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Luiza Lins e Silva Dutra
ARTICLE 7 OF THE CISG: INTERPRETING THE CONVENTION AND FILLING
ITS GAPS
Master thesis written as prerequisite to complete the
International Dispute Resolution LL.M. degree
offered by the Humboldt-Universität zu Berlin.
Berlin 2017
ABSTRACT:
The United Nations Convention on Contracts for the International Sale of Goods (CISG) is the
result of uniformization efforts meant to create a uniform set of rules to govern international
sale contracts. In order to ensure the CISG provisions would be interpreted and applied in a
uniform way, the international legislators included Article 7 to the text. Article 7(1) sets forth
interpretative standards which stipulate that regard is to be had to the international character of
the Convention and to the need of promoting uniformity in its application. In order to comply
with these standards, it is suggested that one should make use of interpretative methods that
move away from the influence of notions of domestic law, such as the resort to travaux
préparatoires, the use of autonomous interpretation method, the resort to foreign practice and
reference to CISG-AC opinions. Article 7(2) sets forth a gap-filling method to provide answers
for issues governed by the CISG but not expressly settled in it. This method prescribes that the
gaps should be filled in conformity with the general principles underlined in the CISG or, in the
absence of such principles, in accordance with the law applicable by virtue of rules of private
international law. In addition to Article 7, the interpretation of and gap filling within the CISG
can be supplemented by the application of Articles 8, which deals with interpretation of
statements made by and conduct of the parties, Article 9 which recognizes the prevalence of
usages. Recourse to instruments of soft law such as the UPICC and the PECL as a way to fill
gaps in the CISG should only be done as a result of the express agreement by the parties.
Key words: CISG, Uniformization, Interpretation of CISG, Gap-Filling, Article 7.
RESUMO:
A Convenção de Viena sobre Contratos de Compra e Venda Internacional de Mercadorias
(CISG) é resultado dos esforços da UNCITRAL no sentido de criar um instrumento legal
uniforme para regular a compra e venda internacional. Para assegurar que a CISG fosse
interpretada e aplicada de forma harmônica por uma variedade de corpos jurídicos, o legislador
internacional incluiu no texto o Artigo 7°. O Artigo 7(1) da CISG estabelece balizas
interpretativas, quais sejam, a necessidade de se levar em conta o caráter internacional da
Convenção e de promover a uniformidade em sua aplicação. Para que os preceitos do Artigo
7(1) sejam respeitados, sugere-se que recurso seja feito a métodos interpretativos que afastem
a influência de noções de direito doméstico, tais quais referência aos trabalhos preparatórios da
CISG, a conceitos internacionais autônomos, à jurisprudência estrangeira, e às opinioões do
CISG-AC. O Artigo 7(2) da CISG, por sua vez, estabelece um método para preechimento de
lacunas no texto da Convenção, o qual prescreve que matérias reguladas pela CISG que não
forem expressamente resolvidas serão dirimidas segundo os princípios gerais que a inspiram
ou, à falta destes, de acordo com a lei aplicável segundo as regras de direito internacional
privado. Ademais, a interpretação da Convenção e preenchimento de suas lacunas podem ser
suplementados pelo uso dos Artigos 8° e 9°, os quais lidam com a interpretação de declarações
e condutas das partes, e com a prevalência de usos e costumes, respectivamente. O recurso a
instrumentos de soft law como forma de preencher lacunas no texto da Convenção somente
deve ser utilizado frente ao acordo das partes.
Palavras-chave: CISG, Uniformização, Interpretação da CISG, Lacunas, Artigo 7.
TABLE OF CONTENTS
PART A: INTERPRETING THE CISG ................................................................................ 3
I. Imprecisions in the text of the CISG ............................................................................ 3
II. The Interpretation Standards of Article 7(1) .............................................................. 5
1. Resort to the travaux préparatoires .............................................................................. 6
2. Autonomous Interpretation of Concepts ...................................................................... 7
3. Resort to the Practice Established by Courts of Contracting States ............................ 9
4. Opinions of the CISG-AC .......................................................................................... 10
PART B: FILLING THE GAPS IN THE CISG ................................................................. 11
I. The existence of gaps in the text of CISG .................................................................. 11
1. Recognizing the existence of gaps ............................................................................. 11
2. Internal Gaps .............................................................................................................. 11
3. External Gaps ............................................................................................................. 12
II. The method of filling the gaps set in Article 7(2) ...................................................... 13
III. General Principles underlying the CISG .................................................................. 16
1. Finding general principles within CISG .................................................................... 16
2. General principles most commonly pointed out ........................................................ 18
a) Good Faith .............................................................................................................. 18
b) Party Autonomy ..................................................................................................... 19
c) Full compensation .................................................................................................. 20
d) Favor contractus or preservation of the contract .................................................... 20
e) Rebus sic stantibus ................................................................................................. 21
f) Freedom of form..................................................................................................... 22
g) Right to withhold performance .............................................................................. 22
h) Duty to mitigate losses ........................................................................................... 23
i) Burden of Proof ...................................................................................................... 25
IV. Recourse to domestic law ............................................................................................ 26
PART C: OTHER WAYS OF INTERPRETING THE CISG AND FILLING ITS
GAPS ....................................................................................................................................... 29
I. Article 8 of the CISG: parties’ intent and reasonable standards ............................ 29
II. Article 9 of the CISG: prevalence of usages .............................................................. 30
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