Review of the Implementation of the

2002 ASEAN-China DOC and COC

and Challenges
Emeritus Professor Carlyle A. Thayer
Presentation to Seminar-Workshop ASEAN-China Joint
Working Group on the Implementation of the Declaration
on the Conduct of Parties in the South China Sea, hosted by
the Department of Foreign Affairs, Manila, May 14-15, 2015

Outline
Part 1 General Background
Part 2 Positive Developments in
Implementing the DOC-SCS
Part 3 Challenges to Implementing the
DOC-SCS
Part 4 Proposals on The Way Forward

Part 1 General Background

Obligations under UNCLOS
Provisional arrangements EEZs Art. 74(3)
Settle disputes peacefully - Art. 279
Cooperate in semi-enclosed seas - Part IX

Obligations under DOC-SCS

Settle disputes peacefully (Para 4)
Self-restraint (Para 5)
Cooperative activities (Para 6)

Geographic Scope of South East Asia

(a) "Southeast Asia Nuclear Weapon-Free Zone",
hereinafter referred to as the "Zone", means the area
comprising the territories of all States in Southeast
Asia, namely, Brunei Darussalam, Cambodia, Indonesia,
Laos, Malaysia, Myanmar, Philippines, Singapore,
Thailand and Vietnam, and their respective continental
shelves and Exclusive Economic Zones (EEZ);
(b) "territory" means the land territory, internal waters,
territorial sea, archipelagic waters, the seabed and the
sub-soil thereof and the airspace above them.
- South East Asia Nuclear Weapons Free Zone Treaty 1995 ,

emphasis added

Part 2 Positive Developments in

Implementing the DOC-SCS
1.
2.
3.
4.
5.
6.
7.

Terms of Reference
ASEAN-China Joint Working Group
Guidelines to Implement DOC-SCS
Arbitral Proceedings
Consultations on COC commenced
Annual Work Plans, EPEG
Early harvest and early conclusion of COC

Part 3 Challenges to Implementing the

DOC-SCS
Use of Regular Navy warships
National fishing fleets
Disruption of oil surveying
Coast Guard and other Maritime Law
Enforcement Agencies
Mega Oil Drilling Platform HYSY 981

Chinese Land Reclamation: Fiery Cross

Challenges to Implementing the DOC

Major Power involvement
China, US, Japan, India
Harassment of military aircraft and ships
Major naval exercises amphibious landings

Competitive arms build up and force

modernization
Strategic environment in South China Sea has
deteriorated since 2002

Part 4 Proposals on The Way Forward

Clarify and operationalize key terms in DOC
Paragraphs 4, 5 and 6
Paragraph 4 threat or use of force
Paragraph 5 exercise self-restraint in the
conduct of activities that would complicate or
escalate disputes and affect peace and
stability and including, among others

Proposals on The Way Forward

Paragraph 5(d) voluntary exchange of relevant
information
Paragraph 5(c) voluntary notification of
joint/combined military activities
Paragraph 6 (a and b) protection of marine
environment and marine scientific research
Paragraph 6(c) safety of navigation and
communication at sea

Concluding Remarks
Cooperation = CBM
Cooperative CBMs should be specifically
linked to addressing the most pressing
sources of friction and tensions
ASEAN has a legal personality under the
ASEAN Charter
Chinas dual track approach

Concluding Remarks
Delay and procrastination in DOC-SCS
Strategic issues beyond remit of ASEAN-China
JWG
ASEAN dual track approach
Continue consultations ASEAN-China JWG
ASEAN Code of Conduct for Southeast Asias
Maritime Domain

ASEAN Political-Security Council

Whole-of-ASEAN approach

Review of the Implementation of the

2002 ASEAN-China DOC and COC
and Challenges
Emeritus Professor Carlyle A. Thayer
Presentation to Seminar-Workshop on the Implementation
of the 2002 ASEAN-China Declaration on the Conduct of
Parties in the South China Sea (DOC-SCS)
Manila, May 14-15, 2015