Section P: “Exclusion Zones” and No-Fly Zones

[Commentary]


  1. The term “zone” is used for various, and often unrelated, operational concepts: safety zones, security zones, protection zones, danger zones, warning zones, air defence identification zones, operational zones, etc.
  2. Section P sets out the legal framework of two zones that have become part of State practice: “exclusion zones” and no-fly zones.[597] Other operational concepts are referred to for the purpose of distinction only. Whereas no-fly zones, as the phrase implies, relate merely to aircraft, “exclusion zones” pertain both to flights and to activities by vessels at sea.
  3. An “exclusion zone”, for the purpose of this Manual, is a three dimensional space beyond the territorial sovereignty of any State in which a Belligerent Party claims to be relieved from certain provisions of the law of international armed conflict, or where that Belligerent Party purports to be entitled to restrict the freedom of aviation (or navigation) of other States.
  4. A no-fly zone, for the purposes of this Manual, is a three dimensional airspace by which the Belligerent Party restricts or prohibits aviation in its own or in enemy national territory.
  5. “Exclusion zone” is discussed herein only in the context of an international armed conflict. No-fly zones are discussed in the context of both international and non-international armed conflicts.
  6. Whereas there is no doubt that State practice confirms proclamation of “exclusion zones”, there is no indication that a Belligerent Party may absolve itself of its obligations under the law of international armed conflict within that zone (see Rule 105 (a) and Rule 107 (a)). The value added of the establishment of an “exclusion zone” is therefore unclear at the present juncture, but as a minimum they may warn off neutral aircraft (or vessels) from areas of hostilities and thereby reduce their exposure to collateral damage.[598]
  7. Whereas the legality of no-fly zones has not been seriously questioned, the legality of “exclusion zones” has been a matter of dispute in post-WWII State practice. Indeed, the majority of “zones” (“war zones”, “barred areas”, etc.) established and enforced during international armed conflicts of the past, were in violation of the law of international armed conflict because they resulted in unrestricted warfare. However, since the 1990s, “exclusion zones” have gained increasing acceptance and they have been recognized as a lawful method of warfare, to varying extents, in military manuals and elsewhere.[599] On the basis of recent State practice, the Group of Experts has identified some parameters for the establishment and operation of “exclusion zones”. In view of the uncertainties regarding the usefulness and extent of “exclusion zones”, the Group of Experts considered it necessary to identify, in a non-exhaustive manner, the limits applicable to such zones.
  8. No-fly zones may be enforced by any lawful method or means of warfare. Typically, such zones are enforced by aircraft or missiles (including UAVs and UCAVs). However, at sea, it would not be uncommon for warships to serve such purposes. Analogously, air defence weapons could be employed to enforce such zones over land.
  9. “Exclusion zones” and no-fly zones must be clearly distinguished from blockades. An aerial blockade, according to Rule 147 of this Manual, “is a belligerent operation to prevent aircraft (including UAVs/UCAVs) from entering or exiting specified airfields or coastal areas belonging to, occupied by, or under the control of the enemy”. With blockades, the focus lies on the horizontal line (or “curtain”) marking the outer limits of the blockaded area. The area/space within that line is of minor interest. By contrast, the focal point of “exclusion zones” and of no-fly zones is the three dimensional area/space within the declared borderline.
  10. “Exclusion zones” and no-fly zones may not be established for the purpose of interfering with enemy exports on board neutral aircraft (or vessels), although the practical effect of the establishment of such zones may be to do so. The only lawful method of warfare for the purpose of preventing enemy exports on board neutral aircraft (or vessels) is an aerial (or naval) blockade.
  11. “Exclusion zones” and no-fly zones must be clearly distinguished from the customary belligerent right to control the immediate area of naval operations and neutral communication at sea (see Para. 108 of SRM/ACS[600] and Para. 7.8 of NWP[601] ).
  12. While civilian airliners (whether enemy or neutral) ought to avoid entering a no-fly zone or an “exclusion zone” (as well as the immediate vicinity of hostilities), they do not lose their protection merely because they enter such areas (see Rule 60).
  1. For a distinction between zones in international and zones in national airspace see Para. 12.58 of the UK Manual (“War Zones Restrictions”) at Para. 12.58.1: “These zones may exist over the territories and territorial waters of any state involved in the armed conflict and, where military necessity justifies it, may include airspace over the high seas.”
  2. According to Para. 8.18 of the Australian Book of Reference 5179 Manual of International Law, there are certain operational advantages in declaring an EEZ, such as limiting the geographic spread of the conflict and to warn neutral merchant shipping.
    Para. 7.9 of NWP (“Exclusion Zones and War Zones”), second paragraph thereof: “Exclusion or war zones established by belligerents in the context of limited warfare that has characterized post– World War II belligerency at sea, have been justified, at least in part, as reasonable, albeit coercive, measures to contain the geographic area of the conflict or to keep neutral shipping at a safe distance from areas of actual or potential hostilities. To the extent that such zones serve to warn neutral vessels and aircraft away from belligerent activities and thereby reduce their exposure to collateral damage and incidental injury (see paragraph 8.3.1), and to the extent that they do not unreasonably interfere with legitimate neutral commerce, they are undoubtedly lawful.”
  3. Para. 13.77 of the UK Manual: “Security zones may be established by belligerents as a defensive measure or to impose some limitation on the geographical extent of the area of conflict. However, a belligerent cannot be absolved of its duties under the law of armed conflict by establishing zones in such a manner that they adversely affect the legitimate uses of defined areas of the sea.”
    See also Para. 7.9 of NWP, see fn. 598.
  4. Para. 108 of SRM/ACS: “Nothing in this Section should be deemed to derogate from the customary belligerent right to control neutral vessels and aircraft in the immediate vicinity of naval operations.”
  5. Para. 7.8 of NWP (“Belligerent control of the immediate area of naval operations and neutral communication at sea”): “Within the immediate area or vicinity of naval operations, to ensure proper battle space management and self–defense objectives, a belligerent may establish special restrictions upon the activities of neutral vessels and aircraft and may prohibit altogether such vessels and aircraft from entering the area. The immediate area or vicinity of naval operations is that area within which hostilities are taking place or belligerent forces are actually operating. A belligerent may not, however, purport to deny access to neutral nations, or to close an international strait to neutral shipping, pursuant to this authority unless another route of similar convenience remains open to neutral traffic.”

“Exclusion Zones” in International Airspace

[Commentary]


This subsection is without prejudice to the rights of proclaiming “Air Defence Identification Zones” (ADIZ) or “Flight Information Regions” (FIR). These rights are enjoyed by every State, in times both of peace and armed conflict. ADIZs are zones established in international airspace adjacent to national airspace by which States establish reasonable conditions of entry into their territory. FIR is an aviation term used to describe airspace with specific dimensions, in which a flight information service and an alerting service are provided. Oceanic airspace is divided into Oceanic Information Regions and delegated to controlling authorities bordering that region. The division of authorities is done by international agreement through ICAO.

Rule 105

  1. A Belligerent Party is not absolved of its obligations under the law of international armed conflict by establishing “exclusion zones” or no-fly zones.
  2. [Commentary]
  3. Zones designated for unrestricted air or missile attacks are prohibited.
  4. [Commentary]

  1. Rule 105 (a) emphasizes that, by establishing “exclusion zones” or no-fly zones, Belligerent Parties are not absolved from their obligations under the law of international armed conflict,[602] nor do they acquire additional rights. Laws concerning neutrality (see section X) and targeting (see Section D), in particular, still apply within a zone.
  2. Aircraft not qualifying as military objectives may not be attacked for the mere reason of being encountered within an “exclusion zone” or a no-fly zone. While unauthorized presence in a zone may be considered an indicator of hostile intent, the principles of target discrimination as well as the rules on feasible precautions in attack still apply (see Sections D; E and G).[603]
  3. “Exclusion zones” or no-fly zones may not be abused for preventing enemy exports on board neutral aircraft (or vessels). The only lawful method for achieving that goal is blockade (for aerial blockade, see Section V).
  1. Para. 13.78 of the UK Manual: “Should a belligerent, as an exceptional measure, establish such a zone: (a) the same body of law applies both inside and outside the zone.”

    Para. 7.9 of NWP, in the second Para. thereof: “the establishment of such a zone does not relieve the proclaiming belligerent of the obligation under the law of armed conflict to refrain from attacking vessels and aircraft that do not constitute lawful targets. In short, an otherwise protected platform does not lose that protection by crossing an imagi-nary line drawn in the ocean by a belligerent.”
  2. See also Para. 12.58 of the UK Manual: “The right to fire upon any aircraft disregarding a general prohibition of entry into such a zone must be based on military necessity. That requires an assessment as to whether in all circum-stances the aircraft is a military objective and whether an attack upon it can be carried out without disproportionate loss of civilian life or civilian property.”

  1. Rule 105 (b) clearly prohibits any form of unrestricted air and missile attacks, i.e. attacks on sight against all objects and persons encountered within the zone without prior target identification or precautionary measures (see Canadian Joint Doctrine Manual[604] and Para. 7.9 of NWP[605] ).[606] Sometimes, the term “free-fire zone” is used in this context. Since, however, that is not a legal term of art, the Group of Experts preferred the use of the more established term “unrestricted … attacks”.
  2. Aircraft may not be attacked based on mere presence in an “exclusion zone” or in a no-fly zone. Air-craft can only be attacked if they constitute military objectives in accordance with all the criteria discussed in Rule 1 (y) and Section E before being made the object of attack.
  3. However, the prohibition of unrestricted warfare is without prejudice to the possibility of a specific area of land being a military objective on the basis of the location criterion (see Rule 1 (y) and Rule 22 (b)).[607]
  1. Para. 852 of the Canadian Joint Doctrine Manual: “(1) Parties to naval conflicts have on a number of occa-sions established different kinds of zones in and over water areas that deny or restrict access to vessels and aircraft of states that are not parties to the conflict. Vessels or aircraft entering such zones risk being attacked. These zones have been given a variety of names including exclusion zones, military areas, barred areas, war zones and operational zones. (2) A belligerent is not absolved of its duties under International Law by establishing zones that might ad-versely affect the legitimate uses of defined areas of the sea. In particular, such zones are not “free fire zones.”
  2. Para. 7.9 of NWP, third paragraph thereof: “Because exclusion and war zones are not simply free fire zones for the warships of the belligerents, the establishment of such a zone carries with it certain obligations for belligerents with respect to neutral vessels entering the zones.”
  3. See also Para. 8.18 of the Australian Book of Reference 5179 Manual of International Law.
  4. See, e.g., the statement made by the UK on ratification of AP/I, pertaining to Art. 52 of AP/I: “It is the under-standing of the UK that a specific area of land may be a military objective if, because of its location or other reasons specified in this Article, its total or partial destruction, capture or neutralisation in the circumstances ruling at the time offers definite military advantage.”
Categories: P: General Rules Tags:

Rule 106

Nothing in this Section of the Manual ought to be deemed as derogating from the right of a Belligerent Party:

  1. to control civil aviation in the immediate vicinity of hostilities; or

  2. [Commentary]
  3. to take appropriate measures of force protection in the form of, e.g., the establishment of warning zones.

  4. [Commentary]

  1. As indicated in paragraph 11 of the chapeau to this Section, “exclusion zones” and no-fly zones must be distinguished from other well-established belligerent rights, such as the right of belligerent control within the immediate area of operations.[608]
  2. The concept “immediate vicinity of hostilities” includes the contact zone on land and the counterpart area at sea or in the air in which hostilities are taking place or in which belligerent forces are actually operating in support of the hostilities.
  3. In order to prevent “civil aviation in the immediate vicinity of hostilities” from jeopardizing the military operations through (i) presence; or (ii) communication with anyone outside that area, a Belligerent Party may prohibit civil aviation from entering that area, or may establish special restrictions upon flights or activities (e.g., by controlling or blocking their communication).[609]
  4. Art. 30 of the HRAW provides: “In case a belligerent commanding officer considers that the presence of aircraft is likely to prejudice the success of the operations in which he is engaged at the moment, he may prohibit the passing of neutral aircraft in the immediate vicinity of his forces or may oblige them to follow a particular route. A neutral aircraft which does not conform to such directions, of which it has had a notice issued by the belligerent commanding officer, may be fired upon.”
  1. Para. 12.58 of the UK Manual: “Parties to a conflict may establish zones of immediate operations or exclusion zones within which they intend to pursue or are actively pursuing hostilities.”
    Para. 7.8 of NWP, see fn. 601.
    Para. 703 of the Canadian Joint Doctrine Manual: “2. Operational Zones. Parties to a conflict may, by appropriate notice, establish areas of immediate air operations where they pursue combat activities. Such zones may exist over the territories and territorial waters of all states involved in the hostilities. All aircraft entering such zones, including the aircraft of neutral states, risk damage from the hostilities.”
  2. Para. 108 of SRM/ACS, see fn. 600.

  1. Rule 106 (b) relates to “force protection”, which is a generally recognized belligerent right. Such measures may include the establishment and enforcement of “warning zones” around naval units (“defence bubbles”) or around military units stationed on the ground, and other measures the responsible commander considers necessary in view of a given threat.
  2. Such “warning zones” merely serve to keep aviation or navigation at a distance from the force subject to protection, and to indicate that — should they enter the zone — they are at increased risk of defensive action. The establishment of a “warning zone” may never result in attacks without prior warning. However, aircraft approaching a “warning zone” may become liable to attack if, after prior warning, they continue on their course and military necessity warrants attack.
Categories: P: General Rules Tags:

Rule 107

Should a Belligerent Party establish an “exclusion zone” in international airspace:

[Commentary]
  1. The same rules of the law of international armed conflict will apply both inside and out-side the “exclusion zone”.
  2. [Commentary]
  3. The extent, location and duration of the “exclusion zone” and the measures imposed must not exceed what is reasonably required by military necessity.
  4. [Commentary]
  5. The commencement, duration, location and extent of the “exclusion zone”, as well as the restrictions imposed, must be appropriately notified to all concerned.
  6. [Commentary]
  7. The establishment of an “exclusion zone” must neither encompass nor completely bar ac-cess to the airspace of Neutrals.
  8. [Commentary]
  9. Due regard must be given to the lawful use by Neutrals of their Exclusive Economic Zones and continental shelf, in particular artificial islands, installations, structures and safety zones.
  10. [Commentary]

  1. This Rule specifies the criteria that are constitutive for the legality of an “exclusion zone”. The preconditions spelled out in Rule 107 (a) − (e) must be fulfilled cumulatively.
  2. The expression “international airspace”, as used in Rule 107, has been understood by the Group of Experts not to be applicable to any parts of the airspace above Antarctica, and this notwithstanding paragraph 8 of the Commentary on Rule 1 (a). Although some parts of Antarctica are considered “territory not subject to the sovereignty of any State”, there is no right for a Belligerent Party to establish an exclusion zone in the airspace above Antarctica.

  1. Rule 107 (a) re-emphasizes the general Rule set out in Rule 105 (a) that a Belligerent Party, by establishing an “exclusion zone”, neither acquires additional rights nor becomes absolved from its obligations under the law of international armed conflict. Laws concerning neutrality and targeting, in particular, still apply within an “exclusion zone” (see the Commentary on Rule 105).
  2. A Belligerent Party may, as a matter of policy, decide to limit the hostilities to the area covered by the “exclusion zone”.

  1. There are no specific limits on the extent, location and duration of an “exclusion zone” or the measures imposed within it on international aviation. All this will depend upon the circumstances of each case. There must, however, be a reasonable and proportionate nexus between the zone and considerations of military necessity. The weight of the latter must be established in light of the specific purpose pursued with the establishment of the “exclusion zone”.
  2. Moreover, the nature of the respective area in which the zone is established ought to be taken into con-sideration. For instance, the location of major civil aviation routes within the zone and subsequent impact on neutral trade may be a factor in assessing what is “reasonably required by military necessity”.

  1. Since an “exclusion zone” is established and enforced in international airspace, it necessarily impacts on international civil aviation (and navigation). A Belligerent Party cannot expect international civil aviation (and navigation) to observe the restrictions imposed if neutral aircraft (and vessels) are unaware of the zone, its location, extent and duration.
  2. Therefore, based on Rule 107 (c), the Belligerent Party establishing an “exclusion zone” is obliged to publicize these details as well as the restrictive measures it purports to apply within the “exclusion zone”. The term “notify” is to be understood in a non-technical manner. It is not necessary to communicate the information via diplomatic channels. In most cases it will be appropriate to make use of a NOTAM.

  1. Neutral territory, including neutral airspace, is inviolable under the law of international armed conflict (see Rule 166). Moreover, the existence of an international armed conflict does not deprive a Neutral of its right to use its national airspace for all lawful purposes, such as egress from and entry into international airspace, as well as military exercises and operations. Based on Rule 107 (d), Belligerent Parties are under an affirmative obligation to respect these neutral rights.
  2. One ought to distinguish between (i) what is impermissible (i.e. the establishment of an “exclusion zone” encompassing neutral airspace within the zone); and (ii) what is permissible (i.e. the establishment of an “exclusion zone” in areas of the high seas, including for this purpose the EEZ, provided that adequate access / exit routes are established). While an “exclusion zone” encompassing neutral airspace within the zone will always be illegal, the mere fact that access to neutral airspace on certain routes is no longer possible, or has become restricted, is not sufficient to render an “exclusion zone” illegal. However, a partial barring of access to neutral airspace may be a violation of the Neutral’s rights if other access routes of similar safety and convenience are unavailable.

  1. The obligation of Belligerent Parties to pay due regard to the rights of Neutrals is not limited to areas in which Neutrals enjoy territorial sovereignty. According to Rule 107 (e), which is derived from Art. 58[610] and Art. 87 of UNCLOS,[611] Belligerent Parties are obliged to pay due regard to installations and other structures Neutrals have established in accordance with the respective provisions of the law of the sea.[612] As long as they are paying such due regard to artificial islands, installations, structures and safety zones, Belligerent Parties are free to conduct military activities within the EEZ of Neutrals (see also paragraph 8 of the Commentary on Rule 1 (b)) and the third paragraph of the Commentary on Rule 166).
  2. The “due regard” principle is a concept of the law of the sea and therefore established in peacetime international law. In the relations between Belligerent Parties and Neutrals, the law of the sea — to the extent it does not conflict with the law of neutrality — continues to apply. It needs to be stressed that the “due regard” principle imposes no absolute and affirmative obligation. According to that principle, Belligerent Parties are called upon to balance the military advantages anticipated with the negative impact on the Neutral’s rights in the respective airspace and sea areas.
  3. Members of the Group of Experts disagreed over whether Rule 107 (e) reflects customary international law. Some members of the Group of Experts felt that there was no established State practice with regard to this principle.
  1. Art. 58 UNCLOS (“Rights and duties of other states in the exclusive economic zone”): “(1) In the exclusive economic zone, all States, whether coastal or land-locked, enjoy, subject to the relevant provisions of this Convention, the freedoms referred to in Article 87 of navigation and overflight and of the laying of submarine cables and pipelines, and other internationally lawful uses of the sea related to these freedoms, such as those associated with the operation of ships, aircraft and submarine cables and pipelines, and compatible with the other provisions of this Convention. (2) Articles 88 to 115 and other pertinent rules of international law apply to the exclusive economic zone insofar as they are not incompatible with this Part. (3) In exercising their rights and performing their duties under this Convention in the exclusive economic zone, States shall have due regard to the rights and duties of the coastal State and shall comply with the laws and regulations adopted by the coastal State in accordance with the provisions of this Convention and other rules of international law insofar as they are not incompatible with this Part.”
  2. Art. 87 UNCLOS (“Freedom of the high seas”): “(1) The high seas are open to all States, whether coastal or land-locked. Freedom of the high seas is exercised under the conditions laid down by this Convention and by other rules of international law. It comprises, inter alia, both for coastal and land-locked States: (a) freedom of navigation; (b) freedom of overflight; (c) freedom to lay submarine cables and pipelines, subject to Part VI; (d) freedom to construct artificial islands and other installations permitted under international law, subject to Part VI; (e) freedom of fishing, subject to the conditions laid down in section 2; (f) freedom of scientific research, subject to Parts VI and XIII. (2) These freedoms shall be exercised by all States with due regard for the interests of other States in their exercise of the freedom of the high seas, and also with due regard for the rights under this Convention with respect to activities in the Area.”
  3. Para. 34 of SRM/ACS: “If hostile actions are conducted within the exclusive economic zone or on the continental shelf of a neutral state, belligerent states shall, in addition to observing the other applicable rules of the law of armed conflict at sea, have due regard for the rights and duties of the coastal state, inter alia, for the exploration and exploitation of the economic resources of the exclusive economic zone and the continental shelf and the protection and preservation of the marine environment. They shall, in particular, have due regard for artificial islands, installations, structures, and safety zones established by neutral states in the exclusive economic zone and on the continental shelf.” Similar language is also used in Para. 13.21 of the UK Manual.

Rule 108

A Belligerent Party may establish and enforce a no-fly zone in its own or in enemy national airspace.

[Commentary]

The object and purpose of this Rule is to emphasize this belligerent right and to distinguish no-fly zones from “exclusion zones”. For the purposes of this Manual, no-fly zones cannot be established in international airspace.

Rule 109

The commencement, duration, location and extent of the no-fly zones must be appropriately notified to all concerned.

[Commentary]

A Belligerent Party establishing and enforcing a no-fly zone is under an obligation to publicize the details laid down in Rule 109 to “all concerned”, i.e. to civil aviation — own, enemy or neutral — if the zone will have an impact on such aviation. There is no obligation to inform enemy military aircraft (which are military objectives by nature). As to the means of communicating the details (e.g., by NOTAM), see paragraph 2 of the Commentary on Rule 107 (c).

Rule 110

Subject to the Rules set out in Sections D and G of this Manual, aircraft entering a no-fly zone without specific permission are liable to be attacked.

[Commentary]

  1. Sections D and G deal, respectively, with attacks and precautions in attack.
  2. Rule 110 reflects that unauthorized presence in a no-fly zone may be considered an indicator of hostile intent, but in no way implies that mere presence within the zone is sufficient to warrant attack. In other words, such presence by itself does not trigger the application of the criterion of “location” to render it a military objective under Rule 22 (b).
  3. As emphasized in the UK Manual, “attacks on ostensibly civil aircraft ought only to be carried out as a last resort when there is reason to believe that it is itself deployed on an attack”.[613]
  4. Rule 110 does not authorize automatic engagement or a “free-fire zone”. As in “exclusion zones”, the principles of target discrimination (Sections D and E) and the Rules of Section G still apply.
  1. Para. 12.58.2. of the UK Manual: “The presumption, in Additional Protocol I, of civilian status in cases of doubt does not, strictly speaking, apply in air-to-air combat [see Art. 49 (4) of AP/I] Nevertheless, attacks on ostensibly civil aircraft should only be carried out as a last resort when there is reason to believe that it is itself deployed on an attack. An example might be when, during an armed conflict, an exclusion zone has been established around the United Kingdom and an apparently civilian airliner enters the zone on a course set for a major city, all required notification and other procedures to establish the zone have been meticulously completed, and all attempts to communicate with the aircraft, including buzzing, have failed or been ignored.”