Annex 1 – Declarations Matrix and Economically–Based Recommendations
Ratification of the Cape Town Convention and Aircraft Equipment Protocol (prepared jointly by the Aviation Working Group (“A.W.G.”))
This matrix and the evaluative comments contained therein have been prepared to illustrate the optimal declarations or non–declarations in order to enhance the economic benefits to be derived from the Cape Town Convention. In determining their positions on declarations, States may wish to use this matrix in connection with the weighing of economic versus other policy considerations.
References are to the Convention (“C–Art.”) and Aircraft Equipment Protocol (“P–Art.”). Without diminishing the potential legal or political importance in a given State of other permitted declarations, those of particular economic significance are set out in bold.
References to Form numbers are to the Explanatory Memorandum prepared by the Secretariat of UNIDROIT, as Depositary. Only those forms for provisions where a declaration is contemplated by the Matrix have been included therein.
Explanatory Notes:
(1) Opt–out provisions are those provisions that apply unless a declaration is made. Opt–in provisions are those provisions that only apply if a declaration is made. Whether a provision is opt–in or opt–out is noted under column B.
(2) All declarations under the Convention as relates to aircraft objects are made the time of ratification, acceptance, approval of, or accession to the Aircraft Protocol.
For further information, please contact Jeffrey Wool, Secretary, A.W.G., +44 2078 327107.
A.
B.
C.
D.
E.
F.
Form No.
Article 56 of the Convention authorises declarations under Article:
Headings
Declaration
Particulars of Declaration, if applicable
Relates to Article
Nos. 1, 2, and 5
C–Art. 39(l)(a)and 39(4)
Rights having priority without registration (Opt–in) (non–consensual rights and interests)
Yes, but limited
(1) Specific and quantifiable list of qualifying categories that, under current law, have priority without national registration;
C–Art. 1(s)
(2) Limited to customary categories (e.g., repairers);
(3) Limited to claims arising following a declared
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Annex 1 Declarations Matrix and Economically–Based Recommendations* followed by Key declarations
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A. B. C. D. E. F.
Form No.
Article 56
of the
Convention
authorises
declarations
under
Article:
Headings Declaration
Particulars of
Declaration, if
applicable
Relates to
Article
default
No. 6
C–Art. 40
Registrable non–consensual rights or interests (Opt–in)
Yes,
(1) Specific list of qualifying categories (e.g., judgment creditors);
C–Art. l(s)
(2) Use of this declaration, rather than C–Art. 39(l)(a) declaration, is preferred – bringing all categories of aviation interests within the first–to–file Registry system
Nos. 7 and 8
C–Art. 50
Internal transactions (Opt–out)
No
C–Arts. l(n), (r)
Nos. 9 and 10
C–Art. 52
Territorial Units (Opt–in)
See Column
(1) Only if required by constitutional principles;
P– Art. XXIX (same topic; thus must be consistent)
(2) If made, Convention should apply to all territorial units with aviation interests
No. 11
C–Art. 53
Determination of courts (Opt–in)
Yes
As specific as possible, preferably listing the courts by name
C–Art. 1(h), Chapter XII
No. 12
C–Art. 54(1)
Preventing lease as remedy (Opt–out)
No
C– Art. 8(l)(b)
No. 13
C–Art. 54 (2)
Remedy –Leave of Court (mandatory declaration)
Yes
Track wording in C–Art, 54(2): leave of court is not required nor is any other court action
C–Art. 8 & 10
Nos. 14, 15, 16 and 17
C–Art. 55
Declarations regarding relief pending final determination of a claim (Opt–out)
No
C–Arts. 13 and 43 (See also P–Art. X) LON1593265/5 Page 2
Annex 1 Declarations Matrix and Economically–Based Recommendations* followed by Key declarations
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A. B. C. D. E. F.
Form No.
Article 56
of the
Convention
authorises
declarations
under
Article:
Headings Declaration
Particulars of
Declaration, if
applicable
Relates to
Article
No. 18
C– Art. 60(1)–(3)
Transitional Provisions (Opt–in)
C–Art. l(v)
No. 19
P– Art. VIII
Contractual Choice of Law (Opt–in)
Yes
(l)Wording declaring application;
P–Art. XXX(l)
(2) Technically, this declaration is made under P–Art. XXX(l);
(3) Choice of law should apply wholly, not in part
No. 21
P– Art. X
Modification of provisions regarding relief pending final determination of a claim (Opt–in)
Yes
(1) Wording declaring application (wholly, not in part);
(2) Timetable for remedies under C–Art. 13(l)(a)–(c), shall be the number of working days equivalent to no more than 10 calendar days;
P– Art. XXX(2); C–Art. 13
(3) Timetable for remedies under C–Art. 13(l)(d)–(e), shall be the number of working days equivalent to no more than 30 calendar days;
(4) Technically, this declaration is made under P–Art. XXX(2) LON1593265/5 Page 3
Annex 1 Declarations Matrix and Economically–Based Recommendations* followed by Key declarations
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A. B. C. D. E. F.
Form No.
Article 56
of the
Convention
authorises
declarations
under
Article:
Headings Declaration
Particulars of
Declaration, if
applicable
Relates to
Article
No. 23
P–Art. XI
Remedies on Insolvency (Opt–in)
Yes
(1) Wording declaring application of Alternative A (wholly, not in part) to “all insolvency proceedings and other proceedings relating to an insolvency–related event”;
P–Art. XXX(3); C–Art. 1(1) and P–Arts. I(2)(m),(n)
(2) Declared “waiting period” under P– Art. XI(3) is 60 calendar days;
(3) Technically, this declaration is made under P–Art. XXX(3)
No. 26
P–Art. XII
Insolvency Assistance (Opt–in)
Yes
(1) Wording declaring application;
P– Art. XXX(l); P–Art. XI
(2) Technically, this declaration is made under P–Art. XXX(l)
No. 27
P–Art. XIII
De–registration and export request authorisation (Opt–in)
Yes
(1) Wording declaring application;
P– Arts. IX(1) and (5)
(2) Technically, this declaration is made under P–Art. XXX(l)
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Annex 1 Declarations Matrix and Economically–Based Recommendations* followed by Key declarations
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A. B. C. D. E. F.
Form No.
Article 56
of the
Convention
authorises
declarations
under
Article:
Headings Declaration
Particulars of
Declaration, if
applicable
Relates to
Article
Nos. 28 and 29
P–Art. XIX
Designated entry points (Opt–in)
No (See Column )
No declaration is recommended; if one is made, (a) as relates to airframes and helicopters, the declaration must be limited to those pertaining to aircraft for which the declaring State is the State of Registry; and (b) minimal conditions, if any, to be satisfied prior to use should be clearly specified, and an added fee should not be included in those conditions
C–Art. 18(5)
Nos. 31
P–Art. XXX(5)
Declarations relating to certain provisions (modification of jurisdiction rules) (Opt–out)
No
P–Art. XXI
No. 32
P– Art. XXIV(2)
Relationship with the Convention for the unification of Certain Rules Relating to the Precautionary Attachment of Aircraft (Rome Convention of 1933) (Opt–out)
No
C–Art. 54(2)
No. 34
P– Art. XXIX
Territorial Units (Opt–in)
See Column
(1) Only if required by constitutional principles;
CVN 52(1) (same topic; thus must be consistent)
(2) If made, Convention should apply to all territorial units with aviation interests
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Annex 1 Declarations Matrix and Economically–Based Recommendations* followed by Key declarations
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A. B. C. D. E. F.
Form No.
Article 56
of the
Convention
authorises
declarations
under
Article:
Headings Declaration
Particulars of
Declaration, if
applicable
Relates to
Article
No. 35
C–Art. 48(2)
Regional Economic Integration Organisation
N/A
Any declaration should be as specific as possible
P– Art. XXVII (same topic; thus must be consistent)
No. 36
P– XXVII(2)
Regional Economic Integration Organization
N/A
Any declaration should be as specific as possible
CVN Art. 48(2) (same topic; thus must be consistent)
Key Declarations Reflecting the A.W.G. Declarations Matrix – with Completed Text attached (Based on UNIDROIT Forms, modified as necessary)
PREFATORY NOTE: Applying commercial criteria, the declarations other than those specified below should not be made (i.e., UNIDROIT Forms 2, 4, 5, 7–8, 12, 14–18, 20, 22, 24–25, 30–34) except (i) technical declarations (i.e., UNIDROIT Forms 9–11 and 34–35). Whether a declaration regarding an entry point (UNIDROIT Form 28–29) requires particular attention. If that declaration is made, minimal conditions should be specified (as permitted by Article 19(5) of the Convention.
A. KEY DECLARATIONS UNDER THE CONVENTION (COMPLETED TO REFLECT A.W.G. MATRIX)
Form No. 1 Specific Declarations under Article 39(1)(a)
“{Name of State} declares that the following categories of non–consensual right or interest;
1. liens in favour of workers for unpaid wages arising since the time of a declared default under a contract to finance or lease the subject object;
2. liens in favour of repairers of an object in their possession to the extent of service performed on and value added to that object –
have priority under its law over an interest in an object equivalent to that of the holder of a registered international interest and shall have priority over a registered international interest, whether in or outside insolvency.”
Form No. 6 Declarations under Article 40
“{Name of State} declares that the following categories of non–consensual right or interest;
1. right of a person obtaining a court order permitting attachment of an aircraft object in partial or full satisfaction of a legal judgment;
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2. liens or other rights of the government of {name of state} relating to taxes or other unpaid charges of any type whatso