT networks to displace border controls to virtual and extra-territorial locations has enabled states to act through private assets, generally without compensation. In further explaining Figure 3, and despite the supra-state level of aviation policy cooperation, this has not necessarily manifested itself in effective integration of national security and trade policies. Instead, competing pressures have become evident. On one side of the scale, states suppress threats at territorial frontiers through rigorous inspection protocols that in the past two decades have become virtual and/or extraterritorial. On the other hand, trade-oriented states have pursued multi-lateral trade arrangements that abound with discrepancies. For example, the 1999 Canada-U.S. USPC agreement permitted a program called In-transit Preclearance (ITPC). This program permitted international transit passengers to directly access the USPC facilities at Canadian airports without the traveler first seeking admission to Canada). However, the economic trade approvals (i.e. air bilateral agreements ) for Canadian airlines and airports to serve this very transit traffic to the U.S. was not agreed to until 2005.These 63  circumstances challenge the frequent contention in critical literature that globalizing firms have undue influence over economic policies at the state level. These kinds of trade and national security tensions became particularly evident in the post-9/11 world with considerable debate as how to maintain the balance between these mutually valid state priorities. For example, Chertoff (2009) articulated that the state must manage national security risks within their territories in order to avoid the export of threats to allied states. The failure to act in this self-disciplinary manner will lead allies to take offensive action beyond their territorial frontiers to thwart damage to domestic interests. This view is conceptually similar to Boulding (1962) who pointed out in Defence and Conflict that ineffectual efforts to protect sovereign territory will lead states to take forward positions for defensive purposes. However, Boulding as a peace activist in the early days of the intercontinental ballistic missiles disquiet articulated for the benign use of remote forms of sovereign protection, which appears fundamentally different from the “active pre-emption” views expressed by Chertoff as the second Secretary of Homeland Security for U.S. President, G.W. Bush. However, from a literature perspective, caution is necessary in placing too much significance on the ABC programs in achieving the optimum balance between trade and national security. While routine in facilitating air travelers, these programs do not fundamentally alter the careful balance between the twin policy objectives of trade and national security. Instead, the ABC programs are just another component that contributes to trade flows by permitting greater domain awareness for national security interests, especially in the post-9/11 environment.  64  Rather, the literature misses the collaboration between border control agencies and civil aviation firms. As detailed in Part III, the research has identified something new for the literature: Specifically for these particular cases, the role of Information and Communication Technology (ICT) has enabled partnerships in augmenting both national security and trade facilitation objectives in a mutually beneficial manner. Furthermore, states must often make hard choices on how best to pursue national security involving unilateral, bilateral, or multi-national methods. A welldeveloped literature exists in this policy sphere that recognizes that threats from civil aviation sources was evident as early as four decades ago and did not find its first tragic expression on 9/11. However, it would appear that in 2001 the previous levels of interstate cooperation were insufficient to mitigate the apparent negative externalities from trans-national crime and political violence. However, according to Manley (2008), the reprioritization of U.S. border control interests has gone too far, and has slanted the trade and national security balance in an inappropriate way, although growing levels of international air traffic question this supposition. Finally, for states to improve the trading platform for domestic firms, this involves aligning economic policy at both the national and supra-state levels. As described in Chapter 3, the International Civil Aviation Organization (ICAO) decision-making framework provides a robust process for states to achieve a multi-lateral consensus on civil aviation development. Conflicts remain, such as the APIS dispute identified in Chapter 1, yet the ICAO has a reasonably consistent record of accomplishment in supporting its member states in finding common policy supported by industry. Yet, the conflict of global standardization versus local aspiration remains in abundance. 65  2.4.  Border Studies  Traditionally, “border studies” have focused on those concepts evident in the following passage from Theorizing Borders: An Interdisciplinary Perspective (BrunetJailly, 2007): “borders emerge as the historically and geographically variable expressions of human ties (agent power of agency), exercised within social structures of varying force and influence. It is the interplay and interdependence between individuals’ incentives to act and the surrounding structures (constructed social processes that contain and constrain individual action, such as market forces, government activities, the culture and politics of a place) that determine the effectiveness of formal border policy, and particularly of security policies. In short, in the face of increasing border security priorities, policy-makers have to recognize that the porosity of borders depends on the relative degree and form taken by human interaction across borders” (p. 1). First, a basic definition of a “boundary” is needed, which reflects the dividing line between one spatial unit and another (Johnson et al, 2000). Cohen (1985) defined “boundary” as the perception of one party that distinguishes itself from others. Cohen further refined this concept to the material and symbolic divisions between peoples, groups, social practices, and knowledge disciplines. Simmel (2007) went further by indicating that human spatial boundaries are core to the functioning of social interactions, and thus socialization is inherently a spatial activity. As such, conflicts will arise when boundary ambiguities arise and / or where social behaviour explicitly appropriates or otherwise penetrates boundary demarcations. As Pile and Thrift (1995) identified, “the real existence of spatial boundaries testifies to the degree to which space is never a totally fluid medium in which mobile subjects dwell” (p. 374). Kolossov and 66  O’Loughlin (1998) extended this view, identifying “border studies” as concerned with understanding the relationship between multiple scales of interaction and tension between various actors. The authors also indicated that globalization is driving the state to adopt “open” borders to enable the freer flow of commerce, people, and services. Newman (2006) provided an excellent summary of pertinent geographic writings on the topic, noting the “study of borders has undergone a major renaissance during the past 15 years”. In this regard, the evolution of border controls are not simply questions of how the demarcation of territory is changing, as some strains of international relations theory might suggest. Instead, this researcher agrees with Newman that the “methodological and conceptual framework” that defines the meanings of “boundary” must account for the dialogue across various interest groups, including those private firms that become less territorially bounded with globalization. As well, Brunn et al. (1999) identified the paradoxes within border discourses, asserting the existence of “parallel universes”. As such, boundaries can be deconstructed and have virtually no influence when considering ICT capabilities. On the other hand, border securitization has made the social construct of territorial limits more meaningful than ever, which echoes Nicol (2005). Amoore (2006) identified this trajectory as the “Biometric Border” which “implicates us all in the governing of mobility and in the profiling of suspicious behaviour”. However, Amoore did not posit this view with reference to an integrated approach involving ICT and human judgement, nor did the author admit that the traveling public scrutinizes border controls given widely evident concerns about biometrics. While Amoore’s critical attention relates mostly to technology vendors, this represents a small component of ABC program direction. 67  Instead, the research focus has been to airports and airlines that have major influence over the level of industry cooperation with the state on managing territorial frontiers. Another issue is identified in The Neo-Liberal Nexus (Sparke, 2006), which discussed the Canada–U.S. NEXUS program. The view emerges from Sparke that “openness” policies create new forms of citizenship as well as facilitating trans-national travel. For Sparke, this paradigm shift is “moving beyond anachronistic, methodological, and nationalist categories, and instead considers the new ways the state is re-creating identity to serve globalization purposes” (p.152). As such, the U.S. positioned NEXUS as a “Trusted Traveler” (TT) program. From this researcher’s perspective, in keeping with this view from Sparke, the TT definition is problematic as it creates undesirable new divisions, within which all other cross-border travelers are “less-than-trusted”. Other academics view these techniques as far less than benign for society. In explaining the reason for not visiting the U.S. to lecture in 2004, Agamben compared biometrics to the tattooing of prisoners at Auschwitz, and indicated that this creates a “new normal bio-political relationship between citizens and the state” (Agamben, 2004). With particular attention to border control applications, Agamben explained: “It wouldn't be possible to cross certain thresholds in the control and manipulation of bodies without entering a new bio-political era, without going one step further in what Michel Foucault called the progressive animalization of man which is established through the most sophisticated techniques. Electronic filing of finger and retina prints, subcutaneous tattooing, as well as other practices of the same type are elements that contribute towards defining this threshold. The security reasons invoked to justify these measures should not impress us: they have nothing to do with it. History teaches us how practices first reserved for foreigners find themselves applied later to the rest of the citizenry” (italics added) (p. 2).  68  Furthermore, the modern era of hyper-mobility, enabled by ICT and “fasttransport” systems is straining definitions of boundaries between states and causing demands for elimination of impediments to both economic and social interaction across frontiers. As such, these new forms of spatial linkages at the trans-national level enable the modern state to relocate frontiers through virtual and extra-territorial methods. Addressed primarily outside the field of geography, the relevant literature includes Andreas (2003), Koslowski (2004a, b, c, d), Lahav and Guiraudon (2000), Lloyd (2003), Robertson (2010), Sands (2006), Torpey (2000), and Zolberg (2002). Within the field of geography, although the study of borders and territoriality has received much attention in recent years, this research topic is only indirectly addressed by Agnew (2005), Hyndman (2004), Hyndman and Mountz (2008), Mountz (2004), Newman (2003:2006), Newman and Paasi (1998), Paasi (1999), Nicol and Gault (2005), and Sparke (2006). In this regard, and according to Newman and Passi (1998), the manner in which globalization affects global power relations and the view of modern state frontiers will take multiple generations to re-orient local attitudes towards a different view of identity and territory. Indeed, Taylor and Flint (2000) suggested “open” borders and crossborder cooperation discourses may be running well ahead of actual shifts in performance. The authors also noted the multi-decade European integration project still generates considerable political resistance that certainly became evident in the case study discussions in the Netherlands. These authors also contradicted Amoore (2006), with the observation that improved biometric-based identities have made little contribution to the E.U. debate on the acceptance of the “other” into local communities.  69  In summary, the debate on how boundaries have evolved is positive for academic geography and provides a useful frame of reference for this research project. Although some “prevailing IR theory discounts geography”, Grygiel (2006) put it well in identifying that “states must account for locality when considering relations with others”. In returning to Brunet-Jailly (2007) who suggested a theory of border studies, the notable elements raised are the interfaces between multiple levels of government, market forces, and trade flows, along with the engagement with communities affected by border politics. Moreover, while Brunet-Jailly admitted the difficulty of documenting all these elements, this literature suggests that “empirical testing will demonstrate the strength of this theory” (ibid, p. 644). Thus, this thesis has taken on this challenge.  2.5.  Globalization, Trade, and National Borders  The enormity of this topic necessitates specific attention to how globalization, which refers to the various forms of trans-national human relationships, has influenced the civil aviation industry in confronting territorial controls in the process of operating across non-local spaces. Even with the rapid modalities offered by civil aviation to enable connections between disparate markets, the continuation of border controls between states remains an oft-debated element of globalization (Ohmae, 1991: Yeung, 1998). Open trade advocates, including Bhagwati (2003), have expressed concern that these persistent impediments continue to hamper demand, trade, and travel flows. This discourse also notes that frictions applied to transportation networks undermine the contribution that globalization can make to societal development. Hence, and in relation 70  to Figure 3, attention in the literature is necessary to identify how these tools and techniques can moderate the challenges arising from stricter border control policies. As well, multiple case study interviewees explained that the civil aviation industry has any expectation that national security policies are less important than the “corporate interest”. Instead, the industry desires a more cooperative arrangement that permits both pillars to achieve legitimate objectives in a balanced manner. Yet, the globalization of travel flows is not the only issues confronting states at their sovereign frontiers. Porter (2000) identified the formation of new economic clusters as dependent on the ability of suppliers to establish themselves at optimal locations based on a global approach to corporate strategy. This view is in keeping with Porter’s earlier argument that exhorted governments to liberalize industry and establish a new role for themselves, as explained in The Competitive Advantage of Nations (1990): “Firms Compete in Industries, Not Nations Government cannot create competitive industries; firms must do so. Government’s role in competition is inherently partial, because many other characteristics of a nation bear on it. Government policies that succeed are those that create an environment in which firms gain competitive advantage rather than involve government directly in the process, except in nations at early stages of competitive development” (p. 619).  Without question, government shape and influence the context and institutional structure surrounding firms, as well as determining to what extent firm advocacy forms a component of policy deliberations. However, and as explained in Chapter 3, while many states have enabled civil aviation industry liberalization, all too often states have failed to undertake the parallel changes to the “institutional structure surrounding firms”, that is, of ensuring that border controls do not become a trade impediment. This is not to 71  suggest national security interests are secondary to the objectives of trans-national corporations as claimed by some neo-liberal theorists. Rather, Figure 3 depicts the need for a careful balance between these urgent public policy goals. In this regard, the UN published the World Public Sector Report, Globalization and the State, which addresses some of these issues and was prepared “to review major trends and issues concerning public administration” (UN Department of Economic and Social Affairs, 2001). The most significant trend identified was the role of ICT, which “promises to make the information and knowledge base of humankind available anywhere, anytime, in any language” (ibid, p.8). The report also recognizes the importance of transportation in re-shaping the global economy, with particular emphasis on air travel that has led to such a greater mobility. The major catalyst for this change was the seven-fold reduction in consumer fares in real terms from 1930 to 1990. The UN further identified that “the threat that international crime, particularly terrorism and drug traffic, poses to the world and the increased interdependence brought by globalization should not be overlooked” (ibid, p. 26). The report also acknowledged the important role of the private sector in a globalized era and the potential for better outcomes as “markets and states should not be seen as adversarial forces, but as truly complementary” (ibid, p. 68). The report also identifies the need for a continued role for a competent public sector, especially when concerning the capacity to deal with human security risks from trans-national threats. From a conceptual perspective, the UN report provides a parallel framework to many of the issues addressed in this thesis, albeit with less attention to private sector interests.  72  As noted, the growth in global circulation has generated policy issues as states seek the least trade-intrusive manner to manage the sovereignty related demands of territorial controls. For example, Torpey (2000) observed that with globalization the state faces a serious challenge in maintaining sovereign control, which puts into question the traditional role of the state. In this regard, in Restructuring Territoriality, Ansell and Di Palma (2004) explained how the state must be re-thought. While this view involves a redefined geographic boundary, it also recognizes that the “logic of territoriality, while significantly repositioned, is not easily discarded”. Ansell and Di Palma also suggested that in order to understand the newly re-worked state, it is necessary to: “recognize the presence, in the political space below and beyond the state, a variety of territorially relevant collective actors including some private, some public and legal (or illegal), and some constitutionalized. These relations are not sorted out neatly along the conventional territorial divide between domestic hierarchy and supra-national anarchy /intergovernmentalism, as states can no longer predictably operate as exclusive authoritative gatekeepers of the divide” (p. 259).  Ansell and Di Palma further noted that the role of the private sector in defining territoriality has grown with globalization and which is a subject of considerable critical academic debate (Grant, 2000). Nevertheless, Hufbauer and Vega-Cánovas (2003) identified the need for the state and other stakeholders to find the means to overcome national security threats at joint frontiers in order to reduce the risk of future calamity and in order to maintain “open” borders for economic security purposes. According to Black (2003), modern trade theories have shortcomings, and “the body of international and interregional trade theory” is insufficient. Black’s view is that trade theory must deal with rapid economic changes; the necessity of removing barriers 73  between states; barrier-free conditions at territorial frontiers; and the re-emergence of trade inhibiting behaviours by the state and even from firms attempting to protect markets from foreign competitors. It is worth noting here that the improvements to ICT and “fast-transport” systems have reduced the “friction of distance” so that traditionally protected local markets now often face global exposure. In any event, while Black correctly identifies factors that need further attention elsewhere, missing from this analysis are the implications arising from global transportation networks for national security priorities. This issue was raised by a case study interviewee with the notable concern that in the post-9/11 era “firms ignore national security concerns at their peril”. In National Borders Matter: Canada-US Regional Trade Patterns, a work seminal to the discussion of borders and trade, McCallum (1995) challenged Ohmae’s The Borderless World view that “borders have effectively disappeared” (1991, p. 172). Although McCallum attends to the goods movement sector, this research demonstrated how locational factors explain trade flows. As such, McCallum observes, “the Canada– U.S. case may be particularly interesting because the two countries are so similar in terms of culture, language, and institutions”. This study concluded that even with the relatively unimportant Canada-U.S. border, the existence of the shared frontier continued to have “a decisive effect on continental trade patterns [suggesting] that national borders in general continue to matter” (McCallum, 1995, p. 615). Similarly, in “How Much Do National Borders Matter”, Helliwell (1998) addressed the trans-national mobility of both goods and people. In the chapter dealing with migration, Helliwell observed that the empirical literature identifies a strong relationship between trans-national migration and distance effects. The evidence is challenging as 74  Helliwell argued that the standard gravity model would predict greater levels of migration than observed in typical flows between states. Helliwell explained this as the “border effect” which is based on the difficulty of understanding the benefits of accessing distant locations; the “psychic costs” of distances away from host family and business relations; lack of destination information; and absence of sufficient networks of previous migrants in the receiving state. Despite these frictions, Helliwell concluded, “some degree of openness has a positive effect on economic growth”. In “How Much Were Canadian Exports Curtailed by the Post-9/11 Thickening of the U.S. Border?” Gray (2008) specifically addressed the export travel services by air. While acknowledging border control factors that caused confusion for travelers, such as the Western Hemisphere Travel Initiative (WHTI), the overall affect was relatively minor with an overall traffic dip (e.g. leisure and business travel) immediately after 9/11, which recovered in less than two years. The most significant downward shift related to business travelers, a group that would be more knowledgeable about border crossing requirements, although Gray theorized that the major influence in the overall reduction in trade related to pre-9/11 economic conditions. Another major change during this period was the sizable appreciation of the Canadian dollar that made travel to Canada less affordable for U.S. citizens, and enabled Canadian citizens to travel farther afield on the strength of an improved currency exchange rate with other foreign states. Overall, these results are consistent with Globerman and Storper (2006) who provided empirical evidence that 9/11 did negatively influence Canada–U.S. trade, although the explanatory factor is minor by comparison to other econometric-related causes.  75  Unfortunately, McCallum, Helliwell, and others interested in trade flows did not address the implications of border controls on the various transportation actors involved in negotiating territorial access. For example, Napoleoni (2008) observed that what remains unexplored in the economic literature is the parallel growth of trans-national threats from criminal and political violence and the consequences for legitimate trade and travel flows. Furthermore, as access to border control services is not ubiquitous but limited to certain ports-of-entry associated with historical gateway urban conglomerations, this often generates circuitous routings between hinterland production centers and foreign markets. Helliwell considered none of these factors in the “border-effect”. Similarly, Zook and Brunn (2008) explained, “while place and location matter, economic activity is increasingly being influenced by the relative location on a network [e.g. airline] as opposed to continuous geographic space”. Despite an otherwise well-articulated discussion on the supply and demand factors influencing international air service networks, these authors fail to account in any manner for territorial controls, even when discussing transport costs. This is even more remarkable as the authors cited an extensive industry liberalization literature, with the research pursued well after 9/11, when the linkages between national security and civil aviation have received enormous attention. It is worth noting that some globalization literature is useful in explaining the implications of transport networks to trade flows. For example, Krugman (1991) summarized this perspective well, as follows:  76  “favourable aspects of location, such as availability of a good harbour, typically have a catalytic role: they make it likely when a new [economic] center emerges, it will be there rather than some other location in the vicinity” (p. 58).  From a critical perspective, Strange (1996) observed that globalization has encroached on the traditional role of the state. Strange goes further, discarding much of the academic literature in place of a ubiquitous rationale explained by “the commonsense of common people” (p. 3). Despite this anti-establishment view, Strange correctly identified that the often “neglected factor” of globalization involves physical technology advancement (e.g. transportation systems), and specifically the recent ICT revolution. Furthermore, Strange observed that the role of the state has evolved from seeking territory to capturing export markets. These neo-liberal approaches can involve the transfer of state assets to the private sector that in turn become a conduit for international market expansion, or states adopting economic policies that facilitate trading firm activities beyond the territorial frontier. Invariably, this leads the private sector to engage with the state in favour of achieving market outcomes, even if this must subsume other societal objectives. Strange also stated that the “territorial boundaries of states no longer coincide with the extent or the limits of political authority over economy and society” (ibid, p. ix). From this research project’s perspective, the use of ICT based ABC programs may have been an important catalyst for these broader changes, especially as states extend their legislated reach beyond the territorial limit. While Strange raised important conceptual challenges that are beyond the scope of this project, relevant to framing this research is the evolving dynamic between the state and firms as both attempt to pursue their objectives, some of which coincide and others that 77  are in conflict (e.g. civil aviation firms required to provide pre-journey data without commensurate facilitation benefits). In summary, the gap in the globalization literature relates to how civil aviation firms are required to navigate through border controls to connect international spaces. Even Krugman (1991) failed to acknowledge this issue, as there is little point in having a “good harbour” without sufficient border control tools that permit the timely passage of travelers in a manner that does not create national security risks. As such, it is somewhat surprising that the economic globalization literature has not engaged the migration - securitization and related literature, given the trans-national nature of many threats to state authority (Bobbitt, 2008: Napoleoni, 2008).  2.6.  Civil Aviation Networks  Aoyama et al. (2006) identified the “critical role of logistics functions in the contemporary economy”, and then explained, “the logistics industry is an implicitly accepted yet seriously understudied area of research in contemporary economic geography” (p. 328). A particularly useful insight emerges from the literature that identifies the struggle faced by transportation firms to adjust strategies to meet global markets and competition, but recognizes that “it also remains one of the most localized and embedded industries of all” (p. 335). For Adey et al. (2007) in an interesting article “Flying lessons: exploring the social and cultural geographies of global air travel” the authors noted that “increasingly sophisticated methods have accordingly allowed geographers to visualize the uneven networks of air traffic, with passenger and freight 78  data utilised to reveal the scale and scope of [the] global air transport network” (p. 774). Moreover, this literature argues that it is necessary for transport geographers to go beyond the quantitative traditions, and consider the geographies of “aero-mobility”. While the “spaces of flows” (Castells, 1996) has certainly generated interest in transnational mobility, the literature certainly does not provide evidence to support Urry (2000) who argued that: “There is a ‘mobility turn’ spreading into and transforming the social sciences, transcending the dichotomy between transport research and social research, putting the social into travel and connecting different forms of transport with the complex patterns now taken by much social experience conducted at-a-distance”. (p. 157) In any event, this literature did prove useful as it highlights the “uneven global aero-mobilities”, which alert “us to some of the key issues of power and identity” (Adey et al.2007). For travelers, this can mean a degree of subjugation that is unusual in modern life, as Gary Marx (2005), “urges us to consider how ‘border crossing tools…rely on extending or constricting the senses’, channeling sensory stimuli, in order to sift and sort specific feelings and emotions”. In a similar vein, Walters (2006) indicated that transport geographers can no longer remain within the realm of network analysis, and must address the broader conceptual issues that are inherent to the discipline: “the imposition of borders at the airport is less and less about commercial regulation or even military security, and more and more about instruments for the policing of a variety of actors and objects pathologized by their deviant Mobilities”. (p. 147)  79  For Adey et al. (2007), the combination of globalization and national security interests has had material implications for industry, and thus they argued that: “Unlike the airport of the past, which Walters suggests may have been a point of arrival, reception, and integration for migrants (i.e., the gateway to a nation), the airport is now merely one node within a series of [global] sorting points”. (p.781)  As such, and as abundantly evident in Part II, the civil aviation industry faces similar difficult choices as globalization drives airlines to focus corporate strategy on a broad scale. For locally fixed airport operators, attracting airlines requires the provision of globally relevant facilities and services, while at the same time tailoring services to the needs of the nearby catchment area. These circumstances are complex enough, but this research adds another challenging layer by considering the role of Advanced Border Controls (ABC) on civil aviation firm development. However, Rimmer (1988) observed that the transport geography discipline must become less circumspect and avoid esoteric debates that remain unconnected to larger bodies of literature. Instead, Rimmer advocated that transport geographers must engage with forward-looking issues, contribute to policy debates in a practical way, and identify how transport system gaps influence real-life globalization challenges. From this researcher’s perspective, another crucial dimension is how “fast-transport” and ICT systems have generated societal implications far beyond questions relating to global economic integration, preeminent at the time of Rimmer’s contribution. As Napoleoni (2008) observed two decades later, the preferred travel mode for political and criminal trans-national actors appears to be via civil aviation networks. Thus, in keeping with 80  Rimmer’s advice, the very purpose of this research project, which combines the otherwise unrelated transport geography and “border studies” topics is to enable a better understanding of the interplay between modern border control policy and civil aviation firm strategy. As such, the researcher makes no apology for the heavily empirical focus, although ensuring that this thesis contributes to the literature remains an equally valid objective. Within the context that geography explains the variation in human activity that increasingly involves trans-national spaces, this researcher, amongst others, argue for serious attention to the study of how transport systems depend on efficient border control systems. In this regard, Black (2003) identified that: “if there were no variation from place to place all places would be much the same and as a result there would be no need for transport and travel beyond local areas since there would be nothing in the rest of the world different from where we are at present. Everyone and every place would have the same resources and capabilities” (p.3).  Black rhetorically demonstrated how the world is full of differences, and the interaction across space is only possible by transportation systems, which in the modern era involves parallel ICT networks. This perspective reflects the history of trading relationships that have closely paralleled the development of transportation technology. For example, Black pointed out that the Phoenicians built the first merchant ships; the Romans designed all-weather roads; the steamship enabled “fast” oceanic crossings; the railroad transformed industrial production; and civil aviation networks connect global markets (p, 12). In this regard, and without repeating network theory  81  basics, Ullman (1954) identified the principal determinants of spatial interaction, which assist in understanding transport network development, as follows:     Complementarity relates to the availability of supply in one area that matches demand in another area; Transferability refers to the maximum level of costs that permits transportation between spatial locations; and Intervening Opportunities relates to the predominance of trade between the least cost locations, even with the existence of transferability to other locations. According to Black (2003), Ullman did not consider “the political factor” that can  override the above noted key determinants of spatial interaction. Black explained that even where complementarity and transferability exist, together with the absence of intervening opportunities, trade flows might still face interruptions. This political factor can be viewed as a “cost” that trading partners are unable to pay, and thus becomes an impediment to otherwise legitimate trade flows. This particular view parallels the findings from McCallum (1995) and Helliwell (1996) that borders between nation states represent a “friction” that can impede trade flows. These concepts are relevant in understanding why civil aviation firms in Canada and the Netherlands undertook to pursue partnerships with the state to develop ABC programs. For these firms, overcoming “politically” constructed impediments, namely territorial frontier controls, proved to be a reasonable strategy that was “less costly” than the alternatives. Black (2003) also identified why geographers are interested in transport studies. This relates to a better understanding of the changes necessary to enable the optimal functioning of links and nodes within a transport network. In the case of civil aviation, links refer to airline services and nodes refer to airports. However, Black did not allow that in the absence of border control programs at nodes, transport networks would need 82  to remain within the domestic economy. In a globalizing world, limiting access to domestic destinations can harm economic and societal progress. The problem of insufficient access to border control services is especially problematic for smaller and remote communities. In these circumstances, localities can become dependent on intervening gateways, which will increase costs and reduce access to global markets. Academic attention to the changing relationship for transportation firms employed in global commodity chains is growing in importance with the fall of trade barriers. However, Aoyama and Ratick (2007) correctly observed that “relatively little is known about the [logistics] industry’s organizational dynamics, inter-firm relations, and the role that information technologies play in its industrial transformation” (p. 160). Although this particular literature deals with those firms involved in the goods movement trade, the parallels to passenger transport are most useful to the trans-national nature of this research topic. Moreover, the authors identify the different forms of relations and the benefits associated with trust based relationships between firms that “reduce transaction costs and foster successful collaboration”. From a contemporary perspective, Keeling (2007, 2008, and 2009) prepared a comprehensive analysis of the state of transport geography. Keeling distinguished between trans-national, regional, and local patterns of studies, all of which have implications for wealth creation and distribution. At the global level, Keeling argued that transportation advancements are globalization’s life-blood. At the same time, Keeling recognized the work by Krugman (1991) that argued that connectivity within trading areas is equally important to external trade development. With the rise of urban agglomeration, Keeling concluded that transport geographers must also become 83  engaged in urban development, sustainability, and social accessibility issues as foundations for external competitiveness. Unfortunately, in what is otherwise a fine collection of transportation geographic thought, Keeling did not identify the topic of border controls and their influence on transportation systems. Even where the topic of civil aviation development is the focus of academic attention, for example in the Journal of Transport Geography, Special Edition on Airline Industry Liberalization (July 2009), the evolving role of border controls plays no part in any of the research works. For example, in the airline spatial network analysis by Derudder and Witlox (2009), this scholarship indicated that air service liberalization at European airports resulted in higher levels of international traffic. However, the elaborate analytical framework contained in this literature does not address the major border controls changes such as the Schengen Agreement Area (SAA), or the Automated Border Kiosk (ABK) programs at various European airports. In the same journal edition, Grubesic et al. (2009) focussed on airport hierarchical development on a global scale based on the allocation of airports in a region to a central node. This is based on the assertion that “since air transportation is often hierarchically organized with sets of smaller airports feeding into larger hub airports, the concept of delineating nodal regions is highly relevant” (ibid, p. 265). Not surprisingly, this analytical approach contained no reference to border control considerations, even with the allocation of airports from different states to the same central node region, as if the sovereign concerns of states did not exist. It is worth noting that an advantage of the ABC programs under study, especially the USPC program, is the reduction of constraints to where airlines may operate across 84  international spaces. This realization alone requires that researchers account for border control developments, as otherwise the analysis of airline network flows purposely ignores an inherent constraint, which became more pronounced in the 9/11 period. These wanting circumstances are evident in other influential articles. For example, the U.K. strategy of privatized airports led Humphreys and Francis (2002) to conclude that regional airports had a role to play in national capacity constraints. However, these authors have not acknowledged the parallel changes required by U.K. border control agencies to serve these smaller airports. For transparency, the researcher has recently provided professional advice to the U.K. civil aviation industry. In a similar analysis of regional French airports, Thompson (2002) failed to explain how the adoption of the SAA by France and other major European states, which removed the border control impediments, had a major influence on the growth in regional air travel. Unfortunately, the same gap emerged from Feldhoff (2002) who explained Japanese regional airport policy, and that the “internationalizing of regional airports” at cities such as Hiroshima, Sendai, or Nagoya was simply a matter of transport policy, with no indication that such practices could not occur without commensurate investment in border control facilities and services. This gap is even more serious with regard to the ABC programs under study, as in recent years Japan has introduced a range of new border control policies that utilize technologies to facilitate air travel, including the collection of fingerprints from foreigners on arrival at international airports (Japan Ministry of Justice, 2007). Furthermore, this failure to account for the limitations imposed by border control programs on civil aviation networks also has an empirical component. In particular, the 85  “peak hour flow rate” is a crucial measure for determining transport network capacity. As noted in the IATA Airport Development Reference Manual (2004), border control capacity limits have significant and broad implications on both airport and network system capacity. Accordingly, any analytical assessment that does not account for this sizable constraint to network optimization will produce less than accurate results. Despite these literature gaps, a few geographers have indirectly referred to the research topic. For example, Newman (2001) noted, “as changes in transportation technology become increasingly sophisticated…borders are removed from the territorial periphery of the state into the heart of main metropolitan airfields” (Ibid, p. 145). Sparke (2006) dealt with the U.S. NEXUS program, albeit with a focus on the link between the program and neo-liberal corporate agendas. Building on the “spaces of flows” concept from Castells (1996), Dodge and Kitchin (2004) identified the ICT implications and argued that “air travel has become a real virtuality par excellence, seamlessly blending the material involving travel and virtual networked communication”. This particular work provides an interesting lesson that also emerged in the case studies regarding the potential abuse of technology, as follows: “one of the prime uses and effects of code/space is the creation of a panopticon which enables and enforces a regulatory environment in which passengers (and most staff) are rendered, in Foucault’s terms, docile bodies: bodies that pass through the system in an orderly, noncomplaining, compliant manner” (p. 199). In a related perspective, Cresswell (2006) suggested that, “transport geography and migration theory have never been more central to the discipline”, although the author does not identify the broader implications of this statement for the literature. For 86  Hall (2010), the approach to future work must recognize that “much transport research is undertaken within an inter-disciplinary framework”. Hall also observed, “in a wider context, geopolitical issues of travel resource access are likely to become an important focus of global tension and potential conflict”. Much of this research project deals with the challenge of enabling trade and the increasing flows of trans-national travelers in a manner that does not impose large risks to national security interests. In summary, the role of border controls as a major influence on transport network development remains absent from the literature. Also not evident are references to how the ABC programs are changing airline and airport strategies that permit new network linkages, which in some cases permits the by-pass of traditional gateway nodes. In a world where international connectivity becomes paramount, the availability of expanding network linkages through advanced ICT systems that permit the delivery of territorial controls in different ways will influence how local spaces participate in global flows. The case studies identify the importance of these issues for further academic attention.  2.7.  International Relations, Migration, and National Security  A major challenge for states, even before-9/11, was managing the flow of economic migrants, convention refugees, trans-national criminals, and those travelers who purposefully avoid ports-of-entry (Bobbitt, 2008). In a globalizing world, where trans-national mobility is crucial for economic and societal reasons, international allies have come in conflict regarding how best to deal with such travelers. In the modern era, the potential exists for even further conflict as states begin to use virtual and extra87  territorial border controls methods. This section reviews the conceptual issues surrounding international relations, migration, and national security. As for Figure 3, the serious policy considerations that arise from both legitimate and illegitimate transnational travel have of course received much attention in the post-9/11 era, with major consequences for both sides of the globalization/trade and national security debate. First, the trans-national aspects of the civil aviation industry are dependent on coordination at the inter-state level, as detailed in Chapter 3 of Part II. In this regard, the theories of liberal institutionalism identify extra-national organizations as essential to the functioning of inter-state relations (Slaughter, 2004). From this view, supra-national or wide-regional agreements can overcome narrow state interests. Kahler (1995) furthered this view and explained that “strengthening international institutionalism” was a critical element of achieving “explicit harmonization”. Kahler viewed such institutions as having the potential to open borders and re-assemble sovereignty through joint actions. However, there are inherent weaknesses in these approaches as states can surreptitiously act to serve their own interests, with repeated evidence that states do not pursue collective action that might generate wider benefits. In this regard, the ABC programs under study have already created challenges for the international cooperation evident in other areas of civil aviation development (IATA Interview, 2010). From a competing perspective, the international relations theory of “offensive realism” views that the state must ensure effective territorial control in order to achieve “hegemonic” goals, which can be achieved through projection of power beyond the territory (Mearsheimer, 2001). This outward looking concept is similar to the theory from Boulding (1962) regarding the “loss of strength gradient”. According to Boulding, states 88  establish forward protection zones beyond the territorial frontier to overcome the inherent weakness of delivering force over physical distances. This practice of positioning power in a foreign state can limit the ability for the host state to project power beyond their territory. These circumstances can create jurisdictional overlaps between states and thus create the potential for inter-state conflict. These outward protection concepts are relevant to this research as the common feature of the ABC programs is the commencement of the inspection process prior to the traveler reaching the territorial frontier. As the concept suggests, conflicts have emerged concerning the inter-state dispute over pre-journey data sharing, as detailed in Part II. Nevertheless, the various liberal concepts that identify the advantages of interstate cooperation are more relevant for explaining why the ABC programs under study involve lengthy periods of cooperation between the states involved. For example, in the case of the USPC program, the U.S. and Canada are now approaching six decades of continuous engagement on the relocation of U.S. frontier controls onto sovereign Canadian territory. However, the literature does not address the role of the private sector as principal agents within these traditional inter-state relationships. In turning to the concepts related to migration and national security, states are facing tremendous growth in temporary migration associated with leisure, commercial, and personal travel. This is in keeping with the growing evidence from trans-nationalism studies that demonstrate that a continuous form of global circulation has emerged for both short- and long-term “sojourners” (Ley, 2003). For example, the UN World Migration Organization (2009) reported that in 2008, nearly 214 million permanent migrants crossed borders by all modes. By contrast, the IATA (2010) reported that 89  about 952 million passengers crossed a border by air in 2009, out of 2.4 billion air travelers. In the era of globalization, the growing volume of temporary international migration is of considerable economic importance. For example, the UN World Tourism Organization (2003) reported that: “international tourism receipts represent approximately 6 % of worldwide exports of goods and services. When considering service exports exclusively, the share of tourism exports increases to nearly 30 %” (p. 1).  This degree of hyper-mobility is consistent with Castells (1996) definition of the “spaces of flows that [link] up distant locales around shared functions and meanings on the basis of electronic circuits and fast transportation corridors”. Furthermore, Koslowski (2004) argued that advances in transportation and ICT could permit states to adopt, on a multi-national basis, an international migration regime that integrated global travel and residency policies permitting greater levels of circular travel patterns. However, the benefits of migration remain contentious, even in the face of obvious economic gains. Conceptually, the necessity for states to establish border controls reflects the inherent risk of territorial boundaries open to the “other” (Bobbitt, 2008). These concerns are heightened in the modern era were technology-enabled development generates the “Connectivity Paradox”, which holds that while the era of electronics permits an unheralded collection and dissemination of knowledge, no substitute exists for physical engagement for establishing and maintaining relationships (ibid). This paradox arises where the need for this greater connectivity also allows a greater level of systemic danger, as damage in one part of the globally connected world will quickly create harm elsewhere. However, Bobbitt warned that neglecting to “develop 90  habits of greater vigilance, including especially the inspection of travelers” can lead to the collapse of legitimate authority which in turn can make “the state the source of terror itself” (ibid, p. 97:401). Unfortunately, the question of whether ABC programs under study might themselves contribute to state oppression is beyond the scope of this work. Nevertheless, Bobbitt explicitly linked the role of the state in promulgating sophisticated national security strategies in the face of trans-national threats, with the manner in which states should engage transportation firms in the control of international passenger movements. These perspectives are highly reflective of the concerns raised by the private firms and associations interviewed for this research project regarding the significant risks for the civil aviation industry that is increasingly finding itself on the front line of state interdiction practices in both virtual and extra-territorial spaces. Torpey (2000) theorized that the state self-interest in citizen security represents the core function that defines the state. In this regard, Torpey viewed that only in this way would an individual enable the collective interest and share sovereignty with others. Similarly, Waever et al. (1993) indicated that the modern concept of “society” is correlated with the existence of the state, and how risks for the national “society” authorizes the state to intercede in order to protect from foreign threats. Thus, and long before-9/11, travelers became subject to significant levels of scrutiny at frontiers that placed the economic objectives of trade liberalization in conflict with national security priorities. Although Castells and others have anticipated ICT and “fast-transport” networks as enablers of global mobility, the existential threat to the state from belligerent travelers has enabled national security policies to use these same networks to control travel through offshore interdiction. 91  Joppke (2001) suggested an alternative hypothesis regarding the security migration conflict arising from underlying societal tensions formed by economic threats. Thus, Joppke viewed the security - migration threat nexus as a demonstration of the weakened societal bond exacerbated by globalization. In this regard, the Netherlands case study revealed that legal immigration policy has come under heated public debate, in part for economic reasons related to migrant access to labour markets. The consequence of this policy conflict has been to increase border control scrutiny, even if not warranted by the national security risks associated with “third-country” nationals. However, in the post-9/11 era, the concepts that explain migration as a threat to societal security are most relevant. This rationale for intensified border controls arose multiple times during the case study interviews. In particular, North American participants raised the inter-state conflicts that emerged when a Syrian-Canadian (Maher Arar) transited a New York airport from a family vacation in Tunisia en route to the traveler’s Ottawa home. The U.S. Customs and Border Protection (CBP) agency apprehended the traveler, and then transferred this individual to Syria for imprisonment. A subsequent human rights abuse hearing by a Canadian parliamentary committee received considerable evidence of alleged torture of Maher Arar during his custody. The U.S. CBP explained the rationale for the traveler’s interdiction (Kutty, 2007): “[Maher] Arar has been placed on the terrorist watch list because he was suspected he might be a member of The Muslim Brotherhood. The tenuous link was made well after he moved to Canada; Arar’s mother’s cousin had been a member. Additionally, the U.S. learned from Canadian Police that “lease on Arar’s apartment had been witnessed by a Syrianborn Canadian who was believed to know an Egyptian-Canadian whose brother was allegedly mentioned in an Al-Qaida document” (p. 9). 92  While inter-state and human rights questions emerged from this incident, relevant to this thesis are the consequences of the underlying trans-national, data-sharing protocols. This event brought to public attention the types of data shared between states. After a public enquiry, the Canadian government established new data-sharing protocols that had implications for the APIS program and for the types of information shared between the U.S. and Canada (Canada Ministry of Foreign Affairs, 2007). According to Kydd (2005), national security concerns arise because of a lack of knowledge about the intentions of external parties that creates a “lack of trust”. This question of “trustworthiness” can reflect on more than the relationship between the state and the individual traveler. Kydd observed that negative associations that do not necessarily arise from a foreign state could undermine the prevailing level of inter-state trust. For example, the case studies identified serious trust questions between the U.S. and Canada concerning the erroneous belief in the American public and senior U.S. politicians that the 9/11 perpetrators entered from Canada (Moens and Gabler, 2011). Similarly, Lloyd (2003) theorized that states have developed a basic lack of trust regarding persons outside the territory, whether they are citizens or other, and thus states have adopted policies that persons entering the territory, or leaving, in some cases, should face a high degree of scrutiny. In the case of the ABC programs, states have adopted new practices to improve the identity of individuals through biometric technologies, and have used pre-journey data sharing to enable a more-informed decision on whether the traveler can be “trusted” to enter the territory. Absent from the literature is the role of the private sector in providing these tools and information, and  93  how the necessary partnerships to enable such actions change the relationship between border control agencies and civil aviation firms. While national security conflicts naturally arise with international travel, for states to participate in the advantages of globalization there must first be some degree of “openness” (Helliwell, 1998). As Cornelius et al. (2004) indicated in the “gap” hypothesis, such openness, when exploited, will become a source of policy friction between the state and its citizens and thereby generate a “security stigmatization”. This society-wide phenomenon occurs when a persistent gap exists between official policy and actual migration outcomes. For example, the admission by U.S. border control agencies after 9/11, that the perpetrators had repeatedly entered the U.S. despite the various watch-lists, fuelled the public reaction for a corrective policy change (National Commission on Terrorist Attacks upon the United States, 2004). One of the objectives of the ABC programs is to eliminate this policy gap, providing for better information upon which to make enforcement decisions prior to the territorial frontier in order to avoid public questions regarding border control effectiveness. The issue of how states attempt to avoid migration policy “gaps”, which can create domestic political challenges, directly relates to the virtual and extra-territorial techniques under study. For Hyndman and Mountz (2008), these extra-territorial practices of “neo-refoulement” are geographically based strategies of prevention that have become a form of forced return. Butler (2004) characterized this approach as part of a broader tactic to “neutralize the rule of law in the name of security”. Amoore and de Goede (2008) pointed out that “government practices of border control do not simply defend the inside from the threats outside, but continually produce our sense of the 94  insider and outsiders in the global political economy”. Finally, Razack (1999) viewed the policing of the border as intrinsically linked to the policing of racialized populations already inside the border. This critical literature raises important issues, as the involvement of the private sector in ABC program operations places firms in a difficult and conflicting role. For example, passengers are not potential threats to the state, but rather are customers and the source of firm revenues. However, the historical “Law of the Sea” made ship-owners and their operating commanders liable for the carriage of contraband and improperly documented travelers as a major disincentive against participation in the act of smuggling. Legitimate civil aviation actors face similar obligations, and thus airlines and airports inherently pursue strategies to avoid the fines, and even potential imprisonment, associated with improper border crossings by their customers. Thus, better understanding why states and firms jointly developed the ABC programs can contribute to better understanding how the implementation of these innovations can avoid human rights abuse through the “transfer” of border controls to private firms. Furthermore, these critiques of ABC programs recognize the challenges that ICT and national security policies create to the rights of individuals. Pickles (1991) identified these types of geo-spatial concerns as “geo-veillance” that involves intelligence, threat assessment, and interdiction at forward perimeters. Hyndman (2004) also identified these techniques as gendered, creating various mobility and categorization problems. These authors also relate their views to Foucault (1991) who identified how early 19th century thematic mapping was used as a preventative state measure to identify the places that could be categorized as dangerous against a set of societal norms. As 95  Foucault theorized, these techniques of “governmentality” enabled the normalization of space and territory through political discourse. In keeping with this view, according to Amoore (2006) the discourse of ABC programs attempts to normalize certain travel flows with new terminologies, such as “trusted traveler”. As such, a new set of literature that considers these kinds of human rights issues should emerge addressing the marketplace imperatives that drive civil aviation firms to collaborate with the state, especially in the post-9/11 era. In concluding this section, it is necessary to provide a broader context and assess the Western national security agenda driven primarily by the U.S. and evident well before-9/11. Some of the useful political geography literature concerning U.S. security policy evolution includes Nevins and Purcell (2005), Coleman (2005), and Ackleson (2005), along with Bialasiewicz, L., et al. (2007) in Performing Security: The Imaginative Geographies of Current US Strategy. The work by Bialasiewicz et al. is particularly insightful by recognizing the historical elements of the current “war on terror” paradigm, which also underpins core elements of U.S. border control priorities. As argued by this thesis, the intensity of modern border control efforts arose in parallel to changing geo-political circumstances and globalization, which is re-affirmed as follows:  “To understand the power of the imaginative geographies guiding current US strategy it is important to look back at the recitation, reiteration, and resignification of previous strategic formulations. During the Clinton years, a number of figures who had been involved in various guises in previous Republican administrations wrote widely on the geopolitical opportunities and threats of a post-Cold War era. From specifications of the threat posed by international terrorism, ‘failed states’ and ‘rogue regimes’, to the dangers posed by cultural/civilizational conflicts. (ibid, p.409) 96  This particular discourse, and other critical assessments of U.S. geo-politics, identify that policy formulation involves constituting or “performing” the threats from the “other” as necessary to validate the national security policy deliberation in the first place. For example, and relevant for this research, is the contradictory U.S. “performance” that encourages trade and globalization, while at the same time positing that the U.S. must be ever vigilant, as noted: “Abroad, one contradiction between the moral cartography of terror and the spatiality of globalization can be found in the attention US national security discourse pays to the deepening connectivity between domestic US space and burgeoning circuits of computer communication, electronic transaction, and organized criminal activity. Significant here is the US military’s discussion of the risk of cyber-terrorism; their efforts to clamp down on transitional financial dealings of alleged terrorist sympathizers; or their analyses of the biological pathogens which routinely flow around the world’s airline and shipping systems…” (ibid, p.418)  In summary, for both conceptual and empirical reasons, the migration securitization conflict has become fraught with difficulty. This has created enormous challenges that position the civil aviation industry in the midst of the tense political debate between states, and between states and their citizens; a situation not addressed in the literature. This is not to suggest states and firms should ignore important societal issues in order to advance private sector interests. Instead, further research is necessary to assess how tools such as ABC programs contribute to legitimate mobility objectives, and can be “implemented in a manner that [does not] waste taxpayer dollars, infringe on privacy and civil liberties, and misdirect the valuable time and energy of [the] national security community” (Jonas and Harper, 2006).  97  2.8.  State and Private Sector Interaction  Globalization has driven firms to adopt strategies that are outwardly oriented, and conceptually the continuing engagement with the state on domestic policy matters has become less important (Porter, 1990). Yet, as described in Chapter 3 in Part II, the manner in which the civil aviation industry is structured demands significant intra- and inter-state involvement to enable firms to participate in international air service markets. Furthermore, the domestic policy response by states to the trans-national threats at territorial frontiers has had major implications for the civil aviation industry for more than four decades (Koslowski, 2004a). As such, civil aviation firms have a long history of interaction with the state, creating a symbiotic relationship of sorts. These influences increase the complexity of state-firm relations, and generate interesting theoretical questions that require attention in the literature. Figure 3 identifies these interactions, and this thesis argues this represents a new form of state-firm interaction. First, globalization has encouraged the state to alter policies that often involve new forms of regulatory and investment control (Viscusi et al., 2005). A strategy related to this research project involves the conversion of public enterprise operations, typically driven by social welfare maximization objectives, to a private enterprise model that includes explicit economic regulation. For civil aviation, this has meant a structural shift in the past two decades away from state investment and control. As Brooks and Prentice (2001) noted , the changing role of the state from the owner of major components of the civil aviation industry (e.g. airports and airlines) to the regulator of private sector assets, removing state control over strategic decisions became a highly 98  relevant public policy debate during the early part of the study period. Second, as suggested by Viscusi et al. (2005), the conceptual rationale for the state to continue with policy intervention over private assets relates to the following issues: “substantial externalities…from economic behaviour and the information gaps that can result in systemic hazards not being sufficiently addressed at the firm level”. (p. 8)  In the case of the civil aviation industry, the principal externalities relate to the absence of incentives to promote a system-wide approach to safety and security management, as firms only benefit when they avoid internal physical losses and damage to their private trademarks. Similarly, civil aviation firms have no incentive to support broad public policy goals such as enhancement of national security, especially as the industry becomes “footloose”, becoming less territorially bounded in regard to both operational scope and national ownership. However, while airlines gather passenger information for their own purposes, the combination of private data with public sector intelligence can lead to the identification and avoidance of national security threats. As firms would have no market incentive to share commercially sensitive information with third parties without a reciprocal benefit, the regulatory imperative becomes a de facto state tool. Kwoka and White (2004) identified how the theory of private regulation addresses these kinds of market failures. However, serious difficulties have emerged for civil aviation firms when states implement border controls beyond the territorial limit. For example, on October 29, 2010, Air Canada became the victim of an elaborate foreign conspiracy at the Hong Kong International airport involving a 99  convincingly disguised traveler destined for Canada (Air Canada Interview, 2010; CBSA, 2010). Accordingly, while states implement regulations to require firms to meet a wide range of public policy objectives, in this case the airline failed to successfully perform a required quasi-state function of pre-clearing travelers at a foreign airport, without the tools, staff, or necessary training to detect this sophisticated criminal activity. As such, the question arises to whether the extra-territorial border controls maybe an abuse of state authority to regulate private activity, when the regulatory compulsion directs firms to perform acts beyond their legitimate role and capacity. Third, in the pioneering analysis by Polachek (1980), this work “substantiates with evidence a strong and robust negative association between conflict and trade”. Polachek referred to Russett (1967), who defined conflict not just as threats and/or actual violence towards other states, but also “includes retaliatory tariffs, quotas, embargoes, and other trade prohibitions”. These concerns become evident in the case studies, which revealed that as states implemented pre-journey data sharing, tensions became evident between origin, transit, and destination states. However, in the case of the other ABC programs, and despite differing national security protocols, the states involved were able to find solutions to inter-state and state-firm interests. Other academic perspectives support the notion that states will make significant efforts to mitigate inter-state conflicts in order to avoid negative implications for trading firms. Alesina and Spolaore (2003) similarly contended that where states come into conflict, trade suffers, prompting considerable implications for economic activity. For example, the Government of Canada identified, in an unclassified report, the negative economic impacts on the civil aviation industry of the national security measures 100  introduced after 9/11, which included the expanded APIS requirements (InterVISTAS Consulting Inc., 2005). The response by the Canadian government was both outward in forming new security relations with the U.S. (Sands, 2006), and inwards with financial support for national security related investments serving Canadian private sector transportation infrastructure (Canada Ministry of Transport, 2009b). For these reasons, the literature needs to give attention to these new forms of border control partnerships that have formed between the public and private sector. However, these arrangements are not the traditional kind of private - public partnerships where the private sector enters into for-profit agreements to deliver services to, or on behalf of, government. Siemiatycki (2011) provided an excellent summary of these traditional frameworks for repeat state-firm collaboration. This type of literature does not address firms participating in state service delivery that is an incidental component of the transportation function. While Siemiatycki observed that “throughout the world, public-private partnerships have become increasingly popular as a strategy to deliver large transportation projects, such as roads, bridges, tunnels, railways, seaports, and airports”. (Ibid, p. 310), but what remains unchallenged is why airports would construct border control facilities on their own volition, or even proceed to lead on the development of ABC programs. As observed by civil aviation firms interviewed for this thesis, the desire to support ABC program development involved a combination of competitive advantage and regulatory compulsion. In this regard, these unusual private - public partnerships were not applicable to other modes where the state pursues border control implementation at state expense.  101  While the foregoing has mostly addressed state interests in dealing with firms, how and why a firm might adopt a cooperative strategy with the state on sovereigntyrelated responsibilities warrants attention. Mintzberg and Quinn (1988) re-stated this question in conceptual terms as “who should control the organization” (p. 389). The authors further explained that where states transfer assets to the private sector, the state still has direct and indirect tools to influence firm strategy. Although the state can pursue various strategies, including nationalization, the most relevant concepts herein relate to the regulatory model and strategic partnerships. Accordingly, Mintzberg and Quinn (1988) identified that the common form of organizational control was the theory of the firm under regulation. Under this model, the state establishes constraints that the firm must comply with through strategy and practice. As the authors noted, “the problems are legendary, including limited resources, lack of information relative to the regulated industry, regulator cooptation, etc.” (p. 395). Robertson (2010) also observed that for expediency reasons the state has long required private firms to support pre-journey inspections. This pattern of remote border control continued into the modern aviation era. From a practical perspective, as firms undertake the carriage of travelers across frontiers for profit-oriented reasons, the regulatory compulsion becomes necessary to obtain support from firms in delivering national security related public goods. The specific modes of regulation (Dunford, 1990) also require attention as the adopted border control techniques have considerable influence over private and public sector relations. Knox, Agnew, and McCarthy (2003) suggest that as the contemporary economy involves interrelated forms of “production, consumption, and income 102  distribution”, the form of “government-business relationship” must operate “within wider national and international” trading spheres. From this perspective, traditional regulatory controls have become less effective in influencing flexible production systems and global commodity chains (p. 204). Storper and Harrison (1991) explained that these types of flexible specialization concepts could not remain beyond state influence as the state still has a powerful interest in maintaining the local economic, political, and institutional arrangements necessary for the firm to navigate through international production systems. In considering these concepts as they apply to the organization of civil aviation firms, while the industry may operate at a global scale, firm cooperation with the ABC programs remains grounded in domestic regulation. Although the regulatory model has significant merit, Mintzberg and Quinn (1988) believed that where the regulatory technique fails, persuasion can “provoke corporations to act beyond some base level of behaviour