《英文合同導(dǎo)讀》

作者：王 輝

 

Tasting an English Contract

Learning by study must be won;

 

“Twas ne’er entailed from son to son.

 

--Gay, Fables, II, ii.

 

知識(shí)惟有學(xué)習(xí)獲得，決非世代遺傳。

 

--蓋伊，《寓言》

 

 

前言 (Preamble)與目錄(Contents)略。

 

 

 

 

 

 

第一章           英文合同概述(General Introduction)

 

In view of all this, we are making a binding agreement, putting it in writing, and our leaders, our Levites and our priests are affixing their seals to it.（Nehemiah BIBLE NIV）

 

因這一切的事，我們立確實(shí)的約，寫在冊(cè)上。我們的首領(lǐng)，利未人，和祭司都簽了名�！灸嵛髅住俊妒ソ�(jīng)》新國(guó)際版

 

 合同，古稱契約（港臺(tái)現(xiàn)仍多用此語(yǔ)），“契”者即證券，證明買賣、抵押、租賃等關(guān)系的文書，如契據(jù)、房契等。古代典籍中常見此語(yǔ)，《易·系辭》就有“后時(shí)圣人易之以書契�！� “約”者即共同商定的事,共同議定要遵守的條文，如和約、條約等�！度龂�(guó)演義》中就有“昔高祖約法三章,黎民皆感其德。”

 

而西方在早在〈〈圣經(jīng)〉〉中就有關(guān)于上帝在西乃山與以色列人立約的記載。挪亞方舟就是籍著上帝與挪亞的契約而建造的：But with thee will I establish my covenant; and thou shalt come into the ark, thou, and thy sons, and thy wife, and thy sons' wives with thee. （但我要與你立約，你以及你的兒子、妻子和兒媳，要與你一同進(jìn)入方舟。）

 

 

第一節(jié)：合同與協(xié)議：(Contract and Agreement)

 

而在現(xiàn)代英語(yǔ)合同中，合同一般成為Contract，協(xié)議一般稱為Agreement。那么Contract和Agreement是一回事嗎？他們之間又有什么關(guān)系呢？《中華人民共和國(guó)民法通則》第85條規(guī)定：“合同是當(dāng)事人之間設(shè)立、變更、終止民事關(guān)系的協(xié)議”（A contract shall be an agreement whereby the parties establish, change or terminate their civil relationship）�！吨腥A人民共和國(guó)合同法》第二條規(guī)定：“合同是平等主體的自然人、法人、其他組織之間設(shè)立、變更、終止民事權(quán)利義務(wù)關(guān)系的協(xié)議”（Contracts referred to in this Law are agreements between equal natural persons, legal persons and other organizations for the purpose of establishing, altering and terminating mutual civil rights and obligations）。

 

美國(guó)法律整編合同法第二次匯編定義合同為：“合同乃為一個(gè)允諾或一組允諾。違反此一允諾時(shí)，法律給予救濟(jì)；或其允諾之履行，法律在某些情況下視之為一項(xiàng)義務(wù)�！保ˋ contract is a promise, or a set of promises, for breach of which the law gives a remedy, or the performance of which the law in some way recognizes as a duty.） （Restatement，Second, Contracts, Section 1）這一定義在Steven H. Gifts 編著的Law Dictionary被完全引述. 但一般而言，Contract，乃兩個(gè)以上當(dāng)事人間具有法律約束力之協(xié)議，或由一個(gè)以上當(dāng)事人所為一組具有法律約束力之允諾。（A contract is a legally binding agreement between two or more parties or a set of legal binding promises made by one party or more.(G. C. Lindsay, Contract, 3rd ed. 1992) 這一表述在L.B. Curzon編撰的Dictionary of Law中概括為“A legally binding agreement creating enforceable obligations.” Chris Turner在其編撰的Contract Law中定義的更為具體明了“A contract is an agreement between two parties by which both are bound in law and which can therefore be enforced in a court or other equivalent forum.”即合同就是對(duì)合同方具有法律上約束力，可由法院或其他同等管轄地強(qiáng)制執(zhí)行的協(xié)議。

 

而在Black’s Law Dictionary（Eighth Edition）對(duì)contract 的定義多達(dá)8項(xiàng)：1. An agreement two or more parties creating obligations that are enforceable or otherwise recognzable at law 2.The writing that set forth such an agreement.3.引述美國(guó)法律整編合同法第二次匯編“contract”的定義.4. Broadly, any legal duty or set of duties not imposed by the law of tort; esp., a duty created by a decree or declaration of a court. 5. The body of law dealing with agreement and exchange.6. The term of an agreement or any particular term. 7.Loosely, a sale or conveyance. 8. Loosely, an enforceable agreement between two or more parties to do or not to do a thing or a set of things; a compact.

 

至于agreement，L.B. Curzon的Dictionary of Law定義為：“Ａ consensus of minds, or evidence of such consensus, in spoken or written form, relating to anything done or to be done.”是對(duì)已做和待做的有關(guān)事宜以口頭或書面形式做出的相同意思表示或該意思表示的證據(jù)。而在

 

Black’s Law Dictionary（Eighth Edition） 給Agreement下了兩個(gè)定義：一個(gè)是“A mutual understanding between two or more persons about their relative duites and obligations regarding past or future performances; a manifestation of mutual assent by two or more persons. ”即雙方或多方就過(guò)去或?qū)��?lái)的相關(guān)職責(zé)和義務(wù)的履行而達(dá)成相互的理解；雙方或多方相互達(dá)成一致的表現(xiàn)形式。另一個(gè)是“The Parties’ acutal bargain as found in their language or by implication from other circumstances, including course of dealing, usage of trade and course of performance.”即當(dāng)事人通過(guò)語(yǔ)言或其他情形暗示而確立的實(shí)際約定，包括交易常例、貿(mào)易習(xí)慣以及履行慣例。

 

在ENGLISH-CHINISE BILINGUAL LAW DICTIONARY (2nd ed.)中對(duì)agreement作出了如下解釋：

 

document setting out the contractual terms agreed between two parties or contract between two parties where one party makes an offer, and the other party accepts it.協(xié)議，協(xié)定，合同（列出雙方當(dāng)事人同意和約定條件的文件）

 

Contract(合同)和Agreement(協(xié)議)到底能不能相互替換呢？讓我們來(lái)看看英文合同相關(guān)書籍和詞典的說(shuō)法。Chris Turner在其Contract Law中是這樣闡述合同的成立：“There are three key ingredients to formation(of contracts): agreement-based on mutuality over the terms, agreement exists when a valid acceptance follows a valid offer; consideration-given by both sides, the quid pro quo, and the proof that the bargain exists; intention to create legal relations-since a contract is legally enforceable, unlike mere gratuitous promises. 即合同成立的三個(gè)要件：協(xié)議（基于要約與承諾形成對(duì)條款的相互一致而存在）、約因（雙方付出的對(duì)價(jià)及對(duì)價(jià)存在的證據(jù)）和設(shè)立法律關(guān)系的意愿。（合同具有法律上的執(zhí)行力，不同于純粹的無(wú)償贈(zèng)予的允諾）這里也是用agreement來(lái)解釋contract的，認(rèn)為contract（合同）是一種符合一定條件的agreement（協(xié)議）。

 

在英語(yǔ)法律用語(yǔ)中雖然多用“agreement”來(lái)解釋“contract”，其實(shí)也有偶用“contract”解釋“agreement”的情形，如：Agreement,…(2) A contract (The Law Dictionary) 甚至有在同一句中交替使用的實(shí)例，如：If the contract contains an innocent mistake, you can get out of the agreement if the mistake is important. (What Should I Know About Contracts, The State Bar of California, 2 Edi. 1984), 還有更為明確的：Agreement. Synonym for Contract (Robert LeRoy & Kenneth A. Buths, Business Law and Taxes, “Glossary”, 1984)

 

而在Black’s Law Dictionary對(duì)agreement的注釋中也能看到“The term’agreement’ frequently as synymous with the word”contract”, is really an expression greater breath of meaning and less technicality. Every contract is an agreement,; but not every agreement is a contract. In its colloquial sense, the term ‘a(chǎn)greement’ would include any arrangement between two or more persons intended to affect their relations (whether legal or otherwise) to each other. An accepted invitation to dinner, for example, would be an agreement in this sense; but it would not be a contract, because it would neither be intended to create, nor would it in fact create, any legal obligation between the parties to it. Further, even an agreement which is intended to affect the obligations of the parties does not necessarily amount to a contract in the strict sense of the term. For instance, a conveyance of land or a gift of a chattel, though involving an agreement is … not a contract; because its primary legal operation is to effect a transfer of property, and not to create an obligation.” 2 Stephen’s Commmentaries on the laws of England 5 (L. Crispin Warmington ed., 21st ed. 1950).

 

“An agreement, as the courts have said, ‘is nothing more than a mannefestation of mutual assent’ by two or more legally competent persons to one another’ by two or more legally competent persons to one another. Agreementis in some respects a broader term than contract, or even than bargain or promise. It covers excluded sales, gifts, and other transfers of property.” Samuel Williston, A Treaties on the Law of Contracts § at 6 (Walter H.E. Jaeger ed., 3d ed.1957).

 

綜上所述，我們不難看出，漢語(yǔ)的法律用語(yǔ)僅用協(xié)議來(lái)解釋合同，而英語(yǔ)的法律用語(yǔ)往往不很嚴(yán)格，多用Agreement解釋Contract, 但也有用Contract解釋Agreement的情形, 雖說(shuō)大多情況Contract與Agreement有所區(qū)別，有時(shí)候兩者還可以作為同義詞互換使用�？梢哉f(shuō)contract都是協(xié)議，但協(xié)議不一定就是Contract。但就廣義的協(xié)議和合同來(lái)講，還是有區(qū)別的：

 

從成立的宗旨上看，協(xié)議十分寬泛不囿于為了當(dāng)事人間形成法律或其他關(guān)系，即便是為影響當(dāng)事人的義務(wù)也未必形成嚴(yán)格意義上的合同關(guān)系，如不動(dòng)產(chǎn)轉(zhuǎn)讓或動(dòng)產(chǎn)贈(zèng)與。

 

從內(nèi)容、條款上看，合同較為具體、詳盡，著眼于微觀，而協(xié)議則較為原則、粗疏，致力于宏觀。實(shí)踐中往往合作方就某一項(xiàng)目達(dá)成協(xié)議對(duì)有關(guān)原則問(wèn)題作出約定，然后在此基礎(chǔ)上簽訂合同，再全面明確各項(xiàng)具體的細(xì)節(jié)。

 

從涉及范圍上看，合同的標(biāo)的往往比較單一集中，也很明確；通常都是一事一議，就事論事，而協(xié)議的標(biāo)的往往比較廣泛；一項(xiàng)大型項(xiàng)目的協(xié)議往往包括或分解成若干個(gè)具體的合同。

 

從書寫格式上看，合同已基本格式化了，大家可以看到許多的合同范本；而協(xié)議的格式相對(duì)靈活一些，沒有什么固定的格式。

 

而狹義的協(xié)議和合同并無(wú)分別，只是用語(yǔ)上和習(xí)慣上的稱呼而已。

 

 

<<英文合同導(dǎo)讀>>1.2 合同的種類與名稱(Categories and Titles)   

 

第二節(jié) 合同的種類與名稱（Categories and Titles）：

 

一份英文法律文件, 到底是不是英文合同, 就要看它的內(nèi)容是否符合合同的要求。一般而言合同不外乎包括人、事、時(shí)、地、物五大要素，也就是4W1H (Who, When, Where, What, How),如果你手上的文件內(nèi)容包括了這五項(xiàng)要素而且簽署生效，該文件就應(yīng)該具有了合同的性質(zhì)，而不論它是以何面目出現(xiàn)的。常見的英文合同名稱可分為以下四大類：

 

一、         合同、協(xié)議（Contract; Agreement）

 

文件名稱直接標(biāo)明“Contract”或“Agreement”是最常見的英文合同�！吨腥A人民共和國(guó)》第九章到第二十三章就合同種類作了概括，它們分別是買賣合同；供用電、水、氣、熱力合同；贈(zèng)與合同；借款合同；租賃合同；融資租賃合同；承攬合同；建設(shè)工程合同；運(yùn)輸合同；技術(shù)合同；保管合同；倉(cāng)儲(chǔ)合同；委托合同；行紀(jì)合同；居間合同等十五大類。（Sales Contracts, Contracts for Supply of Power, Water, Gas or Heat, Donation Contracts, Loan Contracts, Leasing Contracts, Financial Leasing Contract, Work-for-hire Contracts, Construction Project Contracts, Carriage Contracts, Technology Contracts, Safe-keeping Contracts, Warehousing Contracts, Agency Appointment Contracts, Commission Agency Contracts, Brokerage Contracts）

 

而常見的協(xié)議有委托代理協(xié)議（Agency Agreement）、合伙協(xié)議(    Partnership Agreement、股份轉(zhuǎn)讓協(xié)議(Shares Assignment Agreement)、保密協(xié)議(Confidentiality Agreement)、競(jìng)業(yè)禁止協(xié)議(Non-compete Agreement)、聘用協(xié)議（Employment Agreement）等等。

 

二、         意向書（Letter of Intent）

 

文件名稱如果標(biāo)明“Letter of Intent”, “Memorandum of Understanding”(簡(jiǎn)稱MOU, 通常翻譯為諒解備忘錄)，甚至只稱為“Memorandum”（簡(jiǎn)稱Memo，通常稱之為備忘錄）。另外，也有標(biāo)明“Minute of Talks”(即會(huì)談紀(jì)要)。

 

這些法律文件往往是當(dāng)事人雙方在商洽合作中形成的，可以稱之為準(zhǔn)合同文件，雖然，從名稱上看，它們似乎不是合同或者協(xié)議，但這些法律文件，如果經(jīng)當(dāng)事人簽訂，即具有一定的法律約束力。甚至，由于沒有形成正式的合同或協(xié)議，而徑直依據(jù)這些文件而進(jìn)行實(shí)質(zhì)的合作，使之具有合同或協(xié)議的性質(zhì)。那就是說(shuō)，合同的效力不能被其名稱所拘束，如果上述的法律文件，其中完整明確地記載了交易的條款，當(dāng)事人如果依據(jù)該條款內(nèi)容履行，雙方也能達(dá)成交易目的。那么這份法律文件就應(yīng)當(dāng)視為雙方的合同或者協(xié)議。

 

三、         契約（Covenant, Indenture, Deed, Compact，Protocol）

 

英文合同還有一些約定俗成的名稱。Covenant, 主要指不動(dòng)產(chǎn)轉(zhuǎn)讓的合同或證明文件，英文合同如果基于傳統(tǒng)英美法對(duì)價(jià)的存在，也會(huì)用到這個(gè)詞, 表示雙方達(dá)成的契約。如：In consideration of mutual premises and covenants herein contained, the parties hereto agree as follows: Indenture通常也是指不動(dòng)產(chǎn)轉(zhuǎn)讓的契約文件，Deed一般指地契、房契，Compact多用于國(guó)家間的協(xié)定、協(xié)議。

 

Protocol, 通常翻譯為草約或者議定書，往往也是雙方會(huì)談結(jié)果的文字依據(jù)。經(jīng)雙方簽字后，即受其約束，對(duì)草約內(nèi)容承擔(dān)法律責(zé)任，如果需要補(bǔ)充、修改、完善，雙方還會(huì)簽訂補(bǔ)充的協(xié)議。

 

四、         其他書函（Letter; Waiver; Guaranty; Power of Attorney）

 

英文合同有時(shí)候非常簡(jiǎn)短，形式上就像信函一樣，姑且稱之為書函類的英文合同，常常用"Letter"（函），"Waiver"（棄權(quán)書），"Guaranty"（保證書），"Power of Attorney"（委托書）等簡(jiǎn)單明確的字眼作為合同的名稱。相對(duì)于"Agreement"或"Contract"類的合同，書函類的合同一般具有補(bǔ)充或附屬的性質(zhì)，而且經(jīng)常出現(xiàn)在“Agreement”或“Contract”類合同的附件中。當(dāng)然書函類的合同對(duì)雙方當(dāng)事人也有完全的拘束力。

例如：甲公司向乙銀行貸款，由丙公司做擔(dān)保人，通常甲公司與乙銀行會(huì)簽署一份總協(xié)議（General Agreement），做為雙方往來(lái)的主要依據(jù)，再由丙公司簽署一份保證書（Guaranty）給乙銀行，而乙銀行每次撥款時(shí)，會(huì)發(fā)出一份授信書（Credit Letter或Facility Letter）給甲公司，授信書上會(huì)載明授信額度，作為甲公司申請(qǐng)撥款的依據(jù)。由本例中三份合同可以看出，General Agreement系授信的主要依據(jù)，甲公司和丙銀行間的權(quán)利義務(wù)關(guān)系主要由General Agreement來(lái)規(guī)范，而Guaranty及Credit Letter均為附屬在General Agreement架構(gòu)下的小合同。丙公司因簽署了Guaranty，因此對(duì)乙銀行負(fù)有保證義務(wù)，乙銀行因?yàn)楹炇鹆薈redit Letter，因此對(duì)甲公司就發(fā)生了撥款的義務(wù)。

本書撰寫的方式，是針對(duì)名稱為"Agreement（狹義）"或"Contract"類型的合同文件做閱讀方法的說(shuō)明，其原因即在于此類文件的合同結(jié)構(gòu)復(fù)雜而內(nèi)容完整，讀者若能掌握閱讀此類合同的要領(lǐng)，閱讀其它類型的英文合同時(shí)自然就“No Problem”沒問(wèn)題了。

 

 

<<英文合同導(dǎo)讀>>第二章 英文合同的特色    

 

第二章           英文合同的特色（Features of English Contracts）

 

Form follows function.

 

--motto of the Bauhaus school of architecture

 

形式服從功能

 

           --鮑豪斯建筑學(xué)院校訓(xùn)

 

與基礎(chǔ)英語(yǔ)相比，作為專業(yè)性極強(qiáng)的語(yǔ)言，英文合同的用語(yǔ)不同于日常語(yǔ)言，具有顯著的特點(diǎn)。首先，句子冗長(zhǎng)而且復(fù)雜、似乎總也找不到句號(hào)，用詞偏僻，晦澀難讀，不易理解。其次，英文合同中往往沿用拉丁語(yǔ)，法律術(shù)語(yǔ)，跟中文的文言文似的，著實(shí)是佶屈聱牙，令人痛苦不堪。再次，由于屬于專業(yè)英語(yǔ)的范疇，英語(yǔ)合同必然涉及法律方面理解，閱讀者除了語(yǔ)言本身的能力外，對(duì)于法律也應(yīng)具備一定的素質(zhì)。這是所有專業(yè)英語(yǔ)的共性，就是需相應(yīng)的專業(yè)知識(shí)，這方面本文恕不多言。下面就是Plain English Campaign（直白英語(yǔ)運(yùn)動(dòng)）組織所遇到的最長(zhǎng)的英文合同的句子，有興趣的讀者不妨看看到底是什么意思：In the event that the Purchaser defaults in the payment of any installment of purchase price, taxes, insurance, interest, or the annual charge described elsewhere herein, or shall default in the performance of any other obligations set forth in this Contract, the Seller may: at his option: (a) Declare immediately due and payable the entire unpaid balance of purchase price, with accrued interest, taxes, and annual charge, and demand full payment thereof, and enforce conveyance of the land by termination of the contract or according to the terms hereof, in which case the Purchaser shall also be liable to the Seller for reasonable attorney's fees for services rendered by any attorney on behalf of the Seller, or (b) sell said land and premises or any part thereof at public auction, in such manner, at such time and place, upon such terms and conditions, and upon such public notice as the Seller may deem best for the interest of all concerned, consisting of advertisement in a newspaper of general circulation in the county or city in which the security property is located at least once a week for Three (3) successive weeks or for such period as applicable law may require and, in case of default of any purchaser, to re-sell with such postponement of sale or resale and upon such public notice thereof as the Seller may determine, and upon compliance by the Purchaser with the terms of sale, and upon judicial approval as may be required by law, convey said land and premises in fee simple to and at the cost of the Purchaser, who shall not be liable to see to the application of the purchase money; and from the proceeds of the sale: First to pay all proper costs and charges, including but not limited to court costs, advertising expenses, auctioneer's allowance, the expenses, if any required to correct any irregularity in the title, premium for Seller's bond, auditor's fee, attorney's fee, and all other expenses of sale occurred in and about the protection and execution of this contract, and all moneys advanced for taxes, assessments, insurance, and with interest thereon as provided herein, and all taxes due upon said land and premises at time of sale, and to retain as compensation a commission of five percent (5%) on the amount of said sale or sales; SECOND, to pay the whole amount then remaining unpaid of the principal of said contract, and interest thereon to date of payment, whether the same shall be due or not, it being understood and agreed that upon such sale before maturity of the contract the balance thereof shall be immediately due and payable; THIRD, to pay liens of record against the security property according to their priority of lien and to the extent that funds remaining in the hands of the Seller are available; and LAST, to pay the remainder of said proceeds, if any, to the vendor, his heirs, personals representatives, successors or assigns upon the delivery and surrender to the vendee of possession of the land and premises, less costs and excess of obtaining possession.

 

因此，國(guó)外，特別是美國(guó)要求法律文件的格式和語(yǔ)言應(yīng)當(dāng)現(xiàn)代化的呼聲愈來(lái)愈強(qiáng)烈。Robert E. Swindle早在美國(guó)1980年出版的The Business Communicator一書中就寫到：" ... legal and quasilegal documents can and are being written in everyday language. Several leading companies are rewriting their legal forms voluntarily, and the State of New York recently passed a law requiring that businesses write consumer contracts in nontechnical language. Additionally, the President of the United States has directed all administrative agencies to write future regulations in what he termed plain English for a change." (大意是說(shuō)法律和準(zhǔn)法律性文件能用日常語(yǔ)言書就，而且人們也正在這樣做。幾家大公司自愿重新起草他們的法律文書，紐約州最近也通過(guò)一項(xiàng)法律，要求商業(yè)企業(yè)用非術(shù)語(yǔ)草擬消費(fèi)者合同。另外，美國(guó)總統(tǒng)下令所有行政機(jī)構(gòu)在出臺(tái)將來(lái)的規(guī)定時(shí)要用他所稱的直白英語(yǔ)進(jìn)行變革。)而在英國(guó)也有一個(gè)成立了25年的Plain English Campaign（直白英語(yǔ)運(yùn)動(dòng)）組織致力于各種公文的直白英語(yǔ)化，而反對(duì)各種官樣文章（gobbledygook）。1999年英國(guó)頒布實(shí)施的消費(fèi)者不公平術(shù)語(yǔ)法（Unfair Terms in Consumer Contracts Regulations）也要求消費(fèi)者合同的術(shù)語(yǔ)必須用直白明了的語(yǔ)言（plain and intelligible language）,該法也要求這些術(shù)語(yǔ)必須是易讀的，意味著要用清晰的設(shè)計(jì)和排�。╟lear design and typography）。類似的法律也在歐盟的國(guó)家適用。

 

但 Law Dictionary的作者Steven H. Gifts在該字典的前言中感嘆到“…the special language of the law remains a barrier to nonlawyers. To the extent that this promotes the economic health of the profession, maintains its aura, and prevent unauthorized practice of the law, it may be regarded as a virtue.”大意是說(shuō)，法律專業(yè)語(yǔ)言對(duì)律師以外的人士來(lái)講，仍然是一道壁壘。從促進(jìn)行業(yè)經(jīng)濟(jì)的健康發(fā)展，保留行業(yè)特點(diǎn)和防止未經(jīng)授權(quán)進(jìn)行律師執(zhí)業(yè)等方面考慮，可以把這種語(yǔ)言壁壘看作是一種行業(yè)優(yōu)勢(shì)。

 

作為非英美法系的非英語(yǔ)國(guó)家，面對(duì)加入WTO，全球經(jīng)濟(jì)一體化的嚴(yán)峻挑戰(zhàn)，我們應(yīng)該怎樣應(yīng)對(duì)紛繁復(fù)雜的英文法律文件和語(yǔ)言呢？盡管Plain English（直白）似乎是大勢(shì)所趨，但萬(wàn)事都有個(gè)漸變的過(guò)程，長(zhǎng)年累月沉淀下來(lái)的習(xí)慣不是一下就能改變的。拿來(lái)主義某種意義上，是必須的，所以我們首先還是應(yīng)該先通曉傳統(tǒng)的英語(yǔ)合同格式和用語(yǔ)，在精通的基礎(chǔ)上，才能談得上根據(jù)實(shí)際情況進(jìn)行進(jìn)一步的格式和用語(yǔ)方面的改革，取其精華，去其糟粕，當(dāng)然，這需要一個(gè)漫長(zhǎng)的過(guò)程。以下就針對(duì)英文合同的特色分別從篇章結(jié)構(gòu)、用詞、句式結(jié)構(gòu)以及時(shí)態(tài)四大方面進(jìn)行說(shuō)明：

 

 

<<英文合同導(dǎo)讀>>2.1篇章結(jié)構(gòu)特點(diǎn)(1)     -|馬可菠蘿 發(fā)表于 2005-10-18 22:46:04 

 

 

第一節(jié) 篇章結(jié)構(gòu)特點(diǎn)（Text Structure）

 

一份完整的英文合同通常可以分為標(biāo)題（Title）、前言(Preamble)、正文(Habendum)、附錄(Schedule)及證明部分即結(jié)尾詞(Attestation)五大部分�！笜�(biāo)題」在開宗明義地顯示合同的性質(zhì)；「前言」是用最簡(jiǎn)單的說(shuō)明，大略介紹合同訂立的背景；「正文」里包括依各種合同性質(zhì)的不同而約定的具體條款，包括不論何種類型合同都會(huì)出現(xiàn)的一般條款；[附錄]構(gòu)成對(duì)前述合同正文條款作必要的補(bǔ)充。（不是所有合同都有該部分）最后「結(jié)尾」則是當(dāng)事人簽名前的一段文字，為整份合同畫上完滿的句號(hào)。以下分別就此五部分進(jìn)行說(shuō)明。

一、合同的標(biāo)題（Title）

英文合同和中文合同都一樣，標(biāo)題并不是一定要有的，因?yàn)楫?dāng)事人間的法律關(guān)系是用合同內(nèi)容的各個(gè)條款來(lái)判斷，標(biāo)題基本上不會(huì)產(chǎn)生任何影響。但為方便辨識(shí)的考慮，合同撰寫人通常都會(huì)依照合同性質(zhì)，在合同首頁(yè)的最上方給予一個(gè)適當(dāng)?shù)臉?biāo)題。在第一章的英文合同名稱中已有介紹，在此不再贅述，僅補(bǔ)充Confirmation(確認(rèn)書)，Order(定單)經(jīng)常也會(huì)出現(xiàn)在簡(jiǎn)易的合同中。

 

二、合同的前言(Preamble)

英文合同在標(biāo)題之后，各式各樣的條款出現(xiàn)之前，通常會(huì)先有一段「前言」，也稱序言、導(dǎo)言、總則等, 也見有稱為“Non-operative part”者。前言一般不會(huì)占去太多的篇幅，目的在于很簡(jiǎn)略地介紹合同內(nèi)容之人、事、時(shí)、地、物等背景，讓閱讀合同的人在接觸冗長(zhǎng)復(fù)雜的正文前，先有一個(gè)基礎(chǔ)的認(rèn)識(shí)與心理準(zhǔn)備。

詳細(xì)來(lái)說(shuō)，前言通常又分作以下兩個(gè)段落：

 

第一部份文字叫做 "Parties" ，也就是合同的「開場(chǎng)白」(Commencement)，內(nèi)容在說(shuō)明當(dāng)事人姓名或名稱、國(guó)籍或注冊(cè)地國(guó)及住所地或主營(yíng)業(yè)地、訂約日期包括各自在合同中的簡(jiǎn)稱等等。

 

EMPLOYMENT CONTRACT (SALES)

EMPLOYMENT AGREEMENT is made and entered into on ________ day of _________ (month), ____ (year), by and between:  _______ (hereinafter referred to as the "Company"), a corporation organized and existing under the laws of the State of ____, with its registered office located at ________________, and ______ (hereinafter referred to as the "Employee"), an individual, with nationality of _________ (Passport No._____) residing at  _____________.    

 

本聘用協(xié)議于___年_月_日簽訂，雙方當(dāng)事人為：

 依_州法律組織設(shè)立的________公司 (以下簡(jiǎn)稱本公司) ， 主營(yíng)業(yè)地為_______，與

___國(guó)籍的____ (護(hù)照號(hào)碼: _____)(以下簡(jiǎn)稱雇員), 居住于_________________。

 

 

& by and between

要表示合同是由哪些當(dāng)事人所訂定，英文中通常會(huì)說(shuō)"This Agreement is made by and between..."，用"by"來(lái)表示合同「由誰(shuí)訂定」，"between"來(lái)表示「誰(shuí)與誰(shuí)之間的訂立」。如果當(dāng)事人不只兩個(gè)，也可以用"by and among"來(lái)代替。

& organized and existing

合同開場(chǎng)白里要說(shuō)明當(dāng)事人的國(guó)籍，在自然人的情況下可以用"a national of ..."或"an individual with the nationality of ..."來(lái)表示，如果是法人組織多半使用"organized and existing under the laws of ..."這樣的字眼，其中"organized"也可以用"incorporated"來(lái)代替。

& registered office

"registered office"是指一個(gè)公司的「注冊(cè)所在地」，它和"principal office" 或“ principal place of business”即「主營(yíng)業(yè)地」并不一定位于同一個(gè)地方。

 

第二部份叫做"Recitals"，是由數(shù)個(gè)以"Whereas"字樣開頭的句子所組合而成（這些句子俗稱為"Whereas Clauses" 即鑒于條款）。 "Whereas"的本義是"When in fact"、"considering that"、或"that being the case"的意思，所以"Whereas Clauses"就表示當(dāng)事人乃是在基于對(duì)這些事實(shí)（例如訂約的目的、背景、原由等）的共同認(rèn)識(shí)，訂立此合同。以下是一個(gè)補(bǔ)償貿(mào)易合同（Compensation Trade Contract）的Whereas Clauses，很簡(jiǎn)單明了地表達(dá)了雙方合作的意愿。

WITNESSETH

 

Whereas Party B has machines and equipment, which are now used in Party B's

manufacturing of steel wire rope, and is willing to sell to Party A the machines

and equipment; and

 

Whereas Party B agrees to buy the products, steel wire rope, made by Party A

using the machines and equipment Party B supplies, in compensation of the price

of the machines and equipment, and

 

Whereas Party A agrees to purchase from Party B the machines and equipment, and

 

Whereas Party A agrees to sell to Party B the products, the steel wire rope, in

compensation of the price of Party B's machines and equipment;

 

茲證明(通常不譯)

鑒于乙方擁有用于生產(chǎn)鋼絲繩的機(jī)械設(shè)備，愿向甲方出售該機(jī)械設(shè)備；

鑒于乙方同意購(gòu)買甲方用乙方所供應(yīng)的該機(jī)械設(shè)備生產(chǎn)的產(chǎn)品，鋼絲繩來(lái)補(bǔ)償該機(jī)械設(shè)備的價(jià)款；

鑒于甲方同意從乙方購(gòu)買該機(jī)械設(shè)備；

鑒于甲方同意向乙方出售產(chǎn)品鋼絲繩以補(bǔ)償乙方機(jī)械設(shè)備的價(jià)款；

 

 

 

緊接在一串whereas clauses之后，會(huì)出現(xiàn)類似上例中的"Now Therefore,  in consideration [對(duì)價(jià)/約因（港臺(tái)多用此遇）] of……:"這樣一句話，表明合同是有償合同，目的在提醒閱讀合同的人，真正規(guī)范訂約當(dāng)事人權(quán)利義務(wù)關(guān)系的條款在這句話之后就要開始了，也就是說(shuō)，這句話是前言與正文之間過(guò)渡的橋梁，在此之前為訂約背景事實(shí)的敘述，在此之后則為關(guān)于交易關(guān)系的實(shí)體約定（一般稱為"operative part/clauses"）。

 

例如：Now therefore, in consideration of the premises and covenants described hereinafter, Party A and Party B agree as follows:

 

茲以上述各點(diǎn)和契約所載條款為約因，訂約雙方協(xié)議如下：

 

 

 

 

[原創(chuàng)]<<英文合同導(dǎo)讀>>2.1篇章結(jié)構(gòu)特點(diǎn)(2)    

 

三、正文(Hanbendum/Operative part)

正文(Hanbendum) 部分, 也稱Operative part/clauses或Body, 具體約定當(dāng)事人的權(quán)利義務(wù)。各式各樣的正文條款是合同中最核心的部份，也是篇幅最大的部份，與當(dāng)事人的權(quán)利義務(wù)關(guān)系發(fā)生最直接、最密切的牽連。

本書擬將英文合同中的正文條款分為兩類：「特殊條款」與「一般條款」。所謂「特殊條款」指的是只有在某些特定性質(zhì)的合同中才會(huì)出現(xiàn)的條款，例如勞動(dòng)合同中通常會(huì)約定保密條款、競(jìng)業(yè)禁止條款，但是買賣同就不會(huì)有這些約定。反過(guò)來(lái)說(shuō)，買賣合同中一般要記載交易標(biāo)的、交易條件等等條款，在勞動(dòng)合同中就不會(huì)出現(xiàn)。

相對(duì)于「特殊條款」的所謂「一般條款」，指的是不論合同性質(zhì)如何，幾乎所有的合同中都會(huì)記載的條款，例如管轄法院的約定、違約條款等等，將于第四章中詳細(xì)介紹，在此亦不贅述。

四、附錄（Schedule）

 

附錄也稱Addendum, Annex或Exhibit，也有用Attachment, List或Table表示的。附錄部分作為對(duì)正文條款的補(bǔ)充，不是所有英文合同都有的一項(xiàng)。以下就是一份聘用協(xié)議的附錄，對(duì)該公司聘用的經(jīng)理職責(zé)作出補(bǔ)充說(shuō)明：

 

THE SCHEDULE ABOVE REFERRED TO

 

1． To manage, maintain and promote the business of the Company

 

2． To attend personally during the usual hours of business and to supervise and control the business and to be accessible to customers and employees of the Company.

 

3． To keep the usual books of account.

 

4． To pay daily all money received in the business into the Company’s bank account.

 

5． Generally to protect the interests of the Company.

 

上文提及的附錄是指：

 

1． 管理，維持并促進(jìn)公司的經(jīng)營(yíng)

 

2． 親自參與公司的日常經(jīng)營(yíng)，監(jiān)管經(jīng)營(yíng)，對(duì)本公司的客戶和員工平易近人。

 

3． 保管日常賬冊(cè)。

 

4． 支付日常公司經(jīng)營(yíng)到帳的款項(xiàng)

 

5． 廣泛地保護(hù)公司的利益

 

此外，即便是有這部分的英文合同，也經(jīng)常因?yàn)楦戒浀膬?nèi)容龐雜篇幅較長(zhǎng)，如有關(guān)的圖表或者其他法律文書，而放在合同的最后單獨(dú)列明。下文就是單獨(dú)列在合同后的附錄的一個(gè)信用證：

 

EXHIBIT B Letter of Credit

XYZ BANK LIMLTED

[Address]

 

Credit Bank, N. A.         

International Banking Facility

 

Los Angeles, California 90000 U.S.A.

 

Date:

 

Letter of Credit No.:

 

Gentlemen:

 

We hereby establish this irrevocable letter of credit in your favor for account

of ABC Company in the amount of U. S. $ _______ (amount in words), available

against your draft(s) drawn at sight on Credit Bank, N.A., Letter of Credit

Department, Los Angeles, California, accompanied by your signed and dated

statement as follows:

 

"The amount drawn under Letter of Credit No.[_________]dated[_______] issued by

XYZ Bank Limited on behalf of ABC Company is payable to the undersigned pursuant

to the terms of that certain Loan Agreement dated as of _________, 20 ___,

between ABC Company and Credit Bank. N.A."

 

All drafts drawn under this Letter of Credit must bear the clause "Drawn under

XYZ Bank Limited Letter of Credit Number_____, dated_______, 20 ___.

 

Partial drawings are permitted.

 

We hereby engage with the drawers, endorsers and bona fide holders of drafts

drawn under and in compliance with the terms of this Letter of Credit that the

drafts will be duly honored if drawn and presented to the above drawn in Los

Angeles, California, on or before [Expiry date 30 days after the final

Installment Payment Date].

 

This Letter of Credit is subject to the Uniform Customs and Practice for

Documentary Credits (1983 Revision), International Chamber of Commerce,

Publication No. 400.

 

Special Instructions to Drawee Bank

 

In reimbursement for any payment made by you hereunder, you may debit our

account with you.

 

XYZ BANK LIMITED

BY____________

(Authorized Signature)

 

附件B：

 

XYZ銀行

 

地址：

 

北美信貸銀行

國(guó)際銀行業(yè)務(wù)部

美國(guó)加州洛杉璣

日期：

信用證號(hào)碼：

 

*先生

 

我行在此開立，以ABC公司為受益人，總額為*美元的不可撤銷信用證，憑交加州洛杉璣北美信貸銀行信用證部開出的即期匯票付款。并附有貴行簽署、具名日期的如下聲明：

 

由XYZ銀行代表ABC公司*年*月*日開立的第*號(hào)信用證項(xiàng)下款項(xiàng)系根據(jù)ABC公司與北美信貸銀行*年*月*日訂立的某貸款協(xié)議條款規(guī)定，付與簽字人。

 

本證項(xiàng)下開具的匯票須注明“本匯票系憑XYZ銀行……年……月……日第…號(hào)信用證下開具”的條款。

 

允許部分提款。

 

凡根據(jù)本證開具與本證條款相符的匯票，如按時(shí)開具提交我行，我行保證對(duì)出票人、背書人和善意持有人不遲于最后分期付款日后30天內(nèi)承擔(dān)付款責(zé)任。

本信用證系根據(jù)國(guó)際商會(huì)第400號(hào)出版物跟單信用證統(tǒng)一慣例與實(shí)務(wù)（1983年版）繕制。

 

 付款行特別指令

 

貴行本信用證項(xiàng)下所付款項(xiàng)，記入我行與貴行的借記帳戶。

 

XYZ銀行

 

授權(quán)簽字

 

五、證明部分（Attestation）

英文合同結(jié)構(gòu)中的最后一個(gè)部份就是結(jié)尾辭即證明部分與當(dāng)事人的簽名。所謂「結(jié)尾辭」指的是在當(dāng)事人簽名之前經(jīng)常會(huì)出現(xiàn)一段文字，相當(dāng)于中文合同中“雙方簽字蓋章，特此為證”。除了表明簽名人確實(shí)為正當(dāng)授權(quán)的代表外，還會(huì)具明簽名的日期。至于簽名檔的部份，如果當(dāng)事人是公司的話，除了代表人的簽名以外，還要加蓋公司印鑒，并且通常會(huì)注明代表人的職務(wù)(title)。

IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed by duly authorized representatives of both parties on the date and year first written above.

___________________ ___________________

By: By:

Title: Title:

本協(xié)議由被授權(quán)之人，于本協(xié)議上述所記載日期，代表雙方當(dāng)事人締結(jié)生效之，特此為證。

_________________ __________________

代表人： 代表人：

職務(wù)： 職務(wù)：

& IN WITNESS WHEREOF

這三個(gè)詞是英文合同結(jié)尾辭的標(biāo)準(zhǔn)模式，實(shí)體上講并沒有什幺特別的功能或意義，與中文合同里最后通常會(huì)記載的「恐口說(shuō)無(wú)憑，特立契為證」很類似，也有用IN TESTIMONY WHEREOF 替代，有時(shí)候也會(huì)用"INTENDING TO BE LEGALLY BOUND"代替，意思也是一樣的。

& duly authorized representatives

當(dāng)合同之當(dāng)事人為法人組織時(shí)，必須推選出一位自然人作為法定代表人，例如公司的法定代表人通常會(huì)是董事長(zhǎng)，代表公司對(duì)外簽訂合同，建立權(quán)利義務(wù)關(guān)系。除了董事長(zhǎng)根據(jù)法律當(dāng)然具備對(duì)外代表公司的權(quán)限之外，公司董事會(huì)也可以通過(guò)決議授權(quán)某一個(gè)董事、總經(jīng)理、或其它重要職員作為公司簽約的代表人，此時(shí)與公司簽約的對(duì)方當(dāng)事人為了確保這個(gè)代表人的確屬于"duly authorized representative"，可以要求公司提供這個(gè)授權(quán)的董事會(huì)決議證明，以妥善保護(hù)自己的權(quán)益。下面就是一個(gè)董事會(huì)對(duì)采購(gòu)員的授權(quán)決議：

 

BOARD OF DIRECTORS' RESOLUTION

 

DESIGNATING A PURCHASING AGENT

 

Pursuant to a duly made, seconded, and carried motion the Board of Directors of __________ _________________ (hereinafter referred to as Corporation) adopted the following resolution by a unanimous vote:

 

RESOLVED, that ______________________ is hereby appointed Purchasing Agent of this Corporation with limited authority to make purchases in the Corporation's name and behalf. Under no circumstances will the Purchasing Agent have real or apparent authority to make a purchase for the Corporation if the dollar amount of said purchase or the total dollar amount of an installment purchase will exceed the amount of __________ dollars ($___________).

 

I The undersigned, _________________________, certifies that he or she is the duly appointed Secretary of _______________________ Corporation and that the above is a true and correct copy of a resolution duly adopted at a meeting of the directors thereof, convened and held in accordance with law and the Bylaws of said Corporation on _____________, (Date) and that such resolution is now in full force and effect.

 

IN WITNESS THEREOF, I have affixed my name as Secretary of _________________

 

____________________ Corporation and have attached the seal of ________________

 

____________________ Corporation to this resolution.

 

Dated: ______________________ ___________________________

 

Secretary

 

Seal:

 

董事會(huì)決議：

 

任命采購(gòu)員：

 

就已第二次提起到董事會(huì)的動(dòng)議，本公司董事會(huì)全體一致通過(guò)如下決議：

 

 茲決議，本公司授權(quán)***為本公司采購(gòu)員，以本公司名義代表本公司對(duì)外采買。但其單筆采購(gòu)金額或分期購(gòu)買的總額不得超過(guò)****美元。超過(guò)該數(shù)額該采購(gòu)員概無(wú)真實(shí)或表見代理權(quán)。

 

我，簽字人，證明***，他/她是本公司正式任命的秘書，以上是本公司董事會(huì)決議的真實(shí)準(zhǔn)確的副本，該決議系按法律和本公司章程在*年*月*日召開的董事會(huì)上正式通過(guò)，現(xiàn)完全有效。

 

 作為公司秘書我簽字并蓋公司印鑒于該決議，特此為證。

 

 

 

 

日期：*年*月*日

 

秘書：（簽字）

 

公司印鑒：（蓋章）

& the date and year first written above

如果合同結(jié)尾辭里注明的日期和合同前言所載明的日期相同，就用這句話表示，如果不同的話，就應(yīng)該另以條款明定合同生效日（Effective Date），以免產(chǎn)生爭(zhēng)議。如下例：

 

After this contract is signed by the duly authorized representatives of both parties, both parties shall submit the contract to their governments or Boards of Directors for approval. The date when the later party obtains the approval shall be taken as the effective date of the contract. Both parties shall attempt to get the contract approval within 60 days from signing and notify by telex or cable the other party of the approval which is confirmed by the following registered air-mail letter.

 

本合同經(jīng)雙方正式授權(quán)代表簽署后，應(yīng)提交各自政府或董事會(huì)批準(zhǔn)。以后一方獲得批準(zhǔn)日期為本合同生效日。雙方應(yīng)盡力在合同簽署后60日內(nèi)獲得批準(zhǔn)并以電傳或電報(bào)形式通知該批準(zhǔn)，隨后以航空掛號(hào)郵件確認(rèn)。

 

 

<<英文合同導(dǎo)讀>>2.2 用詞特點(diǎn)(1)     -|馬可菠蘿 發(fā)表于 2005-11-1 21:55:31 

 

 

第二節(jié) 用詞特點(diǎn)（Wording）

 

作為正式法律文件，英語(yǔ)合同在用詞方面極其考究，要求選詞專業(yè)（professional）,正式（formal）,準(zhǔn)確（accuracy）。具體體現(xiàn)如下：

 

1．專業(yè)性術(shù)語(yǔ)（Technical Terms/ Terminology）

 

法律專業(yè)性術(shù)語(yǔ)是在合同等法律文件中才用到的詞匯，它并不以一般受眾為對(duì)象，而針對(duì)專業(yè)人士，力求使語(yǔ)言表達(dá)準(zhǔn)確無(wú)誤。中文合同中常見的諸如“瑕疵”（defect）、“救濟(jì)”（remedy）、“不可抗力”（force Majeure）、“管轄”(jurisdiction)等專業(yè)用詞就已經(jīng)讓非專業(yè)人士大惑不解了，英文合同的專業(yè)用詞自然就更玄妙無(wú)比了。 具體的實(shí)例如下：

 

l         Without prejudice to the parties' rights under Clause 18. 1, the indemnities provided for in Clausel6. 1 and/or 16. 2 and/or 16. 3 shall be the sole compensation for the damages caused by such delays.不妨害18.1款雙方的權(quán)利，16.1,16.2及16.3款規(guī)定的賠償應(yīng)為上述延誤引起損害的唯一賠償金。indemnities較compensation專業(yè)，此處用compensation解釋了indemnities；

 

l         Any such assignment, transfer or conveyance shall be without other consideration than the mutual covenants and considerations of this agreement.任何轉(zhuǎn)讓除根據(jù)本協(xié)議相互契約和對(duì)價(jià)外不得考慮其他。Transfer，assignment和conveyance都有轉(zhuǎn)讓的含義，其中assignment和conveyance（多用于不動(dòng)產(chǎn)）尤為專業(yè)。

 

l         We advise you of our intention to terminate our tenancy on or before ________________ (Date) and to deliver to you full possession of the premises。我方不遲于某日期通知你方終止租約并交還房屋全部所有。tenancy指房屋租賃的租約，而premises指租賃的房屋及其附屬物都是專業(yè)用語(yǔ)。

 

l         Licensee agrees to pay to Licensor a minimum royalty of___________ Dollars ($______) as a minimum guarantee against royalties to be paid to Licensor during the first contract term, said minimum royalty to be paid on or before the last day of the initial term hereto.  受許可方同意支付許可方最低使用費(fèi)*美元作為該許可合同第一期使用費(fèi)的最低保證金，該最低使用費(fèi)不遲于本合同的入門期最后一天支付給許可方。Royalties在許可合同中專指特許權(quán)使用費(fèi)。

 

l         Price of the Contract shall be calculated on Royalty in accordance with the content and scope stipulated in Article 2 to the Contract and shall be paid in___________.按照第二條規(guī)定的內(nèi)容和范圍。本合同采用提成方式計(jì)算價(jià)格，計(jì)價(jià)的貨幣為＿＿＿。與上例不同的是，這里的royalty指的是許可合同計(jì)價(jià)方式的一種即提成計(jì)價(jià)(royalty price),相對(duì)于統(tǒng)包價(jià)格（lumpsum price）

 

l         Default in observing or performing any of the covenants or agreements of debtor set forth in any collateral document of security given to secure indebtedness hereunder, and the continuation of such default beyond any period of grace specified in any such document.

 

借款人未能履行契約或附帶的擔(dān)保文件列明的協(xié)議，以及該違約的持續(xù)超過(guò)上述文件規(guī)定的寬限期。在借款合同中g(shù)race專指寬限期，而不是普通英語(yǔ)的其他意思。

 

l         Furthermore, the parties agree that the following situations shall be considered as exceptional circumstances which justify the earlier termination by the other party: bankruptcy, moratorium, receivership, liquidation or any kind of composition between the debtor and the creditors, or any circumstances which are likely to affect substantially one party's ability to carry out his obligations under this contract。此外，雙方同意以下條件應(yīng)認(rèn)為是對(duì)方合理提前終止合同的例外情形：破產(chǎn)、延付令、破產(chǎn)在管、清算或其他債權(quán)人和債務(wù)人任何形式的和解，或任何可能對(duì)一方履行合同項(xiàng)下義務(wù)能力造成實(shí)質(zhì)影響的情形。此處的composition顯然不是普通英語(yǔ)中“作文”的意思，而是指破產(chǎn)和解。

 

l         In addition, upon request of the Board and if the Liquidating Trustee determines that it would be imprudent to dispose of any non-cash assets of the Company, such assets may be distributed in kind to the Members in lieu of cash, proportionately to their right to receive cash distributions hereunder.另外，應(yīng)董事會(huì)請(qǐng)求且如果清算托管人確定處理本公司非現(xiàn)金財(cái)產(chǎn)非明智之舉，該財(cái)產(chǎn)可按各成員根據(jù)合同項(xiàng)下收取現(xiàn)金份額的權(quán)利以實(shí)物形式替代現(xiàn)金進(jìn)行分配。In kind 此處與in cash 相對(duì)，通常用于合資、合伙協(xié)議中表示“以實(shí)物出資”，本句中是以實(shí)物分配清算。In lieu of 表示替代相當(dāng)于基礎(chǔ)英語(yǔ)中的instead of。

 

l         The Buyer shall establish the covering letter of credit before the date specified in Clause Three of this Sales Confirmation, failing which the Seller reserves the right to rescind without further notice, or to accept whole or any part of this Sales Confirmation not fulfilled by the Buyer, or to lodge a claim for losses sustained, if any.買方須于銷售確認(rèn)書第三條所規(guī)定的日期之前開出本批交易的信用證。否則，售方有權(quán)不經(jīng)通知取消本確認(rèn)書，或接受買方對(duì)本銷售確認(rèn)書未履行的全部或一部分，或?qū)σ虼嗽馐艿膿p失提出索賠。Reserve為專用詞匯，我們常見的“版權(quán)所有”英語(yǔ)表達(dá)就是All rights reserved。Rescind（取消合同/協(xié)議）和lodge（提出索賠，與claim(s)連用）也都是專業(yè)用語(yǔ)。

 

l         In case one party desires to sell or assign all or part of his investment subscribed, the other party shall have the preemptive right. 如一方欲出售或轉(zhuǎn)讓其所投資的部分或全部，另一方應(yīng)有優(yōu)先購(gòu)買權(quán)。Assign（其名詞形式assignment）和Preemptive屬專業(yè)用語(yǔ)。

 

 2. 正式用語(yǔ)（Formal Terms）

 

英文合同，習(xí)慣采用書面的形式，合同往往使用正式的書面用語(yǔ)，較少使用口頭用語(yǔ)，以顯示合同正規(guī)、嚴(yán)肅。具體實(shí)例如下：

 

l         At the request of Party B, Party A agrees to send technicians to assist Party B to install the equipment.應(yīng)乙方要求，甲方同意派遣技術(shù)人員幫助乙方安裝設(shè)備。 assist 較 help 正式；

 

l         The personnel shall not to partake in any political activities in Iraq.所有人員不得參加伊拉克國(guó)內(nèi)的任何政治活動(dòng)。partake in 較 take part in 正式；

 

l         The Employer shall render correct technical guidance to the personnel.雇主應(yīng)該對(duì)有關(guān)人員給予正確技術(shù)指導(dǎo)。 render 較 give 正式；

 

l         Party A shall repatriate the patient to China and bear the cost of his passage to Guangzhou.甲方應(yīng)將病人遣返中國(guó)并負(fù)責(zé)其返回廣州的旅費(fèi)。 repatriate 較 send back 正式；

 

l         This Contract shall be governed by and construed in accordance with the laws of China.本合同受中國(guó)法律管轄，并按中國(guó)法律解釋。construe 較 explain, interpret 正式；in accordance with 較according to正式。

 

l         The Employer may object to and require the Contractor to replace forthwith any of its authorized representatives who is incompetent.雇主認(rèn)為承包人委派的授權(quán)代表不合格時(shí)，可以反對(duì)并要求立即撤換。require較ask正式；而且，require表示上對(duì)下的要求，ask沒有這么明確，它含有request和require之意，其中request表示下對(duì)上的要求，即“請(qǐng)求”公文體forthwith 較 at once 正式；

 

l         The Chairperson may convene and preside an interim meeting based on a proposal made by one-third of the total number of directors.董事長(zhǎng)可以根據(jù)董事會(huì)過(guò)1/3董事的提議而召集主持臨時(shí)董事會(huì)議。Convene較hold正式，preside較be in charge of 正式，interim也是正式用詞較temporary正式。

 

l         In processing transactions, the manufacturers shall never have title either to the materials or the finished products.加工貿(mào)易中，廠方無(wú)論是對(duì)原料還是成品都無(wú)所有權(quán)。 title 較 ownership 正式。

 

l         The term "Effective date" means the date on which this Agreement is duly executed by the parties hereto.“生效期”指雙方合同簽字的日子。 execute 較 sign 正式；

 

l         The submission to and consent by the Engineer of such programs or the provision of such general descriptions or cash flow estimates shall not relieve the Contractor of any of his duties or responsibilities under the Contract.向工程師提交并同意的上述進(jìn)度計(jì)劃或提供上述一般說(shuō)明或現(xiàn)金流量估算，并不解除合同規(guī)定的承包人的任何義務(wù)或責(zé)任。Consent和estimate都是正式用詞；

 

l         The Appendix hereto shall, through the contract period, be deemed to be construed as an integral part of this Contract. 整個(gè)合同期間，本合同附件應(yīng)理解為合同不可分割的一部分。deem較consider正式。

 

l         The parties shall work together in order to endeavour to achieve the timely completion of the Project in accordance with the Project Schedule as Annex 4 according to which the construction period shall be _________years from the commencement date.雙方共同努力確保按附件四的工程進(jìn)度表及時(shí)竣工，根據(jù)該工程進(jìn)度表工期應(yīng)從開工日起*年。Commencement較starting、beginning正式。

 

 

·[原創(chuàng)]<<英文合同導(dǎo)讀>>2.2 用詞特點(diǎn)(2) 

 

 

3．  同、近義詞、相關(guān)詞并列（Parallel Synonyms, Parasynonyms and Associated/Binomial Expressions）

 

在英文合同中同近義詞或相關(guān)詞成對(duì)或多個(gè)并列連用，使合同周密嚴(yán)謹(jǐn)，以減少漏洞和爭(zhēng)議。

 

l         This agreement is made and entered into by and between Party A and Party B.本協(xié)議由甲方與乙方簽訂。句中made與entered into同義，而by與between相關(guān)。

 

l         Party A agrees to purchase from Party B the following commodity under the terms and conditions set out below: 甲方同意按照下列條款向乙方購(gòu)買如下商品：terms 和conditions同義，往往并列連用表示合同的條款。

 

l         Party A shall be unauthorized to accept any order sort to collect any account on and after September 20. 自9月2O日起，甲方已無(wú)權(quán)接受任何定單或收據(jù)。On與after相關(guān)詞連用用以明確時(shí)間。

 

l         Any partner or his/her agent, may review any and all accounting or other records at anytime.任何合伙人或其代理人，可隨時(shí)審查任一或全部會(huì)計(jì)賬目或其他記錄。Any 與 all 相關(guān)詞連用，表達(dá)更為嚴(yán)謹(jǐn)。

 

l         The decision by such arbitration shall be accepted as final and binding upon both parties。該仲裁裁決為終局裁決，雙方均受其約束。Final和binding屬相關(guān)詞連用。

 

l         The Company hereby releases and discharges Party A from further performance of, and any duties, obligations or liabilities under, the amended Agreement.本公司特此解除甲方已修正協(xié)議的進(jìn)一步履行及其修正協(xié)議下的義務(wù)和責(zé)任。Release和discharge相關(guān)詞連用，duty，obligation和liability屬近同義詞連用。

 

l         If the Contractor shall duly perform and observe all the terms, provisions, conditions and stipulations of the said Contract, this obligation shall be null or void but otherwise shall be and remain in full force and effect.如果承包人切實(shí)履行并遵守上述合同的所有條款、條件及規(guī)定，此義務(wù)即告終止，否則將保持完全有效。句中terms, provisions, conditions，stipulations為一組同義詞，意為合同的條款及規(guī)定，null和void，be和remain，force和effect也都是同義連用。

 

l         While this agreement is in effect, the Author shall not, without the prior written consent of the Publisher, write, edit, print, or publish, or cause to be written, edited, printed or published, any other edition of the Work, whether revised, supplemented, corrected, enlarged, abridged, or otherwise….

 

l         May be fixed or varied from time to time at and in accordance with the sole discretion and opinion of the Selleror its factor….

 

4.大寫字母的運(yùn)用（Capitalization）

 

英文合同中，有些詞的首字母需要大寫。需要大寫首字母的詞除了基礎(chǔ)英語(yǔ)中用在句首的一般情形外，尤其應(yīng)注意下列的幾種情況：

 

l         當(dāng)事人

 

當(dāng)事人指合同雙方或各方（一般為兩方以上）時(shí)，首字母通常大寫。例如：

 

Party B shall inspect the raw materials supplied by Party A forthwith upon receipt thereof.

 

乙方應(yīng)一經(jīng)收到甲方提供的原材料，即行檢驗(yàn)。

 

l         機(jī)構(gòu)名稱

 

英文合同中涉及的機(jī)構(gòu)名稱，首字母要大寫。例如：

 

China International Economic and Trade Arbitration Commission.

 

（中國(guó)國(guó)際經(jīng)濟(jì)貿(mào)易仲裁委員會(huì)）

 

International Institute for the Unification of Private Law （簡(jiǎn)稱UNIDROIT）

 

（國(guó)際統(tǒng)一私法協(xié)會(huì)）

 

The Board of Directors (董事會(huì))

 

l         合同涉及的特指名稱

 

在英文合同中，一些涉及到的關(guān)鍵詞語(yǔ)，一般首字母要大寫。通常會(huì)在合同的定義條款中定義，然后再重復(fù)使用。例如：

 

The Acceptance Test Manual shall be the document prepared by A which will be used by A and the Purchaser FOR checking that the Equipment is in accordance with the specification and Approved Data.

 

本驗(yàn)收實(shí)驗(yàn)手冊(cè)系指由A提供的，供A與買方檢驗(yàn)設(shè)備是否符合技術(shù)規(guī)格和認(rèn)可資料的文件。句中的Acceptance Test Manual , Equipment, Approved Data均有特指含義。

 

l         本合同及合同具體條款及附件名稱

 

Such Site Acceptance shall take place within a period of two weeks after the Effective Date to the Contract as such period may be extended pursuant to Article 6 hereof.

 

現(xiàn)場(chǎng)驗(yàn)收應(yīng)在本合同生效日后2周內(nèi)進(jìn)行，此項(xiàng)驗(yàn)收的時(shí)間按本合同第6條延長(zhǎng)。

 

Party A and Party B shall make full endeavors to fulfill this Contract with the stipulated period. The schedule of various activities is attached at Appendix 4.

 

甲乙雙方應(yīng)竭盡全力在規(guī)定的期間內(nèi)完成本合同，各活動(dòng)的日程表見附件4

 

l         國(guó)際公約、慣例和國(guó)家法律法規(guī)、條例規(guī)章等的名稱，

 

例如：This Contract is signed on a mutuality voluntary basis by and between the following Employer and Employee in accordance with "The Labour Law of The People's Republic of China."

本合同在自愿的基礎(chǔ)上由聘用方和受聘方根據(jù)《中華人民共和國(guó)勞動(dòng)法》達(dá)成協(xié)議如下：

 

合同提及的國(guó)際公約、慣例的首字母也需大寫，如：

 

International Chamber of Commerce Term 2000(簡(jiǎn)稱INCOTERMS 2000)

 

2000年國(guó)際貿(mào)易術(shù)語(yǔ)解釋通則

 

也稱International Rules for the Interpretation of Trade Terms 2000

 

United Nations Convention on Contracts for the International Sale of Goods（簡(jiǎn)稱CISG）

 

《聯(lián)合國(guó)國(guó)際貨物買賣合同公約》

 

The Uniform Customs and Practice for Documentary Credits,1993 Revision ICC Publication No. 500

《跟單統(tǒng)一信用證統(tǒng)一慣例》（1993年修訂本，國(guó)際商會(huì)第500號(hào)出版物）

 

 The Uniform Law on International Sale of Goods 《國(guó)際貨物買賣統(tǒng)一法》

 

The Uniform Law on the Formation OF Contracts for the International Sale of Goods

 

《國(guó)際貨物買賣合同成立統(tǒng)一法》

 

The Principles of International Commercial Contracts

 

《國(guó)際商事合同通則》

 

l         合同中的貨幣名稱

 

Party A shall pay Party B a monthly salary of US$600 (SAY FIVE HUNDRED US DOLLARS ONLY). 聘方須每月付給受聘方美元600元整。SAY表示后接大寫，ONLY表示整

此外，英文合同為強(qiáng)調(diào)某些部分而用大寫字母書寫以資醒目。

 

例如在英文合同的開頭往往有這樣的句子：This AGREEMENT … WITNESSES that WHEREAS … and WHEREAS … NOW THEREFORE, in consideration of it is hereby agreed as follows:

 

[原創(chuàng)]<<英文合同導(dǎo)讀>>2.2 用詞特點(diǎn)(3)     -|馬可菠蘿 發(fā)表于 2005-11-16 22:37:50 

 

 

版權(quán)聲明：本書的版權(quán)屬于作者本人，未經(jīng)作者本人同意，不得轉(zhuǎn)載、轉(zhuǎn)貼。任何其他人出版、發(fā)行或以其它方式使用本書的，請(qǐng)直接與作者聯(lián)系取得書面授權(quán)或同意。

 

5.古體詞與外來(lái)詞（Archaic Words and Loan Words）

 

英文合同中迄今仍然使用一些古體詞語(yǔ)，最突出的形式是把here, there, where加上介詞而構(gòu)成的復(fù)合副詞。如：hereby, hereto, hereunto, herein, hereinafter, hereinbefore, hereunder, thereof, thereto，whereby, whereas等等。Here+介詞一類往往可以套用介詞+this agreement來(lái)幫助理解。There/where+介詞就需要考慮上下文參照here+介詞的理解方法。具體的理解和運(yùn)用將在第3章英文合同常用詞一節(jié)詳述。

 

基于民法法系對(duì)普通法系的影響，英文合同的外來(lái)詞主要是法語(yǔ)和拉丁語(yǔ)，有些外來(lái)詞已經(jīng)同化為英語(yǔ)，成為英語(yǔ)詞匯的一部分，還有一些保留下來(lái)，現(xiàn)在仍在使用。連Contract這個(gè)詞都是從拉丁語(yǔ)contractus演化來(lái)的呢。英文合同中常見的不可抗力條款用的Force Majeure也是拉丁語(yǔ)。具體例子如下：

 

l         The arbitration shall take place in the Plaintiff’s or Defendant’s country.仲裁應(yīng)在原告或被告的國(guó)家進(jìn)行。Plaintiff 和 defendant原為法語(yǔ)，現(xiàn)在已同化為英語(yǔ)。

 

l         The provisions of Paragraph 6 and Paragraph 12 of the US Plan apply mutatis mutandis to the UK Scheme, save that if an amendment is made to the UK Scheme or to the terms of an Approved Stock Option at a time when the UK Scheme is approved by the Inland Revenue under Schedule 9, the approval will not thereafter have effect unless the Inland Revenue have approved the alteration or addition. 應(yīng)用于英方方案的美方規(guī)劃的第6節(jié)和第12節(jié)的規(guī)定的已作必要的修正，除非對(duì)英方方案或已批準(zhǔn)股票期權(quán)條款的修改時(shí)值根據(jù)附件9英方方案已獲批準(zhǔn)，此后該批準(zhǔn)不得生效，除非內(nèi)稅局已批準(zhǔn)該改變或增補(bǔ)。mutatis mutandis為拉丁語(yǔ)，意為已作必要的修正。

 

l         An allowance on the basis of 2% of the sales price for each unit shall be calculated and deducted from the purchase price fraction pro rata. 補(bǔ)貼應(yīng)按每單位售價(jià)的2%計(jì)算并從購(gòu)價(jià)中按比例扣除。Pro rata 為拉丁語(yǔ)意為in proportion, according to a factor that can be calculated exactly.

 

l         We appoint and empower Mr./Ms. _____________ to be our agent ad litem in the first and second instances and/or retrial respectively, as well as in the enforcement procedures, with respect to the case of _______vs.__________.我方委托授權(quán)某先生/女士為某案一審，二審，再審和執(zhí)行程序的委托代理人。Ad litem為拉丁語(yǔ)“for the suit”. Agent ad litem表示為訴訟代理人。

 

6. 助動(dòng)詞的準(zhǔn)確使用（Auxiliaries）

 

英文合同中，shall并非單純表示將來(lái)時(shí)，而常用來(lái)表示法律上可強(qiáng)制執(zhí)行的義務(wù)，具有約束力，“應(yīng)”、“應(yīng)該”、“必須”；其否定形式shall not則禁止某種行為，一般宜譯為“不得”， will無(wú)論語(yǔ)氣還是強(qiáng)制力要比shall弱，宜譯為“將”、“原”、“要”；should通常只用來(lái)表示語(yǔ)氣較強(qiáng)的假設(shè)、比如“萬(wàn)一”。 多用"shall"代替"will"或"should"加強(qiáng)語(yǔ)氣和強(qiáng)制力。

 

l         This Contract shall become effective upon and from the date on which it is signed.

本合同簽字生效。

 

l          This Contract shall be written in English in four copies. Each party shall keep two copies.

本合同應(yīng)以英文寫成，一式四份，雙方各持兩份。

 

l         Investment contributed by the parties is Renminbi __________, which will be the registered capital of the joint venture company. 各方認(rèn)繳投資總額為人民幣***，將作為合資公司注冊(cè)資本。

 

 

May則時(shí)常用來(lái)表達(dá)當(dāng)事人擁有的選擇性權(quán)利。如During the Option Period, the Purchaser may terminate this Agreement with a written notice to the Seller. 選擇期間，買方可書面通知賣方終止本協(xié)議。但其否定形式may not另看下例：

 

l         The parties hereto shall, first of all, settle any dispute arising from or in connection with the contract by friendly negotiations. Should such negotiations fail, such dispute may be referred to the People’s Court having jurisdiction on such disput,e for settlement in the absence of any arbitration clause in the disputed contract or in default of agreement reached after such dispute occurs.首先，合同雙方應(yīng)通過(guò)友好協(xié)商解決合同產(chǎn)生與合同有關(guān)的爭(zhēng)議。如協(xié)商不成，所爭(zhēng)議合同缺少仲裁條款或爭(zhēng)議后未達(dá)成仲裁協(xié)議，則該爭(zhēng)議可提交到有管轄權(quán)的人民法院訴訟解決。

 

本句中shall，should和may的表達(dá)準(zhǔn)確，符合人們通過(guò)“協(xié)商”—“仲裁”—“訴訟”解決爭(zhēng)議的基本流程。Shall表示義務(wù)性約定，should表示假設(shè)條件不成就，may表示行使選擇性權(quán)利。

 

[原創(chuàng)]<<英文合同導(dǎo)讀>>2.3 句式特點(diǎn)(1)   

 

第三節(jié) 句式結(jié)構(gòu)特點(diǎn)（Sentence Structure）

 

1.       句子冗長(zhǎng)，結(jié)構(gòu)嚴(yán)謹(jǐn)，語(yǔ)序復(fù)雜(prolixity, preciseness and perplexity )

 

英文合同為了準(zhǔn)確、嚴(yán)密、清楚地表達(dá)，多以龐雜的從句和/或短語(yǔ)并列，語(yǔ)序復(fù)雜多變的長(zhǎng)句面目出現(xiàn)，很少以簡(jiǎn)單句為主。

 

A．主句的狀語(yǔ)的位置，一般放在助動(dòng)詞后，行為動(dòng)詞前，與基礎(chǔ)英語(yǔ)頻度副詞如；often，sometimes，always，never，seldom的位置相同。例如：

 

l         The Company shall, at all time during the term of the Joint Venture, effect and maintain full and adequate insurance against loss or damage by fire and such risks as are customarily issued in connection with the operation of the Company.合資公司應(yīng)在合資期間的任何時(shí)候，就火災(zāi)以及此類與公司經(jīng)營(yíng)相關(guān)的其他風(fēng)險(xiǎn)所造成的損失或損害進(jìn)行投保，并保持充分和適當(dāng)?shù)谋ｋU(xiǎn)。

 

l         If, at any time during the execution of the Work, the Engineer requires the Contractor to make bore-holes or to carry out exploratory excavation, such requirement shall in accordance with Clause 51, be the subject of an instruction unless an item or a Provisional Sum in respect of such work is included in the Bill of Quantities.在工程施工過(guò)程中的任何時(shí)間內(nèi)，如果工程師要求承包人鉆孔或進(jìn)行勘探性開挖，則根據(jù)第51條規(guī)定以指示形式下達(dá)這一要求，但工程量報(bào)價(jià)表中已經(jīng)包括了涉及此類工作的項(xiàng)號(hào)或暫定金額者除外。

 

B．從句復(fù)雜，從句的狀語(yǔ)，往往放在連詞之后，從句的句子之前。例如：

 

l         If, at any time during the execution of the Contract, either of the Parties to the contract is prevented from executing the Contract in case of Force Majeure such as war, serious fires, flood, typhoon and earthquake, etc., the time for execution of the Contract shall be extended for a period equal to the affect of those causes.在合同期間的任何時(shí)候，合同任一方，由于受到戰(zhàn)爭(zhēng)、嚴(yán)重火災(zāi)、洪水、臺(tái)風(fēng)和地震等不可抗力事件的影響而不能履行合同時(shí)，合同履行期應(yīng)予延長(zhǎng)，延長(zhǎng)期限相當(dāng)于事件影響的時(shí)間。

 

l         If, at the time and in the place agreed under Sub-Clause 37.3, the materials or plant are not ready for inspecting or testing or if, as a result of the inspection or testing referred to in this Clause, the Engineer determines that the materials or plant are defective or otherwise not in accordance with the Contract, the Engineer may reject the materials or the plant and shall notify the Contract thereof immediately.如果在按第37.3條約定的時(shí)間和地點(diǎn)，供檢查和檢驗(yàn)的材料或工程設(shè)備未準(zhǔn)備好，或者按本條規(guī)定所作的檢查或檢驗(yàn)結(jié)果，工程師認(rèn)為材料或工程設(shè)備有缺陷或是不符合合同規(guī)定的，則工程師可拒收這些材料或工程設(shè)備，并應(yīng)立即通知承包人。（本句較為復(fù)雜，有兩個(gè)條件從句，一個(gè)賓語(yǔ)從句）

 

C．主從復(fù)合句，從句經(jīng)常用簡(jiǎn)略形式。例如：

 

l         A party dissatisfied with the judgment may, within 15 day upon receipt of the judgment, file an appeal to the next upper People’s Court.如不服本判決，該方可于接到判決之日起十五日內(nèi)向上一級(jí)法院提起上訴。

 

l         The Contractor shall, unless otherwise provided in the Contract, make his own arrangement for the engagement of all staff and labour, local or other, and for their payment, housing, feeding and transport.除合同另有規(guī)定外，承包人應(yīng)自行安排從當(dāng)?shù)鼗蚱渌�地方雇用的所有職員和勞務(wù)人員，以及他們的報(bào)酬、住房、膳食和交通。

 

2． 否定前置與倒裝(Negative Fronting and Anastrophe)

 

英語(yǔ)中處理否定的方式一般有兩種：一是否定詞放在情態(tài)動(dòng)詞或助動(dòng)詞后，行為動(dòng)詞前，構(gòu)成正常的陳述語(yǔ)序；二是否定詞放在句首，然后情態(tài)動(dòng)詞或助動(dòng)詞與主語(yǔ)位置調(diào)換，構(gòu)成倒裝語(yǔ)序。英文合同中含否定意義的句子往往采用后者。例如：

 

否定僅前置：(Fronting)

 

l         Nothing in Article 12.3 shall prevent Party A or any of its affiliation from continuing to carry on any of their present businesses.合同第十二條第三款規(guī)定不得妨礙甲方或其分支機(jī)構(gòu)持續(xù)經(jīng)營(yíng)現(xiàn)有業(yè)務(wù)。

 

l         Neither party, without prior consent of the other, may assign or transfer to nay third party any equity interests held by its side.未經(jīng)對(duì)方同意，任一方不得向任何第三人轉(zhuǎn)讓其持有的股權(quán)。

 

否定倒裝：(Anastrophe)    

 

l         In no event shall the Seller be liable for lost profits, delay, injury to goodwill or any special or consequential damages howsoever any of the same are caused.對(duì)于利潤(rùn)損失、延誤、商譽(yù)損害或任何特別或間接的損害賠償，不論任何原因引起的，賣方概不承擔(dān)責(zé)任。

 

l         In this case, Party B shall refund to Party A the amount which Party A has paid to Party B plus the related interest at the rate of 10% per year immediately, but in no case shall such refunding by Party B exceeds 30 days from receipt from Party A of the notice to terminate the contract.在此種情況下，乙方應(yīng)立即返還甲方已支付給乙方的款項(xiàng)并按年利率10%加算利息，但不論怎樣乙方該返還不得超過(guò)收到甲方終止合同通知后30日。