08第七节--货物进出口贸易合同(I).doc

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第七节 货物进出口贸易合同(I)

就本质而言，书面合同无论繁简，大都具有四大基本功能模块：即锁定交易平台模块、锁定交易内容模块、锁定交易方式模块、锁定假定处置模块(吴江水 2005:20-21)。本节将基于《中国对外贸易货物进口合同》与《中国对外贸易货物出口合同》 两件合同范本均选自《国际商务常用法律文书范本》。
就此分别展开讨论，但涉及交易方式的规定除外。因其关系众多国际惯例，故而留待下一节再专门研究。

[7.7.1] 锁定交易平台模块
所谓锁定交易平台功能，即确定合同的基本规则(吴江水 2005:20)。在引为范例的合同文本中，该模块主要包括以下七个部分：
[7.7.11] 合同名称
合同名称的重要性体现于纠纷的处理，它是司法或仲裁机关判断合同类型并适用合同法律的重要依据(吴江水 2005:148)。故合同名称的翻译，应当与适用该合同的法律规定保持一致。譬如以下二例：
例【1】
中国对外贸易货物进口合同
对照译文：
CHINA FOREIGN TRADE PURCHASE CONTRACT
例【2】
中国对外贸易货物出口合同
对照译文：
CHINA FOREIGN TRADE SALES CONTRACT
由于《中国对外贸易货物进口合同》与《中国对外贸易货物出口合同》中均规定：
本合同之签订地、或发生争议时货物所在地在中华人民共和国境内或被诉人为中国法人的，适用中华人民共和国法律，除此规定外，适用《联合国国际货物销售合同公约》。
因此，《中华人民共和国合同法》及《联合国国际货物销售合同公约》(United Nations Convention on Contract for the International Sale of Goods)即是译者处理此两类合同的名称时所应留意的准据法。后者自然仅适用于国际货物销售合同；而前者则总计规定了十五类合同，其中仅买卖合同有关货物销售，此外还包括不少涉及服务销售的有名合同。
所以，例【1】、例【2】原文名称中的“货物”乃是揭示合同类型的关键术语之一，对照译文将其忽略不译，这是极不恰当的：既与原名称不相符，亦可能因合同标的类型之不明确，反令纠纷处理机关缪解当事人的意图而导致法条的误用。有鉴于此，笔者推荐如下译文：
推荐译文：
CHINA CONTRACT FOR THE FOREIGN PURCHASE OF GOODS
推荐译文：
CHINA CONTRACT FOR THE FOREIGN SALE OF GOODS
[7.7.12] 合同编号及签订日期与地点
我国颁布的涉外合同范本大都在名称之后，列有合同编号及签订日期与地点。由于商业发票必须标注合同编号，而签订日期与签订地点则分别涉及合同的生效、法律的适用，因此尽管易于处理，但其重要性却不容忽视。譬如例【3】：
例【3】
合同编号：
签订日期：
签订地点：
对照译文：
Contract No.:
Date:
Signed at:
对照译文对签订日期与签订地点的不同处理方式，笔者以为值得商榷。首先，订立买卖合同的当事人于文末签名盖章，而日期、地点则在文首注明。若译文仅使用“Date”对应“签订日期”，显然会导致读者歧义。至于“签订地点”被处理为“Signed at”，亦是语焉不详。比较而言，推荐译文似乎更为明确：
推荐译文：
Contract No.:
Signing Date:
Signing Place:
[7.7.13] 合同交易双方的名称及其基本情况描述
例【4】
买方： 电话：
传真：
地址： 电报：
电传：
卖方： 电话：
传真：
地址： 电报：
电传：
推荐译文：
Buyer: Tel:
Fax:
Address: Cable:
Telex:
Seller: Tel:
Fax:
Address: Cable:
Telex:
例【4】描述的是交易双方的名称及其基本情况，虽然不难处理，但却因在后文中不断反复出现(譬如本节例【11】、例【12】、例【13】，及下一节例【2】、【3】、【4】、【5】、【8】)，而显得至关重要。译者应当谨慎用语，且必须保持整个合同文本前后表述一致(包括大小写)。
[7.7.14] 合同争议的解决方式条款
例【5】
争议之解决方式：
任何因本合同而发生或与本合同有关的争议，应提交中国国际经济贸易仲裁委员会，按该会的仲裁规则进行仲裁。仲裁地点在中国。仲裁裁决是终局的，对双方均有约束力。
本例规定的是合同争议之解决方式，其处理可参照《施工合同条件》第20.3条(Failure to Agree Dispute Adjudication Board)：
Unless settled amicably, any dispute in respect of which the DAB’s decision (if any) has not become final and binding shall be finally settled by international arbitration.
及其附录中的《争端裁决协议书一般条件》第9条(Disputes)：
Any dispute or claim arising out of or in connection with this Dispute Adjudication Agreement, or the breach, termination or invalidity thereof, shall be finally settled under the Rules of Arbitration of the International Chamber of Commerce by one arbitrator appointed in accordance with these Rules of Arbitration.
故笔者推荐如下译文：
推荐译文：
Dispute Settlement:
Any dispute arising out of or in connection with the Contract shall be adjudicated by the China International Economic and Trade Arbitration Commission in accordance with its Arbitration Rules. The arbitration shall take place in China. The arbitral award is final and binding upon both parties.
[7.7.15] 合同法律适用条款
处理涉外合同纠纷所应适用的准据法，密切关系到合同条款的解释及当事人之间权利与义务的分配。故法律适用条款的翻译，必须绝对准确无误。
例【6】
法律适用：
本合同之签订地、或发生争议时货物所在地在中华人民共和国境内或被诉人为中国法人的，适用中华人民共和国法律，除此规定外，适用《联合国国际货物销售合同公约》。
对照译文：
Law Application:
It will be governed by the law of the People’s Republic of China under the circumstances that the contract is signed or the goods while the disputes arising are in the People’s Republic of China or the defendant is Chinese legal person, otherwise it is governed by United Nations Convention on Contract for the International Sale of Goods.
本例所引即为处理合同纠纷的法律适用条款，其规定共分前后两段。比较原文，笔者以为对照译文的缺陷主要有如下两处：
首先，原条款为连动句，故省略了“适用中华人民共和国法律”及“适用《联合国国际货物销售合同公约》”的主语即“本合同”，这是符合汉语行文习惯的。
然对照译文前段却在主句中使用了代词“it”，而其先行词“the contract”则延至后置从句中方才出现。将主句中的代词置于从句中的先行词之前，这显然有悖于英文语法规则：后指通常只出现于代词所在结构的等级低于先行词所在结构的场合(夸克、格林鲍姆、利奇&斯瓦特维克 1998:479)。更何况，本条款的关键在于明确约定合同适用的准据法，故不宜使用代词作主语，否则将导致读者无法立即毫无疑异地把握其实质。
其次，所谓“发生争议时”指的实际上只是争议出现之时，更明确地说就是原告提起诉讼或者申请仲裁之时，而非要求该合同交易的货物在整个争议过程中都处于中国境内。所以，对照译文将之译成“while the disputes arising”不妥。
推荐译文：
Law Application:
The Contract shall be governed by the law of the People’s Republic of China if such Contract is signed or the goods are, when a dispute arises, located in the People’s Republic of China, or the defendant is a Chinese legal person. Otherwise the Contract shall be governed by the United Nations Convention on Contract for the International Sale of Goods.
[7.7.16] 合同术语定义条款
例【7】
本合同使用的FOB、CFR、CIF、DDU术语系根据国际商会《Incoterms1990》。
对照译文：
The terms in the contract are based on INCOTERMS 1990 of the International Chamber of Commerce.
合同中专门术语的定义，影响到读者对具体条款的理解。譬如例【7】定义的就是贸易术语，尽管其仅指明理解这些术语应当依据《1990年国际贸易术语解释通则》。但笔者以为，对照译文删节原文所列举的适用该条款的术语而概之以语义模糊的“the terms”，这显然有悖于规定性法律文件的准确性风格。
推荐译文：
The terms of FOB, CFR, CIF, DDU in the Contract shall be constructed in accordance with INCOTERMS 1990 of the International Chamber of Commerce.
[7.7.17] 合同文字解释条款
通常，涉外合同备有不同文字书写的几个版本。鉴于不同文本之间可能存在的差异，此类合同大都规定了文字解释条款，譬如例【8】。
例【8】
文字：
本合同中、英两种文字具有同等法律效力，如文字解释有异议，应以中文本为准。
对照译文：
The contract is made out in both Chinese and English of which version is equally effective. Conflicts between these two languages arising therefrom, if any, shall be subject to Chinese version.
依据所引条款的规定，尽管中、英合同文本具有同等法律效力，但显然中文本对具体条款的解释比英文本更为重要。与原文相比，对照译文似乎不甚可取。一方面，原文前段规定的重心在于不同文本“具有同等法律效力”，而译文却将此项规定移至相对次要的定语从句；另一方面，原文后段所谓“异议”实则存在于不同文本之间，而译文却将之扩大处理为“Conflicts between these two languages arising therefrom”。
事实上，此类条款也常见于英美国家的涉外合同，可供译者参照。譬如《施工合同条件》第1.4条(Law and Language)第2款：
If there are versions of any part of the Contract which are written in more than one language, the version which is in the ruling language stated in the Appendix to Tender shall prevail.
有鉴于此，笔者推荐如下译文：
推荐译文：
Two versions of the Contract written in Chinese and English respectively are equally effective. However, the Chinese version shall prevail if such versions conflict in their literal interpretation.
[7.7.18] 合同份数及生效条款
合同生效条款影响到合同效力的发生，其精确处理的重要性不容忽视。请看下例：
例【9】
本合同共__份，自双方代表签字(盖章)之日起生效。
对照译文：
The Contract is in __ copies, effective since being signed/sealed by both parties.
例【9】所引条款规定的生效时间为“双方代表签字(盖章)之日”。笔者以为，对照译文将“双方代表”译成“both parties”，显然改变了原文内容。考虑到合同末尾的签字栏又使用了“买方代表人”、“卖方代表人”两术语，笔者以为恰当的译文必须使之统一起来，方才符合规定性法律文件的一致性要求。
推荐译文：
The Contract is made in __ copies, and shall take effect on the date when it is signed/sealed for and on behalf of the Buyer and the Seller respectively.
[7.7.19] 合同签字栏
例【10】
买方代表人： 卖方代表人：
签字： 签字：
对照译文：
Representative of the buyers: Representative of the sellers:
Authorized signature: Authorized signature:
由于合同非经当事人签署而不具法律效力，故签字栏是一切合同所必备的组成部分。我们对其在译文中的处理不妨参照英美国家的合同范本，譬如《施工合同条件》附录中的《合同协议书》(Contract Agreement)：
SIGNED by:
for and on behalf of the Employer…
推荐译文：
Signed by: Signed by:
for and on behalf of the Buyer for and on behalf of the Seller

[7.7.2] 锁定交易内容
所谓锁定交易内容功能，即确定交易的产品或服务(吴江水 2005:21)。请看下例：
例【11】
货号
名称及规格
单位
数量
单价
金额

合计
总值(大写)
允许溢短__％
对照译文：
Art No.
Descriptions
Unit
Quantity
Unit Price
Amount

Totally:
Total amount: (in words)
__ % more or less in quantity and value allowed.
例【11】所引条款以表格的形式约定该合同交易的具体货物，其译文相对易于处理。然表格后补注的“允许溢短__％”值得译者推敲。笔者以为，对照译文将之译成“__ % more or less in quantity and value allowed”，实是语焉不详，容易导致歧义。原因在于译文没有指明“more or less”的比较对象，致使该短语可能被读者误解为修饰的是先前的百分比。
我们不妨参照《跟单信用证统一惯例》(UCP 600)第30条(Tolerance in Credit Amount, Quantity and Unit Prices)(b)、(c)两款：
b. A tolerance not to exceed 5% more or 5% less than the quantity of the goods is allowed…
c. Even when partial shipments are not allowed, a tolerance not to exceed 5% less than the amount of the credit is allowed…
推荐译文：
Art No.
Name & Specification
Unit
Quantity
Unit Price
Amount

Totally：
Total Amount (in words):
A tolerance not to exceed __ % more or __ % less than the Quantity or Amount is allowed.

[7.7.3] 锁定假定处理
所谓锁定假定处理功能，即确定出现违约或非违约的特殊情况影响合同正常履行时的处置办法(吴江水 2005: 21)。
[7.7.31] 违约行为及其责任范围、承担方式
就涉外货物买卖合同而言，卖方的违约行为主要包括两类：一是不完全履行；二是迟延履行。
[7.7.311] 不完全履行
所谓不完全履行，包括不适当履行、部分履行、履行方法不适当、违反随附义务等各种违约行为(王利明 2003:178)。
对于卖方的不完全履行行为，买方当然可以在约定期限内提出索赔；再者，有的不完全履行行为，特别是不适当履行行为，还违背了卖方承诺的质量保证，因而买方还可据此提出索赔。请看下例：
例【11】
索赔：
如经中国________检验机构复检，发现货物有损失、残缺或品名、规格、数量及质量与本合同及质量保证书之规定不符，买方可于货到目的港____天内凭上述检验机构出具的证明书向卖方要求索赔。如上述规定之索赔期与质量保证期不一致，在质量保证期限内买方仍可向卖方就质量保证条款之内容向卖方提出索赔。
对照译文：
Claims:
The buyers shall lodge claims against the sellers based on the Inspection Certificate issued by China ________ Inspection Authority ____ days after the arrival of the goods at the destination, if the goods are found to be damaged, missing or the specifications, quantity, and quality not in conformity with those specified in this contract and Letter of Quality Guarantee. In case the claim period above specified is not in conformity with the quality guarantee period, during the quality guarantee period, the buyers have rights to lodge claims against the sellers concerning the quality guarantee.
例【11】所引索赔条款针对的便是卖方的瑕疵履行行为。比较原文，笔者以为此处对照译文至少有两点明显不妥：
一是原文明确约定必须“经中国________检验机构复检”，而对照译文却毫无理由地省略不译。二是原文中“发现货物有损失、残缺或品名、规格、数量及质量与本合同及质量保证书之规定不符”之约定采用的是主动句式，其中“货物”与货物的“品名、规格、数量及质量”同为“发现”的宾语，而对照译文却采用被动句式“the goods are found to be damaged, missing or the specifications, quantity, and quality not in conformity with those specified in this contract and Letter of Quality Guarantee”，其后半段的表述有歧义：或是理解为“the goods are found the specifications, quantity, and quality not in conformity with those specified in this contract and Letter of Quality Guarantee”，则显然不符合英文语法规则；或是理解为“the specifications, quantity, and quality (are found) not (to be) in conformity with those specified in this contract and Letter of Quality Guarantee”，则未指明“specifications, quantity, and quality”之所属。
推荐译文：
Claim:
If China’s… Inspection Agency finds, through re-inspection, the goods to be damaged or missing, or their name, specification, quantity or quality not as specified in the Contract or the Letter of Quality Guarantee, the Buyer shall, on and before the date… days after the arrival of the goods at the destination, make a claim against the Seller with the Inspection Certificate issued by the Inspection Agency. However, if the period above specified for claim does not conform to the quality guarantee period, the Buyer shall still be entitled to make a claim based on quality guarantee against the Seller within the quality guarantee period.
[7.7.312] 迟延履行
所谓迟延履行，狭义而言是指债务人在履行期限到来时，能够履行而没有按期履行债务(王利明 2003:179)。请看下例：
例【12】
延期交货违约金：
除双方认可的不可抗力因素外，卖方迟于合同规定的期限交货，如买方同意迟延交货，卖方应同意对信用证有关条款进行修改和同意银行在议付货款时扣除本条款规定的违约金。违约金总值不超过货物总价值的5％，差率按7天0.5％计算，不满7天仍按7天计算。在未采用信用证支付的情况下，卖方应将前述方法计算的违约金即付买方。
对照译文：
Late delivery and penalty:
If the sellers fail to make delivery on time as stipulated in the contract, with exception of Force Majeure, the buyers shall agree to postpone the delivery on conditions that the sellers agree to amend the clauses of the L/C and pay a penalty which shall be deducted by the paying from the payment under negotiation, the penalty, however, shall not exceed 5% of the total value of the goods. The rate of penalty is charged at 0.5% for every seven days, if less than seven days. In case, the payment is not made through L/C, the sellers shall pay the penalty counted as above to the buyers as soon as possible.
例【12】所引的延期交货违约金条款针对的便是卖方的迟延履行行为。比较原文，笔者以为此处对照译文也有两点明显不妥：
首先，原文前段规定共设置了三项条件：“除双方认可的不可抗力因素外”、“卖方迟于合同规定的期限交货”及“买方同意迟延交货”。其中第一项条件是为限制导致第二项条件出现的起因，然对照译文“with exception of Force Majeure”却语焉不详；而最后一项条件则被对照译文处理为“the buyers shall agree to postpone the delivery on conditions that the sellers agree to amend the clauses of the L/C and pay a penalty which shall be deducted by the paying from the payment under negotiation”，这无疑是倒置了原文的因果关系。
再者，对照译文将原文中段规定的“差率按7天0.5％计算，不满7天仍按7天计算”处理为“The rate of penalty is charged at 0.5% for every seven days, if less than seven days”，似乎显得有些不知所云。
推荐译文：
Damages for Delay in Delivery:
If the Seller fails to deliver the goods on time as stipulated in the Contract, then when the Buyer agrees to postpone the delivery, the Seller shall agree to amend the relevant clauses of the Letter of Credit and pay damages through deduction by the bank from the payment under negotiation, except such delay arises from Force Majeure as agreed by both parties. However, such damages shall be paid at the rate of 0.5% of the total value of the goods for every seven days after the time of delivery (any period less than seven days shall be calculated as seven days) but its total amount shall not exceed 5% of the total value of the goods. If the payment is not made through a Letter of Credit, the Seller shall pay to the Buyer as soon as possible such damages, the amount of which shall be calculated by the above means.
[7.7.32] 特殊情况影响合同履行时的处理
所谓特殊情况，就涉外货物买卖合同而言，主要是指不可抗力，即《中华人民共和国合同法》第一百一十七条规定的“不能预见、不能避免并不能克服的客观情况。”请看下例：
例【13】
不可抗力：
如发生不可抗力情况，卖方应及时以电报/传真/电传通知买方，并在14天内邮寄事故发生地政府或商会出具的证明事故的文件。
对照译文：
Force Majeure: The sellers shall advise the buyers by CABLE/FAX/TLX in case of Force Majeure, and furnish the latter within 14 days by registered airmail with a certificate issued by local government/Chamber of Commerce attesting such event or events.
例【13】所引条款就不可抗力情况下卖方的通知义务作出规定。原文中的“如发生不可抗力情况”为卖方承担“及时以电报/传真/电传通知买方”及“在14天内邮寄事故发生地政府或商会出具的证明事故的文件”两项义务的前提条件；然对照译文却将“in case of Force Majeur”移至“The sellers shall advise the buyers by CABLE/FAX/TLX”之后，似乎该条件仅涉及第一项义务，而与第二项义务无关。故笔者以为不妥。
此外，译者处理涉外合同绝不能擅自添加原文中既没有明确表述也无法合理推断出来的信息，譬如本款对照译文中的“by registered airmail”便不能视为等同于“邮寄”。
推荐译文：
Force Majeure:
In case of Force Majeure, the Seller shall notify the Buyer by Cable/Fax/Telex and mail to him within 14 days a certificate issued by the local government/chamber of commerce of where the accident happened to substantiate such accident.

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