合同中译英的形式归化问题（二）

序文是英文合同中的重要组成部分，它不直接规定双方的权利义务，但经常用于阐明合同的缔约背景，载明双方的缔约意图等重要信息，在实践中经常被法院援用于对合同条款进行解释。相较而言，中文合同的序文部分通常显得可有可无，有些甚至没有序文部分，相当一部分有序文的合同，也经常把所有信息揉入一段，显得条理欠缺。对序文部分予以恰当的处理，是评价合同中译英专业性的一个重要指标。

以下面一段序文为例：

2007年7月7日北京赛伯乐科技有限公司（原买受人）与XX公司（出卖人）就YY项目签订了设备买卖合同，合同编号：     。鉴于项目产权发生变化,已转移至万法通（北京）法律咨询有限公司，经各方友好沟通和协商，对该设备买卖合同转让事宜达成如下协议：

在这段话中，虽然只有“项目产权发生变化,已转移至万法通（北京）法律咨询有限公司”一句之前有“鉴于”引导，但事实上前面的内容也构成序文。如直接照字面翻译，不利用“Whereas”引导，并在译文中予以分段处理，一则于英文表达习惯不符，二则会导致逻辑结构不清。我们建议采用如下译文：

WHEREAS, Beijing Cyberlaw Technology Co., Ltd. (the “Original Buyer”) and XX Co., Ltd. (the “Seller”) entered into the Agreement for Sale and Purchase of Equipment (Agreement No.:   ) on July 7, 2007 (the “Agreement”) for YY Project （the “Project”）;WHEREAS, the ownership of the Project has been transferred to Lawspirit (Beijing) Legal Consulting Co., Ltd.;

NOW THEREFORE, the Parties hereby agree as follows as to the transfer of the Agreement on the basis of friendly negotiation:

《境外投资项目核准暂行管理办法》两版译本比较及万法通建议版本（二）

第四条 国家对境外投资资源开发类和大额用汇项目实行核准管理。

资源开发类项目指在境外投资勘探开发原油、矿山等资源的项目。此类项目中方投资额3000万美元及以上的，由国家发展改革委核准，其中中方投资额2亿美元及以上的，由国家发展改革委审核后报国务院核准。

大额用汇类项目指在前款所列领域之外中方投资用汇额1000万美元及以上的境外投资项目，此类项目由国家发展改革委核准，其中中方投资用汇额5000万美元及以上的，由国家发展改革委审核后报国务院核准。

版本一：Article 4 The overseas investment projects of resource development and the overseas investment projects using large amount of foreign exchange shall be subject to the examination and approval of the State. The projects of resource development refer to the projects invested overseas to prospect for such resources as crude oil and mines. Among them, the projects with the Chinese party's investment amount of 30 million dollars or more shall be subject to the examination and approval of the National Development and Reform Commission; the projects with the Chinese party's investment amount of 200 million dollars or more shall be subject to the auditing by the National Development and Reform Commission and then be reported to the State Council for examination and approval.

The projects using large amount of foreign exchange refer to the overseas investment projects with the Chinese party's foreign exchange amount of 10 million dollars or more beyond the fields prescribed in the preceding paragraph And this kind of projects shall be subject to the examination and approval of the National Development and Reform Commission.

The projects with the Chinese party's investment amount of 50 million dollars or more shall be subject to the examination of the National Development and Reform Commission and then be reported to the State Council for examination and approval.

两版分析比较：

1.  国家对境外投资资源开发类和大额用汇项目实行核准管理。版本二采用主动语态，使用“shall”一词，导致意思发生微妙的变化。毋庸讳言，即使是在英美原文的法律文件中，“shall”一词也有被滥用的趋势。但主流的观点是，该词应限于用来表示一种义务。而此条规定之重点并不在于强调国家有义务对这些项目实行核准管理。

2.  “资源开发类项目”和“大额用汇类项目”在两款中均有明确的定义，而两种版本在译文均未对首字母予以大写。

3.  第二款中“此类项目中方投资额3000万美元及以上的，由国家发展改革委核准”，实际是指“此类项目中方投资额3000万美元及以上，2亿美元以下的，由国家发展改革委核准”；中文采用此种表述，结合上下文不致引起歧义，但按英文的思维习惯，在法律文件中不会省略“2亿美元以下”，在译成英文中，最好予以补足。

万法通建议版本：

Article 4 The Overseas Investment Projects of Resource Development and the Overseas Investment Projects Using Large Amount of Foreign Exchange shall be subject to the examination and approval of the State.

Overseas Investment Projects of Resource Development refer to projects of overseas investment in exploration and development of resources such as crude oil and mines. Such projects in which the Chinese party invests an amount of USD 30 million or more and less than USD 200 million shall be subject to examination and approval of the National Development and Reform Commission; while such projects in which the Chinese party invests an amount of USD 200 million or more shall, subject to preliminary examination of the National Development and Reform Commission, be reported to the State Council for examination and approval.

Projects Using Large Amount of Foreign Exchange refer to projects of overseas investment beyond the fields prescribed in the preceding paragraph in which the amount of foreign exchange used for investment of the Chinese party is USD 10 million or above. Such project in which the amount of foreign exchange used for investment of the Chinese party is less than USD 50 million shall be subject to the examination and approval of the National Development and Reform Commission, while such projects in which the amount of foreign exchange used for investment of the Chinese party is USD 50 million dollars or more shall, subject to preliminary examination of the National Development and Reform Commission, be reported to the State Council for examination and approval.

万法通建议版本：For projects which are subject to the verification and approval of the National Development and Reform Commission and the State Council according to these Measures，the project application reports thereof shall be submitted by the Investors to the Development and Reform Department at Provincial Level at the registration place of the Investors for examination and approval，and then be filed with the National Development and Reform Commission. Enterprise groups with independent planning status and enterprises administered by the Central Government may submit project application reports directly to the National Development and Reform Commission.

第十二条国家发展改革委对核准的项目向项目申请人出具书面核准文件；对不予核准的项目，应以书面决定通知项目申请人，说明理由并告知项目申请人享有依法申请行政复议或者提起行政诉讼的权利。

版本一：Article 12 For approved projects, the National Development and Reform Commission shall issue the examination and approval documents in written form to the project applicants. For disapproved projects, the National Development and Reform Commission shall notify the project applicants of the reasons and the rights to apply for an administrative review or to initiate an administrative lawsuit in written form.

两版分析比较：

1.  第十二条规定了对核准的项目和不予核准的项目不同的处理方式。版本一采用统一的句式，较好地传达了这种逻辑关系，相反，版本二的译文则缺少清晰的脉络。

2.  版本一将“in written form”置于译文最后，导致与其真正修饰的动词“notify”相隔甚远，且其中插入了“apply for”和“initiate”等数个动词，导致修饰关系不清。

3.  “行政复议”正确的译法应为“administrative reconsideration”。复议（“reconsideration”）与审查（“review”）不同，前者是同一性质的不同主体对同一事项适用的二次程序，审查没有二次的含义，也不强调审查主体和程序的一致性。可比较行政复议和司法审查。对这种术语的翻译，需要译者对原文的概念有清晰的辩分，并熟知英美法中对应的表达方式，切忌自行创造术语。