後冷戰時期中國大陸與東協關係發展之研究 - 政大學術集成

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(1) . 國立政治大學亞太研究英語碩士學位學程 International Master’s Program in Asia-Pacific Studies College of Social Sciences National Chengchi University. 碩士論文 Master’s Thesis. 後冷戰時期中國大陸與東協關係發展之研究 China-ASEAN Relations in the Post-Cold War Period. Student: Lai, Ting-Yin Advisor: Chiang, Chia-Hsiung, Ph.D.. 中華民國 104 年 7 月 July 2015 .

(2) . 後冷戰時期中國大陸與東協關係發展之研究 China-ASEAN Relations in the Post-Cold War Period. 研究生：賴婷吟 Student: Lai, Ting-Yin 指導教授：姜家雄教授. Advisor: Chiang, Chia-Hsiung, Ph.D.. 國立政治大學亞太研究英語碩士學位學程碩士論文. A Thesis Submitted to International Master’s Program in Asia-Pacific Studies National Chengchi University In partial fulfillment of the Requirement For the degree of Master in China Studies. 中華民國 104 年 7 月 July 2015 .

(3) . 摘要本文主要之研究欲透過檢證和批判性的比較，探討後冷戰時期中國大陸與東協國家國際關係之變遷與發展。中國為追求其國家利益而改善與東協的外交關係，東協亦因國際情勢而調整其對中國之外交政策，即是自中國大陸政策隨著國際情勢的變化亦有調整，即是不同以往的冷戰時期防堵共產勢力，而是轉變為因應全球化挑戰之東亞區域合作。因此，中國大陸與東協積極加強互利合作關係，而主要於經濟領域。中國大陸持續加強與周邊國家之外交關係，為其國際外交之重點，在某些國際場合，中國大陸需要東盟國家的支持，以確保其能於國際事務上有一定的影響力。中國大陸. 政治大. 與東協合作的進展主要體現在平等，互利的原則。以「中國大陸-東協自由貿易區」. 立. 為例，中國大陸與東協之經濟合作能提升為更緊密的關係。. ‧ 國. 學. 然而，地區在繁榮與發展的背後，仍存在著許多影響區域安全的變化。中國大陸與東. ‧. 協國家現今仍持續存在著南海領土爭議，這說明經濟合作可能無法完全避免政治衝突，反而可能會進一步破壞經濟關係。. n. er. io. sit. y. Nat. al. Ch. engchi. i n U. v. 關鍵字: 中國-東協關係、後冷戰時期、中國東協經濟合作、南海爭端. .

(4) . Abstract This paper is based on examination and critical comparison that attempts to explain potential effects and interrelated variables of China’s international relations with ASEAN members in the post-Cold War period. Both China and ASEAN have sought to improve the international relationships with each other for its national interest in this region. ASEAN’s policy on China has also been adjusted due to international circumstances; namely, the situations turn into East Asia regional cooperation for global challenges instead of preventing the Communist power in the Cold War period. Consequently, China and. 治政 ASEAN has been active in reciprocal cooperation with大 each other, especially in economic 立 fields. ‧ 國. 學. China enhancing its relations with its neighboring countries has been the pivot in its. ‧. international diplomacy since 1996. On some international occasions, China expects the support from its ASEAN neighbors to have leverage in international affairs. The progress. y. Nat. io. sit. in China-ASEAN cooperation mainly lies in the principle of equality and mutual benefit.. n. al. er. Beginning with the uncontroversial issues like CAFTA, China and ASEAN economic. Ch. cooperation was enhanced to closer relations.. engchi. i n U. v. However, there are still threats to regional security behind the prosperous and greatly-developed region. The territorial disputes over the South China Sea territory between China and ASEAN members still exist today. That indicates economic cooperation might not completely avoid political conflict, but might further destroy the economic relations.. Key Words: China-ASEAN relations, post-Cold War period, China-ASEAN economic cooperation, South China Sea disputes .

(5) i . Contents 1. INTRODUCTION.................................................................................................... 1 1.1. Motivation...................................................................................................... 1 1.2. Purpose........................................................................................................... 2 1.3. Literature Review ......................................................................................... 4. 政治大. 1.4. Methodology ................................................................................................ 10. 立. ‧ 國. 學. 1.4.1. Historical Analysis ............................................................................. 10 1.4.2. Document Analysis ............................................................................. 10. ‧ sit. y. Nat. 1.5. Chapter Arrangement ................................................................................ 11. al. er. io. 2. REVIEW ON CHINA-ASEAN RELATIONS .................................................... 13. n. v i n 2.1. During the Cold WarC Period 13 U h e ...................................................................... i h ngc 2.1.1. Sino-Southeast Asian Ties: from Tributary Relations to Cold War Rivalry ................................................................................................. 13 2.1.2. The Impact of Sino-Soviet Split on Southeast Asia ......................... 14 2.1.3. Anti-communist Insurgency Movements in Southeast Asia ........... 16 2.2. The Post-Cold War Era .............................................................................. 17. .

(6) ii . 2.2.1. Reconciliation in Sino-Southeast Asian Relations ........................... 17 2.2.2. Brand New Form of China-ASEAN Ties ....................................... 20 2.2.3. ASEAN-China Rapprochement ........................................................ 22 2.2.4. China in Southeast Asia: Life and Culture ...................................... 24 2.2.5. Territorial Tensions in ASEAN-China Relations ............................. 26. 政治大. 3. CHINA-ASEAN TIES IN POLITICAL PERSPECTIVE.................................. 29. 立. 3.1. Sovereignty and Security ............................................................................ 29. ‧ 國. 學. 3.1.1. China-ASEAN Conflict and Cooperation in the South China Sea. ‧. (SCS) .................................................................................................... 29. y. Nat. n. al. er. io. sit. 3.1.2. China-ASEAN Declaration on the Conduct of Parties in the South. i n U. v. China Sea (DOC) and Adoption of a Regional Code of Conduct. Ch. engchi. (COC) .................................................................................................. 33 3.2. Security Cooperation .................................................................................. 37 3.2.1. China-ASEAN Multilateral Platforms in Security Cooperation ... 37 3.2.2. China’s New Security Concept (NSC) and Southeast Asia............. 40 3.3. The Potential Security Threats in Southeast Asia .................................... 41 3.3.1. Non-Traditional Security in Southeast Asia: Trends and Issues .... 41 .

(7) iii . 3.3.2. China’s Land Boundary Issues with Vietnam and Myanmar ....... 44 4. CHINA-ASEAN ECONOMIC OUTLOOK ........................................................ 47 4.1. Trade Facilitation ........................................................................................ 47 4.1.1. A Look at “ASEAN Plus Three” Framework .................................. 47 4.1.2. CAFTA Initiative Gave China a Diplomatic Advantage................. 48. 政治大. 4.1.3. Taking ASEAN+1 FTAs towards the RCEP .................................... 52. 立. 4.2. Investment and Competition...................................................................... 55. ‧ 國. 學. 4.2.1. The Rise of China and Foreign Direct Investment (FDI) from. ‧. ASEAN ................................................................................................ 55. y. Nat. n. al. er. io. sit. 4.2.2. Overseas Chinese Businesses in Southeast Asia .............................. 57. i n U. v. 4.2.3. China’s Major Investment Projects in Southeast Asia.................... 60. Ch. engchi. 4.3. China’s Official Development Assistance (ODA) Preference toward Southeast Asia .............................................................................................. 63 4.3.1. China’s ODA to Southeast Asia ......................................................... 63 4.3.2. China’s Foreign Assistance in Review .............................................. 65 4.4. China-ASEAN Cooperation in People-to-People Exchanges .................. 66 4.4.1. Tourism between China and Southeast Asia: Challenges and New .

(8) iv . Directions ............................................................................................ 66 4.4.2.China and Southeast Asia: New Areas of Cooperation in Education, Science and Technology and Environmental Protection .............. 68 5. CONCLUSION ...................................................................................................... 70 5.1. China-ASEAN Relations: from Rivalry to Reconciliation ...................... 70. 政治大. 5.2. Forging Closer China-ASEAN Economic Relations in the 21st Century. 立. ....................................................................................................................... 71. ‧ 國. 學. 5.3. Territorial Tension Is the Main Challenge to China-ASEAN Relations. ‧. ....................................................................................................................... 73. y. Nat. n. al. er. io. sit. BIBLIOGRAPHY .................................................................................................... 76. i n U. v. Scholarly Books .................................................................................................. 76. Ch. engchi. Journal Articles .................................................................................................. 77 Others .................................................................................................................. 83. .

(9) Page |1 . 1. INTRODUCTION 1.1. Motivation China’s economic reform starting in1978 has brought tremendous prosperity to the country. When the world witnessed its rapid rate of economic growth, China’s clout also contributed to the economic cooperation and growth in the Asia-Pacific region. On the other hand, the U.S. influence in the region was declining with China’s emerging power. (Kwan, C. H., 1994) China’s soaring economic growth undoubtedly has a great impact on Southeast. 政治大 especially the U.S. As China’s clout in world economy continues to rise, however, 立 Asia, which also drew attention of the countries in the Asia Pacific region,. Southeast Asian neighbors fear about China’s economic influence and political. ‧ 國. 學. stature. Hence, to counterbalance the U.S. influence in the region and wipe out. ‧. the panic and suspicion from its surrounding states, China needs to enhance the. sit. y. Nat. level of economic cooperation in the regional and the world economy. As a. io. er. consequence, China has been actively participating in regional or global economic cooperation. In addition to Asia-Pacific Economic Cooperation (APEC). al. n. v i n in 1991, China also becameC a member of World Trade h e n g c h i U Organization (WTO) in. 2001 and even signed Asia-Pacific Trade Agreement (APTA) to boost economic development of the country and the region. Unlike WTO, APEC offers high interdependence and flexibility to China. As the trend of regional integration in the Asia-Pacific region grows, the cooperative mechanism between China and Association of Southeast Asian Nations (ASEAN) become the center of attention. Since China realizes the importance of Southeast Asia in terms of economic cooperation, it gradually develops a vital role in the Asia-Pacific region and owns a decisive position in .

(10) Page |2 . this region. As a regional power, China’s clout becomes a threat to such powers as the U.S., Russia, Japan, and India. In 1997, therefore, the new international environment forced China to shift foreign policy focus to Southeast Asia by joining China-ASEAN Free Trade Area (CAFTA), the China-ASEAN framework, the ASEAN+3 platform, the East Asian Summit (EAS) and ASEAN Regional Forum (ARF). China’s move toward a FTA with ASEAN indicates the pivot of foreign policy in this region. Therefore, the aim of this research is to probe into the development of China’s foreign policy toward ASEAN in the context of the rise of China. 1.2. Purpose. 立. 政治大. China and ASEAN nations which contain the diversity in ethnicity, religion,. ‧ 國. 學. history, political system and geography are the most diverse and dynamic. ‧. countries in the world. Furthermore, disparity in development and economic. sit. y. Nat. scales persists throughout Southeast Asia region. There are also different. io. er. constraints on transportation, telecommunication and energy network, making China-ASEAN regional interconnection more difficult. (Egberink, Frans-Paul van. n. al. der Putten, 2011). Ch. engchi. i n U. v. However, China is obviously filled with ambition to look for regional economic cooperation to be a pivotal role in this region. As a consequence, China proactively has participated in all types of regional cooperative mechanisms and international cooperation events to raise its profile. The 1997 Asian Financial Crisis was succeeded by the ASEAN Plus Three (APT) framework in 1999. Within the framework, China and ASEAN held a series of monetary and economic cooperation. By 2010, the volume of Chinese export to ASEAN was pushed to USD$ 138.207 billion due to China-ASEAN Free Trade Area. And .

(11) Page |3 . China’s export to ASEAN rose sharply from 2010 to 2012; total exports increased to USD204.272 billion in 2012. (Jiang Jialin, 2013) The ASEAN thus has become China’s fifth biggest trading partner, and China also evolves to be one of the largest trading nations for the ASEAN member states. Both sides obtain harvest tangible economic benefits from the collaboration in trade. There are over 50 million overseas Chinese spreading around the world, making them the largest migrant population on the globe. And approximately 30 million overseas Chinese live in ASEAN member nations. (Greater Pacific Capital LLP,. 政治大 Chinese businessesmen to invest in Southeast Asia. Since Deng Xiaoping’s 立. 2013) In light of geographic and historical proximity, it’s beneficial for overseas. “Southern Tour” to Southeast Asia in 1992, China has attracted a great deal of. ‧ 國. 學. investment from Southeast Asia with low-cost labor and large domestic market,. ‧. urging China-ASEAN economic cooperation to enhance the capabilities of. sit. y. Nat. economies to develop the international investment sector. (Samphantharak, 2011). io. er. On the other hand, increasingly tense territorial issue has been always a big concern between China and Southeast Asian nations. Territorial disputes in. al. n. v i n C hbegan to emerge inUthe 1980s. Until the present, resource-rich South China Sea engchi rival territorial claims in the disputed areas are still often heard every now and. then. According to M. Taylor Fravel, “Analysis of China’s dispute behavior bears directly on the future of peace and stability in East Asia. Behavior in territorial disputes is a fundamental indicator of whether a state is pursuing status quo or revisionist foreign policies, an issue of increasing importance in light of China’s rising power.”(Fravel, 2005) To diminish internal friction and gain support from its neighboring countries, China is engaged on the development of “good neighbor diplomacy” It is obvious that China seeks to enhance mutual trust and .

(12) Page |4 . maintain a cooperative diplomatic posture with ASEAN nations in the emphasis of its peaceful development. Hence, China’s good neighbor diplomacy indicates the emphasis of China’s foreign policy on ASEAN nations. At last, the research will focus on the three main research questions. Research Question I: What are the causes of China’s change in its foreign relations with ASEAN? Research Question II: What is the difference of China’s foreign relations with ASEAN before and after the post-Cold War period?. 政治大 relations with ASEAN in the post-Cold War era? 立. Research Question III: What is the influence of China’s change in its international. This research examines China’s relations with ASEAN in terms of political and. ‧ 國. 學. economic perspective as a main body of research, aiming to discover China’s. ‧. foreign relations with ASEAN in the post-Cold War era. To better understand the. sit. y. Nat. context of China’s international relations with ASEAN, the research direction will. io. er. mainly focus on four parts; first, to probe into China-ASEAN relations through the process of literature review; secondly, to examine China’s foreign relations. al. n. v i n C h security and China-ASEAN with ASEAN in view of regional security engchi U. cooperation; thirdly, to analyze China’s international relations with ASEAN in terms of economic cooperation and several related China-ASEAN cooperative mechanisms; lastly, to explore the influence that China has brought on ASEAN during the post-Cold War period. 1.3. Literature Review Literature in this field mostly centers on China’s relations with its neighboring nations. Yet, most literature focuses less on the influence of China on its international relations with ASEAN nations. Consequently, this research aims to .

(13) Page |5 . explore the intention and achievement of China’s foreign relations toward ASEAN while China’s clout is rising. Before diving into the study, preliminaries should be made for review of China-ASEAN relations. Over the past several centuries, China had imperially influenced in Southeast Asia region with the well-known “tribute system”. With the Opium Wars, the world witnessed the decline of Qing dynasty. Later, after the end of World War II, many Southeast Asian countries gained their independence from the western colonial powers. Despite the withdrawal of European. 政治大 China-centered tribute system of pre-19 century. On the contrary, China, along 立 colonialism, China’s ties with these Southeast Asian states didn’t return to th. with these newly independent Southeast Asian nations, faced global political. ‧ 國. 學. competition between the U.S. and the Soviet Union in the Cold War era.. ‧. Scholars have different views on motives of China’s international relations with. sit. y. Nat. ASEAN. Cheng (2011), in his “Sino-ASEAN Relations in the Early Twenty-first. io. er. Century”, analyzes Sino-ASEAN relations during post-Cold War era through historical documents. Asia has seen the dissolution of the Soviet Union, and. al. n. v i n Cofhregional stability U ASEAN was the cornerstone and security, and was engchi considered a crucial role in Asia-Pacific region for a period.. Chwee (2005), in his “Multilateralism in China’s ASEAN Policy: Its Evolution, Characteristics, and Aspiration”, provides a detailed account of China’s active participation in regional organizations. The China-ASEAN ties has reached a peak in the 1990s. Many countries imposed economic sanction against China due to Tiananmen crackdown. The international circumstance left China no choice but to actively develop its relations with foreign countries to break its isolation by participating in many international activities after 1989. To increase its presence .

(14) Page |6 . in international affairs, China’s first step is to continue to promote ties with ASEAN by attending multi-field and multilevel platforms. After the China Comprehensive Economic Cooperation was signed in 2002, China realized that it could establish a favorable image and forge mutually beneficial relationships with major powers in this region by integrating with multilateral institutions. (Astarita, 2008) Ba (2003), in her “China and ASEAN: Renavigating Relations for a 21st-century Asia”, also pointed it out that economic competitiveness, trade, and regional. 政治大 China’s foreign relations with ASEAN. Besides, China’s ASEAN diplomacy 立. security of Southeast Asia grows to be closely relevant to China, which affects. reflects some short-and long-term plans on domestic and regional stability,. ‧ 國. 學. economic development to counterbalance U.S. influence on ASEAN. The. ‧. 1997-1999 Asian financial crisis was a turning point in China-ASEAN relations.. sit. y. Nat. During the crisis, ASEAN suffered from a setback, and some member states even. io. er. lost confidence in ASEAN’s capacity. Yet, the crisis gave China an opportunity to show its regional leadership and further strengthened its ties with Southeast Asian. al. n. v i n countries in the meanwhile C by providing the assistance h e n g c h i U to the acute need and. stabilizing the region. The act turned the lukewarm relationship into the level of annual ASEAN plus China summit. Most importantly, ASEAN adjusted its relationship with China, the U.S., and Japan. (Baviera, 1999) During the post-Cold War era, China had undergone economic reforms and open-door policy under Deng Xiaoping’s leadership. “China’s successful implementation of economic reform and the open-door policy, in generating high growth and more trade and investment, is making a significant impact on the international economy; particularly China’s neighboring economies in the . .

(15) Page |7 . Asia-Pacific region.” (Wong, 1995) On the other hand, China turned into a stabilizing force in the region with its remarkable economic growth. The country thus committed to be a responsible power and a contributor of security, stability and prosperity for the region. To keep its promise, China provided economic aid to Southeast Asian nations, and in the meanwhile persuaded its neighbors to establish economic cooperation mechanisms. (Tsai, Hung & Liu, 2011) in their article “China’s international relations Southeast Asia: Harmonious worldview and its impact on good neighbor diplomacy”, assumed that China intends to rope. 政治大 China-ASEAN cooperative platform. China encourages cooperation and dialogue 立 in its Southeast Asian neighbors to promote mutual trust and construct. among states on the basis of equality and openness, respects for diversity among. ‧ 國. 學. states, and maintains stability and safety to prevent regional conflicts.. ‧. Consequently, China includes the following objectives: peaceful negotiation to. sit. y. Nat. resolve border conflicts and improve relations, construction of companion and. io. er. cooperative relations and bilateral dialogue, participation in multilateralism and promotion of joint conflict resolution, and improvement in economic and trade. n. al. Ch. cooperation in its good neighbor policy.. engchi. i n U. v. Although China is a dialogue partner and an indispensable investor to ASEAN, there are disputes between China and some ASEAN member states. Among the countries, China’s sovereignty claims over the South China Sea is the most extensive and the most ambiguous ones while assertions from other countries base on their de facto administrative control on the ground through occupation of landmass. However, China asserts its ownership of the entire South China Sea. (Simon, 2012) “ASEAN also has had difficulty asserting its centrality in dealing with China. China claims “indisputable sovereignty” over most of the South .

(16) Page |8 . China Sea, and insists that these disputes be settled bilaterally by the countries directly concerned. This has created dynamic tensions in ASEAN-China relations.” (Thayer, 2013) Therefore, even the 7th EAS in 2012, the 8th EAS as well as the ARF at the 47th ASEAN Foreign Ministers meetings (AFMM) in 2014 were also overshadowed due to China’s firm upholding its territorial sovereignty over South China Sea. Obviously, the Spratlys and Paracels disputes become major challenges to China-ASEAN relations due to the concern of some ASEAN member states about military-related security problem posed by China’s rise in. 政治大 relations. (Yeoh, Ling, and Liong, 2012) 立. recent decades, especially within the context of the changing ASEAN-China. Accordingly, there are four distinctive features in China’s diplomacy in ASEAN .. ‧ 國. 學. (Chwee, 2005) First, the absence of ideological barriers distanced the relations. ‧. between China and ASEAN. By the 1980s, there was animosity toward China and. sit. y. Nat. most of ASEAN states because China was regarded as a communist threat by. io. er. some Southeast Asian nations. But the China-ASEAN ties were gradually restored to amity due to China’s favorable role in the 1997 Financial Asian Crisis.. al. n. v i n C h lay the emphasisUon economic development Todays, both China and ASEAN engchi based on the bilateral economic cooperation. Secondly, the importance of. economic interdependence makes both sides an essential partner to each other. As far as China is concerned, ASEAN is a crucial economic partner, and vice versa. Economically and geographically, they also share common interests in the Asia-Pacific region. With the launch of CAFTA and participation in multi-level economic platforms, China-ASEAN cooperation signifies a milestone in the economic development of the region. Economic diplomacy is a central aspect of China’s foreign relations with ASEAN. Since 1990, China has been dedicated in .

(17) Page |9 . resolving territorial disputes with its ASAN neighbors. However, ASEAN is skeptical about the rising power of China in the region. As a consequence, cooperation with ASEAN is a good solution to diminish the suspicion of China’s emergence. In 2003, China joined Treaty of Amity and Cooperation (TAC) with ASEAN. Both parties pledged to deal with conflicts through dialogue and unify a huge market. (Ding, 2008) Thirdly, territorial disputes in South China Sea have widened the gap between China and ASEAN for many years. Both China and ASEAN member states are indispensable factors of security and stability in. 政治大 these countries were heard now and then. As a major regional military power, the 立 Asia-Pacific region. However, the rising tensions over territorial disputes among. conflict will have a great impact on the whole area, and further influence the. ‧ 國. 學. world. The territorial disputes in South China Sea thus are regarded as an. ‧. important element in China’s relations with ASEAN. Lastly, emerging. sit. y. Nat. multilateralism in China-ASEAN diplomacy provides unifying elements in. io. er. China-ASEAN relations. The diplomatic relations between China and ASEAN are the basis of bilateral cooperation, which the multilateral cooperative. al. n. v i n Ceconomic mechanisms complement the and meanwhile provide a system to U h e n gties, i h c enhance different levels of dialogues. One of the purposes that China has been promoted through multilateral diplomacy is free trade between China and ASEAN with additional concern about non-traditional security threats including diseases and human trafficking. (Liao, 2012) As Wong emphasized in his article, “China’s Economic Reform and Open-Door Policy Viewed from Southeast Asia”, how to strike a balance between its economic cooperation within ASEAN-China cooperative mechanism and its territorial ambition in South China Sea is a big challenge for China to adopt . .

(18) P a g e | 10 . foreign policy toward ASEAN. China has ensured ASEAN its peaceful rise and promised not to become a regional hegemon. Although the promises are undoubtedly beneficial to China’s international relations, the country should take more actions to show its good intentions. With the uneasiness among China’s neighboring states about its growing clout and territorial ambitions, China still increases its military budget by 10.1% in 2015 to assert its territorial claims. The South China Sea issue will continue to be a big challenge to China-ASEAN relation within China’s diplomacy. (Wong, 1995). 政治大 Historical Analysis 立. 1.4. Methodology 1.4.1.. Also, historical analysis is applied to the study. Historical analysis is a common. ‧ 國. 學. method in social science. Among the researches concerning international relations,. ‧. most of them adopt this method to examine the connection or causal relationship. sit. y. Nat. between the past and the present. Therefore, a researcher is able to exclude. io. er. irrelevant incidents and gather up the threads of targeted subjects through systematic classification. This research intends to unfold China’s foreign relations. al. n. v i n with ASEAN with its risingC influence in the region h e n g c h i Uby means of historical analysis.. 1.4.2. Document Analysis Document analysis is a social research method based on systematic collection of data from extensive reading of written materials. The method has been wildly used in social research. Within certain limitations, the method could help understand and rebuild the past. Then, we are capable of expounding the present and predicting the future. In order to achieve the purposes of the study, the research employs government press releases and news coverage. So we could .

(19) P a g e | 11 . perceive China’s international relations in the context of its ascending clout, and compares China’s foreign policies toward ASEAN before and after China’s clout emerges. Furthermore, we explore China’s foreign relations with ASEAN from the perspective of China’s rise. The collection of literature for this study, including journal articles, scholarly books on topics of interest to the profession, press releases and other relevant reference documents, focuses on China-ASEAN cooperation mechanisms in fields of politic, economic and diplomacy. The systematic and objective assessment of these documents should help explain the results of the research. 1.5. Chapter Arrangement. 立. 政治大. The economic prosperity in the Asia-Pacific region led by China’s rise makes the. ‧ 國. 學. world lay the emphasis to the East in their foreign policy. The emergence of. ‧. China as an influential power has implications of security to ASEAN nations.. sit. y. Nat. China enhancing its relations with its neighboring countries has been the pivot in. io. er. its international relations since 1996. The country commits to maintain the stability and security in Asia-Pacific region, it thus strengths its ties with ASEAN. al. n. v i n C hclout, China gradually neighbors. With its ascending has leverage in some engchi U. international affairs; meanwhile it also seeks support from ASEAN nations. In addition to advocating “Good Neighbor Diplomacy”, China also further strengthens bilateral economic cooperation in Southeast Asia by joining multi-level cooperation mechanism with ASEAN. This thesis contains six chapters and the descriptions of each chapter as follows: A. Chapter one is an introduction, which mainly describes motivation and purpose of this research, including background, literature review and methodology. B. Chapter two gives the overview of bilateral relations from tributary system era .

(20) P a g e | 12 . to the present, comprehending the transition of Sino-ASEAN ties. C. Chapter three highlights China-ASEAN political collaboration to support regional stability and diminish territorial disputes, and meanwhile discusses China’s pursuit of natural resources in ASEAN in the light of Chinese consistent foreign policy of bilateralism in the South China Sea and China’s involvement in regional multilateral institutions. D. Chapter four focuses on China’s participation in multi-level economic cooperative mechanisms with ASEAN, the competition in the outflow of foreign. 政治大. direct investment and its overseas development assistance to Southeast Asian countries.. 立. E. Chapter five will be the conclusion of this research; the emphasis will be laid on. ‧ 國. 學. the assessment of China’s foreign relations with ASEAN during post-Cold War. ‧. era, mostly depending on ASEAN’s attitude toward China’s foreign policy, with. sit. y. Nat. supplement of situation of security and stability in ASEAN, as well as China’s. io. n. al. er. cultural influence in ASEAN.. Ch. engchi. i n U. v. .

(21) P a g e | 13 . 2. REVIEW ON CHINA-ASEAN RELATIONS 2.1. During the Cold War Period 2.1.1. Sino-Southeast Asian Ties: from Tributary Relations to Cold War Rivalry Over the past several centuries, Southeast Asia region had been influenced by imperial China due to its geographic location and historical ties. Until the nineteenth century, the relations between China and Southeast Asian countries have been conducted in the well-known tribute system. Owing to the Opium Wars,. 政治大 the West, which led to its weak posture. China’s role in this region was no longer 立 the world witnessed the decline of Qing dynasty. China was heavily assaulted by. as influential as before. Later, the collapse of Qing dynasty ushered in decades of. ‧ 國. 學. turmoil in China but ended in the triumph of Communist regime in 1949. At the. ‧. end of World War II, the colonial system was greatly exacerbated; many. sit. y. Nat. Southeast Asian countries gained their independence from the western colonial. io. er. powers. Despite the end of European colonialism, China’s ties with Southeast Asian states didn’t return to China-centered tribute system in the pre-colonial era.. al. n. v i n C with On the contrary, China, along newly independent Southeast Asian U h ethese i h ngc. nations, faced global rivalry of the U.S. and the Soviet Union. Prior to the 1980s, there has been hostility between China and most of the Southeast Asian governments because China was perceived as communist threat by Southeast Asian countries. Most of its Southeast Asian neighbors considered China a threat to anti-communist Southeast Asian countries. Accordingly, in the 1950s, China had little progress in diplomatic relations with Southeast Asian states, except with Vietnam, Indonesia and Burma. During the. .

(22) P a g e | 14 . first Indochina War1, France gradually realized China’s vital role in assisting in ending the war. In addition to providing European powers with its help, China meanwhile supported regional communist clout. Consequently, the gap in Sino-ASEAN relations was widened under the U.S. containment policy of the 1950s. As a regional communist power, China was largely restrained by Southeast Asia for two decades. (Thayer, 2011) Nevertheless, China has made a major diplomatic breakthrough at the Geneva Conference in 1954. The conference aimed to tackle the tension in Asia, especially in Vietnam2 and in the. 政治大 Republic of Vietnam, but rejected by the State of Vietnam. To China, the 立. Korean peninsula. In Indochina, Geneva Accords was signed by the Democratic. conference was for the first time to be a major player in an international meeting.. ‧ 國. 學. Like its intervention in Korean peninsula, China’s role in the settlement for the. ‧. Indochina issue was also considered to be restraining the Democratic Republic of. sit. y. Nat. Vietnam. Later, in 1955, China also made its first public appearance at Bandung. io. er. Conference. (Zhai, 1992) The conference intended to promote Afro-Asian solidarity, discuss the role of the Third World in the Cold War and opposition to. al. n. v i n C hwere newly independent colonialism. Most participants nations, sharing their engchi U similar experience of emerging from the control of western colonial powers.. Noticeably, 8 of 30 participants are Southeast Asian countries3. The conference showed that the emerging countries like Indonesia and Malaysia could be a force in world politics. 2.1.2. The Impact of Sino-Soviet Split on Southeast Asia The Sino-Soviet Split, began in 1960, complicated the Cold War politics, but                                                         1. The conflict between France and Vietnam began in 1946 and ended in 1954. Vietnam was divided by North Vietnam and South Vietnam. The north called itself the Democratic Republic of Vietnam, while the south was The State of Vietnam. 3 Eight Southeast Asian participants were Burma, Kingdom of Cambodia, Indonesia, Kingdom of Laos, Philippines, Thailand, Democratic Republic of Vietnam and South Vietnam State of Vietnam. 2. .

(23) P a g e | 15 . didn’t alter Cold War’s bipolar system. In 1978, the Soviet-Vietnamese Friendship Treaty was signed; the Soviet Union gave its support to Vietnamese invasion of Cambodia, causing the tension between Cambodia and Vietnam. Therefore, the Sino-Soviet Split heavily damaged Sino-Vietnamese relations. (Knight, Heazle, 2011) During the conflict, the Soviet Union backed Vietnam, while China sided with Cambodia. Thailand was also involved in the conflict and chose to ally with China to fight against Vietnam’s intervention in Cambodia. With the expiration of Sino-Soviet Treaty of Friendship, Alliance and Mutual. 政治大 occupation of Cambodia. China took military action against Vietnam, reaching 立. Assistance4 in 1979, the Soviet Union stopped supporting Vietnamese. lowest point in Sino-Vietnamese relations. The Soviet Union then signed an. ‧ 國. 學. agreement with Vietnam the for a 25-year lease of Cam Ranh Bay. But, the. ‧. situation turned out to be beneficial to China. When the influence of the Soviet. (Thayer, 2011). io. er. sit. y. Nat. Union declined in 1990, China gradually carried a lot of clout in Southeast Asia.. Southeast Asian nations suppressed communist rebels in the 1950s and the 1960s,. al. n. v i n and China was considered C a communist propagator. h e n g c h i U As a consequence,. diplomatic ties and official economic relations between China and Southeast Asian countries were almost constrained throughout the 1950s. Around 1978, therefore, China shifted its foreign policy focus to economic modernization by practicing a new open door policy. The act has shortened the distance between China and ASEAN. (Yuan, 2006) As a result, Chinese relations with ASEAN nations has been remarkably improved. Because economic modernization has been the pivot in Chinese foreign policy since the early 1980s, China accelerated                                                        . 4. In the treaty, China and the Soviet Union agreed to prevent from attacking allies for each other. . .

(24) P a g e | 16 . domestic economic reforms and sought economic cooperation with Southeast Asia. To introduce the economic reforms, the then-Chinese leader, Deng Xiaoping, made a tour around Southeast Asia in November of 1978, including Thailand, Malaysia and Singapore. The tour gave a tremendous improvement to the relations between China and Southeast Asia. Chinese businessmen and tourists flooded Southeast Asian countries and thrived the economy in this region. (Ba, 2003) 2.1.3. Anti-communist Insurgency Movements in Southeast Asia. 政治大 worse, the Sino-Indian War in 1962 exacerbated China’s international image. The 立. In the 1960s, Sino-Soviet split seriously hurt China’s international status. What’s. war resulted from a disputed Himalayan border. When Qing Dynasty collapsed,. ‧ 國. 學. the Tibetan government expelled the Qing minister and Qing Army stationed in. ‧. Tibet, and declared its independence. But the Nationalist Government continued. sit. y. Nat. to claim its sovereignty over Tibet. To maintain security and commerce in Tibet,. io. er. in 1914 British colonial ruler of India had tripartite talks in Simla with Tibetan local government and the government of Republic of China. The newly founded. al. n. v i n Cdidn’t Republic of China, however, the result of the negotiation. Later, U h e naccept i h gc. Britain and Tibetan government signed Simla Accord5, of which legitimacy was rejected by China. It became a direct cause of Sino-Indian conflict. On the other hand, the Philippines, Myanmar, Indonesia, Malaya6 and Singapore became independent with a non-Communist system. Since southeast Asian nations were weary of Communist aggression, these states decided to cooperate with the United States to counter communist threat. The significance of anti-Communism                                                         5. The Accord was signed in 1914, providing the settlement the boundary line between inner and outer Tibet. 6 Malaya here indicated the Malayan Union, the successor to British Malaya from 1946 to 1948. It was a post‐war British colony consisting of all states except Singapore. .

(25) P a g e | 17 . in Southeast Asia became rampant in this region. Therefore, China’s Communist rule distanced itself from Southeast Asian nations, causing Indonesia to break off diplomatic relations with China in 1965. For a long time, Cambodia turned out to be China’s only diplomatic ally in Southeast Asia in 1958. 2.2. The Post-Cold War Era 2.2.1. Reconciliation in Sino-Southeast Asian Relations Formally founded with “Bangkok Declaration”7 in 1967, ASEAN was made up of five member nations, the Philippines, Thailand, Malaysia, Singapore and. 政治大 Vietnam in 1995, Laos and Myanmar in 1997, and Cambodia in 1999, and have 立 Indonesia. Then, ASEAN was expanded to include Brunei Darussalam in 1984,. 10 member states. (Hussain, 2013) (See Figure 2-1) The objectives of ASEAN. ‧ 國. 學. were to accelerate regional economic growth, promote regional peace and. ‧. stability, and improve culture development as well as social progress among ten. n. al. er. io. sit. y. Nat. member nations.. Ch. engchi. i n U. v.                                                         7. 1967Bangkok Declaration is also known as ASEAN Declaration, which is the official founding document of Association of Southeast Asian Nations (ASEAN). . .

(26) P a g e | 18 . 立. 政治大. er. io. sit. y. Nat. Source: Asia A Pacific Greens Feederation (2 2013). ‧. ‧ 國. 學. Figure 2-1. Map of ASEAN A Meembers. AC was sig gned by the A ASEAN oriiginal five member m stattes. The U.S S. In 1976, TA. al. n. v i n C hn signed thee Instrumen Secretary of o State Hillary Clinton t of Accessiion to the engchi U Treaty of Amity A and Cooperation C n on behalf of o the Uniteed States in 2009.. Meanwhilee, Foreign Ministers M off ten ASEAN N member states s signeed Instrumen nt of Extension of the Treatty of Amity aand Cooperration in Southeast Asiaa to promotte permanentt peace as well w as long--term amity and to stren ngthen coopperation in economy, culture, c tech hnology andd so on. Thee participatiion of the U United States in 2012 couldd be consideered that it hhoped to maake deep an nd effective contact witth ASEAN. Moreover, M ASEAN A mem mber states signed Southeast Asiann Nuclear-W Weapon-Freee Zone Treaaty (SEANW WFZ) on the non-nucleaar weapons to t .

(27) P a g e | 19 . further promote regional security and prosperity in 1995. During the Cold War period, there was no formal diplomatic relations between China and ASEAN, but only bilateral ties between China and some individual members of ASEAN. (Hussain, 2013) But in the 1970s, there was a silver lining in China-ASEAN relations. Malaysia was the first ASEAN member state of ASEAN building a formal diplomatic relations with China in 1974. Later, China also established diplomatic relations with the Philippines in June 1975 and Thailand in July 1975. Indonesia didn’t reestablish diplomatic ties with China until August 1990 since. 政治大 Following Indonesia, Singapore reestablished diplomatic relations with China in 立 China was involved in the coup of the Indonesian Communist Party in 1965.. October, 1990. When Singapore was still under British colonial rule, it already. ‧ 國. 學. had diplomatic relations with Republic of China. As Singapore was independent. ‧. from Malaysia in 1965, the country continued to recognize Republic of China,. sit. y. Nat. but no diplomatic relations between Singapore and China. In the 1970s, the. io. er. unofficial relations between People’s Republic of China and Singapore began, making the ties between Republic of China and Singapore died away. Singapore. al. n. v i n C h ties with China inU1990. And in 1991, Brunei finally established its diplomatic engchi. became the last ASEAN member state to establish its diplomatic relations with China. It wasn’t until November 1991 that China normalized diplomatic relations with Vietnam and completed formal diplomatic network with all member states of ASEAN. (Please See Table 2-2). .

(28) P a g e | 20 . COUNTRY. REMARKS. DATE. Bilateral ties deteriorated in late 1970s due to Vietnam’s close ties. Democratic Republic of Vietnam. January 18, 1950. (now Socialist Republic of Vietnam). with the Soviet Union, but normalized the diplomatic ties in 1991. The Sino-Indonesian diplomatic. Republic of Indonesia. April 13, 1950. relationship was suspended in 1967, and re-established diplomatic relations in 1990.. Union of Burma (now Republic of the Union of Myanmar) Kingdom of Cambodia. 立. April 25, 1961 May 31, 1974 June 9, 1975. Kingdom of Thailand. July 1, 1975. ‧. Republic of the Philippines. io. sit. September 30, 1991. er. State of Brunei Darussalam. y. October 3, 1990. Nat. Republic of Singapore. 學. Malaysia. 政 July治 19, 1958 大. ‧ 國. Kingdom of Laos. June 8, 1950. Table 2-2. Establishment of Diplomatic relations between ASEAN Nations and. n. al. Ch. the People’s Republic of China. engchi. i n U. v. Source: Adapted from Roy (1998). In recent years, ASEAN member states strengthened its economic relations with China. “These influences on ASEAN also affect Asia-Pacific in general, including APEC. APEC sometimes uses ASEAN’s trade plan, like ASEAN+1 FTAs, as a model, including its prospects and difficulties.” (Kodama, 1996) 2.2.2. Brand New Form of China-ASEAN Ties Because of a series of incidents such as Cultural Revolution in 1965-1968, .

(29) P a g e | 21 . China’s involvement in the Vietnam War in 1979 and the Tiananman Square Protest in 1989, China was isolated internationally, exacerbating China’s international relations. The international circumstance left China no choice but to actively develop its relations with other countries to break its isolation by participating in many international activities after 1989. To increase its presence in international affairs, China’s first step is to continue to promote ties with Southeast Asian nations. Since 1978, accordingly, China pursued good neighbor diplomacy, the purpose of which was to keep a stable and friendly relationship. 政治大 environment for domestic economic development. The Chinese leader, Jiang 立 with Southeast Asia Countries with intent to seek peaceful international. Ze-ming, followed his predecessor and visisted Indonesia, Malaysia, Vietnam,. ‧ 國. 學. and Singapore in 1994. Later in 1996, President Jiang visited the Philippines after. ‧. attending APEC leadership summit. Another two top officials in the Chinese. sit. y. Nat. government, the Chinese Premier, Li Peng, made a tour to Vietnam, and so did. io. er. Qiao Shi in 1997, who was the then-chairman of the Standing Committee of the National People’s Congress. Also in 1997, Li Peng, paid his official visit to. al. n. v i n Malaysia and Singapore to C promise to fight against h e n g c h i Uthe financial turbulence with ASEAN during the financial crisis. In 1999, the Premier, Zhou Rongji, visited. Malaysia, the Philippines, Singapore and Vietnam as well. China’s frequent visits deepened the amity with ASEAN member states, and had prompted the establishment of ASEAN+1 to reinforce its economic and political influence in this region. The 1997 Asian financial crisis was considered a turning point in China-ASEAN relations in the post-Cold War era. In the crisis, China offered 1 billion USD aid to Thailand and other financial assistance for the region, gave its promise to depreciate RMB, and extended trade credits. (Beneyto, Song & Ding, .

(30) P a g e | 22 . 2013) ASEAN welcomed China’s constructive role in this critical period. China’s short-term assistance in the financial crisis turned the lukewarm relationship into annual ASEAN Plus Three (APT) meeting in the same year. ASEAN Plus Three cooperation has deepened in many fields of collaboration. The meeting provided evidence of China’s growing clout and established Chiang Mai Initiative (CMI)8 to form the basis for financial stability in Southeast Asia. In economic perspective, China has been engaged to cultivate and strengthen cooperative relations with ASEAN members through several multilateral mechanisms. Therefore,. 政治大 partnership for regional peace and prosperity. 立. ASEAN-China Summit was launched in 1997 to forge the bilateral strategic. 2.2.3. ASEAN-China Rapprochement. ‧ 國. 學. Following the APT framework in 1997, APT grouping was extended into. ‧. ASEAN Plus Six with the participation of India, Australia and New Zealand. In. sit. y. Nat. December 1997, ASEAN+3 and ASEAN-China Economic Leaders’ Meeting was. io. er. held in Kuala Lumpur, Malaysia, where Jiang Ze Min attended the event. In this meeting, both China and ASEAN agreed to establish a 21st century-oriented. al. n. v i n C h and confidence-building. partnership of good neighborliness In 2005, the engchi U. countries of ASEAN Plus Three added India, Australia and New Zealand to form ASEAN Plus Six grouping, and held the inaugural East Asia Summit (EAS). Besides, China’s minister of Foreign Affairs has been joining in ASEAN Ministerial Meeting (AMM) since 1990. China made its first appearance at ASEAN Regional Forum (ARF) in 1994. China was elevated to a full dialogue partner of ASEAN in July 1996 from a consultative dialogue partner. The China-ASEAN dialogue was launched in 1991. The bilateral cooperation in more                                                         8. The Chiang Mai Initiative (CMI) is a currency swap arrangement among ASEAN nations, China, Japan and South Korea. . .

(31) P a g e | 23 . than twenty fields through such dialogue mechanisms as China- ASEAN Joint Committee on Economic and Trade Cooperation as well as ASEAN-China Joint Cooperation Committee (ACJCC) has been carried out since the initialization of the dialogue pattern. Besides AJCETC and CAJCC mentioned above, there are still three operating mechanisms for China-ASEAN dialogue partnership; that is, China-ASEAN political consultation at senior official level, China-ASEAN Joint Committee on Scientific and Technological Cooperation as well as ASEAN Beijing Committee. Within the dialogue partnership, China and ASEAN deepen. 政治大 other hand, several regional issues were discussed through the following 立. regional economic cooperation, and also strengthen political cooperation. On the. high-level meetings. ASEAN Summit, most notably, was held annually before. ‧ 國. 學. 2008 and held twice a year since then. The participants are regional state leaders. ‧. who resolve confrontations or promote cooperation on the meeting. EAS, held. sit. y. Nat. annually, where ASEAN states, APT nations and ASEAN+6 nations will gather. io. Russia also attended the event since 2011.. al. er. to exchange ideas on trade and security in East Asia. The United State and. n. v i n C hdialogue partnership, Different from China-ASEAN the ASEAN Regional engchi U. Forum is a multilateral dialogue in the Asia Pacific Region that focuses building mutual trust and strengthening dialogue in the region. The ASEAN Ministerial Meeting, namely, is participated by state Ministers. The meeting is also held annually, aiming at such topics as environment issues or agriculture and forestry. And the 19th ASEAN Summit gave birth to the idea of Regional Comprehensive Economic Partnership (RCEP)9, which includes ASEAN nations and ASEAN’s.                                                         9. RCEP is a proposed FTA between ASEAN and six nations with which ASEAN has existing FTAs (China, Japan, Korea, India, Australia, and New Zealand). . .

(32) P a g e | 24 . six dialogue partners10. RCEP is actually the extension of APT and ASEAN+6. Therefore, RCEP accounts for one third of global GDP. Initiated at 21th ASEAN Summit, RCEP is expected to be concluded in 2015. Since 2010, it’s been debated that the best way to engage United States and Russia is EAS (ASEAN+8). So far, ASEAN+8 meeting is held every two to three years. In 2010, ASEAN-China Free Trade Area, the most populous free trade zone, was launched by China and ten ASEAN member states. The initial framework agreement was signed by the-then Premier of the State Council of the People’s. 政治大 pursuit of closer economic relations as well as mutual political and economic 立 Republic of China (Zhu Rongji) and the ten leaders from ASEAN nations in. benefits. Besides, following the United States, China also appointed its first. ‧ 國. 學. ambassador to ASEAN, headquarter in Jakarta in 2012. China’s appointment of. ‧. ambassador to ASEAN intends to boost the bilateral ties and upgrade its. io. er. 2.2.4. China in Southeast Asia: Life and Culture. sit. y. Nat. relationship with the Southeast Asian grouping to a strategic partnership.. Chinese influence in Southeast Asia can be seen in history, education, and culture. al. n. v i n C his the oldest civilization in the region. Chinese culture and has a far-reaching engchi U. consequence that affects the customs and traditions of East Asia. Chinese literacy plays a vital role in East Asian literary. Thanks to adjacency of geography and history, Southeast Asia states, particularly Vietnam, share many common traits of Chinese culture. Unlike other countries in Indochina Peninsula, Vietnam has been deeply and historically influenced by Chinese script, Confucianism and Taoism. Close to China and India, Southeast Asia was not only influenced by Indian, Hindu and Islamic culture, but also by Confucius and Buddhist culture.                                                        . 10. The Six indicates China, Japan, Korea, India, Australia and New Zealand. . .

(33) P a g e | 25 . For over a thousand years, Buddhism is the dominant religion in Southeast Asia, especially in Burma, Thailand, Laos, Cambodia and Vietnam, and also has significant impacts on the daily life of people in these countries. Nowadays, Chinese government establishes Confucius Institutes worldwide to promote Chinese language and culture. Chinese government already established 554 Confucius Institutes across the world, and there are currently 34 Confucius Institutes in Southeast Asia, offering Chinese language courses and organizes Chinese cultural activities, making Chinese languages spread internationally.. 政治大 Confucius Institute intends to give inappropriate political ideology instead of 立 (Tsai, Hung and Liu, 2011) Nevertheless, some countries once doubted that. simply teaching Chinese language.. ‧ 國. 學. Not until 1977 did a minimal number of foreign tourists paid a visit to China due. ‧. to the Cultural Revolution. Tourism around 1977, however, still remained limited. sit. y. Nat. due to the consequence of control of Chinese government. At the end of 1977,. io. er. Chinese government made tourism industry as one of Chinese major economic sectors. Consequently, the number of foreign tourists had considerably risen to. al. n. v i n C hChina, Japan and South 67,500 (Lew, 2012) ASEAN, Korea agreed that tourism engchi U is the crucial means to fortify the connectivity of people in these countries and recognize the contribution to economic and social development that tourism sector brings to the region, so the APT Tourism Ministers establish the APT e-Tourism Working Group to implement the ASEAN Ecotourism Strategic Plan. To accelerate economic development in this region, the tourism ministers of APT member states will also sign the Memorandum of Cooperation (MOC) on ASEAN Plus Three Tourism Cooperation in 2015. There are approximately 30 million overseas Chinese residing in ASEAN .

(34) P a g e | 26 . member sttates. In vieew of geogrraphical proximity, the mass migraation of the Chinese too Southeast Asia has a long history y due to trad de, religionn or refuge. Most of Chinese C peop ple moved ssouthward to t Southeastt Asia, wherre Chinese immigrantts and their descendantts built an ethnic Chineese communnity in each country. The T regionall economic integration,, preceded by b 1997 Asiian Financiaal Crisis, hass contributeed to stimulaation of Chiinese labor migration. IIn recent yeears, Chinese innvestment and a businesss in Southeaast Asia also o show an inncrease in the t number off Chinese migrants m sincce Chinese technicians and admini nistrative staaffs. 政治大 Southeast Asian statees. (Zhuang and Wang, 2010) (Pleaase see figur ure 2-3) 立 are in requuest for Chiinese contraacted projeccts and enterrprises locatted in. ‧. ‧ 國. 學. n. er. io. sit. y. Nat. al. Ch. engchi. i n U. v. Figure 2-33. Key Popu ulation of O Overseas Ch hinese by Lo ocation Source: Greater G Paccific Capitall LLP (2013 3). 2.2.5. Territoria al Tensionss in ASEAN N-China Reelations In South China C Sea, China C has bbeen making g efforts to diminish d thee tension du ue to territorial disputes wiith its ASEA AN neighbo ors. Until the present, hhowever, So outh .

(35) P a g e | 27 . China Sea is still the center of politico-economical disputes for Malaysia, Vietnam, the Philippines, Brunei, China and Taiwan. China’s territorial claims often influenced its economic cooperative framework with ASEAN. For example, the 7th EAS in 2012 as well as the ASEAN Regional Forum at the 47th ASEAN Foreign Ministers meetings in 2014 was overshadowed due to China’s firm upholding its territorial sovereignty over South China Sea. It’s actually not the first time for China to have conflict with ASEAN member states. In 1967, the then- Burmese leader instigated racist hostility against Chinese while the. 政治大 had lasted for three years, forced many Chinese to move out of Burma. 立. Cultural Revolution took place throughout China. The widespread discrimination. anti-Chinese riots in Indonesia were triggered by racist nature and economic. ‧ 國. 學. plight. The riots had lasted in 1998, and tens of thousands of ethnic Chinese. ‧. killed. However, Indonesian government kept silent on the riots. And it was even. sit. y. Nat. alleged that Indonesian military was involved in the riots; while in 2014, China’s. io. er. assertion of its maritime claims in South China Sea not only cast a shadow over ASEAN meetings, but also caused anti-Chinese unrest throughout Vietnam in. al. n. v i n May 2014. Many factories C were looted and destroyed h e n g c h i U by rioters. The turmoil had a negative impact on Sino-Vietnam relations and Sino-Vietnam trade.. In view of the above-mentioned facts, to establish the bilateral partnership for regional stability and prosperity requires fostering neighborly relations and harmonious regional environment between China and ASEAN. However, increasingly tense territorial issue has always been a big concern for China and Southeast Asian nations. Territorial disputes in resource-rich South China Sea began to emerge in the 1980s. Until the present, rival territorial claims in the disputed areas are still heard every now and then. Although Beijing attempts to .

(36) P a g e | 28 . improve its relations with Southeast Asian nations, its assertive sovereignty claims over these disputed territories almost ruin the efforts.. 立. 政治大. ‧. ‧ 國. 學. n. er. io. sit. y. Nat. al. Ch. engchi. i n U. v. .

(37) P a g e | 29 . 3. CHINA-ASEAN TIES IN POLITICAL PERSPECTIVE 3.1. Sovereignty and Security 3.1.1. China-ASEAN Conflict and Cooperation in the South China Sea (SCS) The territorial claims by the surrounding countries over South China Sea have long been disputed for years. The territorial claimants include China and five ASEAN states: the Philippines, Vietnam, Malaysia, Indonesia and Brunei. China and Vietnam extensively claim sovereignty over the Paracel island chain, while. 政治大 Spratly archipelago. There are multiple causes in the dispute involving oil and 立. the Philippines, Malaysia, Brunei and Indonesia also have partial claims over the. natural gas, fish stocks, The UN Convention on the Law of the Sea (UNCLOS). ‧ 國. 學. of 1982 and strategic value. Among the factors above, the competition for natural. ‧. resources like oil and natural gas is often heard. With the increasing demand for. sit. y. Nat. energy, China’s interest in oil and gas resources in SCS has also greatly grown.. io. er. China’s unyielding attitude toward assertive claims on SCS territory led to the escalating tension between China and Vietnam over the disputed area. In the. al. n. v i n Cconsidered aspect of fish stocks, SCS is of the richest fishing regions in the U h e n gone i h c world by Chinese and Vietnamese fishermen in particular. As global demand. rises, the fish stocks have declined sharply, making the competition for fishing areas more fierce. Also, the littoral states obtained permission from UNCLOS to assert the sovereignty over an Exclusive Economic Zone (EEZ) of 320 km, or a continental shelf. Although the dispute becomes complicated when it gets involved in UNCLOS, the regulations of UNCLOS are considered by the surrounding SCU countries a choice to legitimize their claims since they are actually not beneficial to China. (Buszynski and Christoper, 2013) .

(38) P a g e | 30 . 學. ‧ 國. 立. 政治大. Figure 3-1. Maritimee Disputes iin South Ch hina Sea Source: Desierto D (20 013). ‧ y. Nat. io. sit. The risk caused c from m the confliccts in the So outh China Sea S is notabble. The. n. al. er. territorial claimants in ncluding Chhina, Taiwaan, Vietnam,, Malaysia, Brunei, and d the. i n U. v. n competingg for jurisdiictional claims over thee disputed Philippinees have been. Ch. engchi. territory, mostly m for th he freedom m to exploit possible p reserves of oill and gas in the region. Thhe right of deploying d m military aircrraft and ship ps over dispputed island ds in SCS is alsso a controv versial issuee, particularlly between the China aand the U.S.. The U.S. surveillance s e vessels opperated in China’s EEZ in 2001. Trriggered by a dozen reckkless confro ontations inn China unlaawful EEZ claims, c the ttension between China C and th he U.S. has been escalaating with China’s C armeed responsee. The most possible co ontentious isssue will be the conflicts caused byy U.S. freed dom of navigattion operatio on in Chinaa’s EEZ claiims. The nu umber of Chhina’s submarinees has greatly risen yeaar by year, which w increaased the riskk of inciden nts. .

(39) P a g e | 31 . For example, in 2009, the U.S. surveillance vessels confronted China’s navy ships when they carried out intelligence collection, while China’s ship intended to interfere the operation. (Wu and Zou, 2013) Both China and the U.S. attempted to control the escalating tension from the incident, which aroused the attention from both parties in freedom of navigation. The implications of the China-U.S. conflicts in SCS are the following. First, there are critical interests for the U.S. to seek peaceful resolution to SCS maritime disputes.. All the SCS claimants intended to legitimize their territorial. 政治大 claimants, China asserted its sovereignty over the disputed territory based on 立 claims by their coastlines and UNCLOS, except for China. Unlike other. both historic background and legal claims, while deliberately remained. ‧ 國. 學. ambiguous about the meaning of 9-dashed line in SCS according to China’s map.. ‧. Yet, the freedom of navigation is one of important interests to the U.S. and other. sit. y. Nat. countries in this region. Even though China asserted that it agrees the freedom of. io. er. navigation, the country still insists that foreign military aircrafts and vessels should request permission before sailing in China’s unlawful EEZ. China’s. al. n. v i n C h access to its EEZUshows its possible attempt to intention to deny the U.S. naval engchi halt the freedom of navigation.. Secondly, the allies of the U.S. around SCS expect the U.S. to maintain the stability in free trade, secure sea lines of communication, security and peace in this region. In fact, the claimants and non-claimants all consider the U.S. military power as the necessary presence to counterbalance China. Given that the countries around SCS lose their confidence in the U.S. to be the regional power, these countries would alternatively turn to the other regional hegemon, China. In that case, these countries would depend more on the hegemonic China, which is .

(40) P a g e | 32 . that last thing the U.S. would expect. Besides, the circumstance would not be in the U.S. interests. Supposing that the U.S. power weaken would undermine its guarantee to broader Asia-Pacific region, Japan and South Korea in particular. Thirdly, economic interests are also a big concern to the U.S. There is nearly $5.3 trillion of trade volume around SCS each year, while the U.S. trade in this region accounts for $1.2 trillion. Consequently, the change of cargo ship route would influence the regional economies if a conflict happened. Lastly, the U.S. attempts to maintain stability in its relations with China, so it. 政治大 Considering security and economy in the region, the U.S. has critical interesting 立 could continue to cooperate with China on some regional and global issues.. of the growing importance of China-U.S. relations.. 學. ‧ 國. in preventing different forms of disputes in SCS from military conflict in terms. ‧. On the other hand, to establish the bilateral partnership for regional stability and. sit. y. Nat. prosperity requires fostering neighborly relations and harmonious regional. io. er. environment between China and ASEAN. However, increasingly tense territorial issue has been always a big concern among China and Southeast Asian nations.. al. n. v i n C h SCS began toUemerge in the 1980s. Until the Territorial disputes in resource-rich engchi present, rival territorial claims in the disputed areas are still often heard every. now and then. The territorial disputes in SCS are aggravated by the vital strategic location. Low-level conflicts took place between China and its neighboring countries from the 1980s to the 1990s. Among these conflicts, most of them were alleged vessel intrusions, fishery invasions or exploitations of oil reserves in in Exclusive Economic Zones (EEZ) that were interpreted differently by each surrounding SCS state instead of military confrontations with each other. (Baviera, 2013) The SCS territorial disputes are posing serious problems for the .

(41) P a g e | 33 . unity of ASEAN and the prosperous China-ASEAN relations. (Baviera, 1999) To avoid sensitive matters that would trigger maritime spats between China and ASEAN states, both sides began to shift a focus on regional dialogues on South China Sea by building cooperative mechanisms like APEC, ARF and The Asia-Europe Meeting (ASEM) in the 1990s. China-ASEAN Summit was launched in 1996, and both sides signed a Joint Declaration of the Heads of State/Government on Strategic Partnership for Peace and Prosperity on the seventh summit in 2003 to develop friendly relations,. 政治大 On the same occasion, China officially signed the Treaty of Amity and 立. reciprocal cooperation through China-ASEAN multi-level cooperative system.. Cooperation in Southeast Asia as the first non-territorial disputes with ASEAN. ‧ 國. 學. neighbors in a peaceful manner. China’s major contribution to regional security. ‧. and stability was greatly appreciated by ASEAN states. To show the. sit. y. Nat. determination, the then-Chinese leader, Hu Jingtao, paid his visit to the. io. er. Philippines, Indonesia and Brunei in 2005 to ensure China’s good intention. With China’s temptation toward ASEAN, such as CAFTA, China’s image of a regional. n. al. i threat was alleviated by itsC efforts. (Thuy, 2011) U n hengchi. v. 3.1.2. China-ASEAN Declaration on the Conduct of Parties in the South China Sea (DOC) and Adoption of a Regional Code of Conduct (COC). The escalating tensions among claimant states of East and Southeast Asia over SCS dispute have been witnessed for a few years. DOC, mainly leded by China, was signed by China and the ASEAN nations at the capital of Cambodia, Phnom Penh, in 2002. Then, the countries implemented Draft of Guidelines of the Declaration of the Code of Conduct of Parties in the South China Sea on island .

(42) P a g e | 34 . of Bali, Indonesia, which was little effective at tranquilizing tensions or future conflict. In fact, the governments of ASEAN nations widely think SCS issue have brought critical challenge to the unity of association and the relevant peaceful solutions to the crisis. Since not all ASEAN members are the claimants of disputed territory in SCS, ASEAN members have difficulty in dealing with the SCS issues as a group due to the lack of trust and confidence. Furthermore, owing to different interest in SCS, each ASEAN countries have no consistency in DOC. However, the situation would favor China as there is no dispute. 政治大 ASEAN decided to move further forward an adoption of a regional Code of 立. management mechanism in the region. (Schofield, 2011) In 2013, China and. Conduct (COC), planning a negotiation to institute the COC under. ‧ 國. 學. implementation of the DOC.. ‧. n. er. io. sit. y. Nat. al. Ch. engchi. i n U. v. .

(43) P a g e | 35 . Year. Incident The battle of Paracel Islands between China and Vietnam took place in January. Then, Vietnam occupied part of. 1974. Spratly Islands in Feburary. China and Taiwan expressed their strong protest on Vietnam’s act, and meanwhile reclaim their sovereignty over Spratly Islands. The naval conflict between China and Vietnam happened in March. China denounced Vietnam’s occupation over Johnson. 1988. 政治大 archipelago. 立. Vietnamese forces occupied Prince Consort Bank. 學. 1991. The Workshop on Managing Potential Conflicts in the South China Sea took place in July, which is also the first time for. ‧. ‧ 國. South Reef, so asked Vietnam to withdraw from the. io. al. er. 《南海各方行爲宣言》簽署. sit. y. Nat. all the SCS claimants to discuss the SCS dispute together.. In 2002, China and ASEAN states signed “the Declaration on. v i n C h of Parties in theUSouth China Sea” (DOC) in the Conduct engchi. n. 2002. Phnom Penh to ensure maritime safety. Vietnam submitted to the UN Commission on the Limits of the Continental Shelf in May, claiming its sovereignty over. 2009 Paracel and Spratly Islands while China was strongly opposed to Vietnam’s act. China and ASEAN ministers agreed to hold a negotiation to. 2013. institute the COC under implementation of the DOC. China and ASEAN agreed to carry out the DOC from 2013 to 2014. . .

(44) P a g e | 36 . China proposed to set up a China-ASEAN maritime emergency helpline and conduct emergency response drills. The countries like Thailand and Indonesia also proposed a variety of ocean-related cooperation. Table 3-2. Timeline of South China Sea Dispute. In Thuy’s view, the policy has some implications. First, the lack of consensus from all concerned parties or the claimants in the SCS disputes makes the. 政治大 failed to reach an agreement to create a joint cooperative area for SCS energy 立. situation unacceptable for joint development. Secondly, all the concerned nations. resource. Lastly, as far as China is concerned, the successful act of implementing. ‧ 國. 學. the DOC or the COC could help make smaller parties gain more confidence in. ‧. cooperative development for SCS energy resource. (Thuy, 2011). n. er. io. sit. y. Nat. al. Ch. engchi. i n U. v. .