1. A FUNCTIONALIST APPROACH
TO THE MANAGEMENT OF CONFLICTS
IN THE SOUTH CHINA SEA:
OPTION FOR CHINA AND ASEAN CLAIMANTS*
Rommel C. Banlaoi
INTRODUCTION proposes the adoption of a functionalist
option to manage existing conflicts in
One of the major irritants in the South China Sea.3
China-ASEAN relations is the on-going
dispute in the South China Sea. Because A FUNCTIONALIST APPROACH TO
of the intransigence of claimants, the THE MANAGEMENT OF CONFLICTS
dispute already resulted in some
military clashes prompting some experts The functionalist approach is an
and practitioners to describe the area as approach in international relations that
a potential trigger of major conflicts in grapples with the process of regional
the Asia Pacific region.1 cooperation and integration. The
approach is based on the assumption
How to manage the conflict in that the cooperation among nations in
the area has been baffling the minds of functional areas limits the possibility of
strategic analysts and practitioners in the war and conflicts among cooperating
region. But there are scholars who have nations. As the habit of cooperation in
proposed some policy options to functional areas deepens and widens,
manage the conflict.2 This paper prospects for integration becomes more
and more promising, which may in turn
*Paper prepared for presentation during lead to a more stable and peaceful
the Fourth China-ASEAN Research Institutes regional and international security
Roundtable at the University of Hong Kong from
18-20 October 2001. This paper was also based on
environment.
the author’s paper entitled, “A Functionalist
Approach to the Management of Conflicts in the Cooperation in Low Politics
South China Sea: Option for the ASEAN Regional
Forum”, NDCP Occasional Paper, Vol. IV, No. 8
David Mitrany, in his book A
(August 2001).
Working Peace System, introduces and
1Ralph A. Cossa, "Security Implications
of Conflict in the South China Sea: Exploring
Potential Triggers of Conflict", A Pacific Forum
CSIS Special Report ", PacNet Newsletter #16.
April 17, 1998. 3Rommel C. Banlaoi, "The ASEAN
2 See for example, Lu Ning, Flashpoint Regional Forum and the Management of Conflicts
Spratlys (Singapore: Dolphin Trace Press Pte Ltd, in the South China Sea," NDCP Occasional Paper,
1995) and Mark Valencia, Mark Jon M. Van Dyke Vol. IV, No. 4 (March 2001), pp. 25-26.
and Noel A. Ludwig, Sharing the Resources of the
South China Sea, Paperback edition. Hawaii:
University of Hawaii Press, 1997.
1

2. popularizes the functionalist approach.4 governments.6 These tasks can best be
Otherwise known as functionalism, it addressed by highly trained specialists
offers alternative approach to the or experts than by politicians.
management of inter-state conflicts
through cooperation in low-politics and Mitrany believes that "the
non-controversial areas.5 emergence of technical issues would
lead first to the felt of perceived need for
Mitrany believes that the collaborative action, devoid of a
attainment of world peace can be made political, or conflictual, content" and
possible through cooperative therefore can be assigned to technical
undertakings in various functionalist experts "whose approaches were
areas such as education, health, essentially based on apolitical
economics, environment, science and considerations."7
technology, culture and sports. He
argues that international conflicts can be Cooperation among political
avoided and managed through elite, on the other hand, is hard to
international cooperation not among prosper, according to Mitrany, as they
political elite but among technical people carry controversial agenda such as
with no political agenda nor political security and politics. Political elite
motives such as engineers, scientists, seldom agree with each other not only
economists, academics, and medical because of their varying political
specialists. motives and agenda but also because
they view security and politics from
Mitrany adheres to the idea that different philosophical and ideological
cooperation among technicians brings perspectives.
more cooperation as they carry non-
controversial agenda acceptable to all The Doctrine of Ramification
parties concerned. Experts and technical
people also have the capability to Crucial to the understanding of
develop common standards, by virtue of Mitrany’s functionalist approach is the
their respective disciplines, to guide doctrine of ramification. The doctrine
their cooperative undertakings. states that "Successful cooperation in one
functional setting would enhance
Cooperation Among Experts and incentive for collaboration in other
Specialists fields". The doctrine also posits that the
"perceived need in one functional task
According to Mitrany, the would itself contribute to a change in
complexity of governmental systems in attitudes in favor of even greater
the twentieth century has increased the cooperation over a widening spectrum
technical/functionalist tasks facing of issues."8
6See James E. Dougherty and Robert L.
4DavidMitrany, A Working Peace System Pfaltzgraft Jr., Contending Theories of International
(London: Royal Institute of International Affairs, Relations: A Comprehensive Survey, Fourth Edition
1943). (New York: Addison-Wesley Educational
Publishers, Inc., 1997), Chapter 10.
5David Mitrany, "The Functionalist
Approach to World Organization", International 7 Ibid., p. 422.
Affairs, XXIV (July 1948).
2

3. Guided by the doctrine of Cooperation Among Relevant
ramification, Mitrany emphasizes that Elite
the broadening and widening of
cooperation diminishes the prospect for Unlike Mitrany who pays prime
and eventually eliminate war through an importance on the role of technical
incremental transformation from people and experts, Haas posits that
adversarial to cooperative pattern of European integration has proceeded as a
behavior. The transformation of result of the work of relevant elite in the
behavioral pattern is incremental or government and private sectors who
gradual because the ramification effect supported integration for pragmatic
takes time. Apparently, the doctrine of reasons.11
ramification works in tandem with the
doctrine of incrementalism which also For example, the removal of
states that the broadening and widening barriers to coal and steel trade would
of cooperation is a gradual process. increase markets and profits beneficial to
stakeholders. Haas underscores that
The Neo-Functionalist Approach elite "anticipating that they will gain
from activity within a supranational
Another variant of functional organizational framework are likely to
approach is the neo-functional approach seek out similarly minded elite across
first introduced by Ernst Haas and later national frontiers."12 This leads to more
adopted and improved by Philippe cooperation.
Schmitter, Leon Linberg, Joseph Nye,
Robert Keohane and Lawrence As a result of the learning
Scheineman. 9 process of cooperation, Haas assumes
that power-oriented governmental
In his work, The Uniting of activities may eventually lead to a
Europe, Haas identifies the political, welfare-oriented action – a functionalist
social and economic forces that led to the oriented action. As players realize the
creation of the European Coal and Steel importance of cooperation through
Community (ECSC), the forerunner of increased commitment to a larger
the European Union (EU).10 Haas argues organizational unit, the learning process
that the decision to integrate Western of cooperation may lead to greater
Europe is not based on altruistic integration.13 Haas points out that the
considerations but on the expectations of "Integrative lessons learned in one
gain or loss held by dominant groups functional context will be applied in
and forces within the unit to be others, thus eventually supplanting
integrated. international politics."14
11Ibid., p. 13.
8Ibid.
12See Dougherty and Pfaltzgraft, p. 423.
9Fora more elaborate discussion, see
Dougherty and Pfaltzgraft (1997). 13Ibid.
10Ernst Haas, The Uniting of Europe: 14Robert Pfatlzgraft, Jr. Britain Faces
Political, Social and Economic Forces, 1950-1957 Europe, 1957-1967 (Philadelphia: University of
(Stanford: Stanford University Press, 1958). Pennsylvania Press, 1969), p. 48.
3

4. The Spill-Over Effect parts of the world’s ocean which is a
bone of contention among stakeholders.
Important to the understanding
of Haas neo-functionalist approach is the Managing the South China Sea
concept of spill-over. The spill-over effect, Conflicts: Lessons from Other Seas
or what Mitrany calls as ramification
effect, states that cooperation in one In the Baltic Sea, marine
functional area may lead to further scientists have been involved in various
cooperation in other areas that may forms of cooperation in marine policy.
include the political area. This "gradual These marine scientists have played a
politicization" of relevant players may vital role in enacting national legislation
lead to the deepening and widening of in various regional agreements aiming
integration process. to manage disputes over continental
shelf boundaries in the Baltic Sea.16
In the “gradual politicization Disputes have also been mitigated by a
process”, functional issues previously web of both bilateral and multilateral
considered "technical" and "non- agreements initiated by experts and
controversial" become "political" because specialists with the support of political
in reaction to initial "technical" purposes, leaders.
relevant players eventually agree to
apply the spectrum of political means In the Mediterranean Sea, marine
deemed appropriate to attain them.15 scientists took an active part in
numerous cooperative actions by the
MANAGING CONFLICTS IN coastal states to protect the environment.
THE SOUTH CHINA They participated in the making of the
SEA THE FUNCTIONALIST WAY Barcelona Convention for the Protection
of the Mediterranean Sea and its five
There are functional areas where protocols.17
experts and elite in China and ASEAN
claimants may cooperate to manage In the North Sea, marine
conflicts in the South China. Marine regionalism may also be seen through
scientists in China and ASEAN the efforts of the marine scientists to
claimants involved in various types of arrive at a comprehensive sea-use
research in the South China Sea may planning which aims to develop a
contribute to the management of “balanced and effective battery of
conflicts in the South China Sea. Marine instruments for both national and
scientists in these countries may learn
lessons from a group of marine scientists
engaged in research in the Baltic Sea, the
North Sea, the Mediterranean Sea , the 16See Ton Ijstra, “Development of
Arctic Sea, and the Antarctic Ocean. Resource Jurisdiction in the EC’s Regional Seas:
National EEZ Policy of EC Member States in the
This group of marine scientists advance Northeast Atlantic, the Mediterranean Sea, and
the idea of marine regionalism, which the Baltic Sea”, Ocean Development and
provides a framework for a coordinated International Law, Vol. 23 (1992).
marine scientific research in various
17 Ibid. Also in Mark Valencia, Jon M.
Van Dyke and Noel A. Ludwig, Sharing the
Resources of the South China Sea, Paperback edition
(Hawaii: University of Hawaii Press, 1997), p.
15Dougherty and Pflatzgraft, p. 423. 150.
4

5. international administration and Through their reliable scientific findings,
management” of the North Sea.” experts and scientists push for the
collective protection of the Antarctic
In the Antarctic Ocean, the Treaty for the benefit of all claimant
Antarctic Treaty is an excellent model states. Instead of competing for the
where marine scientists in the South resources of the Antarctic, experts and
China Sea may learn a lot of lessons scientists propose a model that upholds
from. According to Jim Barnes, the the collective utilization of Antarctica
Treaty can serve as a practical model to and its resources through “joint
resolve disputes in the South China management”. Experts and scientists
Sea.18 also uphold the idea of making the
Antarctic a pristine world park and “a
The Antarctic Treaty Model center for peaceful scientific inquiry.”
(ATM) provides a model to manage Thus, the Antarctic Treaty guarantees for
conflicts. The ATM, which was signed the collective governance of the
in 1959, calls for the eventual Antarctic Ocean.
demilitarization of the area. As a
demilitarized area, the twelve claimant
states are strongly urged to prohibit Marine Scientists and Functionalism in
“any measures of military rule, such as the South China Sea
the establishment of military bases and
fortifications, the carrying out military Learning lessons from the other
maneuvers, and the testing of any types Seas particularly the Antarctic Ocean,
of weapon.”19 there is now a proposal among marine
scientists engaged in scientific research
The ATM also upholds the in the South China Sea to declare the
collective utilization of the resources in disputed area a neutral area. There is a
Antarctica. For any disputes that may move among marine scientists to
arise, the ATM mandates the use of convert the South China Sea into a
“negotiation, inquiry, mediation, marine park.21
conciliation, arbitration, judicial
settlement, or other peaceful means of This proposal is based on the
their own choice” to manage conflicts in scientific findings that the South China
the area20 Sea is known breeding ground for tuna
fish and other fish resources that migrate
What is notable in the ATM is the into nearby fishing areas of claimant
vital role played by experts and states.
scientists in convincing political leaders
to eschew political issues in the area and Marine scientists also describe
to start cooperating in functional areas. the South China Sea as “the center of
marine generic richness and diversity in
18Jim Barnes, “Using the Antarctic Treaty the world” and a macro-ecosystem
as the Basis for Resolving the Spratly Islands characterized by “high bio-diversity and
Dispute” (14 May 1999).
19See Article XI, Section 1 of the 1959 21John .W. McManus, “The Spratly
Antarctic Treaty. Islands: A Marine Park Alternative” ICLARM
Quarterly, Vol. 15, No. 3 (July 1992). Also see his
20Ibid. “The Spratly Islands: A Marine Park”, Ambio,
Vol. 23, No. 3 (1994), pp. 181-186.
5

6. fisheries productivity” due to the Within the parks, all economic activity
“intrinsic connectivity of coral reefs, sea- should be prohibited except environment-
grass, and mangrove forests.”22 Because friendly tourism. The Spratlys are thus given
the South China Sea is the locus of back to their original inhabitants.26
complex ecological connectivities, the
area has been considered a “savings
bank” of all claimant states.23 Dr. Celso R. Roque, President of
the World Wide Fund for Nature
By turning the South China Sea Philippines (WWF Philippines), also
into a neutral international marine park, subscribes with the proposal to convert
marine scientists and experts firmly the South China Sea into a marine park
believe that “all claimants could with the Antarctic Treaty as a model. In
continue to benefit from the living the WWF study, Roque underscores:
resources emanating from the area.”24
By so doing, they argue that “a host of The main idea of an approach based
potential conflicts could be avoided” on the Antarctic Treaty Model (ATM) and
including the tens of millions of dollars its protocols is the moratorium on all claims
being spend annually on maintaining to sovereignty for a long period, sauy 30-50
garrisons of troops that are used to years. The Spratly Islands and vicinity will
guard against every claimant states.25 be considered, in ther interregnum, as an
International Marine Park or World
This proposal is gaining support Heritage Site. The principal purpose of the
from other scholars abroad. Stein site will be for conservation and scientific
Tonnesson, Director of the International research. Fisheries may be allowed in
Peace Research Institute based in Oslo accordance with a sustainable management
and who has been writing intensively regime. Mineral activities will also be
about the issue of the South China Sea, suspended for the duration of the Treaty.
agrees to the functionalist approach of Demilitarization of the entire area is
managing conflicts in the South China imperartive. The claimants and other
Sea. In one of his writings, Tonnesson stakeholders such as the scientific
strongly propose that: community may agree on a Framework of
Joint Management.27
All claimants transfer their alleged
sovereignty over the Spratlys to a regional or In his letter to then Philippine
international authority, which is set up to Defense Secretary Orlando S. Mercado,
administer a system of marine nature parks. Roque contends that the ATM will be
beneficial to all parties, without
permanently giving up claims to
22 Miguel D. Fortes, “The Role of Marine sovereignty. Roque even recommended
Environmental Science in the Western Philippine to Mercado to get cabinet approval of
Seas”, University of the Philippines Marine
Science Institute (Unpublished, 1999), p.
23See Clarita R. Carlos, “Ecological 26Stein Tonnesson, “Here’s How to Settle
Connectivity in the South China Sea” (National the Rocky Disputes in the South China Sea” in
Defense College of the Philippines, unpublished International Herald Tribune,m (6 September 2000).
paper, 2001). Also see “Settling South China Sea disputes", The
Straits Times (7 September 2000).
24McManus, p. 6.
27Letter of Dr. Celso R. Roque to then
25Ibid. Secretary Orlando S. Mercado on 1 July 1999.
6

7. the ATM approach to the ASEAN which sovereignty in the South China Sea .
will draft a Treaty on the South China Participants rather focus on other
Sea.28 subjects that may trigger cooperation
rather than conflict on the issue. Their
The Role of Experts, Non-Governmental activities include mutual sharing of
Players an Governments in Managing scientific findings and legal opinions.
Conflicts in the South China Sea
Aside from the Workshop,
Functionalism pays attention to experts and practitioners from the
the vital role of experts, non- United Nations Environmental
governmental players and even Programme (UNEP) initiated a project
governments in the management of on the South China Sea with the aim of
conflicts. In the South China Sea, offering alternative approach to manage
experts, non-governmental players and conflicts in the disputed territoy. UNEP
even some government officials have project led to the development of the
been initiating functionalist projects to Strategic Action Program for the South
manage conflicts in the area. China Sea. Officials from Cambodia,
Indonesia, Malaysia, the Philipines, and
Aiming to manage potential Thailand signed the Strategic Action
conflicts in the South China Sea, two Program for implementation.
experts (Ambassador Hasji, Djalal of
Indonesia and Prof. Ian Townsend- However, political problems in
Gault of Canada) initiated a series of China prevented the program to be
informal multilateral workshops on the implemented. Although Chinese
issue. Internationally known as the experts and officials were involved in
Workshop on Managing Potential the preparation stages, the Chinese
Conflicts in the South China Sea, the Ministry of Foreign Affairs refused to
series of meetings started in 1990 two sign. According to Tom Naes of the
years after the military confrontation University of Oslo, “The UNEP
between China and Vietnam over the initiative, which was aimed at
issue of the Spratlys. improving management and protection
of the marine environment of the South
The primary objective of the China Sea, ran into difficulties because
Workshop was to initially gather the China has unresolved sovereignty
parties for discussions on how to conflicts with its Southeast Asian
manage the conflict in the South China neighbors.” 29 Despite that, ASEAN
Sea in the light of the provisions of the experts and officials continue to engage
1982 United Nations Convention on the China in various peaceful and
Law of the Sea (UNCLOS). Since its confidence building talks through the
creation, four technical working groups
have been created dealing with legal
matters and scientific research. All 29 Tom Næss, Environment and Security in
meetings of the Workshop uphold some the South China Sea Region: The Role of Experts,
functionalist assumptions when the Non-Governmental Actors and Governments in
participants set aside the sensitive and Regime Building Processes .A thesis for the Cand.
Polit. degree at the Department of Political
highly controversial issue of
Science, University of Oslo, December 1999.
Published in the SUM Dissertations & Thesis
series as No. 1/2000 (ISSN 0806-475X). Also see in
28Ibid. http://www.sum.uio.no/southchinasea/.
7

8. ARF and the South China Sea Working Group in managing conflicts
Workshops. in the South China Sea.
Another initiatives undertaken FUNCTIONALIST OPTION FOR
by experts to manage conflicts in the CHINA AND ASEAN CLAIMANT
South China Sea is the formation of the STATES
Association of Southeast Marine
Scientists (ASEAMS) in 1986. The To effectively manage conflicts
ASEAMS aims to provide independent, in the South China Sea, China and the
expert scientific advice regarding ASEAN claimants may seriously adopt
programs being implemented in the the functionalist option. The various
East Asian Sea region including the collaborative efforts initiated by the
South China Sea. Its participants Council for Security Cooperation in the
included not only marine experts but Asia Pacific (CSCAP), the Indonesian-
also members of non-governmental Canadian Workshops on the South
organizations (NGOs) and China Sea and other Tract Two
intergovernmental organizations activities in the region are proper venue
(IGOs). However, the ASEAMS was where experts and scholars in China
dissolved in 1996 due to funding and ASEAN claimants may cooperate
constraints. in managing disputes in the South
China Sea.
Aside from the above-
mentioned initiatives of marine experts, Eschewing the discussion on
there are still a lot of initiatives from the sovereignty aspect of the South
other groups. These initiatives are China Sea issue is a very useful
discussed in the study of Tom Naes strategic move to lay down the proper
who examines the extent to which framework for a fruitful cooperation in
maritime experts and organizations functional areas.
working with environmental issues can
facilitate the establishment of an ocean Rather than focusing on the
management regime in the South China ownership of territory, China and
Sea. ASEAN claimants shall push for
Describing how scientists maritime security. Rather than focusing
interact at the regional level, Naes on a highly sensitive issue of
articulates some functionalist sovereignty, the China and ASEAN
assumptions when he tries to “discuss claimants shall uphold cooperation in
the likelihood that the regional scientific navigation, communication, shipping
community will obtain political enough and environmental research.31
influence (sic) to make environmental
questions take precedence in regional Shelving the sovereignty issue
politics.”30 He also describes the factors and upholding the functionalist issues
that prevent scientists from influencing may provide peaceful solution of the
decision-makers in so far as ocean South China Sea conflict. This is an
management is concerned. Naes also
discussed the role of the Council for
Security Cooperation in the Asia Pacific 31See Ramses Amer, “Towards a
(CSCAP) Maritime Cooperation Declaration on Navigational Rights in the Sea-
lanes of the Asia Pacific”, Contemporary
30Ibid., p. 4. Southeast Asia, Vol. 20, No. 1 (April 1998).
8

9. alternative option for China and
ASEAN claimants.
To manage the South China Sea SUMMARY AND CONCLUSION
conflict the functionalist way, China
and ASEAN claimants shall create a By upholding functionalism –
climate of cooperation dominated by the low politics approach, China and
low politics. To do this, China and ASEAN claimants may manage existing
ASEAN claimants shall encourage more conflicts in the South China Sea through
the participation of like-minded the development of habits of cooperation
scientists and experts engaged in among experts, scientists and political
various functionalist areas of research. leaders. By enhancing regional
As experiences of other regions have cooperation in low politics area,
shown, the establishment of like- cooperation in high politics area may
minded group of scientists and experts eventually occur. As articulated by then
engaged in functional cooperation in Philippine Defense Secretary Mercado:
conflict ridded area has changed the
both the normative and casual beliefs of The regional “low politics” approach
decision-makers.32 This like-minded is appropriate for the short-and-medium-
group of scientists and experts has term objectives…in the South China Sea.
formed an “epistemic community” This will enhance the use of “high politics”
which is an integrated, transnational approach in the long-term. By promoting
network of scientists that can influence habits of cooperation or building confidence
decision makers.33 through the “low politics” approach, “high
politics” issues will have greater access of
China and ASEAN claimants resolution.34
may capitalize on these experiences.
They shall exert efforts to provide a
climate of cooperation in the disputed
area dominated not by high politics but
by low politics. They may also
encourage the development of an
“epistemic community” to help all
claimants functionally manage the
conflict in the South China Sea.
32Tom Naes, “Epistemic Communities
and Environmental Cooperation in the South
China Sea” (Paper presented during the
Workshops on the Conflict in the South China Sea
held in Oslo, Norway on 24-26 April 1999).
33Ibid. Also see Peter Haas (ed), 34 Orlando S. Mercado, “Philippine
Knowledge, Power and International Coordination: Defense Policy on the South China Sea” (Paper
International Organization, Special Issue, Vol. 46, presented on 20 October 1999 at the Department
No. 1 (Winter 1992). of Foreign Affairs during the Forum entitled “The
South China Sea: Problems and Prospects).
9

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