Efforts to control small arms and light weapons (SALW) in the periods following violent conflict can have positive or negative impacts on peacebuilding efforts. Similarly, peacebuilding activities can both support or endanger efforts to place SALW under greater control. Despite the regular occurrence of SALW control and peacebuilding activities in the same time and space in post violent conflict contexts, there is insignificant analysis of how the two sets of activities interrelate, and how these interelationships can be strengthened to improve the contribution that SALW control efforts make to peacebuilding, and vice-versa. The effects of interrelationships over time (contingency); in the same geographic space (complementarity) and the effects of public perceptions and social construction are particularly important and provide a framework for establishing these interrelationships through analysing a wide universe of cases of SALW control attempted in countries emerging from violent conflict, five mini-cases studies and a major analysis of interrelationships in Kosovo.

The conflict in the Democratic Republic of the Congo has been characterized by armed violence carried out against civilian populations. Despite a formal end to hostilities with outside states, numerous cease fire agreements and an internationally sanctioned disarmament program, Congolese civilians continue to be targeted in attacks. Research suggests that addressing the demand for Small Arms and Light Weapons as part of the broader disarmament process may decrease the proliferation of weapons and reduce armed violence. The research undertaken as part of this thesis attempted broadly to identify some of the factors contributing to the demand for small arms and light weapons in the Democratic Republic of the Congo. It suggests that insecurity, weak governance and regional politics, historical and cultural factors and socio economic factors significantly contribute to the demand for small arms and must be addressed in order to reduce armed violence. ?

This paper examines the inter-relationships in post-conflict contexts between DDR programmes and processes on the one hand, and wider arms management and SALW control programmes on the other. It is a contribution to the international project "on DDR and Human Security: Post-conflict security building and the interests of the poor‟, and aims to complement the four other Thematic working papers of this Project. It argues that greater co-coordination, and often integration, between DDR and civilian arms management/reduction programmes is needed to promote human security in most countries emerging from conflict, within the framework of a wider comprehensive strategy for enhancing security from fear and violence that also includes security sector reform.

La prolifération des armes légères et de petit calibre est un phénomène nouvellement saisi par le droit international. En tant que menace pour la paix et la sécurité internationale, elle fait, depuis la fin de la guerre froide, l’objet d’attentions grandissantes. Tout d’abord abordée par des organisations internationales régionales, elle constitue désormais le domaine d’action privilégié de l’Organisation des Nations Unies en matière de désarmement. Néanmoins, la construction d’une lutte contre la prolifération ambitieuse et cohérente est difficile et doit faire face à des oppositions nombreuses justifiées par des intérêts étatiques profondément divergents. Le corpus normatif adopté est donc sujet à d’importantes limites et insuffisances. Par ailleurs, les instruments classiques de l’ordre juridique international apparaissent inaptes à garantir l’effectivité de ces nouvelles règles qui étendent le champ du droit international. La lutte contre la prolifération nécessite, pour être effective, de reposer sur des mécanismes plus approfondis que ceux régissant le droit international de la coopération duquel les règles classiques de désarmement étaient jusqu’alors issues. / The proliferation of small arms and light weapons has only recently been inquired into by international law. As for threatening the global peace and security, it has increasingly been scrutinized since the end of the Cold War. First handled by regional international organizations, it henceforth constitutes, regarding disarmament, the elected field of action for the United Nations. Structuring, nevertheless, an ambitious and coherent action against this proliferation appears quite challenging and has thus to overcome numerous oppositions grounded in profoundly diverging static interests. The current body of norms appears rather limited and inadequate. Furthermore, the classical instruments of the international legal order do not seem suitable to secure the effectiveness of those recent norms that expand the reach of international law. Successfully acting against this proliferation requires to relying on mechanisms that are deeper than the current international law of cooperation, and out of which the classical rules of disarmament have been hitherto extracted.

A partir da década de 1990, quando se concretizaram as iniciativas de controle da proliferação de armas químicas, biológicas e nucleares, estudiosos do ramo do desarmamento passaram a alertar a comunidade internacional a respeito dos perigos inerentes à falta de controle do comércio e da circulação de armas convencionais pelo planeta. Mais especificamente, no novo cenário internacional inaugurado com o final da Guerra Fria, diante da multiplicação de casos de genocídio em inúmeros países da África e da Ásia, do crime organizado, do tráfico de drogas e do aumento da violência armada em diversos países do mundo, o acúmulo excessivo, a proliferação irrestrita e o desvio à ilicitude de armas de fogo pequenas e leves (AP/AL) passaram a fazer parte do rol de ameaças à paz e à segurança em múltiplos níveis. Intensificaram-se, diante disso, as ações da comunidade internacional para prevenir, combater e erradicar a proliferação e o comércio ilícito de AP/AL. Em 2001, a ONU adotou um Programa de Ação que inaugurou o processo de construção de um regime próprio para tal finalidade, que implica, entre outros, a adoção de medidas que dificultam e restringem o comércio lícito de tais produtos. O Brasil é um dos Estados mais afetados pela violência armada cotidiana e é, ao mesmo tempo, dono de uma das mais expressivas indústrias de AP/AL do mundo. No plano doméstico, diversos atores interessados, respectivamente, em mais segurança para a população e/ou em mais lucro para a indústria bélica nacional, trabalham no sentido de influenciar Política Externa brasileira, que, desde 2001, vem apresentando o Brasil como favorável à continuidade e à ampliação do processo. / Since the 1990s, when the attempts to control the proliferation of chemical, biological and nuclear weapons achieved a solid status, scholars from the disarmament realm have been warning the international community about the dangers of the lack of control that surrounds the trade of conventional arms around the planet. More specifically - in the post-cold scenario - in virtue of the multiplication of cases of genocide in Africa and Asia, and of organized crime, drug trafficking and the rise of armed violence levels in several countries of the world, the excessive accumulation and proliferation, as well as the illicit trade of small arms and light weapons (SA/LW) were incorporated to list of threats to peace and security in different levels. As a result one can observe the intensification of the international community actions aimed at the prevention, the combat and the eradication of the proliferation and the illicit trade of SA/LW. In 2001, the United Nations adopted a Programme of Action that inaugurated the process of construction of a specific regime for those objectives, which implies, inter alias, the adoption of trade-restrictive measures to the field. Brazil is one of the most affected States by daily armed violence and also has one of the most relevant SA/LW industries of the world. In the domestic level, several actors interested in more security for the population on the one hand, and/or interested in more profit for the arms industry on the other, have worked to influence the Brazilian Foreign Policy which since 2001 presents the country as supportive of the continuation and the deepening of the process.

A partir da década de 1990, quando se concretizaram as iniciativas de controle da proliferação de armas químicas, biológicas e nucleares, estudiosos do ramo do desarmamento passaram a alertar a comunidade internacional a respeito dos perigos inerentes à falta de controle do comércio e da circulação de armas convencionais pelo planeta. Mais especificamente, no novo cenário internacional inaugurado com o final da Guerra Fria, diante da multiplicação de casos de genocídio em inúmeros países da África e da Ásia, do crime organizado, do tráfico de drogas e do aumento da violência armada em diversos países do mundo, o acúmulo excessivo, a proliferação irrestrita e o desvio à ilicitude de armas de fogo pequenas e leves (AP/AL) passaram a fazer parte do rol de ameaças à paz e à segurança em múltiplos níveis. Intensificaram-se, diante disso, as ações da comunidade internacional para prevenir, combater e erradicar a proliferação e o comércio ilícito de AP/AL. Em 2001, a ONU adotou um Programa de Ação que inaugurou o processo de construção de um regime próprio para tal finalidade, que implica, entre outros, a adoção de medidas que dificultam e restringem o comércio lícito de tais produtos. O Brasil é um dos Estados mais afetados pela violência armada cotidiana e é, ao mesmo tempo, dono de uma das mais expressivas indústrias de AP/AL do mundo. No plano doméstico, diversos atores interessados, respectivamente, em mais segurança para a população e/ou em mais lucro para a indústria bélica nacional, trabalham no sentido de influenciar Política Externa brasileira, que, desde 2001, vem apresentando o Brasil como favorável à continuidade e à ampliação do processo. / Since the 1990s, when the attempts to control the proliferation of chemical, biological and nuclear weapons achieved a solid status, scholars from the disarmament realm have been warning the international community about the dangers of the lack of control that surrounds the trade of conventional arms around the planet. More specifically - in the post-cold scenario - in virtue of the multiplication of cases of genocide in Africa and Asia, and of organized crime, drug trafficking and the rise of armed violence levels in several countries of the world, the excessive accumulation and proliferation, as well as the illicit trade of small arms and light weapons (SA/LW) were incorporated to list of threats to peace and security in different levels. As a result one can observe the intensification of the international community actions aimed at the prevention, the combat and the eradication of the proliferation and the illicit trade of SA/LW. In 2001, the United Nations adopted a Programme of Action that inaugurated the process of construction of a specific regime for those objectives, which implies, inter alias, the adoption of trade-restrictive measures to the field. Brazil is one of the most affected States by daily armed violence and also has one of the most relevant SA/LW industries of the world. In the domestic level, several actors interested in more security for the population on the one hand, and/or interested in more profit for the arms industry on the other, have worked to influence the Brazilian Foreign Policy which since 2001 presents the country as supportive of the continuation and the deepening of the process.

A partir da década de 1990, quando se concretizaram as iniciativas de controle da proliferação de armas químicas, biológicas e nucleares, estudiosos do ramo do desarmamento passaram a alertar a comunidade internacional a respeito dos perigos inerentes à falta de controle do comércio e da circulação de armas convencionais pelo planeta. Mais especificamente, no novo cenário internacional inaugurado com o final da Guerra Fria, diante da multiplicação de casos de genocídio em inúmeros países da África e da Ásia, do crime organizado, do tráfico de drogas e do aumento da violência armada em diversos países do mundo, o acúmulo excessivo, a proliferação irrestrita e o desvio à ilicitude de armas de fogo pequenas e leves (AP/AL) passaram a fazer parte do rol de ameaças à paz e à segurança em múltiplos níveis. Intensificaram-se, diante disso, as ações da comunidade internacional para prevenir, combater e erradicar a proliferação e o comércio ilícito de AP/AL. Em 2001, a ONU adotou um Programa de Ação que inaugurou o processo de construção de um regime próprio para tal finalidade, que implica, entre outros, a adoção de medidas que dificultam e restringem o comércio lícito de tais produtos. O Brasil é um dos Estados mais afetados pela violência armada cotidiana e é, ao mesmo tempo, dono de uma das mais expressivas indústrias de AP/AL do mundo. No plano doméstico, diversos atores interessados, respectivamente, em mais segurança para a população e/ou em mais lucro para a indústria bélica nacional, trabalham no sentido de influenciar Política Externa brasileira, que, desde 2001, vem apresentando o Brasil como favorável à continuidade e à ampliação do processo. / Since the 1990s, when the attempts to control the proliferation of chemical, biological and nuclear weapons achieved a solid status, scholars from the disarmament realm have been warning the international community about the dangers of the lack of control that surrounds the trade of conventional arms around the planet. More specifically - in the post-cold scenario - in virtue of the multiplication of cases of genocide in Africa and Asia, and of organized crime, drug trafficking and the rise of armed violence levels in several countries of the world, the excessive accumulation and proliferation, as well as the illicit trade of small arms and light weapons (SA/LW) were incorporated to list of threats to peace and security in different levels. As a result one can observe the intensification of the international community actions aimed at the prevention, the combat and the eradication of the proliferation and the illicit trade of SA/LW. In 2001, the United Nations adopted a Programme of Action that inaugurated the process of construction of a specific regime for those objectives, which implies, inter alias, the adoption of trade-restrictive measures to the field. Brazil is one of the most affected States by daily armed violence and also has one of the most relevant SA/LW industries of the world. In the domestic level, several actors interested in more security for the population on the one hand, and/or interested in more profit for the arms industry on the other, have worked to influence the Brazilian Foreign Policy which since 2001 presents the country as supportive of the continuation and the deepening of the process.

This thesis explores how the newly adopted Arms Trade Treaty (ATT), the first internationaltreaty to regulate the trade in conventional arms, can address the issue of the illegal andirresponsible proliferation of small arms and lights weapons (SALW) and improve peace andsecurity. By far the most commonly used weapons in modern conflicts, SALW and theireffects mainly on intrastate conflicts, I argue, are the most important issues for the ATT toaddress. Being one of the prime sources of fuel for, and even cause of, the new trend ofincreasingly deadly and destructive intrastate conflicts today, controlling the largely illegaland internationally unregulated SALW market would be a crucial step to improving peaceand security.The thesis uses Security Dilemma theory to describe how arms and their proliferation posethreats to peace and security, while international law and regime theory is used to identifyhow legal action and structures of cooperation (regimes) can offer solutions to theseproblems. To determine to what extent the ATT can address these issues, the thesis uses acase study approach together with a content analysis of the ATT text to identify the relevantlegal provisions and how they can operate in the context of the theoretical framework.The findings of this study suggest that the most important aspect of the ATT is that itimposes prohibitions on any arms transfer that risks being used to commit acts of genocide,human rights abuses and other violations of international law, or that risk leading todiversion. These provisions could be used to stop the irresponsible kinds of arms transfersthat facilitate these crimes. The effects of the ATT are however largely dependent on the willof states, which will determine the effectiveness of the treaty. Nonetheless, as this thesisshows, the ATT provides tools and a legal platform that could, if utilized, have a substantialimpact on these issues.

yes / It is now widely recognised that, to be successful, efforts towards preventing and combating the illicit trade in SALW will require a multifaceted approach which simultaneously tackles the demand for and the supply of these weapons. In this regard, developing and promoting international norms, standards and mechanisms for the effective removal of illicit weapons from circulation is a major challenge for the UN Conference on the Illicit Trade in Small Arms and Light Weapons in All Its Aspects. There are two distinct scenarios within which weapons collection initiatives operate: the peace-time scenario, where efforts are focused on reducing criminal violence; and the postconflict scenario, where efforts are focused on the objective of conflict prevention through peace-building.

yes / Arms embargoes are one of the principal tools of states in seeking to prevent, limit and bring an end to armed conflict and human rights abuses. Despite the frequency with which arms embargoes have been imposed, there are significant problems with their implementation. Pressure is therefore growing for the international governmental community to act in order to ensure that the political commitment embodied by the imposition of arms embargoes is matched by the commitment to ensure their rigorous enforcement and to achieve enhanced human security on the ground. Increasing the effectiveness of arms embargoes is a specific aim of the United Nations Programme of Action for Preventing and Combating the Illicit Trade in Small Arms and Light Weapons in All Its Aspects1 which specifically calls upon states "To take appropriate measures, including all legal or administrative means, against any activity that violates a United Nations Security Council arms embargo in accordance with the Charter of the United Nations".2 Accordingly, within the context of the implementation of the UN PoA, the overall aim of this paper is to explore ways in which the international community can act in order to strengthen the impact of arms embargoes and enhance human security. It will begin by examining the purposes, processes and effects relating to arms embargoes, with particular attention to those agreed at international (UN) level, and by highlighting issues of concern in each regard. An overview of the main issues and challenges facing implementation of arms embargoes will include the elaboration of three case-study examples showing the impact of UN arms embargoes on the availability of arms and on human security and a further five that illustrate the dilemmas faced by states in seeking to implement arms embargoes. Priority areas for attention in any international effort to strengthen the effectiveness of arms embargoes will be followed by more extensive proposals for enhancing international embargo regimes within the context of implementing the UN PoA. Whilst it is recognised that the UN PoA contains measures that relate only to the illicit trade in small arms and light weapons (SALW), if implemented fully, many of these would serve to strengthen the international apparatus of control, information exchange and provision of assistance relating to arms proliferation and misuse as a whole. In turn, this would greatly enhance the implementation of UN arms embargoes. Therefore, as well as providing an opportunity for reviewing progress on implementing the PoA, the first Biennial Meeting of States in July 2003 is clearly a major opportunity for states to address a number of the pressing challenges facing states in the implementation of UN embargoes.