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Published online by Cambridge University Press: 07 May 2025
In October 2003, the summit meeting of the heads of government of the Association of Southeast Asian Nations (ASEAN) issued a major statement that declared, “[a]n ASEAN Community shall be established comprising three pillars, namely political and security cooperation, economic cooperation, and sociocultural cooperation…” Each successive ASEAN Summit and Annual Ministerial Meeting (AMM) of foreign ministers has advanced this goal. It was expected that the 45th AMM, held under the motto “ASEAN: One Community, One Destiny,” would follow its predecessors by adopting further measures to make the ASEAN Community a reality. As events transpired, differences among ASEAN states over how to manage territorial disputes in the South China Sea emerged as a litmus test of their ability to achieve an ASEAN Political-Security Community by 2015.
1 “Declaration on ASEAN Concord II (Bali Concord II),” October 7, 2003.
2 Each of these documents was provided to the author by sources that must remain confidential.
3 Statement by the ASEAN Foreign Ministers on the Recent Developments in the South China Sea 18 March 1995. This was ASEAN's second statement on the South China Sea in response to Chinese activities. The first was ASEAN Declaration On The South China Sea, Manila, Philippines, 22 July 1992.
4 For further background consult: Carlyle A. Thayer, “Challenges to ASEAN Cohesion: The Policy of Constructive Engagement and a Code of Conduct for the South China Sea,” Paper to international workshop on Regionalism and Globalism in Southeast Asia, Department of Political Science and International Relations, University of Tampere and the Centre for Southeast Asian Studies, Åbo Akademi University, Marienhamn, Åland, Finland, June 2-4, 2000, 31-44.
5 Association of Southeast Asian Nations, “Regional Code of Conduct in the South China Sea (Draft),” March 2000 and People's Republic of China, “Code of Conduct on the South China Sea (Draft of the Chinese Side),” March 2000.
6 Point 10, Declaration on Conduct of Parties in the South China Sea, November 4, 2002.
7 ASEAN-China Senior Officials Meeting on the Implementation of the Declaration on the Conduct of Parties in the South China Sea, Kuala Lumpur, 7 December 2004 and Terms of Reference of the ASEAN-China Joint Working Group on the Implementation of the Declaration on the Conduct of Parties in the South China Sea; see here and here.
8 Tran Truong Thuy, “Recent Developments in the South China Sea: From Declaration to Code of Conduct,” in Tran Truong Thuy, ed., The South China Sea: Towards a Region of Peace, Security and Cooperation (Hanoi: The Gioi Publishers, 2011), 104.
9 Guidelines to Implement the DOC.
10 Carlyle A. Thayer, “Sovereignty Disputes in the South China Sea: Diplomacy, Legal Regimes and Realpolitik,” Presentation to International Conference on Topical Regional Security Issues in East Asia, co-sponsored by the Faculty of Asian and African Studies and the Ho Chi Minh Institute, St. Petersburg State University, St. Petersburg, Russian Federation, April 6-7, 2012, 7.
11 Part IX of UNCLOS is headed Enclosed or Semi-Enclosed Seas. It contains two articles, Article 122 (definition) and Article 123 (cooperation of states bordering enclosed or semi-enclose seas).
12 Carlyle A. Thayer, “Is the Philippines an Orphan?” The Diplomat, May 2, 2012.
13 Thayer, “Is the Philippines an Orphan?”
14 Estrella Torres, “Manila tack on China row wins Asean nod,” Business Mirror, July 13, 2012.
15 Michael Lipin, “Cambodia Says ASEAN Ministers Agree to ‘Key Elements’ of Sea Code,” Voice of America, July 9 2012; Michael del Callar, “DFA chief: ASEAN agrees on key elements for Code of Conduct in West PHL Sea,” GMA News, July 11, 2012; and Associated Press, “Asean to take up code of conduct with China,” Manila Standard Today, July 10, 2012 quotes Liu Weimin, spokesperson for China's Ministry of Foreign Affairs, as stating “When conditions are ripe, China would like to discuss with Asean countries the formulation of the COC.”
16 Ian Storey argues that the inclusion of the words “comprehensive and durable” settlement of the dispute represented a partial victory for Vietnam and the Philippines and a rejection of Deng Xiaoping's proposal to “shelve sovereignty disputes and engage in joint exploration.” In fact the words “comprehensive and durable” were first used in the 2002 Declaration on Conduct of Parties in the South China Sea, Point 6, which China signed. See: “Ian Storey Comments,” The Nelson Report, July 31, 2012.
17 A comparison of the two drafts does not support the conclusion reached by Storey that “the language was watered down.” See: “Ian Storey Comments,” The Nelson Report, July 31, 2012.
18 “Treaty of Amity and Cooperation in Southeast Asia, Indonesia, 24 February 1976.”
19 Instrument of Accession to the Treaty of Amity and Cooperation in Southeast Asia, October 8, 2003.
20 United Nations Commission on Law of the Sea, Annex VI, International Tribunal for the Law of the Sea. See also UNCLOS, Part XI, The Area, Section 5, Settlement of Dispures and Advisory Opinions, Articles 186-191 and Part XV, Settlement of Disputes, Articles 279-299.
21 Summary of Cambodia Chair's intervention at the AMM Retreat, 9 July 2012, 1 and 25.
22 “Divisions serve to weaken ASEAN,” The Japan Times, July 21, 2012. A Chinese Foreign Ministry spokesperson stated that on July 8 the ASEAN-China SOM agreed to carry out the DOC “in a comprehensive and effective manner, as well as carry out cooperation projects under the DOC framework…”; “China expects co-op on South Chins Sea,” China Daily, Juy 10, 2012.
23 Summary of Cambodia Chair's intervention at the AMM Retreat, 9 July 2012, 25 and Channel News Asia, “Element of confidence building between ASEAN and China,” July 10, 2012.
24 Scott Stearns, “China Ready to Join South China Sea Talks,” Voice of America July 12, 2012.
25 According to Surwin, “They [the senior officials] have to decide in the next day or two whether this process is going to be formalized with certain specific schedule. Is this going to be needed in the future when we discuss whenever we come together, or are we going to have a regular schedule of meetings between both sides?” Channel New Asia, “Element of confidence building between ASEAN and China,” July 10, 2012 and Agence FrancePresse, “Asean reaches out to Beijing over sea code,” Gulf Times, July 10, 2012.
26 “Divisions serve to weaken ASEAN,” The Japan Times, July 21, 2012.
27 “Ian Storey Comments,” The Nelson Report, July 31, 2012. Storey used more guarded language in earlier accounts where he wrote that Foreign Minister Yang “seems to have ruled out” the September meeting on a code of conduct until “when time was ripe.” Storey's interpretation may be a misreading of China's position as it has used the expression “when conditions are ripe (or mature)” well before the 45th AMM. A Chinese spokesperson also used this expression on July 9 two days before Yang spoke. See: Lipin, “Cambodia Says ASEAN Ministers Agree to ‘Key Elements’ of Sea Code” and Ian Storey, “Little hope of South China Sea Code of Conduct,” South China Morning Post, July 27, 2012; Storey, “China Pushes on the South China Sea, ASEAN Unity Collapses,” China Brief, XII(15), August 4, 2012, 8-11; and Storey, “China bares claws in maritime dispute,” Asia Times Online, August 8, 2012.
28 The ASEAN-related meetings included: the ASEAN Post-Ministerial Conference with dialogue partners, the 19th ASEAN Regional Forum, ASEAN Plus 3 Foreign Ministers Meeting and the 2nd East Asia Summit Foreign Ministers Meeting.
29 “Opening Address By Samdech Akka Moha Sena Padei Techo HUN SEN Prime Minister of the Kingdom of Cambodia At the Opening of the 45th ASEAN Foreign Ministers’ Meeting,” Phnom Penh, 9 July 2012.
30 Martin Abbugao, Australian Associated Press, “ASEAN pushed on South China Sea code,” Herald Sun, July 9, 2012 and Agence FrancePresse (AFP), “Hun calls for ASEAN South China Sea code,” The Australian, July 10, 2012.
31 Ernest Z. Bower, “China Reveals Its Hand on ASEAN in Phnom Penh,” Southeast Asia from the Corner of 18th and K Streets, vol. III, No. 14, July 19, 2012, 2.
32 Cambodia, Ministry of Foreign Affairs, “The Forty-fifth ASEAN Foreign Ministers’ Meeting,”
Media Advisory, July 6, 2012.
33 This is an allusion to an agreement by the Philippines and China to simultaneously withdraw their vessels from Scarborough Shoal and for China to remove its barrier from the entrance to the shoal. The Philippines withdrew its vessel on June 4 but China did not reciprocate. Erlinda F. Basilio, “Why there Was No ASEAN Joint Communiqué,” Republic of the Philippines, Department of Foreign Affairs, Public Information Services Unit, July 19, 2012; and Erlinda Basilio, “What happened in Phnom Penh?” The Philippine Star, July 19, 2012.
34 This is a reference to consultations between the Philippines and other ASEAN members that resulted in the drafting of this statement on May 24. On the following day Secretary for Foreign Affairs del Rosario wrote to the ASEAN Chair requesting that the statement be referred to all ASEAN foreign ministers for consideration. See: Basilio, “Why there Was No ASEAN Joint Communiqué” and Basilio, “What happened in Phnom Penh?.” According to Cambodia's Ambassador to the Philippines, “Cambodia, as ASEAN Chair, wrote to all ASEAN Foreign Ministers to ask for responses in writing on this issue. But, after waiting for several weeks, it was clear that ASEAN had no consensus on this matter of Scarborough Shoal. Therefore, no one could blame Cambodia for not issuing the ASEAN statement…” See: Ambassador Hos Sereythonh, Letter to Ms. Ana Marie Pamintuan, Editor-in-Chief, The Philippines Star, July 26, 2012.
35 China announced a three billion yuan (US $476 million) Maritime Cooperation Fund at the 2011 East Asia Summit to finance cooperative activities under the DOC.
36 This is a reference to China's proposal to form an Eminent Persons and Experts Working Group (EPEWG) comprised of ten members, five from China and five from ASEAN, to discuss the draft COC. China later agreed to a fifteen-member EPEG, ten from ASEAN and five from China. ASEAN reportedly insisted that the EPEWG should be formed only after negotiations on the COC had commenced. See: Don Emmerson, “ASEAN Stumbles in Phnom Penh,” Asia Times Online, July 17, 2012 Extracts were published in Emmerson, “ASEAN Stumbles in Phnom Penh,” PacNet #45, July 19, 2012 and “ASEAN Stumbles in Phnom Penh,” East Asia Forum, July 23, 2012.
37 The 5th ASEAN-China Senior Officials’ Meeting on the DOC and the 7th ASEAN-China Joint Working Group on the Implementation of the DOC met in Beijing from January 13-16, 2012.
38 Cambodia's Ambassador to the Philippines claimed that “eight out of ten ASEAN Member States agreed to all 132 points in the Joint Communique of he AMM, including the three paragraphs (14, 15, 17) related to the South China Sea, except paragraph 6 which is the bilateral disputes between the Philippines and China and Vietnam and China…” See: Ambassador Hos Sereythonh, Letter to Ms. Ana Marie Pamintuan, Editor-in-Chief, The Philippines Star, July 26, 2012.
39 Summary of Cambodia Chair's intervention at the AMM Retreat, 9 July 2012, 1. The second part of this document records Hor Namhong as stating, “If you cannot agree on the text of the joint communique we have no more recourse to deal with this issue as the Chair of ASEAN,” 28.
40 Zsombor Peter and Kuch Naren, “Cambodia Criticized for Asean Meeting Failure,” The Cambodian Daily, July 14-15, 2012.
41 Bower, “China Reveals Its Hand on ASEAN in Phnom Penh.”
42 Greg Torode, “ASEAN Left on a Knife Edge,” South China Morning Post, July 21, 2012.
43 Jane Perlez, “Asian Leaders at Regional Meeting Fail to Resolve Disputes Over South China Sea,” The New York Times, July 12, 2012.
44 Basilio, “Why there Was No ASEAN Joint Communiqué” and Basilio, “What happened in Phnom Penh?”
45 Zsombor Peter and Kuch Naren, “Cambodia Criticized for Asean Meeting Failure,” and Prak Chan Thul and Stuart Grudgings, “SE Asia meeting in disarray over sea dispute with China,” Reuters, July 13, 2012.
46 Basilio, “What happened in Phnom Penh?”
47 Jane Perlez, “Asian Leaders at Regional Meeting Fail to Resolve Disputes Over South China Sea,” The New York Times, July 12, 2012.
48 Roger Mitton, “ASEAN Struggles for unity,” The Phnom Penh Post, July 23, 2012.
49 David Boyle, “Goverment fires back on South China Sea,” The Phnom Penh Post, July 31, 2012.
50 Koy Kuong, Letter to Mr. Kevin Doyle, Editor- in-Chief, The Cambodian Daily, July 26, 2012.
51 For example, Perlez, “Asian Leaders at Regional Meeting Fail to Resolve Disputes Over South China Sea,” wrote “the Peace Palace. was built for the occasion by the Chinese government.”
52 Ambassador You Ay, Letter to Mr. Pichai Chuensuksawadi, Edior in Chief of the Bangkok Post, July 27, 2012.
53 Ambassador Hos Sereythonh, Letter to Ms. Ana Marie Pamintuan, Editor-in-Chief, The Philippines Star, July 26, 2012.
54 See note 24 above.
55 Michael del Callar, “DFA demands explanation from Cambodian envoy for caustic remarks,” GMA News, July 31, 2012; and “Cambodia envoy still a no-show,” ABS-CBN News, August 2, 2012.
56 Carlyle A. Thayer, “Cambodia-Philippine Diplomatic Tiff Continues,” Thayer Consultancy Background Brief, August 7, 2012.
57 Kishore Mahbubani, “Is China Losing the Diplomatic Plot?” Project Syndicate, July 26, 2012.
58 Amitav Acharya, “The end of ASEAN centrality?,” Asia Times Online, August 8, 2012.
59 Chen Xiangyang, China Institutes of Contemporary International Relations, quoted by Kathirn Halle, “Bejing considers stronger foreign ties,” The Financial Times, August 15, 2012.
60 Carlyle A. Thayer, “ASEAN Unity Restored by Shuttle Diplomacy?” Thayer Consultancy Background Brief, July 24, 2012.
61 Statement of ASEAN Foreign Ministers on ASEAN's Six-Point Principles on the South China Sea, July 20, 2012. Cambodia's Foreign Minister could not resist using this occasion to lay the blame for ASEAN's failure to issue a joint communiqué on Vietnam and the Philippines.
62 Statement by Spokesperson Qin Gang of the Ministry of Foreign Affairs of China on the US State Department issuing a So-called Press Statement on the South China Sea, August 4, 2012. I am grateful to Greg Torode of the South China Morning Post for pointing out the significance of this statement.
63 Tarra Quismundo, “China says it's willing to ease Asean rift on sea,” Philippines Daily Inquirer, August 11, 2012.
64 Agence France-Presse, “Malaysia urges ASEAN to unite over South China Sea,” August 12, 2012.
65 ASEAN Political-Security Community Blueprint (Jakarta: ASEAN Secretariat, June 2009), 7.
66 Charter of the Association of Southeast Asian Nations, Novemer 20, 2007, 5.
67 Emmerson, “ASEAN Stumbles in Phnom Penh.”
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