Beyond the Horizon: Prospects for

Dispute Resolution in Maritime Asia

Emeritus Professor Carlyle A. Thayer

Presentation to
US-Australia Indo-Pacific Conversation Series #5
co-sponsored by Embassy of the United States of America in Australia, the United States
Studies Centre at the University of Sydney, and Pacific Forum International
Honolulu, Hawaii, U.S.A.
June 21, 2021
 Outline

1. My Argument
2. Dispute Resolution Mechanisms
3. Major Disputes: China and the Littoral States
4. Disputes: US, UNCLOS and Littoral States
5. Disputes Among ASEAN Littoral States
6. ASEAN-China South China Sea Code of Conduct
7. The U.S. and Australia
 My Argument
• China, the U.S. and South China Sea littoral states are involved in
many different types of disputes
• UN Charter and United Nations Convention on Law of the Sea dispute
resolution mechanisms have been ineffectual
• ASEAN-China South China Sea Code of Conduct is the main game
• COC negotiations to resume July 2021
• Second reading by end of this year
• Aim to complete COC by 2022
• Australia and the United States should work together and through the
Quad to ensure that dispute settlement mechanisms are not watered
down and the interests of third parties are protected
 2. Dispute Settlement Mechanisms
• United Nations Charter, Chapter VI: Pacific Settlement of
Disputes, Article 33
• negotiation, enquiry, mediation, conciliation, arbitration, judicial settlement,
resort to regional agencies or arrangements, or other peaceful means of their
own choice
• United National Convention on the Law of the Sea
• ASEAN Treaty of Amity and Cooperation
• ASEAN-China Single Draft South China Sea Code of Conduct
Negotiating Text
 3. Major Disputes:
China and the Littoral States

• Sovereignty over features

• Delimitation
• Sovereign jurisdiction
• Disputes concerning the interpretation or
application of UNCLOS
• Historic rights and international law
 4. Disputes: US, UNCLOS and Littoral States

• U.S. not a signatory to UNCLOS

• U.S. considers UNCLOS customary international law
• In Fiscal Years FY 2019 and FY 2020, the U.S. has
conducted Freedom of Navigation Operational Patrols
against ten countries in the Indo-Pacific Region:
• Cambodia, China, India, Japan, Malaysia, Myanmar, Philippines, Taiwan,
Thailand and Vietnam
 U.S. FONOPS: China
China * Straight baseline claims. [Declaration of the Government of the People’s Republic
of China on the Baselines of the Territorial Sea of the People’s Republic of China,
May 15, 1996.] SCS
China * Criminalization of surveying and mapping activities by foreign entities which do not
obtain approval from or cooperate with the People’s Republic of China (PRC).
[Surveying and Mapping Law of the People’s Republic of China, Apr. 27, 2017.] SCS
China * Jurisdiction over all surveying and mapping activities “in the territorial air, land,
and waters, as well as other sea areas under PRC jurisdiction,” without distinction
between marine scientific research and military surveys. [Surveying and Mapping
Law of the People’s Republic of China, Apr. 27, 2017.] SCS
China * Security jurisdiction over the contiguous zone. [Law on the Territorial Sea and
Contiguous Zone, Feb. 25, 1992.] SCS
China *Prior permission required for innocent passage of foreign military ships through the
territorial sea. [Law on the Territorial Sea and Contiguous Zone, Feb. 25, 1992.] SCS

China * Territorial sea and airspace around features not so entitled (i.e., low-tide
elevations). [Actions and statements implying such a claim.] SCS
 US FONOPS – Malaysia, Taiwan, Vietnam
Malaysia * Prior consent required for military exercises or maneuvers in the exclusive
economic zone. [Declaration upon Ratification of the 1982 Law of the Sea
Convention, Oct. 14, 1996.] South China Sea
Malaysia Prior authorization of passage required before nuclear- powered vessels enter
the territorial sea. [Declaration upon Ratification of the 1982 Law of the Sea
Convention, Oct. 14, 1996.] Straits of Malacca

Taiwan * Prior notification required for foreign military or government vessels to

enter the territorial sea. [Law on the Territorial Sea and the Contiguous Zone,
article 7, Jan. 21, 1998.] South China Sea

Vietnam * Prior notification required for foreign warships to enter the territorial sea.
[Law of the Sea of Vietnam, Law No. 18/2012/QH13, article 12, June 21,
2012.] South China Sea
5. Disputes Among ASEAN Littoral States
• Sovereignty disputes over features
• Vietnam and the Philippines
• Delimitation of maritime zones
• Vietnam and Indonesia
• Extended continental shelves
• Malaysia, Philippines, Vietnam
• Illegal Unreported Unregulated Fishing (IUUF)
 6. ASEAN-China
South China Sea Code of Conduct
Dispute Resolution Option 1 [Indonesia]
• High Council of the ASEAN Treaty of Amity and
Cooperation (TAC)
Dispute Resolution Option 2 [Viet Nam]
• Commission composed of Foreign Ministers of the
contracting parties, to meet annually co-chaired by
China and ASEAN Chair
 References to International Conventions and
Regulations in ASEAN-China Draft COC
• COLREG – 1972 International Regulations for Preventing
Collisions at Sea
• SOLAS – 1974 International Convention for the Safety of Life
at Sea
• SAR – 1979 International Convention on Maritime Search
and Rescue
• SUA 1988 – Convention for the Suppression of Unlawful Acts
against the Safety of Maritime Navigation
• CUES – 2014 Code for Unplanned Encounters at Sea
 Table 1
State Parties to International Conventions/Codes on Maritime Security
Country COLREG CUES SOLAS SAR SUA ICOPP
China Ö Ö Ö Ö Ö Ö

Brunei Ö Ö Ö – – –

Cambodia Ö Ö Ö – – –

Indonesia Ö Ö Ö – – –

Malaysia Ö Ö Ö – – √

Myanmar – – – – – –

Philippines – Ö Ö – – √

Singapore Ö Ö Ö Ö – –

Thailand Ö Ö Ö – – –

Vietnam Ö Ö Ö – – –

COLREG – International Regulations for Preventing Collisions at Sea (1972); CUES – Code for Unplanned Encounters at Sea (2014), ICOPP – International Convention on Oil Pollution
Preparedness, Response and Co-operation (1990); SAR - International Convention on Maritime Search and Rescue (1979); SOLAS – International Convention for the Safety of Life at Sea
(1974); and SUA -Convention for the Suppression of Unlawful Acts against the Safety of Navigation (1988).
 Malaysia Claims Extended Shelf
Cascade of Notes Verbales Follow
• Malaysia 12/12/19 China 9/6/20
• China 12/12/19 Indonesia 12/6/20
• Philippines 6/3/20
China 18/6/20
• China 23/3/20
• Vietnam 30/3/20 Australia 23/7/20
• Vietnam 10/4/20 Malaysia 29/7/20
• China 17/4/20 China 29/7/20
• Indonesia 26/5/20 France, Germany,
• U.S.A. 1/6/20 United Kingdom 16/9/20
• China 2/6/20
 7. The U.S. and Australia
• Rules-based order and international law
• ASEAN-China South China Sea Code of Conduct
• Geographic scope, legal status, enforcement, third parties
• Co-ordinate legal assistance, training to ASEAN
claimant states
• Get ASEAN’s house in order
• Encourage U.S. to ratify UNCLOS
• Lobby key senators and congressmen
 The U.S. and Australia
The Quad
• Establish a Secretariat staffed by all members
• Set up Working Group on International Law
• Engage with ASEAN = ASEAN Plus Four
ASEAN-Mechanisms
• East Asia Summit
• ASEAN Defence Minister’s Meeting Plus (ADMM Plus)
• Expert Working Group on Maritime Security
• ASEAN Regional Forum
• Inter-Sessional Meeting on Maritime Security
• Expanded ASEAN Maritime Forum
 Beyond the Horizon: Prospects for
Dispute Resolution in Maritime Asia

Emeritus Professor Carlyle A. Thayer

Presentation to
US-Australia Indo-Pacific Conversation Series #5
co-sponsored by the Embassy of the United States of America in Australia, United States
Studies Centre at the University of Sydney and Pacific Forum International
Honolulu, Hawaii, U.S.A.
June 21, 2021