国际商务合同UNIT(10)

1、Unit 10 Reading through the Text 通读理解文本 Topical Highlights单元要点 Theme Presentation主题描述 1.Predicted Reading预见式通读 2.Associated Reading联想式通读 3.Studied Reading精研式通读 Useful Words and Phrases常用词语 Reflections and Practice思考与实践 BACK Theme Presentation主题描述 通读合同文本的目的，在于全面、准确地理解合同文本的内涵。只有全面、准确地理解合同原文的内涵，才有可能产生出

2、严谨规范的译文。由于涉外合同的种类繁多，涉及的专业问题较多，因此，在动笔翻译前，一定要通读合同文本，吃透各条款的内涵，弄清各条款之间的逻辑关系。通读理解合同文本的做法一般应分三个阶段进行，即：预见式通读、联想式通读、以及精研式通读。 1. Predicted Reading预见式通读 预见式通读的目的，在于从宏观上了解国际商务合同的种类、总体概貌和篇章结构。具体讲，就是要明确合同涉及什么问题，主旨何在，有哪些主要章节，各章节的行文和逻辑关系如何，合同的内容都涉及哪些专业知识等，这样可以使我们有目的地准备资料或工具书，对有关资料进行收集与选择，为着手翻译做好充分的准备工作。 【例1】 译者接到这

3、样一份国际商务合同：从合同的名称上看是一份Know-how Contract for AAA(AAA产品专有技术合同)，属于International License Contracts的范围；那么，know-how本身又是一种“技术诀窍”或“技术秘密”，是指在工业上实用的、先进的、未经公开的、未经申请专利的知识和技巧。这种知识和技巧包括各种设计资料、图纸、数据、技术规范、工艺流程、材料配方或经营管理等技术资料，有时也包括专家、技术人员、工人等所掌握的不成文的经验、知识和技巧。在了解合同的种类及其特点后，我们就进入合同的篇章和结构部分。 Preamble部分的主要内容为： The Know-h

4、ow Contract signed in Beijing, China on March 29,1998, by and between ABC Company, Beijing, People's Republic of China (hereinafter referred to as the Licensee or Party A) on the one hand, registered with Beijing in the People's Republic of China, its legal address: _; and XYZ Company, Welli

5、ngton, New Zealand (hereinafter referred to as the Licensor or Party B) on the other hand, registered with Wellington, New Zealand, its legal address:_; Whereas the Licensor possesses the know-how for the designing, manufacturing, installing and marketing of _; Whereas the Licensor has the right and

6、 desires to transfer the above-said know-how to Licensee; Whereas Licensee desires to design, manufacture, sell and export by using Licensor's know-how; The two Parties desire to enter into this contract through friendly consultation under the terms and conditions as follows: . . . 从Preamble部分可以

7、了解到： 双方当事人的名称及注册地和法定地址、合同签订的时间和地点；同时，还了解到know-how contract中的Whereas Clause(鉴于句)主要是用来说明当事人双方签订合同的目的和转让技术的合法性等内容。 该合同的第一章为：Definitions属“定义”条款，是双方当事人对合同中出现的关键性名词术语的解释部分。同时，在阅读该部分时还会发现，关键词语解释的目的是解决和防止由于对合同关键性名词术语解释不一而产生的争议，因此，是合同双方对这些关键性词语所下的定义，并不是该术语本身的定义。例如： patent一词本身的定义为：An exclusive right granted b

8、y a government to an inventor to make, use, license, or sell a new device, process, material, or other innovation for a specified period of time. 而在本合同“定义”条款中出现的patent却指：Those letters patent, utility models and applications therefore presently owned or hereafter acquired by Party B and / or which Pa

9、rty B has or may have the right to control or grant license thereof during the term hereof in any or all countries of the world and which are applicable to or may be used in the manufacture of the product. 显然，patent在这里是指甲乙双方目前拥有的或未来获得的和/或有权或可能有权控制的，或在本合同有效期间在世界任何国家许可转让的，适用于或可能适用于制造本合同产品的专利证书，实用新型及其专

10、利申请。在了解合同的定义内容与该词语本身的含义之后，译者应初步理解到专有技术转让中的“定义条款”往往涉及到该合同的标的以及与合同标的有关的内容。 第二章的标题为：Content and Scope of the Contract，其内容为： (1) Party A agrees to acquire from Party B and Party B agrees to transfer to Party A the know-how for designing, manufacturing, marketing, installing, maintaining and repairing th

11、e contract products (hereinafter referred to as "the contract Product") with the models, specifications and parameters specified in appendix 1 to the contract. (2) Party B grants Party A the right to design and manufacture the Contract Product in China and to market the said Product in Chi

12、na and abroa (3) Party B shall be responsible to provide party A with documents relevant to the said know-how and technical documentation (hereinafter referred to as "the Documentation") and the detailed contents and schedule of delivery of the documentation are set out in Appendix 2 to th

13、e Contract. (4) Party B shall be responsible for the training of Party A's technical personnel in Party B's relevant facilities at the Party A's expenses and shall also do his best to enable Party A's technical personnel to master the know-how of the above-said Contract Product (deta

14、ils as per Appendix 3 to the contract.) (5) Party B is obliged to send at his own expense technical personnel to party A's factories for technical service (details as per Appendix 4 to the Contract. ) (6) If it is required by Party A, Party B shall be under obligation to provide Party A at the m

15、ost favorable price with parts, accessories, raw materials and fillings for the Contract Product, and a separate contract shall be signed through consultation between both Parties. (7) If the quality of the Contract Product made in the factory of Party A is ensured, Party B agrees to the use of a Co

16、mbined Trademark designed jointly by Party A and Party B on the Contract Products made by Party A. 从第二章的内容中看，译者应初步了解到，该条款属合同的项目条款，在该合同中属核心部分，而且与若干合同附件构成双方当事人权利和义务的主要依据。从该章中的分项条款看，主要包括以下内容： (1)转让技术的对象； (2)转让技术的范围；这里的范围是指使用技术的领域以及制造和销售产品的地区； (3)出让方提供专有技术和技术资料的内容和交付时间； (4)技术人员的培训； (5)出让方对受让方提供的技术服务； (6

17、)出让方向受让方提供合同产品的零件或材料的条件； (7)受让方采用双方联合商标的前提。 由于该章条款中的大部分内容是以合同附件为准的，因此，要把与本章内容有关的附件结合在一起进行通读理解。经过对合同第二章内容的预见通读后，译者便可以从宏观上了解本章的内容，如技术转让的对象，技术转让的范围，出让方提供技术资料的时问、地点、方式以及与转让技术标的有关的人员培训和知识产权等问题。同时，也了解到该章各条款之间的行文和逻辑关系。 接下来的是： Section 3：Price(价格)； Section 4：Payment and Payment Conditions(支付与支付条件)； Section 5

18、：Delivery 0f Documentation(资料的交付)； Section 6：Modification and Improvement Of the Technical Documentation(技术资料的修改与创新)； Section 7：Verification and Acceptance(考核与验收)； Section 8：Guarantee and Claims(保证与索赔)； Section 9：Infringement and Confidentiality(侵权与保密)； Section 10：Taxes(税费)； Section 11：Arbitration(仲

19、裁)； Section 12：Force Majeure (不可抗力)； Section 13：Effectiveness，Termination and Miscellaneous 合同的生效、终止及其他)等章节条款。 在对全文进行预见式通读后，译者应已初步了解将要翻译的合同的种类，总体概括和主要篇章结构及涉及的关键性内容，同时，也了解到该合同所涉及的专业知识，这样在动笔翻译时，就可达到既见“树”又见“林”的效果。 2. Associated Reading联想式通读 联想式通读的目的，在于通读全文时在头脑中不断地联想到合同的章与章，节与节之间的关系，各章、节涉及的必备的知识和辅助的知识，以

20、及这些知识的范围和具体应用等问题。这样，译者就可以有目的地准备资料和工具书，并对有关资料进行有目的地收集和选择。联想式通读的益处还在于可以解决对所译合同文件内容的分类翻译问题，使译者目标集中，针对性强。例如，我们在对上述Know-how Contract for AAA进行通读后，发现该合同尽管条款较多，内容复杂，但是只涉及三方面内容，即商务、技术和法律。其中商务部分涉及：Preamble and Definitions; Contract Price; Payment and Payment Conditions；技术部分涉及：Content and Scope of the Contrac

21、t: Delivery of Documentation; Modification and Improvement of the Technical Documentation: Training of the Technical Personnel and Technical Services Guarantees and Claims; Verification and Acceptance以及Appendix to the Contract；法律部分涉及：infringement and confidentiality; Taxes; Arbitration; Force Majeur

22、e; Effectiveness, Termination and miscellaneous等。通过由外到内、由表及里的分类和分析，使译者思维集中，目标明确，为下一步透彻理解和翻译全文打下了良好的基础。 比如在确定Verification and Acceptance一章标题的译文时，开始先理解为：“考核与接受”。但本章的内容为： (1) In order to inspect the correctness and the reliability of the Documentation supplied by party B, a verification test on Contrac

23、t Product shall be jointly carried out in Party A's factory with the participation of party B's technical personnel. The method of .the performance test is set out in detail in Appendix 5 to the Contract. (2) If the Verification Test demonstrates that the performance of the Contract Product

24、is in conformity with the design indices stipulated in Appendix 1, such test shall be considered as qualified and both Parties shall sign a Performance Quality Certificate in 4 copies, 2 for each party. (3) If the Verification Test demonstrates that the performance the Contract Product is not in con

25、formity with the stipulated technical parameters, both parties shall make joint study, analyze the causes and take measures to eliminate the defects and carry out a second test. When the second test demonstrates that performance is qualified, both parties shall sign a Performance Quality Certificate

26、 as stipulated in Section 7.2. (4) If Party B is responsible for the first test proven to be unqualified, all expenses for the technical personnel set by Party B for the second test shall be borne by Party B. If the failure is due Party A, Party A shall bear all the expenses mentioned above. (5) If

27、the second test fails again and the failure is due to Party B, Party B shall indemnify any direct loss incurred on Party A and shall take effective measures to eliminate the defects and carry out the third test. If the failure is due to Party A, Party A shall bear all the expenses. (6) If the third

28、test again fails and if Party B is responsible for the failure, Party A has the right to terminate the Contract at his discretion and make claims as stipulated in section 7. If the responsibility for the failure lies with party A, the two parties shall negotiate on how to proceed to implement the Co

29、ntract 第1款的主要内容为：对乙方提供的技术资料的正确性和可靠性进行检验以及检验的办法。句中的inspect应理解为examine the Documentation closely and officially，否则the correctness and reliability of the documentation是很难保证的；本句特别提到参加检验的主体必须有party B's technical personnel。但是应该注意，乙方的参与角色是with the participation of Party B's technical personnel。显然a

30、verification test on Contract Product shall be jointly carried out in Party A's factory的执行者是不言而喻的。在翻译时一定要体现出由谁主要负责检验技术资料，因为这不仅是一个责任问题，还存在法律后果的问题。因此a verification test on Contract Product shall be jointly carried out in Party A's factory with the participation of Party B's technical perso

31、nnel应理解为：“甲方应会同乙方技术人员一起在甲方工厂共同进行合同产品的考核。” 第2款讲明检验合格的条件和结果。句中的demonstrate是指to show the performance of the Contract Product clearly by giving proof or evidence; indices是index的复数形式，在这里表示参数，那么design indices应理解为“技术参数”。在确定了design indices之后，可以联想到the performance of the Contract Product中的performance应该是“性能”，所

32、以，这条中的条件句应理解为“如果检验证明，合同产品的性能符合合同附件规定的技术参数”；但在本条款第二个主句中的a Performance Quality Certificate就不能译为“性能质量证书”。道理很简单，Performance Quality Certificate是双方对产品的性能与技术参数进行比较、测试后，所签署的对合同产品质量认可的合格证书。因此，Performance Quality Certificate的准确译文应是“合同产品质量检验合格证书”。 第3款规定了：经检验，如合同产品的技术性能与合同规定的技术参数不符，双方应共同研究分析原因。这里请注意：to make jo

33、int study, analyze the causes并不仅仅是“双方共同研究分析原因”的问题，而是在分析研究找出原因后，来进一步确定责任的归属问题。因此，下一句的to make measures应该是“采取措施”。这时，译者应联想到以下的条款是否规定有承担检验不合格的责任问题，结果发现以下各款都涉及到责任的承担。另外，本款提及了to eliminate the defects and carry out a second test，那么，If从句中出现的the Verification Test应该理解为“第一次检验或考核”，全句译文为：“如首次考核合同产品的技术性能达不到合同规定的技术

34、参数，双方应共同研究分析原因，采取措施，消除缺陷后进行第二次性能测试，测试合格后，双方按第7条第2款之规定签署合同产品质量检验合格证书。” 本条中的第4款和第5款，主要表达了第一次考核后和第二次考核不合格的责任归属问题。其中在第5款中出现的indemnify不应理解为一般意义的“赔偿”，而是更深意义的promise to compensate a party for any loss it may suffer。所以，Party B shall indemnify any direct loss incurred on Party A应处理为：“乙方必须保证赔偿甲方所遭受的直接损失”。言外之意

35、，乙方拟还要提供担保。 第6款规定了甲方终止合同的两个条件：第一个条件是三次考核不合格，第二个条件为考核三次不合格都属乙方的责任。这两个条件结合在一起，才能构成甲方终止合同的条件，其缺一不可。但在译文中的处理上，不能译成两个条件句。第一个条件句处理成时间从句，第二个处理成一个补充性质的条件句，译文为：“经过三次考核仍不合格，如均系乙方责任，则”。这样，会显得递进关系明显。该句中的Party A has the right to terminate the Contract at his discretion and make claims as stipulated in Section 7说

36、明了三次考核不合格均属乙方的责任所产生的法律后果。该句中的discretion应理解为：freedom to decide for party A what should be done，显然，合同约定出现以上条件，甲方有权自行决定。因为合同行为本身是一种双方法律行为，合同的生效是这样，合同的终止也应如此，但是允许一方当事人在另一方当事人违约，以致严重影响订立合同所期望的经济利益时单方终止合同，这是有法律依据的。因此，at one's discretion在这里应理解为“单方面”。句中的terminate译成“终止”一般是没问题的，但就本条款规定的内容而言，不是法律所规定的终止条件。这

37、样，译者应马上联想到查阅中华人民共和国合同法有关合同终止的条件。中华人民共和国合同法规定：“有下列情形之一的，合同的权利义务终止：一、债务已经按照约定履行；二、合同解除；三、债务相互抵销；四、债务人依法将标的物提存；五、债权人免除债务；六、债权债务同归一人、七、法律规定或者当事人约定终止的其他情形。” 显然，terminate处理成“终止”是不妥的。译者再去查阅中华人民共和国合同法关于解除合同的条件，发现解除合同的第四个法定条件就是：“当事人一方迟延履行债务或者有其他违约行为致使不能实现合同目的。”因此，经过反复推敲，将to terminate the Contract at the disc

38、retion译成“单方解除合同”。 经过对Verification and Acceptance一章的通读和理解，可以确定，该章标题中的Acceptance不能只理解为“接受”，而是一种to check before acceptance。这样就将该章的标题确定为“考核与验收”。 在联想式通读方面不妨再举例如下： 【例2】 If the quality of the Contract Products made in the factory of Party A Is ensured, Party B agrees to the use Of a Combined Trademark desi

39、gned jointly by Party A and Party B on the Contract Products made by Party A. The pattern of Trademark is as follows： (1)For products to be exported：      XYZ Co ., New Zealand (2)For products t0 be sold domestically：      ABC Co . , China XYZ CO . , New Zeala

40、nd 2.Party A shall not Use the aforesaid Trademark after the expiry of the validity period of the Contract 以上条款没有什么难懂的地方，但是翻译句中出现的Combined Trademark时应予以斟酌。与Combined Trademark相近似的还有一种Associated Trademark，而且这两种商标大多出现在许可证贸易中，那么，这两种商标的汉译英怎样处理，关键是应确认这两种商标的具体内容。我们接着阅读该条第1款The pattern of Trademark，发现这种商标的图

41、样为将双方的商标并列在一起使用，但就其本身而言，这两种商标是相互独立的。所以，这样的商标组合应视为“联合商标”。况且本条第2款规定：合同期满后，甲方不得再使用上述商标。显然，Combined Trademark符合“联合商标”的内涵。如果是Associated Trademark，合同期满后，双方应对商标的处置达成一致意见，因为Associated Trademark是指采用双方原有商标的特点，重新设计后具有不可分隔特点的一类商标，其汉译为：“联结商标”。采用这种商标，不存在合同期满后，一方不允许另一方使用这种商标的问题，因为这种商标是合同签约各方所共有的。 【例3】支付方式条款 Fifty

42、percent(50)of the value of goods by I irrevocable and Confirmed letter of Credit at sight and remaining 50on collection basis DP at 30 days sight, the full set of shipping documents are to accompany the collection item. All the Documents are not to be delivered to Buyers until full payment of invoic

43、e value is made. In case of non-payment in collection item, the documents shall be held by the Issuing Bank at the entire disposal Of the Sellers 通读上述条款后，译者立即联想到涉外合同中涉及的各种支付方式，而本条中起码涉及到两种支付方式：Letter of Credit和Collection，前者的Letter of Credit又涉及到Irrevocable LC与Confirmed LC，这两者所涉及的当事人是不同的。Irrevocable LC

44、是指信用证一经开出，在有效期内，未经受益人及有关当事人的同意，开证行不得片面修改和撤销，只要受益人提供的单据符合信用证规定，开证行必须履行付款义务，其汉译为“不可撤销信用证”。这种信用证表明开证行对信用证的付款责任；Confirmed LC是指开证行开出信用证，由另一银行保证对符合信用证条款规定的单据履行付款义务，其汉译为：“保兑信用证”，这种信用证则表明开证行以外的银行对信用证的付款责任。那么，Irrevocable and Confirmed Letter of Credit就是“不可撤销的保兑的信用证”，这种双重保证的信用证，意味着该信用证不但有开证行不可撤销的付款保证，而且又有保兑行不

45、可撤销的付款保证和保兑行的兑付保证。在Irrevocable and Confirmed Letter of Credit之后，用at sight后置修饰。At sight本身是票据业务中的概念，表示payment on a draft or other negotiable instrument which is due upon presentation or demand；而信用证也是一种银行票据。因此，用At sight说明 Letter of Credit时，就一定要联想到会涉及到票据业务，那么Letter of Credit at sight实质上就是sight Credit，只是

46、由于Letter of Credit前面已有两个定语限定修饰，才用介词at引出 sight，后置修饰Letter of Credit。其含义是指收益人提供信用证要求的即期汇票或单据，即可立即取款的信用证。经过以上的联想式分析，Irrevocable and Confirmed Letter of Credit at sight就可以准确地给出译文，即：“不可撤销的保兑的即期信用证”。 本条涉及的第二种支付方式就是collection，汉译为“托收”，而collection又涉及到DP和at 30 days sight。关于at sight在第一种payment by Letter of Cre

47、dit中已出现，在此不再重述；DP在涉外合同中有两种解释，其一为：delivery against payment；其二为：documents against payment。显然，DP在本条中的含义为：documents against payment，意思为“付款交单”。那么，Documents against payment at 30 days sight就应译为：“见票后30天付款交单”。由于Documents against payment at sight是一种委托人开出即期汇票(sight Bill)，通过托收及代收银行向付款人提示，付款人见票后即需付款，付清货款后领取货运单据

48、的托收方式，所以the full set of shipping documents are to accompany the collection item应理解为：“全套货运单据随附于托收部分”。 由于本款的托收种类为Document against payment，即出口人的交单是以进口人的付款为条件的，也就是说，出口人发货后，取得装运单据，委托银行办理托收，并在托收委托书中指示银行，只有在进口人付清货款后，才能把装运单据交给进口人，因此，本款第二句中until引出的从句full payment of invoice value is made，应理解为“发票金额全数付清”；not un

49、til体现了这种“付款交单”的时差关系。All the documents are not to be delivered to Buyers until full payment of invoice value is made应处理成：“在到期时发票金额全数付清后方可交单”。该款最后一句中的介词短语in case of引出的介词短语in case of non-payment in collection time被大多数译者翻译：“如托收未付款”，这是不妥的。因为托收是由卖方开立以买方为付款人的汇票，委托银行向买方收取货款的一种国际支付与结算方式，国际支付结算方式中的托收与信用证的最大不同

50、点在于托收是商业信用。银行办理托收业务时，只作为卖方的代理人行事，既无义务审核装运单是否齐全或正确，也不承担付款的责任。国际商会制定的Uniform Rules for Collections中明确规定：Banks concerned with a collection assume no liability or responsibility for the consequences arising out of delay andor loss in transit of any messages, letters or documents, or for delay, mutilatio

51、n or other errors arising in the transmission of cables, telegrams, telex, or communication by electronic systems for errors in translation or interpretation of technical terms。显然，在托收关系中，委托人(principal)和付款人(payer)之间的关系仍然是国际商务合同中的卖方和买方的关系，通过托收支付价款只是国际商务合同履行的部分内容。通过以上的联想式分析，non-payment in collection也只能

52、是付款人的责任，既然付款人有义务付款，但又不去履行付款义务，就应该理解为“拒付”。因此，In case of non-payment in collection应该译为“如果付款人拒付托收金额”或“如果托收金额被拒付”。 由于“托收”具有商业信用的特点，如果付款人拒绝付款或承兑，委托人，即委托银行代收货款的卖方，只能根据双方签订的货物买卖合同追究付款人(买方)的责任并可要求损害赔偿。因此，the documents shall be held by the Issuing by the entire disposal of the sellers应理解为：“开证行应掌握单据，由卖方全权处理”。

53、句中的at the disposal of意思是available for sb to use as one wishes。例如：Our expertise is at the disposal of potential overseas customers at an extremely reasonable price。 3. Studied Reading精研式通读 精研式通读是在前两种通读的基础上进行的。它的重点在于从更深层次上理解合同各段落、章节中的具体内容和它们之间的逻辑关系。这时译者要充分运用所具有的英语、汉语、法律、贸易、金融、保险、商品、技术、翻译技巧等知识，对合同进行逐字、

54、逐句、逐条、逐段、逐节、逐章地反复推敲，深入理解合同原文中每个词语在具体上下文中的含义。精读中仔细分析各句的语法结构，着重领会合同文件语言的确切性，对经过精心挑选的英语或汉语词、句进行综合比较分析，确定最准确、规范的表达方式，做到句中求词、词中求句。译者在这个阶段一定要不厌其烦地勤查专业工具书，严格按合同翻译的基本原则行事。 下面我们以A Contract on Processing Goods from Buyer's Raw Materials中的Liquidated Damages条款为例，对该条款第一款进行一次精研式阅读分析。 例4】 Liquidated Damages No

55、nperformance by Party B： (1) Should the raw material supplied by Party B fail to meet the required specifications, Party B shall replace the substandard raw material1f the replacement does not reach China port within 30(thirty)days of the receipt of the notification and supporting evidence from Part

56、y A，Party B shall compensate Party A for idling production lines. The amount shall compensate for the actual not exceeding USD 150(United States Dollars one Hundred and Fifty) Per day (2) Should Party B fail to provide Party A with agreed quantity of raw material as scheduled, Party B shall compensa

57、te Party A for loss of production. The amount of compensation is dependent on the current production status. The amount shall compensate all the actual loss incurred, excluding profit and shall not exceed the following amount: over 20 days late in shipped on board date USD XXX, over 30 days late in

58、shipped on board date USD XXX. Party. A reserves the option of not accepting the raw material. In this instance, Party A has to declare its intention within 3 days after 30 days of grace. If Party A does not accept this late shipment, the compensation shall not exceed USD XXX. (3) Nonperformance by

59、Party A. Should the TV parts processed by party A fail to meet the specifications as stated in Attachment A-1 of this Contract and Party B can not accept other replacements of TV parts supplied by Party A, Party A shall not negotiate for the payment of Letter of Credit established by Party B in favor of Party A for processing charges and shall pay Party B an amount of USD XXX. (4) Should Party A fail to ship TV