2010-E-7
Regional Environmental Cooperation in East Asia: From Track 1
ODA to Track 1.5 Business Arrangement
ODAIRA, Takeshi
PhD student, Graduate School of Asia-Pacific Studies, Waseda University
Asia Fellow (RA), Global Institute for Asian Regional Integration
February 2011

Abstract
The concept of East Asian Community is discussed in both political and academic
circles much more often today than in the past. The need for international
environmental cooperation is also claimed in the same circles. Therefore, it ismeaningful to study the current status of regional environmental cooperation in East
Asia, as the global frameworks of environmental cooperation such as UNFCCC havenot developed to produce a universally effective means of protecting the environment.
This logic is similar to that of FTA researchers and policymakers who tend to deal morewith regional than global economic arrangements in the face of the lack of progress inthe development of universal trade arrangements at the global level, such as throughWTO negotiations. How is regional environmental cooperation developing in East
Asia? This paper conducts a qualitative case analysis of verifiable official documents
and press releases. The analysis illustrates that ad-hoc environmental cooperation
promotes institutionalized formal cooperation, and the latter promotes the emergence of
track 1.5 cooperation and eventually constitutes the multi-layered development ofenvironmental cooperation frameworks as a whole in East Asia. The supported
hypothesis is meaningful also because the governmental sector, which suffers fromlimited budget for environmental cooperation, has begun to take advantage of thedriving force of the market-driven corporate sector, which drives the deepening
economic integration of East Asia, and diversified the sources of the stimuli of thecooperation.
Keywords: Regional environmental cooperation, Track 1.5, ODA, East Asia

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IndexIntroduction
I. Literature Review: International Environmental Cooperation in East Asia
1. Theories on the development of regional environmental cooperation
2. Regional environmental cooperation in East Asia
3. Regional environmental cooperation in North East Asia
4. Regional environmental cooperation in South East Asia
II. Case 1: Japan-China Environmental Cooperation:
1. Ad-hoc track 1 cooperation
2. Institutionalized track 1 cooperation
3. Track 1.5 cooperation
III. Case 2: Japan-India Environmental Cooperation:
1. Ad-hoc track 1 cooperation
2. Institutionalized track 1 cooperation
3. Track 1.5 cooperation
IV. Case 3: Japan-ASEAN Environmental Cooperation:
1. Ad-hoc track 1 cooperation
2. Institutionalized track 1 cooperation
3. Track 1.5 cooperation
Conclusion: Track 1 to Track 1.5 Cooperation in East Asia

2Introduction
Today, the concept of East Asian Community is discussed in both political andacademic circles much more often than in the past. Besides, the need for international
environmental cooperation is claimed by participants of the discussion. Therefore, it ismeaningful to study the current status of regional environmental cooperation in East
Asia, as global frameworks of environmental cooperation such as UNFCCC have notdeveloped universally effective means of protecting the environment. This logic issimilar to that of FTA researchers and policymakers who tend to deal more with
regional than global economic arrangements in the face of slow progress in thedevelopment of universal trade arrangements at the global level such as through WTO
negotiations.
How is regional environmental cooperation developing in East Asia? To thisresearch question, a few researchers have given their answers. Kato claims that
sub-regional environmental cooperation programs have been developed, thoughenvironmental regime has not developed yet in East Asia (2004: 325-352). Noguchi
asserts that environmental cooperation involving non-state actors would determine
environmental cooperation in East Asia in the near future (2007: 19-36). Matsuoka,
Matsumoto and Iwamoto (2008) assume that track 1 environmental cooperation would
lead to track 1.5 cooperation as a part of the first stage of the development of a regional
environmental regime.
However, discussions on the prospect of environmental cooperation in East Asia
are still controversial because most of them focus only on the formal level ofcooperation. They do not empirically examine how this process in the first stage isproceeding in East Asia by focusing on the track 1.5 level of the cooperation. Therefore,
it is necessary to conduct case studies to examine the validity of the claims of previous
researches by focusing on the various levels of cooperation including the track 1.5 level.
Through such case studies, a more critical and deeper empirical analysis on the prospectof East Asian regional environmental cooperation is possible. If case studies empiricallyshow how the assumption that track 1 environmental cooperation is promoting the
emergence of track 1.5 cooperation in East Asia, it also means to explain how a regional
environmental regime has begun to develop in East Asia.
Accordingly, this paper illustrates how bilateral track 1 environmental
cooperation such as ODA is leading to the emergence of track 1.5 cooperation involving
the corporate sector in East Asia. To examine the thesis statement, this paper uses aqualitative case method to analyze verifiable official documents and press releases. The
paper looks at three cases of environmental cooperation between Japan and China,
Japan and India, and Japan and ASEAN. These countries and regional framework allparticipate in the East Asia Summit (EAS), and are known as participants of ASEAN+6(ASEAN countries, China, Japan, South Korea, Australia, India and New Zealand). The
three selected cases involve cooperation between developed and developing countries inthe same regional framework of East Asia. Hence, a study on the combination of thesethree cases offers a relevant perspective on the environmental cooperation of the region.
I. Literature Review: International Environmental Cooperation in East Asia

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The present literature on international environmental cooperation in East Asia
consists of generic discussions on the theories of the development of regional
environmental cooperation and analyses on regional environmental cooperation
including East Asia and its sub-regions: North East Asia and South East Asia. By
reviewing existing researches, it is revealed that the literature mostly evaluates theprospect of the regional environmental cooperation by empirically examining the statusquo with a few theoretical arguments on preconditions for the development of regional
environmental cooperation in East Asia and its sub-regions. However, none of theexisting researches in the literature focuses on the course of the development of theenvironmental cooperation from the intergovernmental level on bilateral basis to thetransnational level involving the corporate sector, which inevitably drives the virtual
integration of regional economies in East Asia.
1. Theories on the development of regional environmental cooperation
There are basically three arguments of the theories on the development of East
Asian regional environmental cooperation. Firstly, Matsuoka assumes that, in order toestablish a regional environmental community, it is necessary to develop social capacityof the governmental, corporate and non-governmental civil society sectors forenvironmental management in each country, based on regional environmental
cooperation, and hence to enhance regional integration to the level of establishing an
institutionalized regional environmental regime and materialize regional environmental
policy coordination so that regional actors can coordinate necessary measures tocollectively address environmental issues (2009: 6).
Secondly, Haas analyzes the Regional Seas Programmes of UNEP (United
Nations Environment Programme) and suggests five key factors to establish a regional
environmental regime: 1) leadership of states, 2) participation of international
institutions, 3) transnational networks of scientists and researchers, 4) participation ofNGOs, and 5) attention from the civil society sector (1998a: 3). Lee (2002) also
confirms this view of Haas.
Moreover, Hempel argues that it is necessary for the state governments toreallocate its authorities to regulate environmental issues to supranational entities andlocal communities in order to realize more effective environmental governance bystimulating these entities and communities to set and achieve higher goals ofenvironmental policies (1996: 6).
2. Regional environmental cooperation in East Asia
Haas argues that the current status of environmental cooperation in East Asia
lacks the aforementioned five key factors of establishing a regional environmental
regime (1998b). Schreurs also argues that multilateral environmental cooperation in
East Asia is insufficient to address various problems. She explains how and why
regional environmental cooperation is far less developed in North East and South East
Asia than in Europe. She attributes the cause of underdeveloped cooperation in East
Asia including the two said sub-regions to factors related to the high heterogeneity of
the levels of economic development among states in the regions (Schreurs 2009:202-228). In the same negative manner, Matsuoka doubts the prospect of EANET (Acid
Deposition Monitoring Network in East Asia) to become an institution of regional
environmental cooperation, at least in a shorter term, due to the current status of its

4

development and reluctance of participating states to conclude treaties allowing EANET
to have legally binding force for monitoring activities of the contracting parties (2009:
8-9).
Kimura argues that East Asian countries are vulnerable to the demand ofdeveloped countries in Europe and North America, to which they export most of theirintermediate products, to adjust to environmental standards set by these developed
countries. Thus, he claims that East Asian countries are less motivated to coordinate
international environmental standards within their own region (Kimura 2006: 326-344).
Mori also points out that Asian countries are less motivated in addressing transnational
environmental problems than European and North American countries (2008: 57).
However, Noguchi analyzes multilateral and transnational environmental
cooperation in East Asia and concludes that five key factors are sufficiently achieved in
the region, while he also admits that the capability of international networks of NGOs in
East Asia cannot outweigh that of state actors in managing environmental problems
with professional knowledge. He also points out that local governments in the region
interact to cooperate in addressing environment issues often without intergovernmental
agreements at the state level (Noguchi 2007: 24-31). In the same positive manner, Moriemphasizes the impact of ODA in ameliorating pollutions in East Asia and asserts thatthe diversification of measures and donors of environmental cooperation is a key
determinant of the development of regional environmental cooperation in East Asia
(Mori 2005: 41-46).
3. Regional environmental cooperation in North East Asia
Some researchers equivocally define the region of East Asia and include thecases of environmental cooperation in North East Asia as those of North East Asia.
Therefore, the literature review for East Asian regional environmental cooperation
includes some key researches of North East Asian environmental cooperation.
Only a few researchers find that the current status of regional environmental
cooperation in North East Asia has positive implication on its course of further
development. Li, for instance, points out the similarity between the Baltic Sea area andNorth East Asia in terms of shared problems of their transnational pollution and theheterogeneity of the level of the economic development of countries within each region.
He therefore argues that the development of regional marine environmental policy
regime in North East Asia follow that of the Baltic Sea area (Li 2008: 90). Ogawa
analyzes NOWPAP (Action Plan for the Protection, Management and Development of
the Marine and Coastal Environment of the Northwest Pacific Region), a regional
environmental cooperation project for marine environmental protection, and positively
evaluates its prospect of further development, while he also implies that regional
environmental cooperation in North East Asia is slow in its progress of development(Ogawa: 96-99).
Most researchers focus more on the negative implication of the current status ofregional environmental cooperation in North East Asia. Lee (2002) negatively
concludes that North East Asia lacks the necessary conditions of the institutionalizationof regional environmental cooperation such as the networks of scientists and theinitiatives of governments. Likewise, Takahashi, et al. systematically explain andanalyze each initiative, agreement and project of intergovernmental, semi-formal andtransnational environmental cooperation in North East Asia at bilateral and multilateral5

levels (2010: 34-38). Based on empirical examination, they conclude that North East
Asian countries including China, Japan and South Korea lack motivation tocooperatively sustain multilateral environmental projects among them. They point out
that their positions are related to the lack of the coordination of environmental policies
among them to address global environmental problems (Takahashi, et al. 2010: 40-41).
Moreover, Nam (2002) suggests that the lack of consensus on the comprehension of theinformation related to the environment issues negatively contributes to the developmentof regional environmental cooperation in North East Asia. He also points out that theactions of non-state actors have limited impact on the development of regional
environmental cooperation in North East Asia (Nam 2002).
4. Regional environmental cooperation in South East Asia
Some researchers also discuss East Asian environmental cooperation byincorporating cases of South East Asia. There are mixed views on the prospect of its
status quo. Schreurs assumes that various conditions suggest regional environmental
cooperation develops more in South East Asia than in North East Asia (2009: 202-228).
However, in contrast, Ohno concludes that ASEAN secretariat and its member states
have analytical capability to understand regional environmental problems but its
tendency of consensus-driven decision making process hinders coordinated actions toaddress these problems (2008: 28).
The literature review reveals that discussions on the positive and negative
prospects of East Asian regional environmental cooperation are still controversial
among researchers. One of the reasons that they cannot conclude the discussion is thelack of their focus on the prospect of track 1.5 cooperation. Therefore, the followingcase studies include discussions on the track 1.5 level of East Asian environmental
cooperation so that the research complements the lack of such focus of the existing
researches to help concluding the discussions on the prospect of cooperation.
II. Case 1: Japan-China Environmental Cooperation
The following three case studies exhibit the development of regional
environmental cooperation on bilateral basis in East Asia. They focus on the ad-hoc
track 1, institutionalized and track 1.5 levels of cooperation so that they provide morecritical assessment of the prospect of the development of East Asian regional
environmental cooperation with empirical analyses. They will reveal multi-layered
patterns of the development of environmental cooperation in the respective cases.
Firstly, the Japan-China environmental cooperation shows a multi-layered patternof development from the track 1 ad-hoc level to the track 1.5 level of cooperation.
Japan’s yen loans to China as ad-hoc track 1 environmental cooperation between thetwo countries have developed to the level of institutionalized cooperation. Further, thetwo countries have expanded bilateral track 1.5 environmental cooperation bypromoting bilateral environmental businesses.
1. Ad-hoc track 1 cooperation

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As ad-hoc track 1 environmental cooperation between Japan and China, yen loans
for China have been increasing environmental projects and area coverage in China since
1988.
The first yen loan (ODA) for environment improvement and antipollution
measures was provided to China in 1988. This loan included environmental projects
through infrastructure development such as water and gas supply and sewerage systems(Someno 2009: 68-69). In the same year, Japanese Prime Minister Takeshita proposed
to establish “the Sino-Japanese Friendship Centre for Environmental Protection” when
he visited China. This centre was established in 1996 with Japanese grant ODA (tenbillion yen) and Chinese government budget (sixty-six million RMB). Its mainfunctions were the research and development of environmental technologies including
measurement and data processing methods, related policies and human resources (The
Sino-Japanese Friendship Centre, 2010; Yamazaki 2009: 211-212, 213).
Japanese environmental yen loan for China has been increasing in volume and invariety. When the environmental yen loan for China began, it was targeted at air
pollution and water quality improvement (Someno 2009: 69). In 2001, the aid included
anti-desertification measures including forestation and public sanitation measures. The
environmental yen loan represented 70 percent of all yen loan for China that year
(Someno 2009: 68-69). In 2009, Japan’s environmental yen loan for China exceeded
one trillion yen and 30 percent of the total yen loan for China and constituted most ofJapanese ODA for China (Someno 2009: 68-69).
2. Institutionalized track 1 cooperation
Track 1 cooperation between China and Japan began to be institutionalized in
1994. Since then, track 1 environmental cooperation between the two countries hasdeveloped further. Moreover, in 2007, minister-level dialogue began to encourage track
1 environmental corporation to develop into track 1.5 cooperation.
The two countries concluded the “Sino-Japanese Environmental Protection
Agreement,” the first step in the institutionalization of track 1 cooperation, in 1994.
This agreement set in motion information and academic exchanges between China andJapan regarding the prevention of global warming and air and water pollution, includingacid rain, hazardous waste and sanitation problems. Based on this agreement,“Sino-Japanese Environmental Protection Joint Committee” was formed and had eight
director-general level meetings from 1994 to 2008 (Yamazaki 2009: 212). Moreover,the first “Sino-Japanese Environmental Cooperation Forum” was held in 1996. This
forum met four times between 1996 and 2002 and facilitated public and private dialogueof the two countries (Someno 2009: 67).
Japanese Prime Minister Hashimoto proposed the “Vision of the Sino-JapaneseEnvironmental Cooperation toward 21st Century” when he visited China in 1997. Thisvision included plans for the “Sino-Japanese Vision of Model City of Environmental
Development” (leading to a thirty billion yen loan agreement in 1998 for the reductionof the environmental burden of factories in three cities) and the “Establishment ofEnvironmental Information Network” (resulting in a two hundred million yen grant
agreement in 1998 to set up an environmental information sharing network involving
one hundred Chinese cities) (Yamazaki 2009: 212). Accordingly, when then Chinese
President Jiang Zemin visited Japan in 1998, the two countries issued a “Joint Statementon Sino-Japanese Environmental Cooperation toward 21st Century.” The statement

7

reviewed Sino-Japanese environmental cooperation in the 1990s and reaffirmed
commitment to further cooperation. Following this statement the two countries agreed
to hold a “Sino-Japanese Environmental Cooperation Forum,” which would involve
track 1.5 bilateral environmental cooperation (Ministry of Foreign Affairs, Japan[hereafter MOFA] 1998b; Someno, K 2009: 67; Yamazaki 2009: 212, 214).
As track 1 environmental cooperation between China and Japan developed further,
the two sides issued a “Joint Statement by Japan and the People's Republic of China on
the Further Enhancement of Cooperation for Environmental Protection” when ChinesePremier Wen Jiaobao visited Japan in April 2007. This statement reaffirmed theimportance of environmental cooperation between the two countries envisaged in the
ODA projects which had already been undertaken (Yamazaki 2009: 212).
Moreover, the two sides held the first “Policy Dialogue between Japanese andChinese Energy Ministers” in Tokyo in 2007 to expand track 1 environmental
cooperation into track 1.5 cooperation. The parties agreed on the following: 1) a basic
framework and roadmap for “Sino-Japanese Environmental Business Model Projects”
including candidate projects that could attract Japanese companies and anintergovernmental committee to prevent disputes on intellectual property rights; 2) athree-year plan for capacity building for three hundred Chinese government officials to
help manage energy-efficiency policies; and 3) a joint research program onenergy-efficiency policies to be conducted by two research institutes, the Institute ofEnergy Economics in Japan and the Energy Research Institute of the National
Development and Reform Commission in China (Agency for Natural Resources andEnergy [hereafter ANRE], Japan 2007a).
In 2008, when Chinese President Hu Jintao visited Japan, China and Japan
released a “Joint Statement on Climate Change.” In this statement, the leaders of thetwo countries agreed to strengthen further bilateral environmental cooperation including
technical exchange in renewable energy, clean coal and Carbon Capture and Storage(CCS) technologies (MOFA 2008b: 213).
3. Track 1.5 cooperation
The first bilateral meeting involving the business sector in track 1.5 environmental
cooperation between China and Japan began in 2006. Subsequently, China and Japan
has been expanding their bilateral track 1.5 environmental cooperation by developing amechanism to promote environmental business contracts.
As the first bilateral meeting for track 1.5 environmental cooperation, “theJapan-China Business Alliance for Energy Conservation and Environmental Protection”
was held in December 2006, with participants of 220 companies (Yamazaki 2009: 223).
The second meeting, “Sino-Japanese Energy Efficiency/Environment Forum,” was heldin 2007 and developed a mechanism to promote track 1.5 environmental cooperation. In
this meeting, six environmental business contracts were concluded (Ministry of
Economy, Trade and Industry, Japan [hereafter METI] 2007; Yamazaki 2009: 217-218).
A memorandum on the implementation of “Sino-Japanese Environmental Business
Model Projects” was also concluded between the two countries in 2007. Moreover, theJoint Committee on Model Projects selected five of the business contracts concluded
during the second Forum as model projects. The projects included measures of theconflict prevention and resolution of intellectual property right issues (Yamazaki 2009:
219).

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In December 2007, China and Japan agreed to expand their bilateralenvironmental business cooperation when Prime Minister Fukuda visited China. The
two sides agreed to establish a “Sino-Japanese Environmental Technology Information
Plaza” and a “Sino-Japanese Energy-Efficiency/Environmental Business Network” tohelp match up environmental business partners in the two countries (Yamazaki 2009:212-213). In April 2008, the “Sino-Japanese Energy-Efficiency/Environmental
Cooperation Consultation Service” began to operate ten offices in China, which wereopened by the Japan External Trade Organization (JETRO), the New Energy andIndustrial Technology Development Organization (NEDO; an organization under the
Ministry of Economy, Trade and Industry, Japan) and the Japan-China Economic
Association. These offices were assigned to collect inquiries from Chinese companies
and relay them to Japanese companies which could meet technical requirements by
Chinese counterparts so that they could efficiently conclude environmental business
contracts (METI 2008c).
The number of environmental business contracts concluded through the
Sino-Japanese track 1.5 cooperation framework has increased year by year. The third“Sino-Japanese Energy Efficiency/Environment Forum” was held in 2008, resulting in
the conclusion of fifteen environmental business contracts. The contracts included
environmental investment and joint ventures in water membrane filtering, the recyclingof industrial waste, the improvement of water quality in rivers and lakes, and energy
efficiency in factories and offices (METI 2008a; Yamazaki 2009: 209). The fourth“Sino-Japanese Energy Efficiency/Environment Forum,” which took place in 2009
resulted in twenty-two environmental business contracts. They included emission
reduction, eco-city development, water filtering, industrial and household waste
recycling, industrial environmental assessment and energy efficiency improvement suchas ESCO and joint ventures in eco-friendly products. Different from the previous threeforums, the project sites of the agreed contracts in the fourth forum were located not
only in coastal areas, but also in inland areas of China (METI 2008b). This shows thegeographical expansion of track 1.5 environmental cooperation between Japan and
China.
III. Case 2: Japan-India Environmental Cooperation
As is the case with China and Japan, Japan-India environmental cooperationshows a similar multi-layered pattern of development from the ad-hoc track 1
environmental cooperation to the track 1.5 level of cooperation. India and Japan havedeveloped their ad-hoc track 1 environmental cooperation through yen loans for India to
the level of institutionalization. Track 1.5 environmental cooperation between the twocountries has been expanded through track 1.5 forums for business promotion.
1. Ad-hoc track 1 cooperation
India and Japan agreed in 1989 on the first priority area of environmental ODA infavor of farmers in India, who constituted the majority of the population of India at thattime, marking the first ad-hoc track 1 environmental cooperation between the twocountries. As environmental yen loans for India covered more and more categories,
Japan designated a basic policy of ODA for India in 2006.

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In February 1989, the two countries agreed that Japanese ODA must prioritize
environmental protection especially in the forestry sector to protect the living
environment of farmers in India (MOFA 1989: 153). Accordingly, environmental yen
loans for India began in the same year. The first projects dealt with environmental land
use planning and the recycling of industrial waste (MOFA 1990: 167). Also, as agreed
in 1989, yen loans for India provided the first reforestation project in 1990 (MOFA
1991: 170).
In the following years, environmental yen loans for India expanded their areas ofcoverage. Japan provided environmental yen loans to construct water supply andsewage systems in India for the first time in 1992 (MOFA 1993: 180; 1995: 192). In
January 1993, Japan and India agreed that Japanese yen loans should focus oncooperation in antipollution measures (MOFA 1993: 176). In March 1995, Japan
selected the five priority areas of concern in environmental protection projects: 1)
antipollution; 2) water quality improvement; 3) water supply; 4) forestation; and 5) the
improvement of sanitary condition (MOFA 1995: 188). Japan prioritized sewage systemconstruction and reforestation in order to address environmental problems in the rapidly
growing India (MOFA 2005a: 138, 139).
In May 2006, Japan drew up a new “ODA Plan for India.” This new plan
designated the areas of concern in environmental yen loan projects, including theconstruction of water supply and sewage systems, forestation, the installation ofrenewable energy facilities and the improvement of energy efficiency and sanitaryconditions in urban areas (MOFA 2007a: 135-136). As indicated in the new plan,
Japanese yen loans were extended for the first time for capacity-building in the
management of reforestation in 2008 (MOFA 2009d; 2009b: 2).
In 2009, Japan’s environmental yen loans for India reached almost six hundredbillion yen, representing 90 percent of total yen loans for India, which in turnconstituted most of Japanese ODA to India. Most of the implemented projects wererelated to reforestation, water supply, water environment, sewage systems and industrial
waste management.1
2. Institutionalized track 1 cooperation
India and Japan agreed to institutionalize track 1 environmental cooperation for
the first time in 2006. The two joint statements between the prime ministers of the twocountries in 2007 strengthened bilateral environmental cooperation and opened a way tothe development of the subsequent track 1.5 cooperation between the two countries.
When Indian Prime Minister Singh visited Japan in 2006, the two countries issued
the “Joint Statement: Towards Japan-India Strategic and Global Partnership.” The twosides agreed to establish “Inter-Governmental Consultations on Environment andClimate Change.” They also agreed to cooperate within the framework of “Asia-PacificPartnership on Clean Development and Climate (MOFA 2006c).”
The first meeting of a “Japan-India Energy Dialogue” was held in Tokyo in April
2007. In this first meeting, ministers of the two countries issued a joint statement1

For the long-term trend of the implemented projects in India, see MOFA 1990: 167;
1991: 170; 1992: 173; 1993: 180; 1995: 192; 1996: 165; 1997: 180; 1998a: 170; 2001:
168, 169; 2004: 129, 131; 2005a: 141, 143; 2006a: 138; 2007a: 139; 2008a: 141, 142;
2009a: 139-140; 2009b: 2; and 2009d.
10

confirming their commitment to bilateral cooperation in the energy sector and set up
five working groups to develop joint projects including for renewable energy, clean coaland energy efficiency. They also agreed to exchange experts and implement thecapacity building measures. In addition to bilateral environmental cooperation, the twocountries expressed their willingness to cooperate in multilateral settings such as the
Asia-Pacific Partnership on Clean Development and Climate (APP) and the FiveCountry Energy Ministers Meeting (MOFA 2006b; ANRE 2007c; Kutani, Yagi &Motokura 2009: 69).2 In July 2007, the second meeting of the “Japan-India Energy
Dialogue” was held in India. In this meeting, ministers of the two countries agreed on
environmental pilot programs such as energy audit, renewable energy and supercriticalcoal-fired power generation (ANRE 2007b; Kutani, Yagi & Motokura 2009: 69).
In August, 2007, Japanese Prime Minister Abe and his Indian counterpart released
a “Joint Statement on the Roadmap for New Dimensions to the Strategic and Global
Partnership between Japan and India” and a “Joint Statement on the Enhancement of
Cooperation on Environmental Protection and Energy Security” when the Japaneseleader visited India with an entourage of more than two hundred people including
business leaders. In these joint statements, the two leaders agreed to annually hold aministerial-level energy dialogue. They also agreed on specific environmental
corporation programs, including the capacity building of trainers and engineers, theinformation dissemination and demonstration of technologies related to energy
efficiency, renewable energy and bio-fuels such as bio-ethanol. They agreed further topromote public-private environmental cooperation (MOFA 2007m; 2007l). Accordingly,
in September, 2008, the third meeting of the “Japan-India Energy Dialogue” was held inTokyo, where both sides agreed on business and technical-exchange programs onenergy-efficiency for enterprises of various sizes, renewable energy and establishing
Energy Efficiency Centres in India. India also expressed its plan to hold abusiness-matching workshop in India to promote the transfer of environmental
technologies from Japan to India (ANRE 2008; Kutani, Yagi & Motokura 2009: 69).
3. Track 1.5 cooperation
Track 1.5 environmental cooperation between India and Japan began in 2006.
Track 1.5 forums have been expanding environmental cooperation in the business sector
by promoting more and more contracts.
In December 2006, the first “India-Japan Energy Forum” was held in India. It wasorganized by NEDO and the Energy and Resources Institute (an influential Indian
environmental research institute) and attended by three hundred participants including
vice ministers and other senior government officials, representatives of research
institutes and major companies of both countries. Participants of the forum sharedknowledge on clean coal technology including in the fields of coal, oil and gas andenergy efficiency (Tsuji, Kaneko & Nakajima 2007: 42-49).
The third “India-Japan Energy Forum,” held in India in February, 2010, expanded
further the track 1.5 environmental cooperation between India and Japan. More than
three hundred participants attended, including government officials, representatives of2

China, India, Japan, the Republic of Korea and the United States have been
participating the Five Country Energy Ministers Meeting to discuss energy security andthe stabilization of oil market since 2006.
11research institutes, business associations and companies of the two countries. They
discussed bilateral business cooperation in environmental technologies such as energy
efficiency and renewable energy. Japanese participants advertised their environmental
technologies to win contracts with Indian counterparts in this forum (The Energy andResources Institute 2010).
IV. Case 3: Japan-ASEAN Environmental Cooperation
As in the preceding two cases, Japan-ASEAN environmental cooperation
develops from the ad-hoc track 1 level toward the direction of the track 1.5 level. Withad-hoc track 1 cooperation at hand, ASEAN countries and Japan have reached the levelof institutionalization. It is also revealed that Japan and ASEAN have acknowledged theimportance of promoting track 1.5 cooperation in the environmental field.
1. Ad-hoc track 1 cooperation
Ad-hoc track 1 cooperation between ASEAN countries and Japan began in 1974.
Yen loan projects in the Philippines and Indonesia often included the pioneer cases ofenvironmental projects.
In 1974, an environmental yen loan for ASEAN member countries provided thefirst project since the formation of ASEAN. It was a project to construct a water supply
system in Indonesia (MOFA 2009f). From the 1980s on, most of the environmental yen
loan projects for ASEAN were implemented in the Philippines and Indonesia. In 1983,
environmental yen loans for ASEAN member countries provided the first project toconstruct geothermal power plants in the Philippines (MOFA 2009h). Subsequent yen
loans were used for reforestation in the Philippines in 1988 (MOFA 2009h), waste
management in Indonesia and consultation to reduce the environmentally negative
effect of economic activities in the Philippines in 1990 (MOFA 2009f; 2009h),
assistance for environmental research institutes in Indonesia in 1991 (MOFA 2009l), theimprovement of the quality of urban sewage systems in Indonesia (MOFA 2007b), thatof the environmental effect of the operation of fire thermal electric power plants in thePhilippines (MOFA 2007b), and assistance for an environment protection fund in
Thailand in 1992 (MOFA 2007b). Yen loans were also extended for environmental
impact assessment in Indonesia in 1994 (MOFA 2007b) and for providing power plants
with environmental measurement equipment in the Philippines (MOFA 2007c), for theconstruction of wind power generators and maritime anti-pollution measures in thePhilippines in 2001 (MOFA 2010b) and for measures to prevent global climate change
in Indonesia in 2009 (MOFA 2010d).
Japan’s yen loan programs for environmental projects in the ten members of
ASEAN between 1967 and 2009 totaled almost twelve trillion yen, about 7 percent ofJapan’s total yen loans for ASEAN 10. Most of these projects were related to watersupply, water quality improvement and sewage system in urban areas. Other
environmental projects were related to climate change, renewable energy such as
geothermal and wind power, environmental researches, resource management andforestation.3
3

For the long-term trend of the implemented projects in ASEAN countries, see MOFA
12

2. Institutionalized track 1 cooperation
The institutionalization of track 1 environmental cooperation between ASEAN
and Japan began in 2003 and gained its momentum in 2007.
In December 2003, the two sides held a commemorative summit in Tokyo andreleased a “Tokyo Declaration for the Dynamic and Enduring Japan-ASEAN
Partnership in the New Millennium.” In this declaration, the two sides designated actionplans on cooperation against environmental problems such as haze pollution, forest fire
prevention, forest management and urban sewage system. They also agreed oncooperation in information dissemination on environmental issues, the exchange ofenvironmental technologies, monitoring and the database of environmental issues andadministrative capacity building for eco-city administration (Ministry of Environment,
Japan [hereafter MOE] 2005: 61). In 2005, ASEAN and Japan held the ninth“ASEAN-Japan Summit” in Malaysia and agreed to strengthen bilateral cooperation inenergy efficiency and renewable energy such as bio-fuel and hydroelectric power(MOFA 2005b).
The Institutionalization of track 1 environmental cooperation between ASEAN
and Japan went further in 2007. In November Japanese Prime Minister Fukuda
proposed the idea of the “ASEAN-Japan Dialogue on Environmental Cooperation” atthe eleventh ASEAN-Japan summit in Singapore. This dialogue was aimed at
discussing concrete measures for ASEAN-Japan environmental cooperation (MOFA
2009c). In March 2008, the first “ASEAN-Japan Dialogue on Environmental
Cooperation” was held in Vietnam. The two sides discussed the priority areas ofenvironmental cooperation projects (MOFA 2009c). Accordingly, in 2009, theJapan-ASEAN Integration Fund (JAIF) decided to fund two environmental cooperation
projects proposed at the “ASEAN-Japan Dialogue on Environmental Cooperation(MOE 2009: 10).”
3. Track 1.5 cooperation
Although Japan and ASEAN have not established track 1.5 cooperation inenvironmental business, they seem to be moving in that direction.
Japan-ASEAN environmental cooperation has not reached the level of track
1.5 cooperation. However, the two sides acknowledged the importance of promoting
environmental business relationships between Japan and ASEAN. In June 2000, the first“SOME-MITI Consultations” between the ASEAN Senior Officials Meeting on Energy
and MITI (the Ministry of International Trade and Industry, predecessor of the Ministryof Economy, Trade and Industry [METI]) of Japan was held. The two sides adopted the“SOME-MITI Energy Work Program” for the years of 2000 and 2001. As early as in2000, this program encouraged the development of bilateral business contracts in theareas of energy efficiency and renewable energy. Moreover, this program acknowledged
the importance of developing mechanisms to encourage the corporate entities of the twosides to invest more on energy efficiency and renewable energy businesses in the
2007b; 2007c; 2007d; 2007d; 2007e; 2007f; 2007g; 2007h; 2007i; 2007j; 2007k; 2007n;
2007o;2007p; 2007q; 2007r; 2007s; 2009e; 2009f; 2009g; 2009h; 2009i; 2009j; 2009k;
2009l; 2009m; 2009n; 2009o; 2009p; 2009q; 2009r; 2009s; 2009t; 2009u; 2009v;
2009w; 2009x; 2009y; 200z; 2009za; 2010a; 2010b; 2010c; and 2010d.
13

following years (ASEAN Centre for Energy 2008: 1-2).
Conclusion: Track 1 to Track 1.5 Cooperation in East Asia
In sum, in East Asia, track 1 bilateral environmental cooperation is evolving into
track 1.5 bilateral environmental cooperation through the stage of institutionalized track
1 cooperation. In all three cases we have examined, yen loans for ad-hoc track
1 environmental cooperation developed to the level of institutionalized track
1 cooperation. Moreover, in the two cases of Japan-China and Japan-India relations,bilateral environmental cooperation developed beyond the level of track
1 institutionalization and reached the level of track 1.5 cooperation involving
environmental business relationships.
This study has revealed how bilateral environmental cooperation has beendeveloping in East Asia from the track 1 to the track 1.5 level. Case studies empiricallysupport the assumption that track 1 environmental cooperation is promoting track 1.5
cooperation in East Asia. This is because it is revealed that ad-hoc environmental
cooperation promotes institutionalized formal cooperation, and the latter promotes the
emergence of track 1.5 cooperation and eventually constitutes a multi-layered
development of environmental cooperation frameworks as a whole in East Asia. A
regional environmental regime has begun to emerge at least at institutionalized official
level and at most at half-private and half-official level in East Asia.
By this research, it is also revealed that regional environmental cooperation has
developed deeper into more sustainable forms in which more diversified actors such as
corporate entities are getting involved in East Asia at least at bilateral basis. As someprevious researches such as that of Hempel imply in the literature review, thediversification of actors involved in regional environmental cooperation is necessary for
its further development. Hence, the supported hypothesis of the research is meaningfulalso because the position of the governmental sector, which suffers from the shortage ofthe limited budget for environmental cooperation, has been shifted to take advantage ofthe driving force of the market-driven corporate sector, which drives the deepening
economic integration of East Asia, and to stimulate it to participate in the regional
environmental cooperation so that regional environmental cooperation develops withdiversified stimuli.
The conclusion of the research complements the lack of the focus of the existing
researches on the track 1.5 level of environmental cooperation in East Asia. Through thecase studies containing analyses on the 1.5 level, it is now much clearer that theprospect of regional environmental cooperation in the region is rather positive thannegative. Although the institutionalization of the regional environmental cooperation isstill limited, the track 1.5 level of environmental cooperation has prospective driving
force to sustain and promote the further development of environmental cooperation in
the region.
In addition, as a practical implication, the result of the study poses a new questionof how half-private environmental cooperation involving both the governmental andbusiness sectors is going to develop. A possible dichotomy of answers to this question iswhich type of framework environmental regime is going to take in East Asia. In order togive sufficient clues to answer the question, it is necessary to wait for the further

14

accumulation of analyses on the course of the development of ongoing environmental
cooperation in East Asia.
Besides, the study has a limitation. The number of cases examined is too limited
to offer the pattern revealed as generally applicable to environmental cooperation in theworld. It is necessary, therefore, to conduct more comparable case studies of bilateralenvironmental cooperation.

15

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GIARI Working Paper Vol. 2010-E-7,
February 2011
Published by Waseda University Global COE Program
Global Institute for Asian Regional Integration (GIARI),
Waseda University, Nishiwaseda Bldg. 5F#507 1-21-1
Nishi-waseda, Shinjuku-ku, Tokyo 169-0051 Japan
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