View metadata, citation and similar papers at core.ac.uk brought to you by CORE provided by ResearchArchive at Victoria University of Wellington The Emergence of the Arms Trade Treaty as a Global Norm Cluster Belinda Kay Gardner A thesis submitted in fulfilment of the requirements for the degree of Master of Arts in International Relations at Victoria University of Wellington. June, 2011 1 Abstract The Arms Trade Treaty brings together a number of small arms control norms into one instrument and is a new initiative, which was instigated by state and NGO norm entrepreneurs. This thesis attempts to understand what has led to the emergence of these norms in the Arms Trade Treaty, in what will be termed a ‘cluster’ of small arms norms. Examining the small arms norms associated with the Arms Trade Treaty will explain their development and their likelihood of successfully being incorporated into this instrument. Analysis of the development of the norms related to the Arms Trade Treaty will explore the relationship between norms, their promoters and their opponents. This thesis will do this by providing detailed analysis of the development of specific norms in a series of case studies: control over arms brokering, transfers to non-state actors and civilian possession. It will place this development within the broader context of the ATT instrument and the international society in which it is emerging into. This thesis finds that power and powerful states have a significant role to play in the emergence of norms, in some cases despite the efforts of norm promoters. Norms were not able to emerge in their original form due to the influence of powerful states, which resulted in norms evolving in different directions or not emerging at all. 2 Acknowledgements I would like to thank the following people: my family and friends for their support and encouragement; the Peace and Disarmament Education Trust for their financial assistance which enabled my field research; my supervisor Dr David Capie for his guidance and help; the Academic Council on the United Nations System for their practical assistance which enabled my field research; and Luke Roughton and Oxfam New Zealand for their invaluable time during my internship experience. 3 Table of contents The Emergence of the Arms Trade Treaty as a Global Norm Cluster ......................... 1 Abstract ..................................................................................................................... 2 Acknowledgements ................................................................................................... 3 Table of contents ....................................................................................................... 4 Abbreviations ............................................................................................................ 8 Chapter One – Introduction ....................................................................................... 9 Objectives and expectations....................................................................................... 9 Research questions .......................................................................................... 11 Methodology ........................................................................................................... 11 Outline of the thesis ................................................................................................. 13 Chapter Two – A review of norms in theory and practice ........................................ 14 Introduction ............................................................................................................. 14 Norms in international society ................................................................................. 14 Norms and norm clusters ................................................................................. 16 Norm emergence ............................................................................................. 18 Norm diffusion and institutionalisation ............................................................ 24 Conclusion .............................................................................................................. 25 Chapter Three – The emergence of the Arms Trade Treaty norm cluster .................. 26 4 Introduction ............................................................................................................. 26 What is the small arms problem? ............................................................................. 26 The emergence of conventional weapons controls ................................................... 29 Norms that influenced the Arms Trade Treaty norm cluster ............................. 30 What are the current formal controls on small arms and light weapons? .................. 33 General conventional weapons measures ......................................................... 33 The Firearms Protocol ..................................................................................... 35 The Programme of Action................................................................................ 37 Specific regional agreements ........................................................................... 38 The Arms Trade Treaty ........................................................................................... 40 The Arms Trade Treaty norm cluster ............................................................... 41 Conclusion .............................................................................................................. 49 Chapter Four – Brokering and the Arms Trade Treaty ............................................. 50 Introduction ............................................................................................................. 50 What is brokering? .................................................................................................. 50 What is the norm regulating brokering in small arms? ............................................. 53 The norm regulating brokering in relation to the Arms Trade Treaty ....................... 57 Illicit brokering ................................................................................................ 59 Conclusions ............................................................................................................. 71 Chapter Five – Non-State Actors and the Arms Trade Treaty .................................. 73 Introduction ............................................................................................................. 73 5 Non-State Actor Acquisition of Small Arms and Light Weapons ............................. 73 Why weapons transfers to non-state actors are problematic .............................. 74 The development of the norm against SALW transfers to non-state actors ............... 76 The norm against SALW transfers to non-state actors in the Arms Trade Treaty ................................................................................................................................. 78 Preventing diversion of weapons to non-state actors ........................................ 80 Authorised non-state actors versus unauthorised non-state actors ..................... 87 Conclusions ............................................................................................................. 93 Chapter Six – Civilian Possession and the Arms Trade Treaty ................................. 95 Introduction ............................................................................................................. 95 Regulating Civilian Possession of Small Arms ........................................................ 95 Why civilian possession of small arms needs regulation .................................. 96 The development of the norm regulating civilian possession of small arms .............. 97 Regulating civilian possession of small arms in relation to the Arms Trade Treaty ................................................................................................................................102 Opposition to the norm regulating civilian possession .....................................103 Support for the norm regulating civilian possession of small arms ..................109 Conclusions ............................................................................................................113 Chapter Seven – Conclusions .................................................................................115 The evolution of the Arms Trade Treaty norm cluster .............................................115 Some answers to my research questions .................................................................115 6 Bibliography ..........................................................................................................120 Primary Sources .....................................................................................................120 7 Abbreviations APEC – Asia-Pacific Economic Community ATT – Arms Trade Treaty CAC – Control Arms Campaign CICAD – Inter-American Drug Abuse Control Commission CoCCW – Convention on Prohibitions or Restrictions on the Use of Certain Conventional Weapons Which May Be Deemed to Be Excessively Injurious or to Have Indiscriminate Effects CGP – Consultative Group Process (of the Biting the Bullet Project) CTOC – Convention against Transnational Organised Crime DSAAC – Defense Small Arms Advisory Council ECOWAS – Economic Community of West African States EU – European