Portland State University PDXScholar Dissertations and Theses Dissertations and Theses 6-16-2018 Understanding ASEAN - An Alternative Approach to International Relations Theory in Asia Ryan Grimstad Driver Portland State University Follow this and additional works at: https://pdxscholar.library.pdx.edu/open_access_etds Part of the Political Science Commons Let us know how access to this document benefits ou.y Recommended Citation Driver, Ryan Grimstad, "Understanding ASEAN - An Alternative Approach to International Relations Theory in Asia" (2018). Dissertations and Theses. Paper 4436. https://doi.org/10.15760/etd.6320 This Thesis is brought to you for free and open access. It has been accepted for inclusion in Dissertations and Theses by an authorized administrator of PDXScholar. Please contact us if we can make this document more accessible: [email protected]. Understanding ASEAN An alternative approach to international relations theory in Asia by Ryan Grimstad Driver A thesis submitted in partial fulfillment of the requirements for the degree of Master of Science in Political Science Thesis Committee: Bruce Gilley, Chair Lindsay Benstead David Kinsella Portland State University 2018 © 2018 Ryan Grimstad Driver Abstract The Association of Southeast Asian Nations (ASEAN) was originally formed in 1967 by five members as a means to promote peaceful relations and prevent the spread of communist influence within their sovereign states. Since then the regional organization has doubled in size and now includes communist states amongst its membership as it seeks to establish itself as a strong economic and political hub for the greater region as two large military powers, China and the United States, vie for hegemonic influence. The American presence in the region must be governed by a firm understanding of ASEAN’s unique nature and goals. When compared to other regional organizations that formed over similar time periods, such as the European Union, ASEAN has not taken a cohesive path with less of a firm timeline for integrating institutions as it instead continues to reshape its policies in small iterative steps to evolve to the changing world. If our existing paradigms of the role of regional organizations do not match with the structure of ASEAN, we must establish a new toolset in order to guide future policies for involvement in the region. This thesis seeks to provide a clear description and thus understanding of the institutions and behavior of ASEAN as a regional organization. The questions posed include whether ASEAN conforms to the institutional and behavioral predictions of the major paradigmatic approaches to international theory, namely realism, liberalism, and constructivism. The thesis begins with a brief history of ASEAN over four distinct phases and an overview of regional organizations and international theory. The three dominant theories are then analyzed in their application to ASEAN in the areas of security, economics, and human rights. i Conclusions are drawn that each of the three theories has its value for descriptive insight, but all fall short in creating a holistic understanding of ASEAN. Therefore, I propose a new way of describing ASEAN as a reactive, isomorphic, and anti-fragile regional organization. The potential of this approach is that it utilizes tools latent in the existing theories to examine ASEAN’s nature. ii Table of Contents Abstract ................................................................................................................................ i List of Abbreviations ......................................................................................................... iv Chapter I: Shaping a Flexible Paradigm ..............................................................................1 Chapter II: Background and History of ASEAN .................................................................4 Chapter III: Regional Organizations and International Relations Theory .........................11 Chapter IV: Questions and Research Design .....................................................................25 Chapter V: Is ASEAN a Realist Security Community ......................................................37 Chapter VI: Is ASEAN a Liberal Economic Community ..................................................69 Chapter VII: Is ASEAN a Constructivist Rights community ............................................82 Chapter VIII: ASEAN as a Process .................................................................................105 Chapter IX: Implications for U.S. Policy Towards ASEAN ...........................................125 References ........................................................................................................................138 iii List of Abbreviations ACCT - ASEAN Convention on Counter-Terrorism ACSC - ASEAN Civil Society Conference ADMM - ASEAN Defence Ministers’ Meeting ADMM-Plus - Ten ASEAN member states, and eight Plus countries, Australia, China, India, Japan, New Zealand, ROK, Russian Federation, and the United States. AEC - ASEAN Economic Community AFTA - ASEAN Free Trade Area AHA Center - ASEAN Coordinating Centre for Humanitarian Assistance on Disaster Management AHRB - ASEAN Human Rights Body AICHR - Association of Southeast Asian Nations’ Intergovernmental Commission on Human Rights APEC - Asia-Pacific Economic Cooperation APF - ASEAN Peoples’ Forum APSC - ASEAN Political and Security Community APT - ASEAN Plus Three: ASEAN, China, Japan, and South Korea ARF - ASEAN Regional Forum ASC - ASEAN Security Community ASCC - ASEAN Social and Cultural Community ASEAN Plus Six: ASEAN, Australia, China, India, Japan, New Zealand, and South Korea ASEAN - Association of Southeast Asian Nations AU - African Union CSCE - Commission on Security and Cooperation in Europe CSO - Civil society organizations EU - European Union FTAAP - Free Trade Area of the Asia-Pacific iv HADR - Humanitarian Aid/Disaster Relief IGO - Intergovernmental organization IMF - International Monetary Fund IR - International relations MERCOSUR - Common Market of the Southern Cone NATO - North Atlantic Treaty Organization NCPO - National Council for Peace and Order NORAD - North American Aerospace Defense R2P - Responsibility to Protect RCEP - Regional Comprehensive Economic Partnership RHRM - Regional human rights mechanism RIGO - Regional intergovernmental organization RIT - Reactive isomorphic theory SEATO - Southeast Asia Treaty Organization SPDC - State Peace and Development Council TAC - Treaty of Amity and Cooperation TPP - Trans-Pacific Partnership USD - United States Dollar VAP - Vientiane Action Programme WPS - Women, Peace and Security ZOPFAN - Zone of Peace, Freedom, and Neutrality v Chapter I: Shaping a Flexible Paradigm In August 2017, the Association of Southeast Asian Nations (ASEAN) celebrated its fiftieth anniversary. Over its history ASEAN has accomplished two important goals by maintaining peace between ten diverse nations and the establishment of free-trade agreements between them. Since its formation the regional organization has evolved itself and its goals repeatedly as it seeks to adapt to the everchanging regional needs, and yet when compared to more institutionalized organizations such as the European Union (EU), ASEAN remains a loose collection of states each with their own cultural identities, values, and objectives. This is not a collection of like-minded states who seek greater levels of unification with the aspiration of establishing a more cohesive union, but rather separate states that see more to gain from cooperation than competition. The benefits come from reducing risks of conflict between members, maintaining strength of sovereignty by strict rules of anti-interventionism, and increasingly greater economic benefits from free trade agreements. The important role of the organization is underscored by the increasing level of commitment the United States has placed on its diplomatic involvement. In 2010 President Obama opened an ASEAN mission in Jakarta and followed that with hosting the ten heads of state at the first summit held in America in 2016. These efforts were to culminate in the formation of the Trans-Pacific Partnership (TPP), a multilateral free trade agreement between twelve nations that was to come to fruition in 2018 had the United States, having elected Donald Trump to office, not withdrawn leaving the region scrambling to push through a different initiative. While the enthusiasm towards the 1 region has lessened under the Trump administration’s more detached approach to foreign policy, the region nonetheless remains critical to global trade. Before it was eclipsed by the TPP, ASEAN had put forward the Regional Comprehensive Economic Partnership, a pact which is returning to high level talks as China, putting its weight behind the deal, is stepping in eagerly to fill the gap left by the United States in the region. Economically and politically this region is of great significance and its priority needs to be placed higher in United States foreign policy. To do so though, policymakers need to have a greater grasp on ASEAN and what its own aspirations are. Unfortunately, academic scholarship to date has failed in this regard as the dominant international relations theories seek to impose restrictive narratives upon what role a regional organization must play. Existing work is governed by narratives without accounting for the regional cultural and political values when they do not align with the paradigms of the established