uniform law review article 2006

7/29/2019 Uniform Law Review Article 2006

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a publication of / une publication deUNIDROIT

International Institute for the Unification of Private Law

Institut international pour lunification du droit priv

NS - Vol. XI 2006-1

Special Focus : The International Registration System for Aircraft Objects

Dossier spcial : Le systme international dinscription pour les biens

aronautiques

The Role of the International Registry Task Force (I.R.T.F.) in the

Development of the International Registry for Interests in AircraftLe rle du Groupe spcial sur le Registre international (G.S.R.I.)

dans la mise en place du Registre pour les garanties internationales

portant sur des biens aronautiques

Joseph R. STANDELL

The International Registry for Interests in Aircraft :

An Overview of its Structure

Le Registre international pour les garanties internationales portant

sur des biens aronautiques : prsentation de sa structure

Ronald C.C. CUMING

Regulations and Procedures for the International Registry

www.unidroit.org


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6 Unif. L. Rev. 2006

Editors Note

The Editorial Board of the Uniform Law Review / Revue de droit uniforme is pleased to informreaders that the Convention on International Interests in Mobile Equipment as applied to aircraftobjects entered into force on 1 March 2006, pursuant to the deposit, by Malaysia on 2 November2005, of the eighth instrument of ratification/accession in respect of the Protocol to theConvention on Matters specific to Aircraft Equipment.* Also, on 1 March 2006 the InternationalRegistry for aircraft objects became operational, in accordance with Resolution No. 2 adopted by

the Cape Town diplomatic Conference.

The Editorial Board has considered it opportune to mark these historic events by commissioningspecial articles both on the overall international registration system for aircraft objects usheredin with the entry into operation of the International Registry and on the background to theprocess whereby the International Registry was established, namely the essential pioneeringwork carried out during the preparatory intergovernmental consultation process on theConvention and Protocol by the International Registry Task Force ( I.R.T.F.). These articles werecommissioned of Professor Ronald C.C. Cuming (University of Saskatchewan), a correspondentof UNIDROIT and, as Chairman of the Registration Working Group that carried out a great deal ofthe preparatory work on the development of the provisions of the future Convention andProtocol relating to international registration, very much the father of the conceptual structureof the new International Registry, and Mr Joseph R. Standell (Aeronautical Center for the U.S.

Federal Aviation Administration), as Co-chairman of the I.R.T.F., respectively.

The Editorial Board considered that readers would also find it useful to have access in the sameissue to the final text of the Regulations and Procedures for the International Registry asapproved by the Preparatory Commission set up pursuant to the aforementioned Resolution toact with full authority as Provisional Supervisory Authority for the establishment of theInternational Registry pending the entry into force of the Convention and the Protocol. Forauthorising its publication of the Regulations and Procedures, the Editorial Board acknowledgeswith especial gratitude the co-operation of the International Civil Aviation Organization(I.C.A.O.), which not only co-sponsored the aforementioned intergovernmental consultationprocess with UNIDROIT but the Council of which is the Supervisory Authority of the newInternational Registry.

* As at 1 March 2006 a total of9 instruments of ratification/accession had been deposited, followingthe deposit by Senegal of its instrument of ratification on 9 January 2006.


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Rev. dr. unif. 2006 7

Note de la rdaction

La Rdaction de la Uniform Law Review / Revue de droit uniforme a le plaisir dinformer seslecteurs que la Convention relative aux garanties internationales portant sur des matrielsdquipement mobiles telle quelle sapplique aux matriels dquipement aronautiques estentre en vigueur le 1er mars 2006, la suite du dpt par la Malaisie le 2 novembre 2005, duhuitime instrument de ratification / adhsion au Protocole portant sur les questions spcifiquesaux matriels dquipement aronautiques*. Par ailleurs, le Registre International pour les biens

aronautiques est devenu oprationnel le 1er

mars 2006, conformment la Rsolution n 2adopte par la Confrence diplomatique du Cap.

La Rdaction a estim opportun de marquer ces vnements historiques en commissionnantdes articles spcialement consacrs lensemble du systme dinscription pour les biensaronautiques qui verra le jour avec lentre en fonctionnement du Registre International, et la prsentation du processus par lequel le Registre International a t tabli, savoir le travailessentiel qui a t accompli durant les consultations intergouvernementales sur la Conventionet le Protocole par le Groupe spcial sur le Registre international (G.S.R.I.). Ces contributionsont t fournies par le Professeur Ronald C.C. Cuming (Universit de Saskatchewan),correspondant dUNIDROIT, en sa qualit de Prsident du G.S.R.I.qui a effectu une partieimportante du travail qui a men llaboration des dispositions sur linscription des futursinstruments, ainsi que par M. Joseph R. Standell (Centre de laronautique de lAdministrationfdrale de laviation des Etats-Unis), en sa qualit de co-prsident du G.S.R.I.

La Rdaction a estim utile de mettre la disposition de ses lecteurs dans le mme numro letexte final du Rglement et des Rgles de procdures pour le Registre international (Regulationsand Procedures for the International Registry) tels quapprouvs par la Commission prparatoiretablie en vertu de la Rsolution susmentionne, et qui a t investie des pouvoirs ncessairespour faire fonction dAutorit provisoire de surveillance pour ltablissement du Registreinternational en attendant lentre en vigueur de la Convention et du Protocole. La Rdactionexprime enfin une reconnaissance particulire lOrganisation de lAviation civileinternationale (OACI) qui a autoris la publication du Rglement et des Rgles de procdurespour le Registre, pour sa coopration avec UNIDROIT dans les consultations intergouver-nementales susmentionnes et dont le Conseil est lAutorit de surveillance du nouveau

Registre international.

* Au 1er mars 2006, le nombre dinstruments de ratification et dadhsion slevait neuf, leSngal ayant dpos son instrument de ratification le 9 janvier2006.


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8 Unif. L. Rev. 2006

The Role of the International Registry Task Force(I.R.T.F.) in the Development of the InternationalRegistry for Interests in Aircraft

Joseph R. Standell *

BACKGROUND

At least since 1994,1 advocates of what were to become known as the Cape TownConvention and Aircraft Protocol 2 have always included an international registry 3 asa key component in protecting creditors rights. It had always been understood that onthe day these instruments came into force,4 an international registry for aircraft objectswould need to be operational.5

* Aeronautical Center Counsel for the Federal Aviation Administration (F.A.A.) in Oklahoma City,

Oklahoma, U.S.A. In that capacity he is the principal legal advisor to the F.A.A. Civil Aviation Registry. He has

been continually involved in matters relating to the Cape Town Convention since 1996. He has been a

member of the Registration Working Group; as a U.S. Delegation member, he has attended the three JointSessions of governmental experts sponsored by the International Civil Aviation Organization (ICAO) /

UNIDROIT; he was co-chairman of the International Registry Task Force (I.R.T.F.), member of the U.S. Delegation

at the Cape Town diplomatic Conference, and U.S. member of the Preparatory Commission.

The other co-chairman of the I.R.T.F., Mr Georges GRALL, was, during the mandate of the I.R.T.F.,deputy director for airlines (in which the French office for the registration of aircraft is located) in the

Directorate-General of Civil Aviation. From 1999, he took part, as a member of the French delegation, in the

Joint Sessions of ICAO/UNIDROIT, in the sessions of the ICAO Legal Committee and in the Cape Town

diplomatic Conference; in this context, he took part in the work of the Registration Working Group and

subsequently in the I.R.T.F. After the Cape Town Conference he was appointed Inspector-General for CivilAviation.

1 The author is indebted to Professor Sir Roy GOODE for helping to refresh his recollection as to

many key events leading to the establishment of the International Registry. See Chronology, beginning atp. 363 of his Official Commentary(Rome, 2002).

2 The Convention on International Interests in Mobile Equipment and the Protocol thereto on

Matters specific to Aircraft Equipment, as opened to signature in Cape Town on 16 November2001.3 Convention, Art. 16(1); Protocol, Art. XVII.4 The Protocol, and the Convention as applied to aircraft objects, entered into force on 1 March

2006, that date being the first day of the month following the expiration of three months after the date of the

deposit with UNIDROIT of the eighth instrument of ratification/accession in respect of the Protocol; ConventionArt. 49(1), Protocol, Art. XXVIII(1).

5 For a detailed presentation of the Registry system, see Ronald C.C. C UMING, The International

Registry for Interests in Aircraft: An Overview of its Structure, reproduced in this issue of Unif. L. Rev. / Rev.dr. unif.,18.


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Le rle du Groupe spcial sur le Registre international

(G.S.R.I.) dans la mise en place du Registre pour les

garanties internationales portant sur des biens aronautiques

Joseph R. Standell *

HISTORIQUE

Trs tt durant les travaux prparatoires en 19941, les rdacteurs de la Convention duCap et du Protocole aronautique 2 ont estim quun registre international 3 serait unlment essentiel pour assurer la protection des droits des cranciers. Il tait entenduquau jour de lentre en vigueur des instruments 4, un Registre international pour lesbiens aronautiques devrait tre oprationnel 5.

* Conseiller juridique, Centre aronautique de lAdministration fdrale de laronautique (FederalAviation Administration F.A.A.) Oklahoma City, Oklahoma, Etats-Unis dAmrique (U.S.A). A ce titre,principal conseiller juridique pour le Registre de laviation civile au sein de la F.A.A. Il a suivi lensemble destravaux prparatoires de la Convention du Cap depuis 1996 ; membre du Comit dtude sur le Registre ;membre de la dlgation des U.S.A aux trois Sessions Conjointes dexperts gouvernementaux sous les auspicesde lOrganisation de lAviation civile internationale (OACI) / UNIDROIT ; Co-prsident du Groupe spcial sur leRegistre international (G.S.R.I.) ; membre de la dlgation des U.S.A. la Confrence diplomatique du Cap etmembre de la dlgation des U.S.A. la Commission prparatoire.

La version franaise ici reproduite est une traduction (par la rdaction de la publication).Lautre co-prsident du G.S.R.I., M. Georges GRALL, tait pendant le mandat du Groupe spcial

responsable de la sous-direction des entreprises de transport arien dans laquelle se trouve le bureau duregistre franais dimmatriculation des aronefs la direction gnrale de laviation civile. Il a particip, entant que membre de la dlgation franaise, partir de 1988 aux Sessions conjointes OACI/ UNIDROIT, cellesdu Comit juridique de lOACI, et la Confrence diplomatique du Cap ; il a particip dans ce cadrenotamment au Groupe de travail sur le Registre, puis co-prsid le Groupe spcial sur le Registre international.Postrieurement la Confrence du Cap, il a t nomm inspecteur gnral de laviation civile.

1 Lauteur remercie le Professeur Sir Roy GOODE dont la partie concernant la Chronologie de sonCommentaire Officiel (Rome, 2002) (p. 385) a t trs utile pour la reconstitution des principaux stades qui ontmen ltablissement du Registre.

2 La Convention relative aux garanties internationales portant sur des matriels dquipementmobiles et le Protocole y relatif portant sur les questions spcifiques aux matriels dquipement aro-

nautiques, ouverts la signature au Cap le 16 novembre 2001.3 Convention, art. 16(1) ; Protocole, art. XVII.4 Le Protocole, et de ce fait la Convention telle quelle sapplique aux biens aronautiques, est

entr en vigueur le 1er mars2006, soit le premier jour du mois aprs lexpiration dune priode de trois mois compter de la date du dpt auprs dUNIDROIT du huitime instrument de ratification du Protocole oudadhsion celui-ci ; Convention art. 49(1), Protocole, art. XXVIII(1).

5 Pour une prsentation dtaille du systme dinscription, voir Ronald C.C. CUMING, Le Registre

international pour les garanties internationales portant sur des biens aronautiques : prsentation de sastructure, publi dans ce volume de la Unif. L. Rev. / Rev. dr. unif.,18.


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Joseph R. Standell The International Registry Task Force (I.R.T.F.)

10 Unif. L. Rev. 2006

Work on legal and technical issues involving an international registry for aircraftobjects began in April 1996 in Rome with the first meeting of the RegistrationWorking Group of the Study Group for the preparation of uniform rules on certaininternational aspects of security interests in mobile equipment, chaired by ProfessorRonald C.C. CUMING (Canada). The Registration Working Group 6 continued toexamine the registration provisions of what were then the preliminary draftConvention and preliminary draft Aircraft protocol and technical aspects of aninternational registry for aircraft objects until September1999.

At the Third Joint Session of the UNIDROIT Committee of governmental expertsand the Sub-Committee of the ICAO Legal Committee held in Rome in March 2000,an ad hoc International Registry Task Force (I.R.T.F.) of the Joint Session was formed 7

pursuant to approval of a joint proposal submitted by the Governments of France andthe U.S.A. Approval was conditioned on the requirement that the I.R.T.F. keep ICAOand UNIDROIT informed of its work and that itconsult with the Secretariats concerningthe composition of the I.R.T.F. Participation was purely voluntary. Fifteen Statesindicated an interest in the work of the I.R.T.F. Joseph STANDELL (United States) andGeorges GRALL (France) were elected as co-chairmen by the initial participants.8

The newly formed I.R.T.F. met informally during the Third Joint Session, mindfulthat its job would be to make recommendations through the UNIDROIT and ICAOSecretariats with respect to developing the basic requirements of the InternationalRegistry for aircraft objects.

WORK OF THE I.R.T.F.(JUNE 2000 OCTOBER 2001)

First Report of the I.R.T.F.

Thirty-one participants from 11 Governments and four Organizations attended the firstI.R.T.F. meeting in Paris in June 2000.9 The First I.R.T.F. Report was then submitted tothe UNIDROIT and ICAO Secretariats on 28July 2000.

Of immediate concern in Paris was the creation of documents that could be usedby the Supervisory Authority 10 to establish, and supervise the operations of, theInternational Registry. The process would include developing a request for proposals,

6 The continuation of the work of the Registration Working Group was approved at the First ICAO /

UNIDROIT Joint Session in Rome in February 1999.7 Third Joint Session Report, Agenda Item No. 7, paras 290, 291 and 292. (ICAO Ref. LSC/ME/3-

Report and UNIDROITCGE/Int.Int/Int/3-Report).

8 The co-chairmen were elected from countries which were on record as not seeking to operate the

International Registry, and which therefore would not enter bids to become the host State of the Registry.9 The Governments of Brazil, Canada, France, Ireland, Japan, Norway, Portugal, Singapore,

Sweden, Switzerland and the U.S.A. and ICAO, UNIDROIT, the Aviation Working Group (A.W.G.) and theInternational Air Transport Association (I.A.T.A.).

10 The Supervisory Authority is established by Art. 17(1) of the Convention and invested with

functions that include the establishment of the International Registry, and the supervision of the Registrar andof the operation of the International Registry.


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Joseph R. Standell Le Groupe spcial sur le Registre international (G.S.R.I.)


Les travaux portant sur les questions juridiques et techniques lies au Registreinternational pour les biens aronautiques ont dmarr en avril 1996, Rome, loccasion de la premire runion du Groupe de travail sur le Registre constitu ausein du Comit dtude charg de llaboration de rgles uniformes sur certainsaspects internationaux des srets portant sur des matriels dquipement mobiles,prsid par le Professeur R.C.C. Cuming (Canada). Le Groupe de travail sur leRegistre 6 a poursuivi jusquen septembre 1999 lexamen des dispositions des textes alors ltat davant-projets de la Convention et du Protocole aronautique, ainsique des aspects techniques du Registre international pour les biens aronautiques.

A la Troisime Session conjointe du Comit dexperts gouvernementauxdUNIDROIT et du Sous-comit du Comit juridique de lOACI tenue Rome en mars

2000, suite lapprobation dune proposition des Gouvernements de la France et desU.S.A., il a t constitu un Groupe spcial ad hoc sur le Registre international (G.S.R.I.)de la Session conjointe 7, tant entendu que le G.S.R.I. devrait tenir informs lOACI etUNIDROIT de lavancement de ses travaux, et que la composition du Groupe seraittablie en consultation avec les Secrtariats des deux Organisations. La participation auGroupe tait caractre purement volontaire, et quinze Etats ont marqu leur intrtpour les travaux du G.S.R.I.MM. Joseph STANDELL (Etats-Unis dAmrique) et GeorgesGRALL (France) ont t lus co-prsidents par les participants initiaux 8.

Le G.S.R.I. nouvellement constitu sest runi de faon informelle durant laTroisime Session conjointe, et a pris note que son mandat tait de formuler des recom-

mandations par le truchement des Secrtariats dUNIDROIT et de lOACI relativement auxcaractristiques principales du Registre international pour les biens aronautiques.

TRAVAUX DU G.S.R.I.(JUIN 2000 OCTOBRE 2001)

Premier rapport du G.S.R.I.

Trente et un participants reprsentant 11 Gouvernements et quatre Organisations ontparticip la premire runion du G.S.R.I. Paris en juin 2000 9. Le premier rapportdu G.S.R.I. a t soumis aux Secrtariats dUNIDROIT et de lOACI le 28juillet 2000.

A la runion de Paris, lattention du G.S.R.I. sest immdiatement porte sur laconstitution des documents qui devraient tre utiliss par lAutorit de surveillance 10

6 La poursuite des travaux du Groupe de travail sur le registre a t approuve la Premire Sessionconjointe OACI / UNIDROIT Rome en fvrier1999.

7 Rapport de la Troisime Session conjointe, Point n 7, paras. 290, 291, et 292 (OACI Ref.LSC/ME/3-Report et UNIDROITCGE/Int.Int/Int/3-Report).

8 Les co-prsidents ont t lus en reprsentation de pays qui ont expressment consign leurintention de ne pas participer lappel doffres en vue de devenir Etats htes du Registre.

9 Les Gouvernements des Etats suivants : Brsil, Canada, France, Irlande, Japon, Norvge, Portugal,Singapour, Sude, Suisse et U.S.A.; Organisations : OACI, UNIDROIT, le Groupe de travail aronautique (G.T.A.)et lAssociation internationale du transport arien (I.A.T.A.).

10 Lautorit de surveillance est tablie par lart. 17(1) de la Convention ; elle a notamment pourfonctions dtablir le Registre international, et de surveiller le Conservateur et le fonctionnement du Registre.


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12 Unif. L. Rev. 2006

a requirements document, and a process for soliciting and evaluating proposals. 11 Asignificant addition to the draft text was language in paragraph 3 of the requirementsdocument requiring that States submit proposals to include their business plan forachieving objectives.

The Paris participants concluded that an award should be made shortly after thediplomatic Conference, with a fully operational International Registry no later than 12months after notice to proceed.12 It was recommended that a request for proposals beissued six months before the diplomatic Conference. These recommendations provedto be unrealistic.

Among the other key concepts discussed were electronic signatures, websiteaccess and how and by whom start up costs and recurring costs would be financed.13

Attached to the First Report were solicitation documents and papers onelectronic signatures, confidentiality of information and liability of the SupervisoryAuthority and the Registrar.

Second Report of the I.R.T.F.

At an informal meeting of the I.R.T.F. in Montreal in September2000, held during theICAO Legal Committees 31st session, I.R.T.F. participants agreed jointly to preparetopical papers 14 to be presented and discussed at the following formal I.R.T.F.meeting.

The Second Report was submitted to the UNIDROIT and ICAO Secretariats on 20February 2001 and described I.R.T.F. work in Dublin (Ireland) and later in

Washington, D.C. (U.S.A.).At the Dublin meeting in January 2001, a core group of States and Organizations

again participated.15

The request for proposals package continued to be scrutinized, particularly theevaluation plan for the International Registry system.16 It was decided that the requestfor proposals package needed bolstering and should contain a description of the basicfeatures of the Registry. Such background information would be very valuable topotential offerors. The Aviation Working Group (A.W.G.) agreed to prepare a draftdocument on the basic features of the proposed International Registry to be presentedto the I.R.T.F. in Washington, D.C.

11 I.R.T.F. First Report, p. 3, para. 8.

12 Idem, p. 9, Art. 31.13 Idem, p. 7, paras 25 to 30.14 Regulations of the International Registry: Switzerland and Japan; Technical evaluation plan for

evaluating proposals: France and the United States; Proprietary rights in software and hardware: Singapore andIreland; Scope of international legal relations between the Supervisory Authority and the Registrar: UNIDROITand France; Funding cost recovery methods: Finland and A.W.G.; Cost of insurance (force majeure): Canadaand Sweden.

15 Nine States and all four organizations that had met in Paris.16 Attachment No. 4 to the Request for proposals, as submitted with the 2nd Report.


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pour ltablissement et le fonctionnement du Registre international. Il tait entenduquil faudrait prvoir un questionnaire pour recueillir les propositions, un documentsur les critres, et un processus dvaluation des offres 11. Une prcision importante at incluse au paragraphe 3 du projet de document sur les critres prvoyant que lesEtats qui avanceraient des propositions devraient prsenter leur plan industriel et leurdmarche pour atteindre les objectifs.

Les participants la runion de Paris ont conclu que ladjudication devrait avoirlieu aussitt aprs la Confrence diplomatique afin que le Registre soit oprationnelau plus tard 12 mois aprs que soit donn laccord au dploiement du systme 12. Il at recommand que le questionnaire pour recueillir les propositions soit mis sixmois aprs la Confrence diplomatique, mais cet objectif sest avr irraliste.

On signalera que parmi les questions essentielles dbattues se trouvaient cellesdes signatures lectroniques, laccs par site Internet, et le point de savoir comment etpar qui seraient financs les cots initiaux de lancement puis de fonctionnement 13.

Le Premier Rapport reproduisait en annexe les documents dappel doffres, et desnotes concernant les signatures lectroniques, la confidentialit des informations et laresponsabilit de lAutorit de surveillance et du Conservateur.

Deuxime Rapport du G.S.R.I.

Une runion informelle du G.S.R.I. sest tenue Montral en septembre 2000, loccasion de la 31me session du Comit juridique de lOACI, lors de laquelle les partici-pants sont convenus de prparer des documents se rapportant diffrents sujets 14 qui

seraient prsents et discuts lors de la runion officielle suivante du G.S.R.I.

Le Deuxime Rapport, soumis aux Secrtariats dUNIDROIT et de lOACI le 20fvrier 2001, rendait compte des travaux des runions de Dublin (Irlande), et deWashington, D.C. (U.S.A.).

A la runion de Dublin tenue en janvier2001 15, le document dappel doffres a denouveau t examin, notamment le plan dvaluation pour le systme du Registreinternational 16. Il a t estim que ce document devrait tre tay et devrait contenirune description des caractristiques principales du Registre, qui seraient extrmementutiles pour les soumissionnaires potentiels. Le Groupe de travail aronautique (G.T.A.) aaccept de prparer un projet de document qui serait prsent au G.S.R.I. sa runionde Washington, D.C.

11 G.S.R.I. Premier Rapport, page 3, para. 8.

12 Idem, page 9, art. 31.13 Idem, page 7, paras. 25 30.14 Rglement du Registre international : Suisse et Japon ; Plan dvaluation technique pour lexamen

des propositions : France et U.S.A.; Droits de proprit des logiciels et matriels informatiques : Singapour et

Irlande ; Etendue des relations juridiques internationales entre lAutorit de surveillance et le Conservateur :

UNIDROIT et France ; Modes de financement et de recouvrement des cots du nouveau Registre International :

Finlande et G.T.A.Cot de lassurance (force majeure) : Canada et Sude.15 Neuf des Etats et les quatre Organisations qui staient runis Paris.16 Pice jointe n 4 au Questionnaire pour recueillir des propositions, joint au Deuxime Rapport.


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14 Unif. L. Rev. 2006

Topical papers 17 were presented and discussed in Dublin. However, it wasdecided to defer referral thereof to the Secretariats.

In Washington, D.C., in February 2001, the scope of the basic features document,as presented by the A.W.G., was examined. This document unexpectedly raisedseveral significant issues, for example, as to whether to allow ex ante intervention bythe Registrar with respect to the registrability of interests by parties lacking authority,18and admissibility of data concerning Chicago Convention registration numbers.19

With respect to the submission of the I.R.T.F.s Second Report, the request forproposals package (which now included the basic features document) superseded thepackage previously submitted. The new package consisted of a request for proposalswith attachments, those attachments being a basic features document, a requirementsdocument; instructions for the submission of proposals and an evaluation plan.20

Third Report of the I.R.T.F.

The core I.R.T.F.21 met for the final time in Geneva from 10 to 12 September2001 todiscuss the topics assigned to different members:

Regulations of the International Registry (Governments of Switzerland and Japan)

The International Registry Regulations as drafted in Geneva had 17 chapters.Comparing the I.R.T.F. draft with what the Preparatory Commission finallyapproved in 2005 as the Regulations,22 it appears that the structure and topicalcontent of both are quite similar. What has changed significantly is the detail. Forinstance, the application process for registrations as described in Chapter5 of the

Geneva draft provides the barest information, whereas Section 5 of the approvedRegulations goes into great detail with respect to the information required toeffect different types of registration.23

Private law aspects of the relation between the Supervisory Authority and theRegistry, including proprietary rights in software/hardware (Governments ofFrance, Ireland and Singapore and UNIDROIT)

17 See supra note 14.

18 Second Report, p. 5, para. 16.19 Idem, p. 5, para. 19.

20 It should be noted that the I.R.T.F.s documents submitted with the Second Report were latersubstantially adapted by the Preparatory Commission during the solicitation, evaluation and award process.

21 The Governments of Brazil, Canada, Finland, France, Ireland, Japan, Singapore, Sweden,

Switzerland and the U.S.A. and ICAO, UNIDROIT, A.W.G. and I.A.T.A..22

The Regulations form part of the Regulations and Procedures for the International Registrywhichwere approved by the Preparatory Commission (see the text reproduced in this issue of Unif. L. Rev. / Rev. dr.unif.,60).

23 Continuing work on the International Registry Regulations was accomplished by the Draft

Regulations Working Group of the Preparatory Commission.


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Les documents thmatiques 17 ont t prsents et discuts Dublin. Toutefois, ila t dcid de ne les transmettre quultrieurement aux Secrtariats.

A Washington, D.C., en fvrier2001, le document prsent par le G.T.A. sur lescaractristiques principales du Registre a t examin. Il sest avr soulever denouvelles questions importantes, comme celle de lintervention pralable duConservateur concernant la possibilit dinscrire des garanties par des parties nonhabilites cet effet 18, et la possibilit dutiliser les donnes et numros dimma-triculation en vertu de la Convention de Chicago 19.

Pour ce qui est du Deuxime Rapport du G.S.R.I., le nouveau document dappeldoffres (incluant dsormais le document sur les caractristiques principales duRegistre) consistait en un appel propositions accompagn de pices jointes, savoirle document sur les caractristiques de base, un cahier des charges, des instructionspour la prsentation des propositions et un plan dvaluation 20.

Troisime Rapport du G.S.R.I.

Le G.S.R.I. sest runi pour la dernire fois Genve 21 du 10 au 12 septembre 2001pour discuter des sujets dont ltude avait t confie aux diffrents membres:

Rglement du Registre international (Gouvernements de la Suisse et du Japon)

Le Rglement du Registre international tel que rdig Genve contenait 17chapitres. Si lon compare le projet du G.S.R.I. avec le texte finalement adopt en2005 par la Commission prparatoire 22, on constate que la structure et le contenusont fort semblables, mais que les changements sont nombreux sur les questions

de dtail. Par exemple, le processus de demande dinscription dcrit dans leChapitre 5 du projet de Genve prvoit de livrer des information minimums, alorsque la section 5 du texte final approuv est trs dtaille pour ce qui est desinformations requises pour effectuer les diffrents types dinscription 23.

Les relations de droit priv entre lAutorit de Surveillance et le Registre, y comprisles aspects lis aux droits de proprit des logiciels et matriels informatiques(Gouvernements de France, dIrlande et de Singapour et UNIDROIT)

17 Cf. supranote14.18 Deuxime Rapport, page 5, para. 16.19 Idem, page 5, para. 19.20 Il convient de souligner que les documents du G.S.R.I. soumis avec le Deuxime Rapport ont t

par la suite modifis substantiellement par la Commission prparatoire au cours du processus dappel doffres,dvaluation et dadjudication.

21 Avec la participation des Gouvernements des Etats suivants : Brsil, Canada, Finlande, France,

Irlande, Japon, Singapour, Sude, Suisse et les U.S.A.; Organisations OACI, UNIDROIT, G.T.A. et la I.A.T.A.22 Le Rglement est inclus, avec les Rgles de procdure, dans le document Regulations and

Procedures for the International Registry, approuv par la Commission prparatoire (reproduit dans cette

Revue, 60).23 Le Groupe de travail sur le projet de Rglement de la Commission prparatoire a galement

particip la prparation du Rglement du Registre international.


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16 Unif. L. Rev. 2006

This unification of two papers examined liabilities in setting up and operating theInternational Registry, proprietary rights, infrastructure-related aspects anddispute resolution.

Liability and the International Registry24 (Governments of Canada and Sweden)

Issues relating to the liability of the Registrar for damage-causing errors andomissions were vigorously discussed. Wording was suggested to revise Article 27of the Convention so as to include the Registrars liability and expressly to definea force majeure exception. However, consensus was not reached and it was leftto Task Force members to express their views about Article 27 at the diplomaticConference.25

Funding / cost recovery methods for the new International Registry (Governmentof Finland andA.W.G.)

It was the conclusion of the I.R.T.F. that given the many unknowns, it would bedifficult for the I.R.T.F. to quantify the eventual cost of the Registry. The paper,nevertheless, provided valuable insights into mechanisms for the funding andrecovery of costs. In its Third Report, the I.R.T.F. urged the continuing study ofcost and timing issues related to the International Registry.

Papers on all the above topics were submitted with the Third Report to ICAO andUNIDROIT Secretariats.

CONCLUSION

The I.R.T.F. accomplished work during 2000 and 2001 designed to ensure a fully

operational and successful International Registry for aircraft objects.26 With the entryinto force of the Protocol on 1 March 2006, it is hoped that this work has provided astrong platform to enable the significant, far-reaching benefits of the Convention to bedelivered far into the future.

24 This paper began as a study on the cost of insurance.25 Third Report ofI.R.T.F. (10 October2001), para 21.26

As co-chairman, the author acknowledges that the I.R.T.F. was indebted to UNIDROIT and ICAO to

whom its Reports were submitted, and to those Governments and Organizations that participated in the work

of the I.R.T.F., especially the Governments of France, Ireland and Switzerland for graciously hosting the three

formal I.R.T.F. meetings, and the individual participants who contributed so generously, on behalf of theirGovernments and Organizations, their time and expertise as I.R.T.F. members.


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Ce document (rassemblant deux tudes) examinait les droits, devoirs et respon-sabilits lors de la mise en place et du fonctionnement du Registre, les droits deproprit, les aspects lis linfrastructure et le rglement des diffrends.

Responsabilit du Registre 24 (Gouvernements du Canada et de la Sude) : Lesquestions lies la responsabilit du Conservateur pour le prjudice rsultantderreurs ou domissions ont t amplement dbattues. La proposition a t faite derviser larticle 27 de la Convention de telle sorte y viser la responsabilit duConservateur et y inclure expressment une exception de force majeure. Toutefois,en raison du manque de consensus, il a t dcid que les membres du Groupespcial pourraient exprimer leurs points de vue respectifs sur larticle 27 laConfrence diplomatique 25.

Modes de financement et de recouvrement des cots du Registre (Gouvernementde la Finlande et G.T.A.) : Le G.S.R.I. a conclu que compte tenu des nombreusesvariables encore inconnues ce stade, il lui serait difficile de quantifier les cots defonctionnement du Registre. Le document a toutefois fourni des informations utilessur les mcanismes de financement et de recouvrement des cots. Dans sonTroisime Rapport, le G.S.R.I. a recommand de poursuivre ltude des cots et desquestions en relation avec le calendrier dentre en fonctionnement du Registre.

Tous les documents thmatiques susviss ont t soumis avec le TroisimeRapport aux Secrtariats de lOACI et dUNIDROIT.

CONCLUSION

Le G.S.R.I., durant ses runions de 2000 et 2001, a travaill la mise en place dunRegistre international pour les biens aronautiques destin remplir avec succs lesfonctions qui lui sont assignes 26. On peut esprer avec confiance que les lmentssont dsormais runis pour que, avec lentre en vigueur du Protocole le 1er mars2006, la Convention soit en mesure doffrir au march durant les annes venir lesavantages importants qui sont attendus.

24 Ce document a eu pour origine une tude sur le cot de lassurance.25 Troisime Rapport du G.S.R.I. (10 octobre 2001), para 21.26 En sa qualit de co-prsident du G.S.R.I., lauteur marque la reconnaissance due par le G.S.R.I.

envers UNIDROIT et lICAO qui ses rapports ont t soumis, et envers les Gouvernements et Organisations

qui ont particip aux travaux du G.S.R.I., notamment les Gouvernements de France, dIrlande et de Suisse qui

ont accueilli les runions des trois runions officielles du G.S.R.I., ainsi que sa gratitude pour les personnes qui,

en reprsentation de leurs Gouvernements et de leurs Organisations, ont apport leur expertise et leur tempscomme membres du G.S.R.I.


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18 Unif. L. Rev. 2006

The International Registry for Interestsin Aircraft : An Overview of its Structure

Ronald C.C. Cuming*I. BACKGROUND AND CONTEXT

When the Convention on International Interests in Mobile Equipment (theConvention) and the Protocol on Matters specific to Aircraft Equipment (theProtocol)1 came into effect as international law,2 the International Registry foraircraft objects (the Registry) 3 became operational. The Registry, the first of its kindin history, is a central feature of the priority structure of the Convention and Protocolapplicable to seven types of transaction 4 involving property interests in aircraft

* Professor of Law, University of Saskatchewan, Saskatoon (Canada); Member of the UNIDROITStudy Group for the preparation of uniform rules on certain international aspects of security interests in

mobile equipment; Chairman of the Registration Working Group of that Study Group; Member of the

Delegation of the Government of Canada at three Joint sessions of the UNIDROIT Committee of

governmental experts for the preparation of a draft Convention on International Interests in MobileEquipment and a draft Protocol thereto on Matters specific to Aircraft Equipment and the Sub-committee

of the ICAO Legal Committee on the study of international interests in mobile equipment (aircraft

equipment) and at the diplomatic Conference to Adopt a Mobile Equipment Convention and an Aircraft

Protocol; Correspondent of UNIDROIT.1 The texts of the Convention and the Protocol are reproduced on the web page of the International

Institute for the Unification of Private Law (UNIDROIT): . The background to the Convention and Protocol has been extensively described and

documented. See, e.g., Sir Roy GOODE, Official Commentary on the Convention on International Interests inMobile Equipment and the Protocol thereto on Matters specific to Aircraft Equipment, Rome: InternationalInstitute for the Unification of Private Law (UNIDROIT), 2002, and Select bibliography on UNIDROITs work oninternational interests in mobile equipment: .2 In accordance with Art. 49(1) of the Convention and Art. XXVIII(1) of the Protocol, the Protocol,

and the Convention as applied to aircraft objects, entered into force on 1 March 2006. See ICAO Doc. PCIR

2/11/05.3 Convention, Art. 16.4 A security agreement providing for a charge, a sale with reservation of title, a lease

agreement, an assignment of any one of these transactions and a sale without reservation of title.

Convention, Arts. 1 (definitions), 2(2) and 41 and Protocol, Art. III. Under Art. 40 of the Convention, aContracting State can elect to have non-consensual rights or interests, as defined in Art. 1(s), treated as


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Le Registre international pour les garanties

internationales portant sur des biens aronautiques :

prsentation de sa structure

Ronald C.C. Cuming*I. HISTORIQUE

Lorsque la Convention relative aux garanties internationales portant sur desmatriels dquipement mobiles (la Convention) et le Protocole y relatif portantsur les questions spcifiques aux matriels dquipement aronautiques (leProtocole)1 ont pris effet comme droit international 2, le Registre internationalpour les biens aronautiques (le Registre) 3 est devenu oprationnel. Le Registre,premier de cette nature dans lhistoire, est un lment central pour le systme despriorits de la Convention et du Protocole applicable sept types de droits rels 4

* Professeur de droit, Universit de Saskatchewan, Saskatoon (Canada) ; membre du Comitdtude dUNIDROIT charg de llaboration de rgles uniformes sur certains aspects internationaux des srets

portant sur des matriels dquipement mobiles ; Prsident du Groupe de travail sur le Registre constitu ausein dudit Comit dtude ; membre de la dlgation du Gouvernement du Canada aux trois SessionsConjointes du Comit dexperts gouvernementaux dUNIDROIT charg dlaborer un projet de Conventionrelative aux garanties internationales portant sur des matriels dquipement mobiles et un projet de Protocoleportant sur les questions spcifiques aux matriels dquipement aronautiques et du Sous-comit du Comit

juridique de lOACI sur ltude des garanties internationales portant sur des matriels dquipement mobiles(matriels aronautiques) ainsi qu la Confrence diplomatique pour ladoption dune Convention relative auxmatriels dquipement mobiles et dun Protocole aronautique ; Correspondant dUNIDROIT.

La version franaise ici reproduite est une traduction (par la rdaction de la publication).1 Les textes de la Convention et du Protocole sont reproduits sur le site Internet de lInstitut

international pour lunification du droit priv (UNIDROIT) : . Les travaux de prparation de la Convention et du Protocole ont fait lobjet denombreuses descriptions et tudes. Voir en particulier Sir Roy GOODE, Commentaireofficiel sur la Conventionrelative aux garanties internationales portant sur des matriels dquipement mobiles et Protocole y relatif

portant sur les questions spcifiques aux matriels dquipement aronautiques, Rome : Institut internationalpour lunification du droit priv (UNIDROIT), 2002, et la bibliographie slectionne concernant les travaux

dUNIDROIT en matire de garanties internationales portant sur des matriels dquipement mobiles.

2 Conformment lart. 49(1) de la Convention et lart. XXVIII(1) du Protocole, le Protocole, et laConvention telle quelle sapplique aux biens aronautiques, sont entrs en vigueur le 1ermars 2006. Voir Doc.OACI PCIR 2/11/05.

3 Convention, art. 16.4 Un contrat constitutif de sret, un contrat rservant un droit de proprit, un contrat de bail, une

cession de droits en vertu desdits contrats et une vente sans rserve de proprit. Convention, arts. 1(Dfinitions), 2(2) et 41, et Protocole, art. III. En vertu de lart. 40 de la Convention, un Etat contractant peut


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Ronald C.C. Cuming The International Registry : An Overview of its Structure

20 Unif. L. Rev. 2006

airframes, aircraft engines and helicopters (cumulatively referred to as aircraftobjects).5 Its role is to provide a functionally efficient and commercially acceptablemethod for setting the priority rights of competing claimants to property interests inaircraft objects. It is a modern, notice registry with many features patterned on thesecured transactions registries of the provinces of Canada and the states of the UnitedStates. The design of the system makes it possible to effect registrations and obtainsearches quickly 6 at modest cost,7 and to minimize the potential for errors inhandling registration data or fraudulent manipulation or corruption of the data.Although its principal data base and centre of operations are located in Dublin,Ireland, the Registry is completely electronic and accessible from any place in theworld having connections to the internet.8

The Registry is not a title registry. Only in a restricted, negative sense does itaddress ownership rights in aircraft objects. Under prescribed circumstances, thepriority rules of the Convention subject the proprietary rights of a securedcreditor, or the ownership of a lessor or title reservation seller of an aircraft objectto defeat if a registration relating to the security agreement, lease or sale contractis not effected or is effected after a competing interest created under a transaction

registrable interests subject to the priority rules of the Convention. Under Art. 50 of the Convention, aContracting State may declare that the Convention shall not apply to an internal transaction in relation to

that State. An internal transaction as defined in Art. 1(n) is a transaction where the centre of the main

interests of all parties is situated and the aircraft object is located in the Contracting State making the

declaration at the time of conclusion of the contract and where the interest created by the transaction

has been registered in a national registry of that State. See also Protocol, Art. IV(2). However, the prioritystructure of the Convention, including the associated registration requirements of the Convention,

applies to the transactions. Convention, Art. 50(2). A registration relating to an internal transaction is

referred to as a notice of national interest. Convention, Art. 16(1)(d).5 These terms are defined in Art. I(2) of the Protocol. The term aircraft engine is defined as an

engine (other than one used in military, customs or police services) powered by jet propulsion or turbine orpiston technology and, (i) in the case of jet propulsion aircraft engines, having at least 1750 lb of thrust or its

equivalent; and (ii) in the case of turbine-powered or piston-powered aircraft engines, having at least 550 rated

take-off shaft horsepower or its equivalent; together with all modules and other installed, incorporated or

attached accessories, parts and equipment and all data, manuals and records relating thereto. The term

airframe is defined as an airframe (other than one used in military, customs or police services) that, when

appropriate aircraft engines are installed thereon, is of a type certified by the competent aviation authority totransport (i) at least eight (8) persons including crew; or (ii) goods in excess of2750 kilograms, together with all

installed, incorporated or attached accessories, parts and equipment (other than aircraft engines), and all data,

manuals and records relating thereto.6 The only significant delay in effecting a registration is caused by the necessity to identify and

approve system users and to obtain the requisite consents under Art. 20 of the Convention. See Procedures, ss.

10, 11 and 12.2.7 The fees payable for Registry services are set out in the Fee Schedule to the Procedures.8 Procedures, s. 7.1-7.3.


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Ronald C.C. Cuming Le Registre international : prsentation de sa structure


portant sur des cellules daronefs, des moteurs davions et des hlicoptres (vissglobalement comme biens aronautiques) 5. Il vise fournir un moyen fonction-nellement efficace et commercialement satisfaisant pour dterminer le rang decranciers concurrents relativement des droits rels portant sur des biens aro-nautiques. Le Registre est fond sur un systme moderne dinscription, dont beaucoupdes caractristiques sinspirent des registres pour les oprations garanties des provincesdu Canada et des tats des Etats-Unis dAmrique. Le systme est conu de telle sortequil est possible deffectuer des inscriptions et des recherches rapidement 6 un cotmodeste 7, et de rduire les risques derreurs susceptibles de se produire lors dutraitement des donnes des inscriptions, ou par suite dune manipulation dolosive ou delaltration des donnes. La base de donnes centrale et le centre doprations sont

bass Dublin (Irlande), mais le Registre est compltement lectronique et est acces-sible depuis tout endroit du monde pourvu quil y ait une connexion lInternet 8.

Le Registre nest pas un registre portant sur la proprit. Ce nest que dune faonrestrictive, ngative, quil peut concerner des droits de proprit sur des biensaronautiques. Dans des circonstances dtermines, les rgles de priorit de laConvention prvoient que les droits rels dun crancier garanti, ou le droit deproprit dun bailleur ou la rserve de proprit dun vendeur de bien aronautique

choisir que des droits ou garanties non conventionnels, tels que dfinis lart. 1(s), seront traits comme desdroits susceptibles dinscription soumis aux rgles de priorit de la Convention. En vertu de lart. 50 de laConvention, un Etat contractant peut dclarer que la Convention ne sapplique pas une opration interne lgard de cet Etat. Une opration interne telle que dfinie lart. 1(n) est telle lorsque le centre des intrts

principaux de toutes les parties et le bien aronautique se trouvent dans lEtat contractant ayant fait ladclaration au moment de la conclusion du contrat et lorsque la garantie cre par lopration a t inscritedans un registre national dans cet Etat. Voir aussi Protocole, art. IV(2). Toutefois, le systme de priorits de laConvention, y compris les conditions relatives linscription nonces par la Convention, sapplique detelles oprations. Convention, art. 50(2). Une inscription relative une opration interne est dsigne commeavis de garantie nationale. Convention, art.16(1)(d).

5 Ces termes sont dfinis lart. I(2) du Protocole. Les termes moteurs davion sont dfinis commedes moteurs ( lexception de ceux utiliss par les services militaires, de la douane ou de la police) racteurs, turbines ou pistons qui : i) dans le cas des moteurs racteurs, dveloppent chacun une poussedau moins 1750 livres ou une valeur quivalente ; et ii) dans le cas des moteurs turbines ou pistons,dveloppent chacun une pousse nominale sur arbre au dcollage dau moins 550 chevaux-vapeurs ou unevaleur quivalente, et sentend en outre de tous modules et autres accessoires, pices et quipements qui ysont poss, intgrs ou fixs, ainsi que de tous les manuels, les donnes et les registres y affrents. Les termescellules daronef dsignent les cellules davion ( lexception de celles utilises par les services militaires,de la douane ou de la police) qui, lorsquelles sont dotes de moteurs davion appropris, sont de modlecertifi par lautorit aronautique comptente, comme pouvant transporter : i) au moins huit (8) personnes y

compris lquipage ; ou ii) des biens pesant plus de 2750 kilogrammes, et sentend en outre de tous lesaccessoires, pices et quipements ( lexclusion des moteurs davion) qui y sont poss, intgrs ou fixs, ainsique de tous les manuels, les donnes et les registres y affrents.

6 Le seul dlai pouvant retarder linscription drive de la ncessit didentifier et dapprouver lesutilisateurs du systme et dobtenir les consentements requis en vertu de lart. 20 de la Convention. Voir Rglesde procdure, ss. 10, 11 et 12.2.

7 Les redevances payables pour les services du Registre sont tablies dans le barme tarifaire jointaux Rgles de procdure.

8 Rgles de procdure, s. 7.1-7.3.


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22 Unif. L. Rev. 2006

with the debtor, lessee or buyer has been acquired and registered in the aircraftobject.9 Similarly, the ownership rights of a buyer of an aircraft object can bedefeated unless a registration disclosing those rights is effected. However,registration does not entail any legal guarantee or presumption that the lessor,seller or buyer is the owner of the aircraft object identified in the registration.Ownership in this context remains a matter to be determined under the applicablelaw.

The Registry is the only relevant registry for registrable interests in aircraft objectswhen competing interests in those interests arise. While there is nothing in theConvention or Protocol to prevent a Contracting State from providing under itsdomestic law for the registration of these interests in a national registry, the only way

a holder of such an interest can protect it from defeat under the priority rules of theConvention and Protocol is to effect a registration relating to that interest in theRegistry.

A significant feature of the registration system of the Registry and the associatedpriority rules of the Convention is the separate treatment of airframes and engines. Inthis respect, the approach of the Convention differs from the provisions of theConvention on International Civil Aviation, 1944 (the Chicago Convention) dealingwith nationality registration that do not distinguish between airframes and engines.Where a single transaction providing for or effecting a registrable interest in anairframe and attached engines is involved, it is necessary to effect separateregistrations relating to the airframe and each of the engines.

The legal structure providing for the creation and operation of the Registry iscontained in four documents: the Convention, the Protocol, the Regulations and theProcedures.10 While these sources are co-ordinated, they lack systematicorganization and contain a certain amount of replication. As a result, a particularfeature of the system may be addressed in two or more provisions. This is primarilya product of the structure of the Convention as a base law designed to facilitateinternational registries for interests in at least three different types of propertygoverned by separate protocols and regulations.11 A contributing factor was the

9 Art. 29(1) of the Convention provides that a registered interest has priority over any other

interest subsequently registered and over an unregistered interest. Art. 29(3) provides that a buyer of anobject acquires its interest subject to a prior registered interest and free from a prior unregistered interest.

The same approach is applied to sales of aircraft objects by Art. 41 of the Convention and Arts III and XIV

of the Protocol.10 The Regulations and Procedures for the International Registry are contained in ICAO

Document 9864. See the text thereof reproduced in this issue ofUnif. L. Rev. / Rev. dr. unif., 60.11 Convention, Art. 2(3).


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seront sans effet lgard des tiers si linscription se rapportant au contrat constitutifde sret, au contrat de bail ou au contrat de vente nest pas effectue, ou esteffectue aprs quun droit concurrent sur le bien aronautique cr en vertu duneopration avec un dbiteur, un preneur ou un acheteur ait t constitu et inscrit 9.De la sorte, le droit de proprit dun acheteur dun bien aronautique peut se voirpriv deffet moins quil fasse lobjet dune inscription. Cependant, une inscriptionne fournit aucune garantie juridique ou prsomption que le bailleur, le vendeur oulacheteur est le propritaire du bien aronautique identifi dans linscription. Laproprit dans ce contexte reste une question relevant du droit applicable.

Le Registre est le seul registre pertinent pour les garanties portant sur des biensaronautiques qui sont soumises linscription lorsque surgissent des droits concurrents.

Si rien dans la Convention ou dans le Protocole nempche un Etat contractant deprvoir dans sa lgislation nationale que de telles garanties doivent tre inscrites dansun registre national, la seule faon dont le dtenteur dun tel droit peut sassurer quellene sera pas prive deffet en vertu des rgles de priorit de la Convention et duProtocole, est deffectuer une inscription correspondant cette garantie dans le Registre.

Une caractristique importante du systme dinscription du Registre et des rglesde priorits de la Convention qui lui sont attaches est le rgime distinct quisapplique aux cellules daronefs et aux moteurs. A cet gard, lapproche de laConvention scarte de celle de la Convention de 1944 relative laviation civileinternationale (la Convention de Chicago), dont les dispositions envisagent

linscription de la nationalit sans distinguer les cellules et les moteurs davion. Enprsence dune opration crant ou prvoyant des garanties soumises inscription

portant sur une cellule daronef et sur les moteurs qui y sont poss, il faudraprocder des inscriptions distinctes pour la cellule et pour chacun des moteurs.

Le cadre juridique pour la cration et le fonctionnement du Registre est fourni parquatre documents : la Convention, le Protocole, le Rglement et les Rgles de proc-dure 10. Ces sources sont certes articules, mais pas de faon systmatique et elles sont de maints gards rptitives, de sorte quune mme question pourra tre rgle dansdeux ou plusieurs dispositions. Cela tient essentiellement la structure de la Conventionqui fournit une rglementation de base prvoyant linscription de garanties portant sur aumoins trois diffrentes catgories de biens rgis par diffrents Protocoles et rglements 11,

9 Lart. 29(1) de la Convention dispose quune garantie inscrite prime toute autre garantie inscritepostrieurement et toute garantie non inscrite. Lart. 29(3) dispose que lacheteur acquiert des droits sur lebien sous rserve de toute garantie inscrite au moment de lacquisition de ces droits et libres de toute garantienon inscrite. La mme solution est applique aux ventes de biens aronautiques par lart. 41 de la Conventionet les arts. III et XIV du Protocole.

10 Les Regulations and Procedures for the International Registrysont contenus dans le Document delOACI9864, et sont reproduits dans ce volume de la Unif. L. Rev. / Rev. dr. unif.,60. NDLR : Ces textes ont tapprouvs par la Commission prparatoire en anglais seulement. Les traductions en franais des dispositionsdu Rglement et des Rgles de procdure pour le Registre international qui apparaissent dans le prsent articlenont pas de valeur officielle. Les initiales s. et ss. visent les dispositions (sections).

11 Convention, art. 2(3).


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24 Unif. L. Rev. 2006

logistical complexities associated with developing detailed international legislationand delegated legislation.

Article 26 of the Convention guarantees universal access to the Registry.Anyone who complies with the procedural requirements of the Convention,Regulations and Procedures may access the Registry. This facility is not limited tonationals of Contracting States. However, while there is no requirement that thesecured creditor, lessor, seller under a title reservation agreement or buyer belocated in a Contracting State, it is not possible to effect a registration relating to aninterest under a transaction involving a debtor, lessee, buyer under a titlereservation agreement or seller who was not situated in a Contracting State at thetime of the conclusion of the agreement creating or providing for an international

interest 12 unless the aircraft object in the form of an airframe or a helicopter isregistered in a Contracting State pursuant to the Chicago Convention.13Furthermore, it is not possible to access the Registry directly for registrationpurposes with respect to an interest in an airframe or helicopter that is registered asto nationality in a Contracting State that has designated a mandatory entry point.14The registration must be effected through that entry point.

II. THE CONSTITUTIONAL AND STRUCTURAL FEATURES OF THE REGISTRY

1. The Supervisory Authority

The constitutional elements and operational structure of the Registry and theadministrative responsibility for its operation are specified in considerable detail in the

Convention and the Protocol.15

The Registry is established and supervised by the Supervisory Authority.16 Inaccordance with Resolution No. 2 of the Final Act of the Cape Town DiplomaticConference and the decision of the Council of the International Civil AviationOrganization (ICAO), the Council agreed to assume the functions of SupervisoryAuthority upon the entry into force of the Protocol. As part of its plenary obligationto do all things necessary to ensure that an efficient notice-based electronicregistration system exists to implement the objectives of the Convention andProtocol, 17 the Supervisory Authority has the legal responsibility to appoint andsupervise the Registrar and to prepare and publish regulations relating to theoperation of the Registry. Pursuant to Resolution No. 2 of the Final Act, thesefunctions were delegated by the Diplomatic Conference to a Preparatory

12 Convention, Arts. 3(1) and 4.13 Protocol, Art. IV(1).14 For a detailed exposition of this feature, see heading II. 6infra.15 Convention, Arts. 16-28; Protocol, Arts. XVII-XX.16 Convention, Art. 17.17 Convention, Art. 17(2)(i).


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un facteur additionnel tant les complexits techniques lies llaboration dunelgislation internationale dtaille et une rglementation drive de celle-ci.

Larticle 26 de la Convention garantit laccs universel au Registre. Toute personnese conformant aux procdures prvues par la Convention, le Rglement et les Rgles deprocdure peut accder au Registre. Cette possibilit nest pas limite aux ressortissantsdEtats contractants. Toutefois, sil nest pas requis que le crancier garanti, le bailleur, levendeur ayant un droit de rserve de proprit sur le bien ou lacheteur soient situsdans un Etat contractant, il nest pas possible deffectuer une inscription dun droitdrivant dune opration mettant en prsence un dbiteur, un preneur, un acheteur dansune vente assortie dune rserve de proprit ou un vendeur qui ntaient pas situsdans un Etat contractant au moment de la conclusion du contrat crant ou prvoyant la

garantie internationale 12, moins que le bien aronautique une cellule daronef ouun hlicoptre soit immatricul dans un Etat contractant en vertu de la Convention deChicago 13. En outre, il nest pas possible daccder au Registre directement poureffectuer linscription dune garantie portant sur une cellule daronef ou un hlicoptreimmatriculs aux fins de la nationalit dans un Etat contractant qui a dsign un pointdentre obligatoire 14. Linscription doit tre effectue travers ce point dentre.

II. CARACTERISTIQUES ET STRUCTURE DU REGISTRE

1. LAutorit de surveillance

Les caractristiques du Registre et sa structure oprationnelle, ainsi que laresponsabilit administrative de son fonctionnement sont rglementes de faon trs

dtaille dans la Convention et le Protocole 15.Le Registre est tabli et surveill par lAutorit de surveillance 16. Conformment

la Rsolution n 2 de lActe final de la Confrence diplomatique du Cap et la dcisiondu Conseil de lOrganisation de laviation civile internationale (OACI), le Conseil aaccept dassumer les fonctions dAutorit de surveillance compter de lentre envigueur du Protocole. Corollairement son obligation gnrale de faire le ncessairepour assurer lexistence dun systme lectronique dclaratif dinscription efficace, pourla ralisation des objectifs de la Convention et du Protocole 17, lAutorit desurveillance est charge de nommer et surveiller le Conservateur, et de prparer etpublier le Rglement pour le fonctionnement du Registre. Conformment laRsolution n 2 de lActe final, ces fonctions ont t dlgues par la Confrencediplomatique une Commission prparatoire, agissant sous la direction et la supervision

du Conseil de lOACI, avec tous les pouvoirs ncessaires pour faire fonction dAutorit

12 Convention, arts. 3(1) et 4.13 Protocole, art. IV(1).14 Pour une prsentation dtaille de cette question, voir le titre II. 6infra.15 Convention, arts. 16-28 ; Protocole, arts. XVII-XX.16 Convention, art. 17.17 Convention, art. 17(2)(i).


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Commission, acting under the guidance and supervision of the ICAO Council, withfull authority as the Provisional Supervisory Authority to establish the Registry. Thisentailed creating the Regulations and Procedures and contracting with an entity thatassumes the function of the Registrar. The Preparatory Commission became functusand full responsibility for the Registry was assumed by the ICAO Council when theConvention and the Protocol (and, therefore, the Convention as applied to aircraftobjects) came into force.18

The Registrar is an entity separate from the Supervisory Authority that carries out,under a term contract with the Supervisory Authority,19 the functions required of theregistrar by the Convention and Protocol. The Registrar for the first five years ofoperation of the International Registry is AVIARETO Ltd.20 located at Dublin, Ireland.

2. A notice registration system

Article 17(2)(i) of the Convention dictates that, structurally, the Registry must providefor notice registration, not contractual document registration. Registration of aninterest or prospective interest in an aircraft object is effected by transmitting to theRegistry basic, limited information about a transaction or prospective transaction.21 Aregistration does not involve public disclosure of the contract between the partiesinvolved. It is a public record of the existence or potential existence of an interest ofthe kind addressed in the Convention and Protocol in a specified aircraft object and ofthe identity of the principal parties involved in the transaction.

This feature of the Registry system reflects the conclusion that there is no

commercial need to include extensive details of the agreement or relationshipbetween the parties. In the few circumstances in which these details are relevant, theycan be obtained from the secured party, lessor or seller directly or through the debtor,lessee or buyer.22 In the great bulk of cases, the functions of the Registry are fully

18 For a presentation of the work of the International Registry Task Force in the process ofestablishment of the Registry, see Joseph R. STANDELL, The Role of the International Registry Task Force

(I.R.T.F.) in the Development of the International Registry for Interests in Aircraft, reproduced in this issue of

Unif. L. Rev. / Rev. dr. unif.,8.19 Convention, Arts. 17(3) and 17(5); Protocol, Art. XVII(5).20 AVIARETO is a joint venture between SITA SC, a global communication services integrator, and the

Irish Government.21 In the case of a registrable non-consensual interest, it is a notice of the lien or charge affecting the

identified aircraft object.22 Rarely will a subsequent security interest be taken in aircraft objects without agreement on the

part of the secured creditor to subordinate any future enhanced interest it may acquire in the equipment. As aresult of Art. 29(2)(b) of the Convention, advances made by a secured creditor to a debtor at any time during

the currency of the security agreement have the priority position established by the registration relating to the

security interest. Consequently, a third partys interest in an aircraft object is automatically diminished to the

extent that such advances are made unless the secured creditor has agreed to subordinate its interest created bythese advances to the interest of the person in whose favour the subordination is given.


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provisoire de surveillance pour ltablissement du Registre. Cela a entran laprparation du Rglement et des Rgles de procdures, et la passation dun march avecune entit qui exerce les fonctions de Conservateur. Ds lentre en vigueur de laConvention et du Protocole (et donc de la Convention telle quelle sapplique aux biensaronautiques), la Commission prparatoire a t dissoute et la responsabilit sur leRegistre a t assume par le Conseil de lOACI18.

Le Conservateur est une entit distincte de lAutorit de surveillance, quiexcute, en vertu dun contrat dure dtermine avec lAutorit de surveillance 19,les fonctions prescrites par la Convention et le Protocole. Le Conservateur, pour lescinq premires annes de fonctionnement du Registre international est AVIARETOLtd 20 qui est situ Dublin, Irlande.

2. Un systme dinscription dclaratif

Larticle 17(2)(i) de la Convention prvoit que, structurellement, le Registre repose surun systme dclaratif dinscription et non sur lenregistrement du documentcontractuel. Linscription dune garantie ou dune garantie future portant sur un bienaronautique seffectue en transmettant au Registre des informations essentielles,limites, concernant lopration ou lopration future correspondante 21. Uneinscription nimplique pas de divulguer le contrat entre les parties concernes ; elleconsiste en une information rendue publique de lexistence dune garantie, ou delexistence potentielle dune garantie relevant de la Convention et du Protocole,portant sur un bien aronautique dtermin et de lidentit des principales partiesconcernes par lopration.

Cette caractristique du systme dinscription tient la considration quil nest pascommercialement ncessaire dinclure des quantits de dtails concernant le contrat oula relation entre les parties. Pour les quelques cas o de telles prcisions seraientpertinentes, elles pourront tre demandes au crancier garanti, au bailleur ou auvendeur directement ou par lintermdiaire du dbiteur, du preneur ou de lacheteur 22.

18 Pour une prsentation du travail du Groupe spcial sur le Registre international dans le processus,voir Joseph R. STANDELL, Le rle du Groupe spcial sur le Registre international (G.T.R.I.) dans la mise en

place du Registre pour les garanties internationales portant sur des biens aronautiques publi dans ce volume

de la Unif. L. Rev. / Rev. dr. unif.,8.

19 Convention, arts. 17(3) et 17(5) ; Protocole, art. XVII(5).20 AVIARETO est une co-entreprise entre SITA SC, fournisseur l'chelle internationale de services

intgrs de communication, et le Gouvernement irlandais.21 En cas de garantie non conventionnelle susceptible dinscription, il sagira dun avis concernant le

droit ou la sret grevant le bien aronautique concern.22 Il est rare quune sret soit constitue par la suite sur un bien aronautique sans laccord du

crancier garanti de subordonner le droit quil pourra acqurir ultrieurement sur le matriel. En vertu de lart.

29(2)(b) de la Convention, les avances de fonds que le titulaire de la garantie accorde au dbiteur durant la

dure du contrat constitutif de sret jouissent du rang prioritaire confr par linscription se rapportant la

garantie. En consquence, le droit dun tiers sur un bien aronautique est automatiquement diminu dans la

proportion des avances faites, moins que le crancier garanti nait accept de subordonner son droitdcoulant des avances effectues au droit de la personne en faveur de laquelle la subordination est accorde.


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served by providing public notice of the existence or potential existence of registrableinterests affecting aircraft objects. A person who discovers this fact through a search ofthe Registry will be able to take the steps necessary to remove the legal risk associatedwith being subordinate to an existing or potential interest in the aircraft object. Thatperson will refuse to deal further with the person identified in the registration asdebtor, lessee or buyer, require a discharge of the registration (in cases where theregistration does not support an extant international interest) or go directly to thesecured creditor, seller or lessor and offer to buy out or obtain a contractualsubordination of its interest.

A notice registration system requiring that only very minimal information beincluded in a registration offers important benefits. It precludes public disclosure of

confidential details of business relations between the secured party, lessor, or seller,and the debtor, lessee or buyer. Furthermore, there is a direct relationship betweenthe amount of data that must be included in the registration and the incidence of erroron the part of registrants in assembling and transmitting that data to the Registry.

In a functional sense, the role of the registration is to give notice of the interestor potential interest. In a technical sense, this is not the case. While registrationprovides the facility through which a third party can acquire information as to theexistence or potential existence of the registered interest, the priority of the registeredinterest is not dependent upon the state of knowledge of the third party. The functionof registration is to set the priority of the interest of a secured creditor, lessor, seller or

buyer. Priority or lack of it does not depend upon the state of knowledge of the holderof a competing interest.23

3. Registrations relating to existing and potential interests

Article 16 of the Convention and Article III of the Protocol prescribe the types ofinterests or potential interests in aircraft objects with respect to which registrations inthe Registry can be effected.24 In addition, it is possible to effect a registration relatingto international interests acquired through legal or contractual subrogation andagreements providing for the subordination of any registrable interest.

A feature that on first impression appears anomalous, but one that is of importantpractical significance, is the facility to effect a registration relating to a transaction thathas not been entered into or an interest that has not come into existence at the date ofthe registration. Article 16 permits registrations of prospective international interests

and prospective assignments of international interests.25

The Protocol extends thisconcept to prospective sales.26 The practical and legal importance of this facility is

23 Convention, Art. 29.24 See supra, note 4.25 These are defined terms. See Convention, Arts. 1(o), 1(x) and 1(y).

26 Protocol, Art. III.


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Dans la grande majorit des cas, les fonctions du Registre seront pleinement rempliespar la publicit de lexistence ou de lexistence potentielle des garanties soumises inscription portant sur des biens aronautiques. Une personne qui prend connaissancedune telle garantie en procdant une consultation du Registre pourra prendre lesmesures ncessaires afin que son droit ne risque pas dtre subordonn une garantieexistante ou future sur le bien aronautique. Cette personne pourra refuser de traiteravec la personne identifie dans linscription comme dbiteur, preneur ou acheteur, oubien pourra demander la mainleve de linscription (lorsque celle-ci ne correspond pasune garantie internationale existante) ou sadresser directement au crancier garanti, auvendeur ou au bailleur pour lui proposer le cas chant contre paiement unesubordination contractuelle de sa garantie.

Un systme dclaratif dinscription qui requiert de ne fournir que des informationstrs limites offre de nombreux avantages. Il vite que soient rendus publics des aspectsconfidentiels de la relation daffaires entre le crancier garanti, le bailleur ou vendeurdune part, et le dbiteur, preneur ou acheteur dautre part. En outre, il existe un rapportdirect entre la quantit dinformations requises pour linscription et le risque derreurslors de la collecte des informations et de la transmission de celles-ci au Registre.

Sur le plan fonctionnel, le rle de linscription est de donner publicit de lagarantie ou de la garantie future. Sur le plan technique, cela nest pas le cas. Tandisque linscription est le moyen pour le tiers dobtenir une information concernantlexistence ou lexistence future dune garantie inscrite, le rang de la garantie inscrite

ne dpend pas de la connaissance quen a le tiers. La fonction de linscription estdtablir la priorit du crancier garanti, du bailleur, du vendeur ou de lacheteur. La

priorit de rang ou le dfaut de priorit ne dpend pas du niveau de connaissance dudtenteur dun droit concurrent 23.

3. Inscriptions de garanties existantes et de garanties futures

Larticle 16 de la Convention et larticle III du Protocole prvoient les types de garantiesou de garanties futures portant sur des biens aronautiques, qui peuvent faire lobjetdinscriptions dans le Registre 24. En outre, il est possible deffectuer des inscriptions degaranties internationales constitues par voie de subrogation lgale ou conventionnelle,ou en vertu daccords de subordination de tout droit susceptible dinscription.

Un aspect qui peut paratre insolite premire vue, mais qui a une importancepratique particulire, est la possibilit deffectuer une inscription se rapportant uneopration qui na pas t conclue, ou un droit qui nest pas encore constitu, la

date de linscription. Larticle 16 de la Convention permet linscription de garantiesinternationales futures et de sessions futures de garanties internationales 25. LeProtocole tend cette possibilit aux ventes futures 26. Limportance pratique et

23 Convention, art. 29.24 Voirsupra, note 4.25 Ce sont des termes dfinis. Voir Convention, arts. 1(o), 1(x) et 1(y).26 Protocole, art. III.


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that such a registration establishes a priority position for the interest to which itrelates. As a result of Articles 19(4) and 29 of the Convention, priority is notdetermined on the basis of the date of execution of the contract providing for aninternational interest or the date when the interest is created, but on the basis of thedate when a registration relating to it was effected. The result is that an interest towhich a registration relates has priority over a prior, but later registered interest in thesame aircraft object. Persons who are engaged in negotiations for a contract involvingan international interest in a particular aircraft object may effect a registration as soonas the negotiations begin so as to establish the priority of the international interestshould the negotiations be successful.

Article 41 of the Convention and Articles III and XIV of the Protocol prescribe the

same approach to prospective sales 27 of aircraft objects under contracts that do notprovide for retention of title. Consequently, a prospective buyer of an aircraft objectwho effects a registration relating to a potential sale contract then being negotiatedand who later enters into a contract with the seller, is given priority over a person whoacquired and registered a property interest in the object under a contract entered intobetween the date of the registration and the date the sale contract comes intoexistence.

4. The registration-search criterion

As noted above, the Registry is a notice registry system. Only very minimalinformation is required or permitted in order to effect a registration. One item of

information that must be provided by a registrant is the appropriate registration-searchcriterion. This comprises the data that are used as key for archiving and retrieving thefile containing a registration; it is the criterion under which the registration data arestored in the data base of the Registry and the criterion through which data arerecovered through a Registry search. Accordingly, the criterion used to search the database is identical to the criterion used to in-put and store the registration data.

Articles 19(2) and 19(6) of the Convention incorporate this principle. Togetherthey provide that in order for a registration to be valid,28 the registration criterionentered in the Registry data base to effect the registration must include the searchcriterion that permits the registration to be searchable.29 Article 18(1) provides that theregistration-search criteria are to be set by the Protocol and Regulations. Section 7.2 ofthe Regulations refer to three criteria specified in Article XX(1) of the Protocol asthose required for a priority search 30 and, by implication, a registration. To the

27 This is a defined term. See Convention, Art. 1(z).28 More accurately, for a registration to occur.29 Section 5 of the Regulations requires information in addition to the registration criterion.

However, these data do not play a role in the storage and retrieval system of the Registry.30 Sections 7.3 and 7.5 of the Regulations provide for two other types of search: an informational

search and a Contracting State search. However, the issue of validity of a registration does not arise in thecontext of the information retrieved by these searches.


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juridique de cette facult est quune telle inscription tablit un rang prioritaire pour lagarantie laquelle elle se rapporte. Conformment aux articles 19(4) et 29 de laConvention, la priorit nest pas dtermine par la date de conclusion du contratprvoyant la garantie internationale ou par la date de cration de la garantie, maisselon la date laquelle linscription correspondante a t effectue. En consquence,une garantie laquelle linscription se rapporte a priorit sur un droit antrieur, maisinscrit ultrieurement, portant sur le mme bien aronautique. Les personnes qui setrouvent dans la phase de ngociation dun contrat comportant une garantieinternationale sur un bien aronautique donn peuvent effectuer linscription ds lecommencement des ngociations de faon assurer la priorit de la garantieinternationale au cas o les ngociations arriveraient bonne fin.

Larticle 41 de la Convention et les articles III et XIV du Protocole adoptent lamme solution pour les ventes futures 27 de biens aronautiques en vertu de contratsqui ne prvoient pas de rserve de proprit. En consquence, un acheteur potentieldun bien aronautique qui effectue une inscription se rapportant un contrat devente future alors en cours de ngociation, et qui conclut ensuite le contrat avec levendeur, obtient un rang suprieur celui dune personne qui a acquis et inscrit undroit rel sur le bien en vertu dun contrat conclu entre la date de linscription et ladate o le contrat de vente est form.

4. Le critre pour linscription et la consultation

Comme on la observ, le Registre est un systme dinscription dclaratif. Seules des

informations minimums sont ncessaires ou prvues aux fins de linscription. Les

informations requises de la personne qui effectue linscription dcoulent du critrequelles puissent tre consultes. Seront donc concernes les donnes cls utilisestant pour larchivage que pour la recherche du fichier contenant linscription. Lescritres dterminant les donnes introduire dans la base de donnes du Registre auxfins de linscription seront donc les mmes que ceux dterminant les donnes obtenir en effectuant une consultation du Registre.

Les articles 19(2) et 19(6) de la Convention noncent ce principe. Ils prvoientque pour quune inscription soit valable 28, les informations introduites dans la basede donnes du Registre pour effectuer linscription doivent permettre linscriptiondtre consulte 29. Larticle 18(1) prvoit que les conditions pour effectuerlinscription et la consultation sont dtermines par le Protocole et par le Rglement.La section 7.2 du Rglement se rfre aux trois critres viss larticle XX(1) du

Protocole comme tant ceux qui sont exigs pour une consultation de priorit30

et

27 Cest un terme dfini. Voir Convention, art. 1(z).28 Plus prcisment, pour quil y ait effectivement une inscription.29 La s. 5 du Rglement requiert des informations supplmentaires aux critres de linscription.

Toutefois ces donnes nont aucun rle pour le systme de stockage et de recherche dans le Registre.30 Les ss. 7.3 et 7.5 du Rglement prvoient deux autres types de consultations : la consultation fins

dinformation, et la consultation par un Etat contractant. Toutefois, la question de la validit de linscription nese pose pas au regard des informations obtenues par de telles consultations.


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extent that this can be read as referring to three separate registration-search criteria,the section is misleading. There is only one registration-search criterion having threecomponents.31 The three components specified in the Protocol are the name of theaircraft object manufacturer, the manufacturers serial number and the modeldesignation.32

5. Consent to effect or amend a registration

Article 20(1) of the Convention requires that both parties to a transaction or potentialtransaction to which a registration relates must consent to the registration or anyamendment of a registration or extension of its period of effectiveness.33 Without the

requisite consent, data that in every other respect comply with the Convention,Protocol and Regulations transmitted to and accepted by the Registry cannot give riseto a registration.34 However, while provision for obtaining consent (to be given inelectronic form) is made in the Regulations and Procedures,35 the Registrar is notunder a duty to ensure that consent has in fact been given by the appropriateperson.36 Consequently, it is possible that what appears from a search of the Registryto be a registration has no legal significance since the requirements of Article 20 have

31 The Protocol provides for such supplementary information as specified in the regulations.

However, any such information cannot be an aspect of the registration-search criterion.32 Section 5.1 of the Regulations and s. 12.1 of the Procedures contemplate a system under which

the registrant is given a computerized drop-down list of all aircraft objects from which the appropriate elements

of the registration criterion can be selected when effecting a registration. Although there is no requirement that

such lists be provided by the Registrar, the author has been informed by Registry officials that all the majoraircraft object manufacturing companies have provided the Registrar with the model designations and serial

numbers of the objects they have manufactured. These will be set out on the drop-down lists available to users

of the system.33 No consent is required where the registration being effected relates to a subordination and the

registrant is the person giving the subordination, where it relates to the acquisition of an international interestby subrogation and the registrant is the subrogee, or where it relates to a non-consensual right or interest or

internal transaction interest and the registrant is the holder of the interest. Convention, Art. 20. Pursuant to

section 5.8 of the Regulations, there is no requirement for consent of a debtor, assignor, seller or person

subordinating a right or interest to effect a registration of a pre-existing right or interes

uniform law review article 2006

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