III 

113TH CONGRESS 

2D SESSION S. RES. 412 

Reaffirming the strong support of the United States Government for freedom 

of navigation and other internationally lawful uses of sea and airspace 

in the Asia-Pacific region, and for the peaceful diplomatic resolution 

of outstanding territorial and maritime claims and disputes. 

IN THE SENATE OF THE UNITED STATES 

APRIL 7, 2014 

Mr. MENENDEZ (for himself, Mr. RUBIO, Mr. CARDIN, Mr. MCCAIN, Mr. 

RISCH, Mr. LEAHY, Mrs. FEINSTEIN, and Mr. CORNYN) submitted the 

following resolution; which was referred to the Committee on Foreign Relations 

MAY 20, 2014 

Reported by Mr. MENENDEZ, with amendments and an amendment to the 

preamble 

[Omit the part struck through and insert the part printed in italic] 

JULY 10, 2014 

Considered, amended, and agreed to with an amended preamble 

RESOLUTION 

Reaffirming the strong support of the United States Government for freedom of navigation and other internationally 

lawful uses of sea and airspace in the Asia-Pacific region, 

and for the peaceful diplomatic resolution of outstanding 

territorial and maritime claims and disputes. 

Whereas Asia-Pacific’s maritime domains, which include both 

the sea and airspace above the domains, are critical to 


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the region’s prosperity, stability, and security, including 

global commerce; 

Whereas the United States is a longstanding Asia-Pacific 

power and has a national interest in maintaining freedom 

of operations in international waters and airspace both in 

the Asia-Pacific region and around the world; 

Whereas for over 60 years, the United States Government, 

alongside United States allies and partners, has played 

an instrumental role in maintaining stability in the AsiaPacific, including safeguarding the prosperity and economic growth and development of the Asia-Pacific region; 

Whereas the United States, from the earliest days of the Republic, has had a deep and abiding national security interest in freedom of navigation, freedom of the seas, respect for international law, and unimpeded lawful commerce, including in the East China and South China 

Seas; 

Whereas the United States alliance relationships in the region, including with Japan, Korea, Australia, the Philippines, and Thailand, are at the heart of United States 

policy and engagement in the Asia-Pacific region, and 

share a common approach to supporting the maintenance 

of peace and stability, freedom of navigation, and other 

internationally lawful uses of sea and airspace in the 

Asia-Pacific region; 

Whereas territorial and maritime claims must be derived 

from land features and otherwise comport with international law; 

Whereas the United States Government has a clear interest 

in encouraging and supporting the nations of the region 

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putes and is firmly opposed to coercion, intimidation, 

threats, or the use of force; 

Whereas the South China Sea contains great natural resources, and their stewardship and responsible use offers 

immense potential benefit for generations to come; 

Whereas the United States is not a claimant party in either 

the East China or South China Seas, but does have an 

interest in the peaceful diplomatic resolution of disputed 

claims in accordance with international law, in freedom 

of operations, and in the free-flow of commerce free of 

coercion, intimidation, or the use of force; 

Whereas the United States supports the obligation of all 

members of the United Nations to seek to resolve disputes by peaceful means; 

Whereas freedom of navigation and other lawful uses of sea 

and airspace in the Asia-Pacific region are embodied in 

international law, not granted by certain states to others; 

Whereas, on November 23, 2013, the People’s Republic of 

China unilaterally and without prior consultations with 

the United States, Japan, the Republic of Korea or other 

nations of the Asia-Pacific region, declared an Air Defense Identification Zone (ADIZ) in the East China Sea, 

also announcing that all aircraft entering the PRC’s selfdeclared ADIZ, even if they do not intend to enter Chinese territorial airspace, would have to submit flight 

plans, maintain radio contact, and follow directions from 

the Chinese Ministry of National Defense or face ‘‘emergency defensive measures’’; 

Whereas the ‘‘rules of engagement’’ declared by China, including the ‘‘emergency defensive measures’’, are in violation of the concept of ‘‘due regard for the safety of civil 


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aviation’’ under the Chicago Convention of the International Civil Aviation Organization and thereby are a 

departure from accepted practice; 

Whereas the Chicago Convention of the International Civil 

Aviation Organization distinguishes between civilian aircraft and state aircraft and provides for the specific obligations of state parties, consistent with customary law, to 

‘‘refrain from resorting to the use of weapons against 

civil aircraft in flight and . . . in case of interception, the 

lives of persons on board and the safety of aircraft must 

not be endangered’’; 

Whereas international civil aviation is regulated by international agreements, including standards and regulations 

set by ICAO for aviation safety, security, efficiency and 

regularity, as well as for aviation environmental protection; 

Whereas, in accordance with the norm of airborne innocent 

passage, the United States does not recognize the right 

of a coastal nation to apply its ADIZ procedures to foreign state aircraft not intending to enter national airspace nor does the United States apply its ADIZ procedures to foreign state aircraft not intending to enter 

United States airspace; 

Whereas the United States Government expressed profound 

concerns with China’s unilateral, provocative, dangerous, 

and destabilizing declaration of such a zone, including 

the potential for misunderstandings and miscalculations 

by aircraft operating lawfully in international airspace; 

Whereas the People’s Republic of China’s declaration of an 

ADIZ in the East China Sea will not alter how the 

United States Government conducts operations in the reVerDate Mar 15 2010 04:53 Jul 12, 2014 Jkt 039200 PO 00000 Frm 00004 Fmt 6652 Sfmt 6300 E:\BILLS\SR412.ATS SR412

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gion or the unwavering United States commitment to 

peace, security and stability in the Asia-Pacific region; 

Whereas the Government of Japan expressed deep concern 

about the People’s Republic of China’s declaration of 

such a zone, regarding it as an effort to unduly infringe 

upon the freedom of flight in international airspace and 

to change the status quo that could escalate tensions and 

potentially cause unintentional consequences in the East 

China Sea; 

Whereas the Government of the Republic of Korea has expressed concern over China’s declared ADIZ, and on December 9, 2013, announced an adjustment to its longstanding Air Defense Identification Zone, which does not 

encompass territory administered by another country, 

and did so only after undertaking a deliberate process of 

consultations with the United States, Japan, and China; 

Whereas the Government of the Philippines has stressed that 

China’s declared ADIZ seeks to transfer an entire air 

zone into Chinese domestic airspace, infringes on freedom 

of flight in international airspace, and compromises the 

safety of civil aviation and the national security of affected states, and has called on China to ensure that its 

actions do not jeopardize regional security and stability; 

Whereas, on November 26, 2013, the Government of Australia made clear in a statement its opposition to any coercive or unilateral actions to change the status quo in 

the East China Sea; 

Whereas, on March 10, 2014, the United States Government 

and the Government of Japan jointly submitted a letter 

to the ICAO Secretariat regarding the issue of freedom 

of overflight by civil aircraft in international airspace and 


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the effective management of civil air traffic within allocated Flight Information Regions (FIR); 

Whereas Indonesia Foreign Minister Marty Natalegawa, in a 

hearing before the Committee on Defense and Foreign 

Affairs on February 18, 2014, stated, ‘‘We have firmly 

told China we will not accept a similar [Air Defense 

Identification] Zone if it is adopted in the South China 

Sea. And the signal we have received thus far is, China 

does not plan to adopt a similar Zone in the South China 

Sea.’’; 

Whereas over half the world’s merchant tonnage flows 

through the South China Sea, and over 15,000,000 barrels of oil per day transit the Strait of Malacca, fueling 

economic growth and prosperity throughout the Asia-Pacific region; 

Whereas the increasing frequency and assertiveness of patrols 

and competing regulations over disputed territory and 

maritime areas and airspace in the South China Sea and 

the East China Sea are raising tensions and increasing 

the risk of confrontation; 

Whereas the Association of Southeast Asian Nations 

(ASEAN) has promoted multilateral talks on disputed 

areas without settling the issue of sovereignty, and in 

2002 joined with China in signing a Declaration on the 

Conduct of Parties in the South China Sea that committed all parties to those territorial disputes to ‘‘reaffirm their respect for and commitment to the freedom of 

navigation in and over flight above the South China Sea 

as provided for by the universally recognized principles of 

international law’’ and to ‘‘resolve their territorial and jurisdictional disputes by peaceful means, without resorting 

to the threat or use of force’’; 


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Whereas ASEAN and China committed in 2002 to develop an 

effective Code of Conduct when they adopted the Declaration on the Conduct of Parties in the South China 

Sea, yet negotiations are irregular and little progress has 

been made; 

Whereas in recent years, there have been numerous dangerous and destabilizing incidents in waters near the 

coasts of the Philippines, China, Malaysia, and Vietnam; 

Whereas the United States Government is deeply concerned 

about unilateral actions by any claimant seeking to 

change the status quo through the use of coercion, intimidation, or military force, including the continued restrictions on access to Scarborough Reef and pressure on 

long-standing Philippine presence at the Second Thomas 

Shoal by the People’s Republic of China; actions by any 

state to prevent any other state from exercising its sovereign rights to the resources of the exclusive economic 

zone (EEZ) and continental shelf by making claims to 

those areas that have no support in international law; 

declarations of administrative and military districts in 

contested areas in the South China Sea; and the imposition of new fishing regulations covering disputed areas, 

which have raised tensions in the region; 

Whereas international law is important to safeguard the 

rights and freedoms of all states in the Asia-Pacific region, and the lack of clarity in accordance with international law by claimants with regard to their South 

China Sea claims can create uncertainty, insecurity, and 

instability; 

Whereas the United States Government opposes the use of 

intimidation, coercion, or force to assert a territorial 

claim in the South China Sea; 


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Whereas claims in the South China Sea must accord with 

international law, and those that are not derived from 

land features are fundamentally flawed; 

Whereas ASEAN issued Six-Point Principles on the South 

China Sea on July 20, 2012, whereby ASEAN’s Foreign 

Ministers reiterated and reaffirmed ‘‘the commitment of 

ASEAN Member States to: . . . 1. the full implementation of the Declaration on the Conduct of Parties in the 

South China Sea (2002); . . . 2. the Guidelines for the 

Implementation of the Declaration on the Conduct of 

Parties in the South China Sea (2011); . . . 3. the early 

conclusion of a Regional Code of Conduct in the South 

China Sea; . . . 4. the full respect of the universally recognized principles of International Law, including the 

1982 United Nations Convention on the Law of the Sea 

(UNCLOS); . . . 5. the continued exercise of self-restraint and non-use of force by all parties; and . . . 6. 

the peaceful resolution of disputes, in accordance with 

universally recognized principles of International Law, including the 1982 United Nations Convention on the Law 

of the Sea (UNCLOS).’’; 

Whereas, in 2013, the Republic of the Philippines properly 

exercised its rights to peaceful settlement mechanisms 

with the filing of arbitration case under Article 287 and 

Annex VII of the Convention on the Law of the Sea in 

order to achieve a peaceful and durable solution to the 

dispute, and the United States hopes that all parties in 

any dispute ultimately abide by the rulings of internationally recognized dispute-settlement bodies; 

Whereas China and Japan are the world’s second and third 

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serving stable maritime domains to continue to support 

economic growth; 

Whereas there has been an unprecedented increase in dangerous activities by Chinese maritime agencies in areas 

near the Senkaku islands, including between 6 and 25 

ships of the Government of China intruding into the Japanese territorial sea each month since September 2012, 

between 26 and 124 ships entering the ‘‘contiguous zone’’ 

in the same time period, and 9 ships intruding into the 

territorial sea and 33 ships entering in the contiguous 

zone in February 2014; 

Whereas although the United States Government does not 

take a position on the ultimate sovereignty of the 

Senkaku Islands, the United States Government acknowledges that they are under the administration of Japan 

and opposes any unilateral actions that would seek to undermine such administration; 

Whereas the United States Senate has previously affirmed 

that the unilateral actions of a third party will not affect 

the United States acknowledgment of the administration 

of Japan over the Senkaku Islands; 

Whereas the United States remains committed under the 

Treaty of Mutual Cooperation and Security to respond to 

any armed attack in the territories under the administration of Japan, has urged all parties to take steps to prevent incidents and manage disagreements through peaceful means, and commends the Government of Japan for 

its restrained approach in this regard; 

Whereas both the United States and the People’s Republic of 

China are parties to and are obligated to observe the 

rules of the Convention on the International Regulations 


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for Preventing Collisions at Sea, done at London October 

12, 1972 (COLREGs); 

Whereas, on December 5, 2013, the USS Cowpens was lawfully operating in international waters in the South China 

Sea when a People’s Liberation Army Navy vessel reportedly crossed its bow at a distance of less than 500 yards 

and stopped in the water, forcing the USS Cowpens to 

take evasive action to avoid a collision; 

Whereas the reported actions taken by the People’s Liberation Army Navy vessel in the USS Cowpens’ incident, as 

publicly reported, appear contrary to the international 

legal obligations of the People’s Republic of China under 

COLREGs; 

Whereas, on May 1, 2014, the People’s Republic of China’s 

state-owned energy company, CNOOC, placed its deepwater semi-submersible drilling rig Hai Yang Shi You 

981 (HD–981), accompanied by over 25 Chinese ships, 

in Block 143, 120 nautical miles off Vietnam’s coastline; 

Whereas from May 1 to May 9, 2014, the number of Chinese 

vessels escorting Hai Yang Shi You 981 (HD-981) increased to more than 80, including seven military ships, 

which aggressively patrolled and intimidated Vietnamese 

Coast Guard ships in violation of COLREGS, reportedly 

intentionally rammed multiple Vietnamese vessels, and 

used helicopters and water cannons to obstruct others; 

Whereas, on May 5, 2014, vessels from the Maritime Safety 

Administration of China (MSAC) established an exclusion 

zone with a radius of three nautical miles around Hai 

Yang Shi You 981 (HD-981), which undermines maritime safety in the area and is in violation of universally 

recognized principles of international law; 


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Whereas China’s territorial claims and associated maritime 

actions in support of the drilling activity that Hai Yang 

Shi You 981 (HD-981) commenced on May 1, 2014, 

have not been clarified under international law, constitute 

a unilateral attempt to change the status quo by force, 

and appear to be in violation of the 2002 Declaration on 

the Conduct of Parties in the South China Sea; 

Whereas, on January 19, 1998, the United States and People’s Republic of China signed the Military Maritime 

Consultative Agreement, creating a mechanism for consultation and coordination on operational safety issues in 

the maritime domain between the United States and the 

People’s Republic of China; 

Whereas the Western Pacific Naval Symposium, inaugurated 

in 1988 and comprising the navies of Australia, Brunei, 

Cambodia, Canada, Chile, France, Indonesia, Japan, Malaysia, New Zealand, Papua New Guinea, the People’s 

Republic of China, the Philippines, the Republic of 

Korea, the Russian Federation, Singapore, Thailand, 

Tonga, the United States, and Vietnam, whose countries 

all border the Pacific Ocean region, provides a forum 

where leaders of regional navies can meet to discuss cooperative initiatives, discuss regional and global maritime 

issues, and undertake exercises to strengthen norms and 

practices that contribute to operational safety, including 

protocols for unexpected encounters at sea, common ways 

of communication, common ways of operating, and common ways of engagement; 

Whereas Japan and the People’s Republic of China sought to 

negotiate a Maritime Communications Mechanism between the defense authorities and a Maritime Search and 

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ments to address operational safety on the maritime domains but failed to sign them; 

Whereas the Changi Command and Control Center in Singapore provides a platform for all the countries of the 

Western Pacific to share information on what kind of 

contact at sea and to provide a common operational picture for the region; 

Whereas 2014 commemorates the 35th anniversary of normalization of diplomatic relations between the United 

States and the People’s Republic of China, and the 

United States welcomes the development of a peaceful 

and prosperous China that becomes a responsible international stakeholder, the government of which respects 

international norms, international laws, international institutions, and international rules; enhances security and 

peace; and seeks to advance relations between the United 

States and China; and 

Whereas ASEAN plays an important role, in partnership 

with others in the regional and international community, 

in addressing maritime security issues in the Asia-Pacific 

region and the Indian Ocean, including open access to 

the maritime domain of Asia: Now, therefore, be it 

1 Resolved, 

2 SECTION 1. SENSE OF THE SENATE. 

3 The Senate— 

4 (1) condemns coercive and threatening actions 

5 or the use of force to impede freedom of operations 

6 in international airspace by military or civilian air7 craft, to alter the status quo or to destabilize the 

8 Asia-Pacific region; 


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1 (2) urges the Government of the People’s Re2 public of China to refrain from implementing the de3 clared East China Sea Air Defense Identification 

4 Zone (ADIZ), which is contrary to freedom of over5 flight in international airspace, and to refrain from 

6 taking similar provocative actions elsewhere in the 

7 Asia-Pacific region; 

8 (3) commends the Governments of Japan and 

9 of the Republic of Korea for their restraint, and 

10 commends the Government of the Republic of Korea 

11 for engaging in a deliberate process of consultations 

12 with the United States, Japan and China prior to 

13 announcing its adjustment of its Air Defense Identi14 fication Zone on December 9, 2013, and for its com15 mitment to implement this adjusted Air Defense 

16 Identification Zone (ADIZ) in a manner consistent 

17 with international practice and respect for the free18 dom of overflight and other internationally lawful 

19 uses of international airspace; and 

20 (4) calls on the Government of the People’s Re21 public of China to withdraw its Hai Yang Shi You 

22 981 (HD–981) drilling rig and associated maritime 

23 forces from their current positions, to refrain from 

24 maritime maneuvers contrary to COLREGS, and to 


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1 return immediately to the status quo as it existed 

2 before May 1, 2014. 

3 SEC. 2. STATEMENT OF POLICY. 

4 It is the policy of the United States to— 

5 (1) reaffirm its unwavering commitment and 

6 support for allies and partners in the Asia-Pacific 

7 region, including longstanding United States policy 

8 regarding Article V of the United States-Philippines 

9 Mutual Defense Treaty and that Article V of the 

10 United States-Japan Mutual Defense Treaty applies 

11 to the Japanese-administered Senkaku Islands; 

12 (2) oppose claims that impinge on the rights, 

13 freedoms, and lawful use of the sea that belong to 

14 all nations; 

15 (3) urge all parties to refrain from engaging in 

16 destabilizing activities, including illegal occupation 

17 or efforts to unlawfully assert administration over 

18 disputed claims; 

19 (4) ensure that disputes are managed without 

20 intimidation, coercion, or force; 

21 (5) call on all claimants to clarify or adjust 

22 claims in accordance with international law; 

23 (6) support efforts by ASEAN and the People’s 

24 Republic of China to develop an effective Code of 

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1 upon elements in the Code of Conduct that can be 

2 implemented immediately; 

3 (7) reaffirm that an existing body of inter4 national rules and guidelines, including the Inter5 national Regulations for Preventing Collisions at 

6 Sea, done at London October 12, 1972 (COLREGs), 

7 is sufficient to ensure the safety of navigation be8 tween the United States Armed Forces and the 

9 forces of other countries, including the People’s Re10 public of China; 

11 (8) support the development of regional institu12 tions and bodies, including the ASEAN Regional 

13 Forum, the ASEAN Defense Minister’s Meeting 

14 Plus, the East Asia Summit, and the expanded 

15 ASEAN Maritime Forum, to build practical coopera16 tion in the region and reinforce the role of inter17 national law; 

18 (9) encourage the adoption of mechanisms such 

19 as hotlines or emergency procedures for preventing 

20 incidents in sensitive areas, managing them if they 

21 occur, and preventing disputes from escalating; 

22 (10) fully support the rights of claimants to ex23 ercise rights they may have to avail themselves of 

24 peaceful dispute settlement mechanisms; 


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1 (11) encourage claimants not to undertake new 

2 unilateral attempts to change the status quo since 

3 the signing of the 2002 Declaration of Conduct, in4 cluding not asserting administrative measures or 

5 controls in disputed areas in the South China Sea; 

6 (12) encourage the deepening of partnerships 

7 with other countries in the region for maritime do8 main awareness and capacity building, as well as ef9 forts by the United States Government to explore 

10 the development of appropriate multilateral mecha11 nisms for a ‘‘common operating picture’’ in the 

12 South China Sea that would serve to help countries 

13 avoid destabilizing behavior and deter risky and dan14 gerous activities; and 

15 (13) assure the continuity of operations by the 

16 United States in the Asia-Pacific region, including, 

17 when appropriate, in cooperation with partners and 

18 allies, to reaffirm the principle of freedom of oper19 ations in international waters and airspace in ac20 cordance with established principles and practices of 

21 international law. 

22 SEC. 3. RULE OF CONSTRUCTION. 

23 Nothing in this resolution shall be construed as a dec24 laration of war or authorization to use force. 

Æ 


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