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我国法律法规的宏观结构

时间:2022-04-01 理论教育 版权反馈
【摘要】:第三节 我国法律法规的宏观结构一、法律法规的名称及其英译我国法律法规的名称一般包括反映法律适用范围、法的内容,以及法的效力等三个要素。这一点与英美法相似,只是我国法律名称中并无英美法系中的详称。自我国加入世界贸易组织后,法律法规的英译成为中国对外法律交流和贸易活动的重要环节。

第三节 我国法律法规的宏观结构

一、法律法规的名称及其英译

我国法律法规的名称一般包括反映法律适用范围、法的内容,以及法的效力等三个要素。[49]适用范围的要素一般以“中华人民共和国”、“某省、市”标明;法的内容要素反映出该法的调整对象,可分为授权或禁止性内容;而第三个要素也称为体例词,根据我国《立法法》的规定,我国法律的体例包括法律、行政法规、地方性法规、自治条例和单行条例,类似于我国公文体例中的文种。该三个要素并非都会体现在法律法规的名称中。以《妇女权益保护法》为例,尽管没有列明范围,但一般人都清楚该法在全国范围内均有效力;其内容是保护妇女权益;文种是特别法,即仅针对妇女。这一点与英美法相似,只是我国法律名称中并无英美法系中的详称。

犹如标题是一部作品的灵魂和中心所在,法律法规的名称也高度概括了法律法规所调整或规范的对象、主要范围或主要内容,而具体条款的名称也对本条款涉及的内容进行了归纳总结。[50]由于法律法规属于专业性极强的一种文体,且属于意识形态的一种,其中难免有不少各国特色的一些表述,而该表述在其他文本中难以找到完全对等的表达,故法律法规名称(包括条款名称)的英译极为棘手。自我国加入世界贸易组织后,法律法规的英译成为中国对外法律交流和贸易活动的重要环节。目前我国很多法律都有了其英文版,但是其中的名称的译文并不尽如人意。因此甚有必要对此进行探讨。

(一)法律法规标题英译的现状分析

对官方和其他专业网站中法律法规名称的英译本进行梳理后,发现有下列特点:

(1)法律专业知识欠缺,术语误译情况明显。例如:

中华人民共和国执业医师法:Law on Licensed Doctors of the People’s Republic of China

中华人民共和国专属经济区和大陆架法:Law of the People’s Republic of China on the Exclusive Economic Zone and the Continental Shelf

出口食品生产企业卫生注册登记管理规定:Regulation on administration of sanitary registration and enrollment for establishment of food for export

Measures of the Customs of the People’s Republic of China Concerning the Administration of the Goods,Means of Transport,and Articles Carried by Individuals to be Brought into or out of the Bonded Area of Outer Gaoqiao in Shanghai[51]/Procedures of Customs of the People’s Republic of China for the Control over the Goods,Means of Transport and Personal Articles Entering or Leaving the Shanghai Waigaoqiao Free Trade Zone[52].[53]

价格违法行为行政处罚规定:Provisions on the Administrative Punishment of Pricerelated Violation

无线电管制规定:Provisions of the People’s Republic of China on the Control of Radio

即常将人大制定的法译为law或laws,而将行政或地方法规的办法、规定、通知等译为measure,regulation,provision,procedures等。

(2)语法错误。漏掉冠词的情形比较多;单复数形式混乱;在译文中常使用“regulation for/on..”这一结构,且其中介词的使用也不乏欠妥之处。

例1 Regulation of the PRC for Controlling the Registration of Enterprises as Legal Persons Interim Provisions on Guiding Foreign Investment Direction

在例1中,for与on实为多余,因Controlling与Guiding这两个分词形式可用作定语,从《建立世界知识产权组织公约》的英文名Convention Establishing WIPO就可见一斑。此外,regulation未使用复数形式。

例2 音像制品管理条例:Regulations on Administration of Audio-Visual Products.

技术引进合同管理条例:Regulations on Administration of Technology-Introduction Contracts.

中外合资经营企业合营期限暂行规定:Interim Provisions ConcerningContract Period of Chinese-Foreign Equity Joint Ventures

例2中的三个句子中都未在画线词前使用定冠词the,若将on改成for,则更为地道,参考Paris Convention for the Protection of Industrial Property和Berne Convention for the Protection of Literary and Artistic Works的表述就可见一斑。

(3)名称的译文啰嗦,对译现象明显。

由于我国的行政和地方性法规的表述很具有中国特色,而翻译时几乎都按照汉语的思维进行处理,从而使译文带有浓厚的中国特色而不合英语的常规表达。例如:

上海市人民政府办公厅关于转发市水务局等三部门关于深化本市乡镇水务管理体制改革意见的通知:Notice of the General Office of Shanghai Municipal People’s Government on Transmitting the Suggestions on Deepening Institutional Reform of Town/Township Water Affairs Administration of This Municipality Made by Shanghai Water Authority and Two other Departments

如此几十个字的名称,势必让外国读者一头雾水,不知所云。类似的例子举不胜举。

(4)译名违反同一性

准确性乃是法律法规翻译的一个基本原则,而保持译名的同一性可便于查找,也有助于保持法律的确定性。但在不同法规中,同一个词语却有不同表述。例如:

国务院关于扩大沿海经济开放区范围的通知:Circular of the State Council Concerning the Expansion of the Scope of the Coastal Economic Open Zones

中华人民共和国海关对沿海开放地区进出境货物的管理规定Provisions of the customs of the People’s Republic of China for the control of the goods entering and leaving the coastal openingcities and areas

本例中的“沿海经济开放区”有“Coastal opening cities and areas”和“Coastal Economic Development Zones”两种译法,加上“Open Coastal Cities”和“Coastal Economic Open Zones”,[54]几种表述法莫衷一是,有损法规的严谨性,同时也增加了查找难度。在前面《中华人民共和国海关对进出上海外高桥保税区货物、运输工具和个人携带物品的管理办法》也有两个相去甚远的译文,必定让读者认为是两部法规。

这种状况在条款名称的翻译中同样存在。据陈忠诚先生的研究,法律条款名称的英译文存在“标题的写法有误、译名不统一、名词的单复数乱用、词性错位、不够简赅、用词失当、译文背离或不合原意”等多方面的问题。[55]

(二)目的论指导下的法律法规名称英译质量改进策略

笔者在本书前面的章节中曾谈及法律法规的翻译原则。不少学者在谈及法律文体的翻译时都强调法律翻译应遵循的原则,如“专业性、严谨性、准确性、等效性”[56],“准确性及精确性、一致性及同一性、清晰及简练、专业化、语言规范化、集体作业”[57],“公正性、准确性和合适性”三项法律翻译原则[58]。法律法规乃是专业性极强的一种文本,而任何法律的专业翻译都体现在实际性、有效性的语言结构上”[59],这就决定了在翻译法律法规时须在术语和语法层面追求译文的准确性,而在表达模式上须顾及目的语的表述习惯,才能与译文读者心目中对法律文本的预期相吻合,从而达到法律法规翻译的预期目的,而这种定位也必须在法律名称英译本的语言层面上反映出来法律文本的名称英译存在的上述缺陷,势必给英美法系的读者带来一种迥异于原文读者的心理预期,从而达不到对外宣传和交际的目的。因此,在翻译法规的名称时,应以译文读者为导向(reader-oriented)。具体而言:

1.应根据法律的效力及其制定部门选择表示法律法规效力级别的术语

在英美法系中,law泛指法律,以law作为法律名称的情况,即便“The Australian Family Law Act 1975”、英国的“Criminal law Act 1967”、我国香港特区的“Family Law Reform Act 1995”中都有“law”,但其在该各结构中作定语,而不是中心词。[60]Act指由议会或国会制定的法律,[61]一般用于法规的名称中,如US Energy Policy Act of 2005。从效力而言,Act主要用于基本法,而对于其他的非基本法,常用其他词如Regulations,ordinance,rule或decision等表达。Regulations是由受认可的行政机构颁布的对法律进行解释和补充的文件,而且一般都使用复数形式,如Tamper-resistant packaging Regulations(《反篡改包装规章或规定》)。从语义层面而言,procedures和provision指具体的程序、条款或规定,并不用作法律法规的名称或表示规范性文件。

我国的法律法规可大致分为如下四种类型:①由国家立法机关(人大及其常委)制定的规范性文件,一般表示为“某法”,如《宪法》《民事诉讼法》等;②由国务院或部委颁发的行政法规和规章,以发布该法规的机构和所要调整的事项构成,例如,如果系国务院颁布,则以“条例”命名;如果系其部委颁发的,则不能称为“条例”而只能称为“办法”、“规定”等名称;③地方性法规、自治条例和单行条例,一版标明制定该法的机构,包括规定、办法、通知、决定等,如“青岛市旅游条例”、“张家川回族自治县自治条例”;④由最高院制定和颁布的司法解释(包括解释、规定、批复等),如《关于适用〈中华人民共和国合同法〉若干问题的解释》。针对上述法律术语,可从功能对等的角度做如下处理(见表7-1):

表7-1 法律术语

img35

[62]在诉讼进行中,为了保证人民法院能够公正地审理民事、经济纠纷案件,维护正常的诉讼秩序,正确处理人民法院内部的工作关系,对诉讼中发生的某些特定事项,作出职务上的判定,称为民事决定。但作为法律具有普遍效力的是两院所作的决定,该程序中所做的决定不同,在翻译时可译为Decision。

[63]在我国香港特区,“条例”一般译为ordinance,而将Act译为“法令”。在英美法系中,Ordinance和regulations可交替使用,参见美国环境保护条例的条款〔27.3(455B)Ordinance or regulations〕(参见:http://www.epa.Gov/region7/air/rules/iowa/567-2703.pdf);在立法中也有两个法律名称用的情况,如ZoningOrdinance(City of Kaufman,Texas,Adopted March 19,2007,Ordinance No.O-02-07)和Zoning Regulations(Town of Coventry)。再如,Anguilla法律中的Companies Regulations就是依据该国的Companies Act而制定的(These Regulations are enabled under section 268of the Companies Act,I.R.S.A.c.1.)

[64]Bylaws为地方性立法,参见:Site Alteration By-law(C.P.-1363-381-Consolidated May 1,2012)of the Council of the City of London,Ontario,Canada.This by-law is printed under and by authority;并参见布莱克法律词典的解释。

[65]如《最高人民法院关于贯彻执行<中华人民共和国民法通则>若干问题的意见》的中国版和美国版都是用的是“Opinions of..”,与英美法系的dissenting opinion和concurring opinion中的opinion意思相似。

[66]参见“上海法规”网页上的有关内容。

2.在结构上,可采取“主题词+Act/Ordinance/Regulations,etc.”的模式

英语中用名词(词组)直接做前置定语修饰另一个名词的这种名词优势或静态倾向,[62]在法律语言中非常显著。例如:

a one court entry system

a new case flow management system

leave entitlements

a new in-court arbitration system

the new small claims arbitration limit

英语中的复合名词的结构是后构式(constructed backward),在阅读上述例子时应先将冠词、第一个形容词、最后的名词搭配,以此类推。上述表述可理解为:

a system of entry through one court;

a new system of management of the flow of case(s);

entitlements to leave;

a new limit for the arbitration of small claims;

the new system of arbitration in-court

体现在法律法规名称(short title)的表达结构上,即常采用“n1+n2(+n…n)+Act/Ordinance/Regulations/Order/Rule,etc.”模式。例如:

Food Export(FDA)Regulations(加拿大)

Crown Attorneys Act(加拿大)

Commonwealth’s Attorneys Act(Kentucky和Virginia州)

Real Property Attorneys Act,Public Attorneys Act(美国犹他州)

Exclusive Economic Zone and Continental Shelf Act(1998)(美国)

Territorial Sea,Contiguous Zone,Exclusive Economic and Fishery Zones Act(Dominica)

Children and Young Persons(Care and Protection)Act 1998(NSW)

Protection of Children(Scotland)Act 2003

Children and Young Persons(Protection from Tobacco)Act 1991

Veterinary Drug Evaluation Fees Regulations

以上范例都采用了“调整对象+法”的模式,表述简洁明了而利于法律法规的检索。

令人遗憾的是,中文的法律名称尽管也表达为名词作定语的偏正结构,如“贸易合同、部门法、公司法、检察官法”等,但在法规名称的英译时,汉语的“名词+名词”结构并未对译者产生影响,官方的英译本中却大量使用“Law/regulation/decision on/of+主题词…of PRC”的表达结构。不妨援用英文的n1+n2…结构模式,将上述译例修改如下:

Law on Licensed Doctors of the People’s Republic of China(《中华人民共和国执业医师法》)─→Licensed Doctors Act of PRC

Law of the People’s Republic of China on the Exclusive Economic Zone and the Continental Shelf(《中华人民共和国专属经济区和大陆架法》)─→Exclusive Economic Zone and the Continental Shelf ACT of PRC

Law of the People’s Republic of China on the Territorial Sea and the Contiguous Zone(《中华人民共和国领海及毗连区法》)─→Territorial Sea and Contiguous Zone Act of PRC

《中华人民共和国法官法》─→Judges Act of the PRC;

《中华人民共和国检察官法》─→Public Procurators Act of the PRC;

《兽药管理条例》(Regulations on Administration of Veterinary Drugs)─→Veterinary Drugs Regulations(因regulation就包含管理之意,故没有必要再使用administration);

Regulation on administration of sanitary registration and enrollment for establishment of food for export ─→Food export sanitary registration Regulations(原译文未使用复数形式);

《儿童福利法》(Act on the Protection of Children)─→Children Protection Act。

由于法律的调整事项或适用对象才是人们关注的重心,故而应凸显主题,方能让人一看就知道该法的内容。因此,在翻译时不妨尊重英语的这种表述习惯,也利于法规的查找。[63]

3.须考虑中西方文化差异而适当调整内容

如前所述,法律主要是赋予权利和强加义务,对于主要是授与权性的规定,一般采取“(适用范围)+主题词(即内容或调整对象)+法规(即文种)”的表达方式,如“中华人民共和国婚姻法”、“律师法”、“刑事诉讼法”、“中华人民共和国未成年人保护法”等。对于这类法律名称,照原文意思并按照英美法系的表述进行翻译则可。

而对于主要是设定义务的立法,则往往采取“(适用范围)+(显性或隐性禁止性定的标记词)+主题词(即内容或调整对象)+法规(即文种)”,我国法律法规的名称上均标明“防止、反对、禁止”某种违法或犯罪行为的字样,如《反不正当竞争法》《厦门市禁止赌博条例》《中华人民共和国水污染防治法》;英美法中也使用了against,no,anti-(“防止”或“禁止”)等字样。在翻译时刻套用目的语中的结构进行处理。例如:

Martin’s Anticruelty→─Act《反残酷法》,因该法的目的是禁止残酷待人

Protection→─from Harassment Act《防止骚扰法》

No Electronic Theft Act(NET Act)(→─1997《反电子盗窃法》

Collections of Information Antipiracy→─Act《信息汇集反仿冒法》

但英美法中也有大量法规名称中并无against,anti,no等表示义务或禁止性规定的字样,在汉译时应凸显其立法宗旨和意图。例如:

Theft Act//Riot Act//Defamation Act//Immorality Act//Bubble Act//Competition and Fair Trading Act(1990)(Italy).

如果按照字面意思进行翻译,这些法律可分别译为《盗窃法》《暴动法》《诽谤法》《不道德法》和《诈骗法》。但是,应注意,上述的立法的目的和宗旨是防止和惩治这些犯罪行为,故在翻译时应添加一些表示立法宗旨的词汇,如“反对、严禁、惩治”等。就“N1+N2”这种结构而言,其主要意思就是“某人(事)在何时/何地/以某种方式/做何事或具有何种功能”。[64]因此,Riot Act当然应译为《防止暴乱法》;Bubble Act乃是英国于1719年通过的旨在取缔“非法”商业活动,即“在未经议会或国王授权的情况下,成立像公司实体那样的联合体,并使其份额可转移和让渡”,故不妨译为《防止泡沫法》;Immorality Act是南非实行种族隔离的立法中的一部,其宗旨是禁止在白人和黑人之间存在任何性关系以维护白人的特权地位,故可将其译为《背德法》或《禁止异族间通婚和性行为法》。类似地,Theft Act可译为《反盗窃法》或《惩治盗窃犯罪法》,

Defamation Act则可译为《惩治诽谤罪法》。而Competition and Fair Trading Act的目的是为了维护正当的竞争,反对垄断,故可译为《竞争法》或《反不当竞争法》等。在法律法规英译时,也应考虑该因素而作相应调整。

4.针对非基本法中的由某部门发布却由另一部门转发、或者某部门关于某事项的通知/解释/决定等,可套用英美法系非基本立法的有关格式表述

除基本立法外,我国法律中有大量由部委或地方政府颁发的规范性文件,其名称中含有“通知”、“转发”、“批转”、“印发”、“发布”等词。这类法规的名称系属中国特色,在国外难以找到类似的表述,故其译文冗长桀骜,难以理解。例如:

《最高人民法院、最高人民检察院关于办理妨害武装部队制式服装、车辆号牌管理秩序等刑事案件具体应用法律若干问题的解释→─》Interpretation of the Supreme People’s Court and the Supreme People’s Procuratorate on Several Issues concerning the Specific Application of Law in the Handling of Criminal Cases about Disrupting the Order of Management of Uniforms and Vehicle License Plates of Armed Forces(2011)

《中国银监会办公厅关于印发〈银监局开展客户风险信息共享工作指导意见〉的通知→─》Notice of the General Office of the China Banking Regulatory Commission on Issuing the Guiding Opinions on the Sharing of Client Risk Information of Local CBRC Offices(2008)

而英美法系中的类似法律文件常以调整事项(subject matter)分类,便于查找。以《美国食品药品管理局食品安全和应用营养中心关于膳食补充剂健康和教育法(1994)》为例:

U.S.Food and Drug Administration

Center for Food Safety and Applied Nutrition December 1,1995

DIETARY SUPPLEMENT HEALTH AND EDUCATION ACT OF 1994

该例乃是根据发布机构的大小进行排列,其内容也单列并采用特定方式以示突出(即全大写),在援引时一般只引用其核心内容“DIETARY SUPPLEMENT HEALTH AND EDUCATION ACT OF 1994”而省略其发布者,结构和内容一目了然。再如

The White House

Office of the Press Secretary

For Immediate Release September 09,2011

Executive Order-Developing an Integrated Strategic

Counterterrorism Communications Initiative

该名称在表述上也是首先列出其发布机构(依次从大到小排列),而后列明发布日期,最后列出具体内容。再如,美国联邦航空航天局(the FAA,Federal Aviation Administration)发布的Unmanned Aircraft Operations Notice亦采纳了类似的结构模式[65]

NOTICE    U.S.DEPARTMENT OF TRANSPORTATION

       FEDERAL AVIATION ADMINISTRATION

       Air Traffic Organization Policy上述译例对法规名称的英译有一定的指导意义。例如,《最高人民法院、最高人民检察院关于办理妨害武装部队制式服装、车辆号牌管理秩序等刑事案件具体应用法律若干问题的解释》可改译为:

The Supreme People’s Court and the Supreme People’s Procuratorate

XX(month)XX(date),2009

Interpretation-APPLICATION OF LAW TO CRIMINAL OFFENSES IN VIOLATION OF REGUALTIONS AS REGARDS THE MANAGEMENT OF UNIFORMS AND VEHICLE LICENSE PLATES OF ARMED FORCES

即在第一行列出发布命令的机构的名称(最高人民法院和最高人民检察院),第二行列出发布该法令的时间,在第三行的开始标明该法规的类型或性质(即司法解释,并用黑体标示),然后用破折号引出该司法解释的具体内容(用大写字母标示),其内容自然一目了然。类似地,《中国银监会办公厅关于印发<银监局开展客户风险信息共享工作指导意见>的通知》也可改译如下:

China Banking Regulatory Commission

General Office,2008

Notice-Printing and Issuing GUIDING OPINIONS OF LOCAL CBRC OF

FICES ON THE SHARING OF CLIENT RISK INFORMATION

如是一来,该法的发布者(证监会办公厅)、该法本法规的文种(通知)、通知的内容(印发某个文件)、拟印发的文件(《银监局开展客户风险信息共享工作指导意见》,用大写字母标示)等信息一目了然。

二、具体条款名称的英译

在Legislative Section Headings:Drafting Techniques,Plain Language,and Redundancy一文中,Nick Horn对英文条款名称的意义和功能做了概述:

“How do legislative section headings work?They are presumed to help readers of legislation find what they need to know faster,and understand it more easily when they find it.This paper sets out some rules and techniques that drafters can use to maximize the(presumed)effectiveness of section headings.The distinction between the effect of section headings on access to the law by primary users,and their effect—or lack of it—on the meaning of the law for official interpreters,is questioned..Three modes of operation are distinguished:vertical(descriptive),horizontal(structural),and a third dimension in which section headings are framed as questions.In the horizontal mode,one particular type of section heading,the‘divided heading’,is discussed in detail...”[66]

即条款名称具有概括本条款的内容之功能。具体而言:

第一,表明某条款名称项下的内容具有相关性。例如:

2.3Board of directors:Appointment.

2.4Board of directors:Term of office.

2.5Board of directors:Duties.

上述三个条款调整的事项具有关联性,即关于董事会的人选任命、任期,以及其职责。

第二,表明一系列相互关联的事项由某一个条款调整。例如:

2.6Filing complaints;time limits;action by the Board.

上例说明,董事会起诉、时效及诉讼这三个行为都由2.6条作出规定。

第三,条款名称只能达至“条”这一级。即只有section与subsection才具有名称,项(paragraph)一般不使用名称;即便“项”使用名称,也一般不在目录里列明。例如,美国联邦法规(Code of Federal Regulations)就在“项”这一级使用名称:

2.10Retain information 10years.

(a)The 10-year rule.

(b)Exceptions:15-year rule when younger sibling is endangered

上例中的(a)与(b)乃是“项”,但分别有名称。[67]即便如此,“项”的抬头或名称不得出现在目录中(table of contents)中。

可见,英美法律中的条款名称类似于广告、新闻或标语中引人注意的字、措辞或短句(a catch line)。这种描述性的名称体现了法律条文在排列上的逻辑性,从而有助于帮助读者轻易找到欲适用的具体规定。故从形式而言,这类条款的名称往往用词言简意赅,一般采用不完整的词句,如名词性或动名词短语,抑或1个句子。[68]具体而言:

(1)“adj.(包括v-ing;v-ed)+名词”、动名词、或者“名词+whiz deletion(作后置定语)”。对于这类结构,可依照修饰词与中心词的逻辑关系进行处理。例如:

Overriding Objective基本目标

personal service直接送达

decision-making决议(决策)(如成立WTO的马拉卡斯协议第9条)

misleading statement and omission误导性陈述和未陈述

Filing and serving written evidence提交和送达书面证据(画线部分为动名词)

certification filed with complaint与诉状一并提交的书面证明(其中的filed结构为后置定语)

(2)名词+介词(of/about/in/to/on/for etc.)+名词。对此,可还原为相应的动作、过程或状态,或译为汉语的偏正结构名词化结构,以体现其间的主谓或动宾等逻辑关系。例如:

Application and interpretation of the rules规则的适用与解释

Application by defendant for service of a claim form被告提出的向其送达诉讼格式的请求

Service of documents文书送达[69]

Address for service送达地址

Security for payment of costs in class action集团诉讼费的支付担保

Determination of public interest公共利益的认定

Restriction on settlement under seal对封印和解协议的限制

(3)不完整的句子。这类结构为数不多,在翻译时也应译为短语为宜。例如:

Rules about service apply generally(送达规则的一般适用范围)

Who is to serve送达人[70]

How To Start Proceedings-The Claim Form诉讼程序的启动—诉讼格式

(4)名词+定语从句。该结构实为名词结构,故可依照定语从句的译法处理。例如:

Rule 88.Procedure where defendant objects to use of Part 8procedure(被告反对适用第8部分所述程序时可适用的程序)

Rule 104.Notice to claimant that defendant has filed an acknowledgment of service(致原告被告已提交送达承认书的通知)[71]

(5)(名词+介词+)名词+动词不定式。该结构中的动词不定式短语做定语,可根据其与中心词的逻辑关系进行处理。例如:

nature of party to be served(受送达人的性质)

motion to dismiss(驳回诉讼之请求;驳回起诉动议)(6)名词+名词。可视情况而译为联合结构或偏正结构。例如:

commission rules and enforcement(委员会的规则与执行)

management assessment of internal controls(管理层对内部控制的评价)

audit partner rotation(审计合伙人的更换)

Loss causation-In any private action arising under this title,the plaintiff shall have the burden of proving that the act or omission of the defendant alleged to have violated this title caused the loss for which the plaintiff seeks to recover damages.[72](损失的因果关系

(7)混合结构:即包含上述的几种结构。这类结构最为复杂,在翻译时须补充有关信息,方能使译文妥当。例如:

Authority to enter an order requiring an accounting and disgorgement(签署要求陈述与返还非法所得的命令)

Rule 14.6Admission of liability to pay whole of claim for unspecified amount of money(对给付不特定金额款项请求的全部付款责任之自认)

Rule 14.7Admission of liability to pay claim for unspecified amount of money where defendant offers a sum in satisfaction of the claim(对给付不特定金额款项诉讼请求的付款责任之自认——被告提出为满足原告诉讼请求而给付一定金额的款项)[73]

No Right Of Priority Or Benefit Of Earliest FilingDate.-A provisional application shall not be entitled to the right of priority of any other application under section 119or 365(a)of this title or to the benefit of an earlier filing date in the United States under section 120,121,or 365(c)of this title.[74](不享有优先权或在先申请日利益)

上述表达模式无疑对我国法律条款名称的英译具有一定的指导作用。但须注意的是,我国法律中一般不设条款名称(即名称只达至“节”这一级),条款名称更不会在法律目录中列明,这一点与英美法“目录里可含有条款名称”的做法(参见前文的有关内容)迥异。例如,《民法通则》《刑法》等法中,均只在“条、款”的上级单位(如“节、章、部分”)中使用类似section heading的章节名称,故对条或款设定一个名称系对外国法律表述模式的借鉴。上海市开创先河,在其条例的英文版中设立条款名称,但数量并不多,到目前也只有十部左右。这些为数不多的条款名称的英译文中却存在大量误译,这就为条款名称的英译提出了警示:对于这种舶来品的翻译,应考虑下列因素,以符合目的语的表述习惯:

首先,法律法规的条款的抬头或名称不能译为section title,而应译为section heading。笔者在上课时注意到,学生受英美法系long title和short title这一表述的影响,认为“条款的名称”理所当然应该为section title,且如此理解者不乏少数。

其次,注意条款名称与条款内容相吻合。例如:

第一条 (制定目的和依据)根据《×××保护条例》,结合本市实际情况,制定本规定→─。Article 1(Purpose and basis) The present Provisions are..[75]

如果说原文系立法时因未设条款名称而使用括号以示补充,尚可理解,那译文中增加括号则纯粹违反标点符号的使用规范,遍查后均未找到英美法系的条款名称的类似表述方式。此外,条款内容中只说明了制定本规定的“立法权源”,而并未说明其立法目的,故原文的条款名称与其内容有出入,进而导致译文的失误,不妨改为:Article 1Purpose...

第三,条款名称的大写与标点符号。如前所述,英美法系国家中一个条款主要调整一个事项或一系列有关联的事项,在表达模式上可分为下列两类:一是大写第一个字母,并在最后一个单词后使用句号。例如:

CHAPTER 18-PATEWNT RIGHTS IN INVENTIONS MADE WITH FEDERAL SAAISTANCE

Section 200Policy and objective.(——35USC Patent)

也可采用首字大写或全部大写的方式。例如:

APPLICATION OF LAWS;INTERNATIONAL AGREEMENTS

SEC.4.(a)…(——×××Relations Act)

Purpose

2.The purpose of this Act is to extend the present laws of Canada that protect the privacy of individuals with respect to personal information about themselves held by a government institution and that provide individuals with a right of access to that information.

在翻译时我们不妨选择其中一种方式,但应在整个文本中保持一致。

第四,切忌按照汉语表述机械对译。法律名称翻译中存在的机械对译现象,在条款名称翻译中也颇为突出。例如:

第四十条 →─施行日期Article 40Date of implementation(应为Effective date.);

第三条 (有关用语含义→─)Article 3(Definition of Following Terms used in the present Procedures)(如此对译略显冗长,可改为“Article 3Definitions”,则更为简洁明了。)

第三十二条 (罚则→─)Article 32(Provisions of Punishment)(可仿效英美法系的表述方式而改为:Article 32Penalties.

第三十三条 (执法程序→─)Article 33(Procedures for Implementation of the Present Provisions)(该例也属机械对译,不如改为:Article 33Enforcement Procedure.)第五,有关单复数和冠词的使用。条款及其上级单位的名称英译文中常使用定冠词。例如:

第一章 刑法的任务、→─基本原则和适用范围Chapter I The Tasks,Basic Principles and Scope of Application of the Criminal Law

第三章 →─刑罚第五节死刑Chapter III Punishment Section 5The death penalty

第四章 →─刑罚的具体运用Chapter IV The Concrete Application of Punishments但在英美法中,一如法律名称中不使用定冠词,条款的名称中亦极少使用冠词。例如:

PURPOSE OF ACT

Purpose

2.The purpose of this Act is to extend the present laws of Canada that protect the privacy of individuals with respect to personal information about themselves held by a government institution and that provide individuals with a right of access to that information.(——Privacy Act,R.S.C.,1985,c.P-21)

Section 6Court may withhold report from child.The court may withhold all or part of the report from the child.Where the court is satisfied that disclosure of all or part of the report to the child would cause the child emotional harm.

上例中,无论是小节的名称(PURPOSE OF ACT)还是条款名称(Purpose;Court may withhold report from child),都未使用定冠词。在这方面,我国台湾地区的法律翻译比内地做得好。而就单复数而言,可根据实际情况而定。以常见的“目的”的翻译为例。如果该法的目的为多个,则应使用复数,否则就使用单数。例如:

3Purposes

The purposes of this Act include—(a)..;and(b)..;and..(——Penalties and Sentences Act 1992)

再如,Marrakesh Agreement Establishing the World trade Organization(《建立WTO的马拉喀什协定》)中也使用的是用了Scope/Functions/Structure/of the WTO等条款名称,单复数根据具体语境而定,且均未使用限定词the或a。在翻译时,不妨多参照平行文本。

三、颁布语

颁布语主要包括某法律法规的制定机构、审议通过的时间、该法生效的时间,以及核准该立法的国家元首的姓名。该部分与英美法系一样,赋予某项议案法律的效力,对所针对和调整的人和事项产生拘束力。例如:

中华人民共和国食品安全法

中华人民共和国主席令

第九号

《中华人民共和国食品安全法》已由中华人民共和国第十一届全国人民代表大会常务委员会第七次会议于2009年2月28日通过,现予公布,自2009年6月1日起施行。

中华人民共和国主席胡锦涛

2009年2月28日

对于上例中画线部分表示制定和审议通过的机构的翻译,我国现行的官方和非官方的英文版本略有不同。例如,我国《刑法》的英译本中采取下列方式:

Order of the President of the People’s Republic of China (No.41)

The Amendment(VIII)to the Criminal Law of the People’s Republic of China,as adopted at the 19th meeting of the StandingCommittee of the Eleventh National People’s Congress of the People’s Republic of China on February 25,2011,is hereby promulgated,and shall come into force on May 1,2011..

我国《民法通则》的英译本则表述如下:

GENERAL PRINCIPLES OF THE CIVIL LAW OF THE PEOPLE’S REPUBLIC OFCHINA

(Adopted at the Fourth Session of the Sixth National People’s Congress,and promulgated by Order No.37 of the president of the People’s Republic of China on April 12,1986,and effective as of January 1,1987)..

而我国的《食品安全法》的英译本中却使用了下列方式:

Food Safety Law of the People’s Republic of China

Order of the President of the People’s Republic of China (No.9)

The Food Safety Law of the People’s Republic of China,which was adopted at the 7th Session of the Standing Committee of the 11th National People’s Congress of the People’s Republic of China on February 28,2009,is hereby promulgated and shall come into force as of June 1,2009..

可见表述各一:或使用meeting,或使用session;或使用定语从句(which was adopted..),或使用whiz deletion这一缩略结构(as adopted..)。“第x次会议”究竟该如何翻译?根据布莱克法律词典(第8版,第1403页)的解释:

Session.Parliamentary law A meeting or series of related meetings throughout which a court,legislature,or other deliberative assembly conducts business in a continuing sequence;or the period within any given day during which such a body is assembled and performing its duties.

即session一词常表示立法机构或法院召集连续性的(一次或多次)会议以讨论某一问题,如the court’s spring session;法院在某天开庭审理某个案件就称为“The court is in session”。因此,人大常委的第×次会议就可表示为“the xth Session”肯定没错;但在国际性法律文件中,也常使用Xth meeting来表示第几次会议,如:7thMeeting of EMSA(European Maritime Safety Agency)Administrative Board[76];7thMeeting of the Parties to ASCOBANS(Brighton,United Kingdom,22-24October 2012)[77]。可见,用the xth Session和xth meeting均可用于翻译我国的“人大第x次会议”。

而对于“在人大第X次会议上通过”的翻译,有学者认为adopted at the Xth Session of the Xth National People’s Congress,adopted bythe Xth Session of the Xth National People’s Congress以及Adopted by the Xth Session of the Xth National People’s Congress都不妥,因通过该法案并使该法案具有法律效力的是人民代表大会,而不是其X次会议,故建议采用Adopted by the Xth National People’s Congress at its Xth Session。[78]其实,该认识存在偏差,议案审议机构的确是人民代表大会,但不可否认的是,就是在该x次会议上通过了该法案,因此用Adopted by the Xth Session/Metting of the Xth National People’s Congress也不错,因该表述乃是一种立法技巧,即法律拟制(deeming;legal fiction),[79]即用机构来指代其中的人。否则上述理解,通过该议案的也并非人民代表大会,而是人民代表。国际性法律文件中就不乏“..Adopted by the Xth Session/Metting of(XX institution)”的表述。例如:

img36

上例中使用的就是adopted by the 7thsession of xx Council这一结构。“PC(USA)Earth Care Pledge adopted bySaint James Session 9/9/12”[80]也为类似的表达结构。

针对该颁布语中的生效时间,鉴于英美法系目前的“复古情结派”和“明晰化运动派”之间的战争尚无定局,是使用shall be effective结构(其中的shall既表将来又表义务而备受指责),还是采用一般时态的comes into force结构,则取决于译者。

综上,在英译颁布语时,可结合主位-述位的推进模式而采取如下两种方式:

(1)xxx Act,as adopted by the Xth Session of the xxxxth National People’s Congress on(month-date-year/date-month-year),is now issued,and shall come into force as of/on(month-date-year/date-month-year).

(2)xxx Act has been adopted by the Xth Session of the xxxxth National People’s Congress on(month-date-year/date-month-year),is now issued,and shall come into force as of/on(month-date-year/date-month-year).

四、序言(preamble)

一般而言,只有重要的法律才有序言。[81]如我国《宪法》就有序言,具有丰富的历史和现实内涵。但并不是所有国家的宪法都有序言。宪法是否有序言,主要取决于国家的宪法文化和制宪技术。从各国情况看,凡是宪法中有序言的,序言通常用于表达制宪者的制宪目的、制宪理论和政治理念,规定国家的目标和任务,记载重大历史事件,确立法律原则、国家政策等,为宪法的解释、适用和遵守提供背景和指南。而有些没有宪法序言的国家往往在宪法条款中规定其他国家宪法序言中的内容,实际上是把宪法序言分解为宪法条款。如巴西宪法没有序言,但第一章实际上是序言性的规定。

由于序言并非具体的法律规定,有人认为没有效力。但是,由于序言作为重要法律的组成部分,具有宏观的施为效力,此外,在那些没有设立序言的法律中,担任一般序言的功能的部分则往往在某些章节或条款中体现出来(如刑法、民法通则中的立法宗旨部分),故从逻辑上讲序言应具有效力,只是其与法律法规的行文风格略有不同。

从叙事学(narratology)的角度而言,使用一人称与第三人称进行叙事有区别。叙事学也称叙述学,是受结构主义影响而产生的研究叙事的理论。通常我们一般用“视角”指涉感知角度;一个人的感知也涉及对事物的特定看法、立场观点或感情态度。我国宪法序言超过1千字,采用的是第三人称的叙事方式,显得非常庄严凝重,但缺乏一种亲密感(solidarity);相比较而言,美国宪法的序言更为简洁明了,只用了52个单词,且采用的是第一人称的叙事方式,[82]通过使用“We the people of the United States”这种同位语结构而实现一种亲密关系,[83]该句也是历届总统竞选时,以及其他言语者煽情时引用最多的短语,以拉近与听众或观众的距离。网上曾流传下列表述:

“WE THE PEOPLE of the UNITED STATES have freedom of speech.Not foreign diplomats from Iran,get the difference”

“We,the People of the United States of America,reject the U.S.Supreme Court’s ruling in Citizens United,and move to amend our Constitution to firmly establish that money is not speech,and that human beings,not corporations,are persons entitled to constitutional rights。”[84]

该叙事方式所体现出的感情态度自然是一目了然:这些言语者意欲使受话人感同身受,从而支持说话人的观点。在英译序言时,可不受法律文体的约束。此外,对于各部分的顺序和番号标准,我国《立法法》第五十四条也做了明确规定:

法律根据内容需要,可以分编、章、节、条、款、项、目。编、章、节、条的序号用中文数字依次表述,款不编序号,项的序号用中文数字加括号依次表述,“目”的序号用阿拉伯数字依次表述。[85]

我国法律正文前的部分与英美法系的类似结构之间存在差异(见表7-1),在翻译时可据各自的表述规范进行处理:

表7-1 英汉法律结构对比概略

img37

[92]我国法律法规的英译本中,目录的译文几乎都是用Contents表示,但遍观英美法中,均是用“Table of content(s)”表示,不妨效仿。

img38

五、实体部分

该部分乃是一部法律的核心,其中立法技术运用是否得当、法律语言表述是否准确、科学和规范等,均为重点审查对象。一般而言,法律或地方性法规的实体部分一般包括总则、分则、罚则和附则等内容。在立法实践中,内容比较多的法律草案,包括编章节,上述内容分别安排在相应章节中;内容较少的法律草案和地方性法规草案,则不设编章节,上述内容体现在有关条文中。下面将具体探讨各部分的内容。

(一)总则

总则乃是法律中开宗明义、统领全篇的部分。一般而言,凡是结构比较复杂,设有“章”这一层次的法律均会设立总则,其内容包括“制定法律或条例的依据、目的、意义、指导思想、基本原则;调整对象;基本概念;适用范围”等,根据情况可分为多少不等的若干条款。这些内容体现一部法律的立法精神,起到“纲”的作用。

对于“总则”的译法,包括General rules(如《物权法》的英译本)和General provisions(如我国《刑法》的英译本)。

一般而言,General rules表示基本的规定,如我国香港特区的Patent(general)rule,即有关专利的基本规定,故使用该表述来翻译“总则”欠妥;

General provisions意思是Laws or regulations that apply to all contracts of certain type.Regulations applicable only to a particular contract are called Special provisions[86],即表示“基本规定”,与“特别规定”相对。由于英美法系与大陆法系在立法模式上存在区别,前者通常在preamble里说列明立法的宗旨或依据,很少有法律会如大陆法系那样专门设立一个“总则”来说明上述内容。例如,加拿大的Partnership Act(RSBC 1996)及英国的Limited Partnerships Act 1907,均直接在“简称”后就列出定义条款、合伙的性质等内容。但在美国,设立“总则”(General Provisions)的法律也不少。[87]

General Principles则更为通用,如香港特别行政区立法中就有“Chapter I:General Principles Article 1..The Hong Kong Special Administrative Region is an inalienable part of the People’s Republic of China”的表述,其他国家的立法中也有类似的表述。

此外,英美立法中也使用In general,其下分章、节或条款,涉及释义、简称等内容,表明制定法律的任务、基本原则和适用范围。

1.制定目的与立法根据[88]的翻译[89]

德国学者耶林曾将法律的目的视为“在茫茫大海上指引航船方向的‘导引之星’(北极星)”,足见其对准确了解法律的重要性。[90]

对于立法根据(即据以制定本法的上位法或有关情况)的含义,不同学者发表了各自的见解,如有学者认为“立法根据,是指立法者立某个法的法的根据和事实根据”,即立法根据包含法的根据和事实根据。[91]也有人认为,“立法依据是指立法工作依据的法律、政策、事实和理论等。具体来讲,立法依据包括法律依据、政策依据、事实依据和理论依据。”[92]

在立法中,英美法中一般单列条款规定立法目的,并常用介词短语或不定式表示立法目的,立法依据也常用介词短语或缩略结构引导。具体而言,可分为下列两种模式:

(1)This Act(by-law,regulations,etc.)is enacted(promulgated,etc.)+to+v.(for the purpose of v-ing,with a view to doing,etc.)(立法拟针对的事项+目的)+in accordance with(权源),即分别列明目的与权源。例如:

SECTION I

A.Intent

These regulations are designed and enacted for the purpose of promoting the health,safety,convenience and welfare of the present and future inhabitants of Elbert County,Colorado,by encouraging the proper arrangements of streets,in relation to existing or planned streets and to the Growth Management Plan;providing for adequate and convenient open spaces for traffic,utilities,access of fire fighting apparatus,civil defense,recreation,sites for schools and educational facilities and related structures,light and air;avoiding congested population;minimizing adverse environmental impacts by development,and regulating such other matters as the County Planning Commission and Board of County Commissioners may deem necessary,in order to protect the best interests of the public.(Elbert County Subdivision Regulations(2005))(先后列明具体的立法事项和根本宗旨)

SECTION 1.0PURPOSE AND AUTHORITY

1.1 PURPOSE.

These regulationsare enacted to promote the general welfare of the Town of Dedham,to protect the health and safety of its inhabitants,to encourage the most appropriate use of land throughout the town,to preserve the cultural,historical and agricultural heritage of the community,to increase the amenities of the town,and to reduce the hazard from fire by regulating the location and use of buildings and the area of open space around them,all as authorized by,but not limited to,the provisions of the Zoning Act,G.L.c.40A,as amended,Section 2Aof 1975Mass.Acts 808,and by Article 89of the Amendments to the Constitution of the Commonwealth of Massachusetts.(先后列明立法宗旨和权源)

1.2 AUTHORITY.

This Zoning By-Law is enactedin accordance with the provisions of the General Laws,Chapter 40A,and any and all amendments thereto.[Town of Dedham Zoning By-Law(Revised November 2011)]

我国香港特区双语法律中的英文本采用的也是类似表述,如“The Basic Law of the HKSAR was enacted by the National People’s Congress in accordance with the Constitution of the People’s Republic of China”。

(2)“With a view to(for the purpose of)(目的)+this Act is hereby enacted”,即不列出权源(如上例中的1.2),并将目的状语前置。

而我国的法律法规中常使用“根据宪法(或有关法律)/某法,结合我国(本地)实际经验(实情)而制定本法(条例等)”,但并非所有立法中都包含四个要素(参见(我国《能源法》《刑法》)、《民事诉讼法》的第一、二条)。与英美法相比,我国法律的该条款往往采用无主句。因此,不妨参照英美法的两种表述模式,调整汉语的主位—述位结构,补充主语但译为省略施事的被动句。例如:

第一条 为了惩罚犯罪,保护人民,根据宪法,结合我国同犯罪作斗争的具体经验及实际情况,制定本法。(我国《刑法》)

译1:Article 1In order to punish crimes and protect the people[93],this Law is enacted[94]on the basis of the Constitution and in the light of the concrete experiences and actual circumstances in China’s fight against crimes.(官方译文)

译2:This Act is enacted on the basis of the Constitution and in the light of the concrete experiences and actual situations in China’s fight against crimes,in order to punish crimes and to protect people.[95]

译3:Article 1This Law is enacted according to the Constitution in light of the concrete experience and the actual circumstances of China’s fight against crime,in order to punish crime and protect the people.[96]

从主位—述位的推进模式看,原文中的画线部分做主位,“制定本法”为述位,系典型的VO句,故在英译时应转换为英文的SVO结构,并根据英、汉语的主位/述位结构的通用表述或排列顺序进行调整,以确定是否应按照原文结构顺序进行翻译。译1将原文的主位结构肢解成两个部分,其中一个部分在译文中做主位,而另一部分变成了译文中的述位,使原文信息结构变得混乱;其余两个译文都将原文的主位和述位(即信息结构)做了调换,并译之以省略施事的被动句。[97]可改译如下:

With a view to punishing crime and protecting the public,and inaccordance with the the Constitution of the PRC and the concrete experiences and actual situations in China’s fight against crimes,this Act is hereby enacted.[98]或者:

This Act is enacted for the purpose of punishing crime and protecting the public,as authorized by the Constitution of PRC and based on the experience and situations in China’s fight against crime.

上述第1个译文维护了原文的信息结构,第2个译法则更符合英美法的表述习惯。

例2 第一条 为加强市容和环境卫生管理,创造和维护整洁、优美的市容环境,保障人民身体健康,促进经济发展和社会文明进步,根据有关法律、法规,结合本市实际情况,制定本条例。(《天津市市容和环境卫生管理条例》)

翻译本例时刻参照前面所述Elbert County Subdivision Regulations(2005)的表述模式,即先说明本条例拟立法的内容(目的),而后列出其立法权源,最后说明其概括性的目的:

These regulations are designed and enacted for the purpose of enhancing management of cityscape and environmental sanitation,and creating and preserving clean and beautiful city scape of Tianjin Municipality,as authorized by relevant laws and regulations and based on the specific situations in Tianjin Municipality,in order to protect the health of its inhabitants and to promote economic growth and social civilization.

2.定义条款

如前所述,英美法系因为采纳大陆法系系统的法典或法规编排模式而未设总则,故其定义条款往往单独作为一个条款,以“Interpretation”、“Definition(s)”、“DEFINITION OF TERMS”、“General provisions and Definitions Applicable To This Code”(New York Criminal Code)等表示。有时对于没有涵盖性条款名称的法律,则以Interpretation或Definition作为条款名称,分别对有关术语或概念作出规定,进而说明了该法可适用的有关组织或个人。例如:

INTERPRETATION

2.(1)In this Act,

“age of majority”,in respect of a child,means the age of majority as determined by the laws of the province where the child ordinarily resides,or,if the child ordinarily resides outside of Canada,eighteen years of age;..

“appellate court”,in respect of an appeal from a court,means the court exercising appellate jurisdiction with respect to that appeal;

而我国大部分的法律都将定义条款安排在总则部分。例如:

第一章 总则

第二条 本法所称能源,是指煤炭、石油、天然气、生物质能和电力、热力以及其他直接或者通过加工、转换而取得有用能的各种资源。(我国《能源法》)

有时,定义条款并不在总则中出现,而在法律结尾(或在设附则时在附则中)对有关术语或概念进行定义。例如:

第九十九条 本法下列用语的含义:

食品,指各种供人食用或者饮用的成品和原料以及按照传统既是食品又是药品的物品,但是不包括以治疗为目的的物品。……(我国《食品安全法》)

对于定义条款的详情及其翻译,参见本书“法律法规的逻辑结构”的相关内容。

3.适用范围

适用范围通常与法律的效力相联系。如有学者认为,法律效力通常有两种理解:一种泛指法律约束力。另一种是指法律的生效范围,即法律对什么人、在什么地方和在什么时间适用的效力。[99]还有学者认为,法律规范的效力,实际上是法律规范的适用范围,即法在什么期间、在什么地方、对什么人有效的问题。法律规范的效力包括按我国法律规定应该有的效力和实际拥有的效力。[100]无论如何,法律的适用范围即法律的效力范围,主要包括法律在时间、空间和对人的适用范围。下面将分别对其在英美法系和大陆法系的表达模式及其互译进行探讨。

(1)时间上的适用范围。

时间上的适用范围即法律的时间效力,是指法律何时开始生效和何时终止生效(或失效)以及法律对其生效以前的行为和事件有无溯及力的问题。

①生效时间。法律的生效时间一般根据法律的具体性质和实际需要来确定。通常有以下几种情况:自法律公布之日起生效;由该法律明文规定生效的时间;由该法律规定法律公布后到达一定期限后生效。[101]

生效时间通常在某个条款中列明。[102]在英美法系中,一般是在Commencement,Effective date等条款名称下做出规定,或者在“条”的上级单位(如“General provisions and Definitions Applicable To This Code”)中予以规定。例如:

COMMENCEMENT

*36.This Act shall come into force on a day to be fixed by proclamation.〔——Divorce Act R.S.C.,1985,c.3(2nd Supp.)〕 (即于该法宣告之日生效)

Coming Into Force

38.This by-law comes into force on the date of its passage.(Site Alteration By-law,The Corporation of the city of Waterloo) (即于该法通过之日生效)

General provisions and Definitions Applicable To This Code

§963.This Code shall take effect on the first day of September,1881.When construed in connection with other statutes,it must be deemed to have been enacted on the fourth day of January,eighteen hundred and eighty-one,so that any statute enacted after that day is to have the same effect as if it had been enacted after this Code.——New York CRIMINAL CODE

即本法典于1881年9月1日起生效。但针对其他成文法进行解释时,本法典须视为于1881年1月4日制定,以使1881年1月4日后制定的成文法在制定时间上晚于本法典而具有同等法律效力。

(本例涉及法律效力的时间问题,即如果新制定的法律与原有的法律出现矛盾,遵循“后法优先”的原则,先制定的法律就失去了效力,所以应变通,将生效日期提前。)

在我国法律中,除了在颁布语部分规定法律制定与生效时间外,该部分内容通常是在附则里的某个条款(或在不设附则时,则在某法的最后某个条款)做出相应规定,一般采取“自……日起施行/生效/颁布实施”的表达方式。例如:

第四百五十条 本法自1997年10月1日起施行。(我国《刑法》)

第三十七条 本法自1985年10月1日起施行。(《中华人民共和国继承法》)

第七章附则 第七十二条 本法自2007年6月1日起施行。(《中华人民共和国未成年人保护法》)

根据我国法律规定,[103]我国法律在日期的使用上一般以“时、日、月、年”作为单位计算期间,而且开始的时和日不计算在内,故在“自……日起施行/生效/颁布实施”的表述下,上述例子中的生效日期其实是从第二天开始生效。

Haggard则对英美法中常用的期间表达方式及其含义进行了总结:

After:不包括开始的日期

Before:不包括开始的日期

Within:不包括开始日期但包括结束日期

By:可包括也可不包括提及的日期

Between..and..:可包括也可不包括提及的日期

From..to/till/until:可包括也可不包括提及的日期[104]

信用证统一跟单惯例(UCP600)也对表达时间的相关词汇做了界定:

Article 3Interpretations

The expression“on or about”or similar will be interpreted as a stipulation that an event is to occur during aperiod of five calendar days before until five calendar days after the specified date,both start and end dates included.

The words“to”,“until”,“till”,“from”and“between”when used to determine a period of shipment include the date or dates mentioned,and the words“before”and“after”exclude the date mentioned.

The words“from”and“after”when used to determine a maturity date exclude the date mentioned.

The terms“first half”and“second half”of a month shall be construed respectively as the 1st to the 15th and the 16th to the last day of the month,all dates inclusive...(——UCP600)

根据UCP600,当用于表示确定装运期限时,“×月×日止”(to)、“至×月×日”(until)、“直至×月×日”(till)、“从×月×日”(from)及“在×月×日至×月×日之间”(between)包括所述日期;“×月×日之前”(before)及“×月×日之后”(after)则不包括所述日期。此外,根据陶博的研究,普通法的期间计算有三个规则,其中有一条与本部分所述的日期计算有关,即在普通法系中,日期(day)有两种不同的用法:若在表述中使用了date一词(如合同领域内常用的“××days from the date of delivery..”),则表明从该交货日期发生的当晚12点起开始计算期间;如未使用具体的date,如“three(3)days from delivery..”,则表明自能够交货时开始计算期间。[105]例如:

Florida law states that a landlord may evict a tenant for non-payment of rent ONLY IF:(1)the tenant fails to pay rent when due,(2)the landlord gives the tenant a written demand for payment of the overdue rent,and(3)the tenant fails to pay rentwithin 3days(excluding Saturdays,Sundays,and legal holidays)of receiving the written notice from the landlord.

该例中的“3-day notice”就不包括送达之日,[106]即开始的日期不计算在期间之内,这一点与我国法律关于期间的计算相同。至于on和as of的用法,则很少提到。经文献检索后发现,on一般包括开始的日期;而as of date的意思有如下三个:

1)Billing term which indicates that the payment terms of the invoice are based on a date other than the date on which the invoice was created.For example,an invoice created on January 15th but marked“as of January 5th”with credit terms of 30days,would be due on February 5th.;

2)Date on which an agreement,condition,order,or statue becomes effective or operative;

3)Date to which the given data or piece of information applies.[107]

其中的第二项表述法律法规生效或施行的日子,包括被提及的当日。

可见,在期间的计算和日期表达上,英美法系和我国法律存在异同,在翻译时须注意其差异。参照英美法系的表述模式,不妨将生效日期表述为“XX act(shall)take effect(或come into force)on(某月某日某年)”。但就该模式,须注意以下几点:

首先,时间的表达。英国与美国在时间的表达上存在差异,如1987年4月20日,可分别译为“20thApril,1987”(读成the twentieth of April,nineteen eighty-seven)和“April 20,1987”(读成April the twentieth,nineteen eighty-seven),故须适当调整。

其次,时态的选择。目前国内外的法律法规几乎都使用了shall,即采纳“shall+take effect/come into force;shall go into effect/shall become effective”模式。但现行的立法趋势是使用一般现在时。[108]例如:

Effective date

(2)The designationtakes effect on the date specified in the regulation.2001,c.33,s.2(2).

Effective date of terminations

(27)The terminationsare effective on the day the Minister is served with the notice.

Review of this Act

55.The Minister may conduct a review of this Act after three years have passed since the daythis section comes into force.(——Water Transfer Control Act,R.S.O.1990,c.W.4)

我国香港特区立法中亦开始使用一般时态。故在英译时不妨顺应该立法趋势。

第三,表示生效时间时介词的选择。我国立法中的“从/自…日”绝不能译为“from..”。根据1999年Interpretation Act第35条规定了from与一个时间段的关系,即规定某期间从一个特定日期、行为或事件开始时,除非文意另有所指,并不包括该日期、行为或事件;[109]该法的第10条又规定,“如果某个立法从某一天生效,则该法实际生效日期为该特定日的次日”。[110]而关于before的用法,该法第35条第4款规定,如果某个期间“在某特定日期、行为或事件前结束”,则不包括该日期或行为或事件开始之日。[111]因此,应避免使用before,使用after倒更为妥当;或者直接使用on表示“于某一天开始或结束”(aperiod may be expressed to begin on a specified day and to end with the close of another day),以避免歧义发生。有人认为应使用as of来表示,因as of将from与on的意思合二为一,既不违背英语语言习惯,又利于保留原文的一致性风格。[112]尽管根据Concise Oxford English Dictionary的解释,“as of/as from”常意指同时发生(used to indicate simultaneous occurrence)。[113]但是,根据Random House Compact Unabridged Dictionary的解释,该词还表示beginning on;on and after;from。[114]由于该词有歧义,故应以避免使用。

②法律失效时间。

与生效时间一样,生效时间除了在颁布语中予以说明外,一般在附则中列明。法律法规没设附则的,则一般在法规的最后部分规定有关失效时间。至于失效时间,一般是针对以前的相关立法,即先前的立法为本法所修订或取代而失去法律效力。采用的方式是先表明本条例从何时起生效,而后补充说明以前制定的某法(条例等或其某个条款)为新法所修订或被废止。例如:

第五十九条 本条例自公布之日起施行。1998年2月25日天津市第十二届人民代表大会常务委员会第四十次会议通过的《天津市环境卫生管理条例》同时废止。(《天津市市容和环境卫生管理条例》)

第四百五十条 列于本法附件一的全国人民代表大会常务委员会制定的条例、补充规定和决定,已纳入本法或者已不适用,自本法施行之日起,予以废止。(《刑法》)相对而言,英美法系中表示条款废除或失效的句型大致可分为下列几类:

img39

在英译我国法律中有关失效的规定时,不妨参照上述表达模式。

例1 第五十九条 本条例自公布之日起施行。1998年2月25日天津市第十二届人民代表大会常务委员会第四十次会议通过的《天津市环境卫生管理条例》同时废止。(《天津市市容和环境卫生管理条例》)

译1:Article 59These Regulations shall become effective as from the date of promulgation.The Regulations of Tianjin Municipalityon Environmental Sanitation that was adopted at the 40th Session of the Standing Committee of the Twelfth Tianjin Municipal People’s Congress on February 25,1998shall be abrogated simultaneously.

改译:These Regulations shall take effect on the date of publication.The Environment and Sanitation Regulations of Tianjin Municipality,as adopted by the 40thSession of the Standing Committee of the Twelfth Tianjin Municipal People’s Congress on February 25,1998,is hereby repealed.[115]

上述译1在表达生效日期的方式上存在失误,而且使用从句也不符合法律语言大量使用缩略结构(deletion)的特点,遂改译。

例2 第四百五十条 ……列于本法附件一的全国人民代表大会常务委员会制定的条例、补充规定和决定,已纳入本法或者已不适用,自本法施行之日起,予以废止。(《刑法》)

译1:Article 452…The regulations,supplementary provisions and decisions listed in Appendix I of this Law,which were formulated by the Standing Committee of the National People’s Congress,are already brought into this Law or are not applicable and,from the date of entry into force of this Law,shall be repealed.[116]

译2:Regulations,supplementary provisions and decisions enacted by the Standing Committee of the National People’s Congress listed in Attachment of this Law have been brought into this law or shall not apply,and shall be abolished as of the date of effectiveness of this law.[117]

译3:The regulations,supplementary provisions and decisions enacted by the Standing incorporated into this Act or no longer applicable.Such provisions shall be repealed as of the date when this Act takes effect.[118]

上述译法均未厘清原文句子间因果关系,也忽略的汉语与英语的行文特点,在时态和句子结构上都存有失误。故而采用whiz deletion结构,并将条件句后置。试译:

The regulations,supplementary provisions,and decisions enacted by the Standing Committee of the National People’s Congress,as listed in Appendix of this Act,shall be repealed on the effective date of this Act,if the said previsions have been incorporated into this Act or are obsolete thus no longer applicable.

(2)法律在空间上的适用范围。

法律空间效力也称其为法律的地域效力,即根据法律的制定机构不同而在全国或某个区域的人和事具有效力。一般而言,国家基于主权原则而对其主权范围的一切人和行为具有管辖权,在表述上一般采取下列几种表现方式:

①在领域内的……行为,适用……法律(法律另有规定的除外)。

该表述模式对主权范围的事项做出了规定。例如:

第六条 在中华人民共和国领域内的民事活动,适用中华人民共和国法律,法律另有规定的除外。(《民法通则》)

第八条 凡在中华人民共和国领域内犯罪的,除法律有特别规定的以外,都适用本法。

犯罪和行为或者结果有一项发生在中华人民共和国领域内的,就认为是在中华人民共和国境内犯罪。(《刑法》)

上述例子中都是以事项或行为作为句子的主语,实则该主语与后边的动词“适用”形成动宾关系。而在英美法系中,可采用“某规定(The time limits)适用于(are applicable to)某种行为(all criminal offenses)”的表示方式,即典型的SVO结构。例如:

RULE CR50.1IMPLEMENTATION OF THE SPEEDY TRIAL ACT

(a)Applicability.

(1)Offenses.The time limits set forth herein are applicable to all criminal offenses triable in this court,including cases triable by magistrate judges,except for petty offenses as defined in 18U.S.C.§1(3).Except as specifically provided,they are not applicable to proceedings under the Federal Juvenile Delinquency Act(18U.S.C.§3172)....

General provisions and Definitions Applicable To This Code

§962.This Code applies to criminal actions,and to all other proceedings in criminal cases which are herein provided for,from the time when it takes effect;but all such actions and proceedings,therefore commenced,must be conducted in the same manner as if this Code had not been passed;except that if in any local statute confined,by its terms,to a town or village or to a county or city other than the city and county of New York,any proceeding is prescribed,in addition to those prescribed by this Code and not inconsistent with it,the same shall remain unaffected by it. (——New York CRIMINAL CODE)

上例均采用“法律适用于行为或事项”这一SVO结构。此外,英美法律也采用“行为符合或遵守某法”的表述模式。例如:

SECTION 1.0PURPOSE AND AUTHORITY

1.3SCOPE.

For these purposes,the construction,repair,alteration,reconstruction,height,number of stories,and size of buildings and structures,the size and width of lots,the percentage of lot area that may be occupied,the size of yards,courts,and other open spaces,the density of population,and the location and use of buildings,structures,and land in the Town are regulated as hereinafter provided.

1.4APPLICABILITY.

All buildings or structures hereinafter erected,reconstructed,altered,enlarged,or moved,and the use of all premises in the Town,shall be in conformity with the provisions of the Zoning By-Law.No building,structure or land shall be used for any purpose or in any manner other than is expressly permitted within the district in which such building,structure or land is located.Where the application of this By-Law imposes greater restrictions than those imposed by any other regulations,permits,restrictions,easements,covenants,or agreements,the provisions of this By-Law shall control.(Town of Dedham Zoning By-Law Revised November 2011)

在上例中,有关适用范围常在文本的开头的条款中以列举的方式予以说明,使用的就是“某行为(all building..)须遵守(shall be in conformity with)某法(the provision of..)”。这两种模式均可用于法律法规的英译。基于该表述,可将上述的例1和例2分别译为:

Section 8.Unless/Except as otherwise provided,the laws and regulations of the PRC apply to any civil activity within the territory of the PRC.[119]Section 6.Unless/Except as otherwise provided,this Act applies to any and all criminal offenses within the territory of the PRC.Where a criminal offense or the consequence thereof occurs within the territory of the PRC,the said offense shall be deemed to have been committed within the territory of the PRC/be an offense committed within the territory of the PRC.[120]

②对……领域(内或外)的人,适用本法(但是……)

该表述模式对法律可适用于人的条件做了规定。法律的对人效力存在两种不同的理论:属人主义,即不论某人是处于国内还是国外,只要该人具有本国国籍即适用本国的法律;属地主义,即以地域为标准确定法律对人的约束力,例如凡是居住在本国领土内的人,不论其国籍是本国还是外国,均受本国法律的管辖。

例1 在中华人民共和国领域内的民事活动,适用中华人民共和国法律,法律另有规定的除外。本法关于公民的规定,适用于在中华人民共和国领域内的外国人、无国籍人,法律另有规定的除外。(《民法通则》第八条)

该例中的第二款的规定就是适用的属地主义,即不论任何国籍的人,只要在我国境内从事民事活动,都得受本法的管辖。

例2 中华人民共和国公民在中华人民共和国境外犯本法规定之罪的,适用本法,但是按本法规定的最高刑为三年以下有期徒刑的,可以不予追究;外国人在中华人民共和国领域外对中华人民共和国国家或公民犯罪,而按本法规定的最低刑为三年以上有期徒刑的,可以适用本法,但按照犯罪地的法律不受处罚的除外。(《刑法》第七、八条)

例2对国人在境外犯罪,采取属人主义标准而适用法律;以及外国人在境外对中国人和中国所实施犯罪的法律适用问题做了规定。大陆法系国家与英美法系国家在立法中也大多采取类似的规定。以芬兰的“The Penal Code of Finland 2003”为例:

Chapter 1-Scope of application of the criminal law of Finland(626/1996)

Section 1-Offence committed in Finland

Finnish law applies to an offence committed in Finland.

Section 2-Offence connected with a Finnish vessel

(1)Finnish law applies to an offence committed on board a Finnish vessel or aircraft if the offence was committed

(1)while the vessel was on the high seas or in territory not belonging to any State or while the aircraft was in or over such territory,or

(2)while the vessel was in the territory of a foreign State or the aircraft was in or over such territory and the offence was committed by the master of the vessel or aircraft,a member of its crew,apassenger or a person who otherwise was on board.

(2)Finnish law also applies to an offence committed outside of Finland by the master of a Finnish vessel or aircraft or a member of its crew if,by the offence,the offender has violated his/her special statutory duty as the master of the vessel or aircraft or a member of its crew.

Section 3-Offence directed at Finland

(1)Finnish law applies to an offence committed outside of Finland that has been directed at Finland.

(2)An offence is deemed to have been directed at Finland

(1)if it is an offence of treason or high treason,

(2)if the act has otherwise seriously violated or endangered the national,military or economic rights or interests of Finland,or

(3)if it has been directed at a Finnish authority.

Section 5-Offence directed at a Finn

Finnish law applies to an offence committed outside of Finland that has been directed at a Finnish citizen,a Finnish corporation,foundation or other legal entity,or a foreigner permanently resident in Finland if,under Finnish law,the act may be punishable by imprisonment for more than six months.

Section 6-Offence committed by a Finn

(1)Finnish law applies to an offence committed outside of Finland by a Finnish citizen.If the offence was committed in territory not belonging to any State,it is a precondition for the imposition of punishment that,under Finnish law,the act is punishable by imprisonment for more than six months..

上例中的几个条款名称就分别对在芬兰领域内实施的犯罪行为、不在芬兰内实施但针对芬兰国或芬兰人实施的犯罪行为,以及芬兰人在其他国实施的犯罪行为做了规定。又如:

RULE CR50.1IMPLEMENTATION OF THE SPEEDY TRIAL ACT

(a)Applicability.

(1)..

(2)Persons.The time limits are applicable to persons accused who have not been indicted or informed against as well as those who have,and the word“defendant”includes such persons unless the context indicates otherwise.

上例也就法律对人的适用问题做了规定。再如:

Section 2.COVERAGE.

This Code shall govern all establishments situated within the Municipality of Orion,specifically enumerated in its provisions,and all persons,natural or juridical,entities or agencies involved in activities or related fields specifically made subject of regulation by the provisions embodied in this Code.(——Sanitation Code of 2009of the Municipality of Orion)

该例对法律适用的情形做了说明,采用的是“法律/法规适用于(govern)某个实体”的模式。而在下列中,采用的则是列举不适用该法的情形:

6Application to children and certain courts

This Act does not apply to—

(a)a child within the meaning of theYouth Justice Act 1992;or

(b)a Children’s Court;

except to the extent allowed by theYouth Justice Act 1992.

该例即对不适用于人的例外情形做了说明。又如:

Part 2 EXEMPTIONS

2.1By-law-provisions not applicable-various

The provision of this by-law does not apply;

a)where a regulation made under section 28(1)of theConservation Authorities Act respecting the alteration to existing grades and the placing or dumping of fill is in effect;

b)to the placing or dumping of fill or alteration of the grade of land undertaken by any municipality or local board as defined in the Municipal Affairs Act,to a Crown agency as defined in the Crown Agency Act or to Ontario Hydro;

c)to activities or matters prescribed by regulations pursuant to theMunicipal Act;

d)in areas that are zoned and draft plan approved for development and a subdivision agreement or development agreement has been entered into between the owner and the City which has been registered against the title of the subject lands and is still in effect;

e)In areas that are under license or permit,issued in accordance with the Aggregate Resources Act;

f)in areas that are not defined as“Environmental Protection Area”by this by-law;

g)to the ploughing of land associated with planting,cultivation or harvesting of agricultural crops,and routine maintenance of existing drains;

h)to routine maintenance activities within established gold courses;

i)to minor activities approved by the Director,Development and Compliance as exceptions;and

j)in areas which do not have“draft plan of subdivision”approval.

——Site Alteration By-law(C.P.-1363-381-Consolidated May 1,2012)

上述例子也是对该法不适用的情形做了列举。此外,澳大利亚的刑法典也有类似的规定。[121]可见,在对人或机构的适用性进行表达时,英美法系采用的是“法律适用于人(实体或机构)/犯罪行为”(law+is applicable to/applies to/have application to/shall govern+activity),或“某行为受某法调整”两种模式。有鉴于此,可将上述例1和例2分别译为:

Section 8.Unless otherwise provided,provisions of this Law respecting citizens apply to aliens and stateless persons.[122]

Section 7.This Act applies to any criminal offense under this Act,committed outside the territory of the PRC by a citizen of the PRC,Provided that,under this Act,the offense may be punishable by imprisonment for less than 3years.//or:This Act applies to any citizen of the PRC who has committed a criminal offense under this Act,provided that the citizen may be punished by a sentence of imprisonment for a term less than three years.(即用一个“但书”将应适用的条件明确化。)

类似地,在英译法律法规时,不妨采取类似的表述方式。

例3 第二条 在本市行政区域内从事建设工程的新建、扩建、改建等有关活动,以及对建设工程质量实施监督管理的,必须遵守本规定。(《天津市建设工程质量管理规定》)

Article 2These Regulations applyto/shall govern all newly-built,expanded and renovated construction projects carried out in this Municipality and the quality control thereof.

对于上例中的“必须遵守本规定”或者“适用本规定”,笔者将其译为apply to或shall govern(也可参照Sanitation Code of 2009of the Municipality of Orion的译法),而并未译为“must/shall abide by”[123]……

例4 第二条 在中华人民共和国境内从事下列活动,应当遵守本法:

(一)食品生产和加工(以下称食品生产),食品流通和餐饮服务(以下称食品经营)……

译文:This law applies to the following activities carried out within the territory of the PRC:

(1)Food production and processing(hereinafter referred to as“Food Production”);food distribution and catering service(hereinafter referred to as“Food Trading”)..

上例采纳的是law applies to xx activity模式。也可采用the following activity shall abide by xx law的模式。总之,可根据目的语的表述习惯而选择适当的表述模式。

(3)法律的溯及力问题。

法律的溯及力,即法律溯及既往的效力,是指法律颁布后对它生效以前的行为和事件是否适用的问题。若适用,该法律就有溯及力,如果不适用,该法律就没有溯及力。由于法律是一种行为规则,并且只有公布的法律才有可能成为约束人们行为的准则,所以近代各国一般采用法无溯及力的原则,即“法不溯及既往”的法治原则。[124]例如,美国1787年宪法规定:追溯既往的法律不得通过。法国民法典规定:法律仅仅适用于将来,没有溯及力。《公民权利和政治权利国际公约》(The International Covenant on Civil and Political Rights)[125]第十五条第一款规定:

No one shall be held guilty of any criminal offence on account of any act or omission which did not constitute a criminal offence,under national or international law,at the time when it was committed.Nor shall a heavier penalty be imposed than the one that was applicable at the time when the criminal offence was committed.If,subsequent to the commission of the offence,provision is made by law for the imposition of a lighter penalty,the offender shall benefit thereby.

该款禁止溯及既往之刑罚,即任何人的任何行为或不行为,在其发生时依照国家法或国际法均不构成刑事罪者,不得据以认为其构成犯罪。所加的刑罚也不得重于犯罪时适用的规定。如果在犯罪之后依法规定了应处以较轻的刑罚,犯罪者应予减刑。但同时,该条第二款又对该禁止性规定的例外情形做了说明:

Nothing in this article shall prejudice the trial and punishment of any person for any act or omission which,at the time when it was committed,was criminal according to the general principles of law recognized by the community of nations.

即规定,“任何人的行为或不行为,在其发生时依照各国公认的一般法律原则为犯罪者,本条规定并不妨碍因该行为或不行为而对任何人进行的审判和对他施加的刑罚”。这种“法无溯及力”或其例外情形在我国民法、刑法、行政法等方面都有体现。例如:

继承法施行前,人民法院已经审结的继承案件,继承法施行后,按审判监督程序提起再审的,适用审结时的有关政策、法律。人民法院对继承法生效前已经受理、生效时尚未审结的继承案件,适用继承法。但不得再以超过诉讼时效为由驳回起诉。(《最高人民法院关于贯彻执行〈中华人民共和国继承法〉若干问题的意见》第六十四条)

上述规定及其他法律的相关规定都明确说明了我国有关法律的溯及力问题。而英美法中也以各种

形式对法律的溯及力问题做出规定。例如:

The provisions of this Code supersede those of the previous editions with effect from 1 January 2000.(INTERNATIONAL CODE OF ZOOLOGICAL NOMENCLATURE,Fourth Edition,adopted by the International Union of Biological Sciences)

从该法的规定看,ICZN的前三版的所有规定自第四版生效之日起即失效,且过去版本中所公布的科学名称都将在现行版本的语义范围内进行重新界定。但在英译过程中,译者往往并未运用英美法系的惯常表述结构而存在失误。以《立法法》第八十四条的译文为例:

第八十四条 法律、行政法规、地方性法规、自治条例和单行条例、规章不溯及既往,但为了更好地保护公民、法人和其他组织的权利和利益而作的特别规定除外。(《立法法》)

译文:Article 84The laws,administrative regulations,local regulations,autonomous regulations,special rules,administrative rules or local rules[126]do not have retroactive force,with the exception of a special provision made for the purpose of better defending the rights and interests of citizens,legal persons or other organizations.

该译文并未根据法律语言中“但书”的表达模式进行表述,故而未能体现出法律文体特征,故可根据解除条件句的有关表述习惯进行改译如下:

Article 84Unless otherwise provided to secure better rights and interests of citizens,legal persons or other organizations,any and all acts,Statutory instruments or bye-laws do not have retroactive effect.

再以我国《刑法》第十二条为例。该条款有下列2种译文:

第十二条 中华人民共和国成立以后本法施行以前的行为,如果当时的法律不认为是犯罪的,适用当时的法律;如果当时的法律认为是犯罪的,依照本法总则第四章第八节的规定应当追诉的,按照当时的法律追究刑事责任,但是如果本法不认为是犯罪或者处刑较轻的,适用本法。本法施行以前,依照当时的法律已经作出的生效判决,继续有效。(《刑法》)

译1:If an act committed after the founding of the People’s Republic of China and before t he entry into force of this Law was not deemed a crime under the laws at the time,those laws shall apply.If the act was deemed a crime under the laws in force at the time and is subject to prosecution under the provisions of Section 8,Chapter IV of the General Provisions of this Law,criminal responsibility shall be investigated in accordance with those laws.However,if according to this Law the act is not deemed a crime or is subject to a lighter punishment,this Law shall apply.

Before the entry into force of this Law,any judgment that has been made and has become effective according to the laws at the time shall remain valid.(官方译文)

译1对原文中我国刑法所规定的从旧原则和从轻原则[127]做了很好的说明,但译文略显啰嗦,并未体现法律文本的特征。

译2:With respect to a conduct committed after the foundation of the People’s Republic of China and before the commencement of this Act,the laws then in force shall be applicable if it is not deemed to be a crime under such laws;if it is deemed to be a crime under such laws,such conduct shall be prosecuted under such laws where it shall be prosecuted pursuant to provisions of Subchapter 8of Chapter IV in the General Provisions of this Act.However,this Act shall be applicable if such conduct is not deemed to be a crime or is sentenced to a mitigated punishment under this Act[128].

The effective sentence rendered under the laws then in force it is before the commencement of this Act shall continue to be given effect.[129]

译2将“判决”改译为sentence,[130]并在结构上做了调整,使译文更具可读性,但conduct..is sentenced to..不合逻辑,只有行为人才能被处罚,第二款的译法也存在句法错误,让人捉摸不定;且将“节”译为subchapter颇为不妥。根据我们前面的讨论,英文中的article应为section的上一级单位。例如:

TITLE 8:Division 1,Chapter 4,Subchapter 4.Construction Safety Orders

Article 12.Pile Driving and Pile Extraction[131]

AmendSection 1600(g)(1)(B)as follows:

§1600.Pile Driving...

上例为美国法典第八卷第一部分第四章第十二节第一千六百条的内容,其中的chapter,subchapter,article及section的等级顺序一目了然;美国宪法中,article也是作为section的上位词。此外,译2在时态上也有一些疏忽。不妨改译如下:

译3:With respect to any conduct committed after the foundation of the People’s Republic of China and prior to the effective date of this Act,the law in force at the time of the conduct shall apply,if the conduct was not deemed to be an offense under the said law,or,if the conduct was deemed to be an offense under the law in force at the time of the conduct and shall be subject to criminal charge under the provisions of Article 8,Chapter 4 of this Act;Provided,however,that this Act shall apply if the conduct is not deemed to be an offence under this Act or the sentence authorized for that offense may be mitigated.

Any effective sentence imposed prior to the effective date of this Act,in accordance with the law in force at the time of the conduct,shall remain in full force and effect.

(二)分则

如果说总则涉及法律法规的立法目的、根据、适用范围、执行原则等,那么分则则涉及法律法规的具体执行标准、实施措施、执行程序和奖惩措施。总则之后、附则之前的所有内容,都属于分则。分则部分是条例的主体,实质性的规章制度都在分则中表达。分则按照章、节、条、款、项、目等进行划分,视内容而定。

对于“分则”的英译,有specific principles(如《刑法》的英译本)、specific provisions(如《刑法》分则的英译文)等译法。与总则(General provisions)不同的是,分则涉及具体的规定,故可译为Specific Provisions。而在刑事领域,可译为specific offenses,因分则针对的是具体的罪名,University of Delhi所使用的criminal law教程中就使用了specific offenses这一表述。对于分则的内容及其翻译,参见“法律规范的逻辑结构”的有关内容。

(三)附则

附则一般指附在法律、法规主体部分后面的规则,是法的整体中作为总则和分则辅助性内容而存在的一个组成部分,是法律文本的附属部分。

从立法的实践来看,那些在总则和分则中都不合适列入的内容,就放在附则中,即主要针对法律法规的施行时间、有关专门术语的定义或解释、一些未尽事宜,以及与过去相关法律的关系等内容作出规定。如前所述,“附则”可译为Supplementary provisions,Schedule,Annex,Exhibit,Attachment,Miscellaneous provision等,可根据具体情况进行选择。

从我国立法实践来看,附则作为法律的附带条款,主要可以对以下内容作出规定:

1.有关名词、法律概念或术语的定义

对法律、法规中的专(行)业名词、术语和需要定性、定量的名词、术语进行必要的解释,可以使有关规定更加准确,便于人们理解和贯彻执行。在英美法系可在正文前几个条款中设Interpretation(s)或Definition(s)的专门条款,对有关术语或概念进行解释,或者在未设立附则的法律中放在其他部分(如文本的结尾部分);而在我国的立法实践中,这种解释一般出现在附则中,或者其他地方。在翻译某些术语时,须慎重。以民法通则结尾部分出现的术语“以上、以下、不满”为例。[132]

例1 十八周岁以上的公民是成年人,具有完全民事行为能力,可以独立进行民事活动,是完全民事行为能力人。

例1涉及对“以上”这一定义的使用。国外有学者认为,在起草法律时应注意“年龄”的表达,因为“The expression of age can be ambiguous at times.The phrase‘older than 18years old’could mean the day after the 18th birthday or the day of the 19th birthday.When expressing age,the drafter must remember that a person reaches an age on the person’s birthday and thereafter is older than that age.”Either the term“old”or the term“of age”may be used when referring to a person’s age..”[133]即单纯的比较级older than存在歧义;加拿大的立法手册中就时间和年龄的表述提出下列建议:

img40

Philippine民法中也有关于年龄与民事行为的规定:“A married woman,twenty-one years of age or over,is qualified for all acts of civil life.”。因此,例1中的“18岁以上的公民”不能简单地译为“anyone more than 18years old..”,而应根据英美法的表述习惯译为Any person who is at least 18years old..;Anyone who is 18years old or older/above..或者Anyone who is 18years of age or over。再如,“申请人于递交申请之日应年满21周岁”可译为“The applicant should be 21years old or above on the date of application.”。

例2 第十一条 十六周岁以上不满十八周岁的公民,以自己的劳动收入为主要生活来源的,视为完全民事行为能力人。

例2中的“16周岁以上18周岁以下的公民”能否译为“Anyone who is between 16and 18is..”

呢?根据法律规定,“不满”不包括本数,“以下”则包括本数,且前面谈及,英语中的“between xx and xxx”均包括本数,所以该表述有误。可将“不满”表述为less and fewer,因“The term‘less’refers to something that is considered as a mass and applies to quality,size,and amount;while‘Fewer’refers to individual items and applies to number and counting”,例如:

The requirements of Subsection(2)apply to a motor vehicle that weighs less than 1,000pounds.

The requirements of Subsection(2)applyto a licensee with fewer than 15employees.

可见这less和fewer与“不满”的定义相同,即不包括本数。因此“16周岁以上18周岁以下的公民”就可译为“A citizen who has reached the age of 16but not the age of 18”(官方译法);或者译为:“Anyone who is at least 16years old,but is younger than 18years old..”、“Anyone age 16or older but younger than 18”、“Anyone age 16or older but not yet 18..”等。[134]

对于术语的其他表述模式及其翻译,可参见本书后面章节的内容。

2.法律、法规的适用范围

如前所述,适用范围一般放在总则中,但也有少数放在附则中,经常放在附则中的是一些有关“参照适用”、“比照适用”的规定。例如:

第四十三条 机动车在道路以外的地方通行时发生事故,造成人身伤亡、财产损失的赔偿,比照适用本条例。(《交强险条例》)

第三十九条 香港特别行政区、澳门特别行政区和台湾地区的保险公司在内地设立和营业的保险公司,比照适用本条例。(《中华人民共和国外资保险公司管理条例》)

对于“比照适用本条例”的译法,我国法律法规的英译本一般将其表述为These Regulations shall be applicable in analogy to..[135]英美立法中常表述为apply by analogy。例如:

Article 78...Article 52shall apply by analogy to recipients of an invalidityallowance.If the recipient of an invalidity allowance retires before the age of 65without having reached the maximum pension entitlement,the general rules on retirement pensions shall be applied.The amount of the retirement pension shall be based on the salary for the grade and step occupied by the official when he became an invalid. (——Staff Regulations of Officials of the European Communities)

Article 2Scope

2.These regulations apply to the government-funded Bachelor’s and Master’s degree programmes and may be declared applicableby analogy to other education activities offered by or on account of the university of applied sciences.(——Fraud Regulations)

320.6-Suspension for extremely urgent letters.

(3)Except as provided in this paragraph(b)(3),the times and time limits specified in paragraph(b)(1)of this section are not applicable to any locations outside the 48 contiguous states.The times and time limits specified in paragraph(b)(1)of this section are applicable to letters dispatched and delivered wholly within Alaska,Hawaii,Puerto Rico or a territory or possession of the United States.The regulations provided in paragraph(b)(2)of this section relating to the delivery and dispatch of letters are applicableby analogyto letters shipped between these jurisdictions and other nations. (——Title 39Postal Service)

一些大陆法系国家则常使用mutatis mutandis这一术语。例如:

Article 31(3).The provisions of Paragraph 1shall applymutatis mutandis to a person(except a person who,pursuant to the provisions of the preceding Paragraph 2,need not conduct an environmental impact assessment or follow other procedures)seeking to implement a relevant project by amending information referred to in Article 5,Paragraph 1,Item(2)after a public announcement has been made as required by Article 27.(Environmental Impact Assessment Law(Japan))

Sec 121.Transmittal Fee and Search Fee

..(2)Subsection(1)shall apply mutatis mutandis to the search fee,the amount of which shall be fixed on the basis of the agreement concluded with the International Searching Authority competent for Switzerland.The Institute shall indicate the amount of the search fee fixed by the International Searching Authority in the Swiss Journal of Patents,Designs and Marks.(Patent Regulations(Switzerland))

综上,“……比照适用本条例”可采取“(某某法律法规)+is applicable(/applies/shall apply)mutatis mutandis/by analogy to+(某某事项或人).”;或者“With respect to(某某事项或人),(某某法律法规)applies(/shall apply)by analogy(/mutatis mutandis).”的表述方式。例如,上述《中华人民共和国外资保险公司管理条例》第三十九条可译为:

This Ordinance shall applymutatis mutandis/by analogy to any insurance company established and operated in Chinese mainland by insurance companies from Hong Kong Special Administrative Region,Macao Special Administrative Region or Taiwan region.

3.关于解释权的规定、授权制定实施细则或具体办法的规定

从立法实践来看,解释权一般在法律、行政法规中并未列明,故在此不予讨论。但法律常在附则中规定有权制定实施细则或具体办法的机关。对于“实施细则”,我国法律法规的英文版有不同的译法,如译为Detailed Rules for Implementation of..(如《中华人民共和国外资保险公司管理条例》的英译本)、RULES FOR THE IMPLEMENTATION OF..(如《中华人民共和国邮政法实施细则》《中华人民共和国计量法实施细则》的英译本)[136]、或者Detailed Implementation Rules for the Regulation On the Administration of Advertising(如《广告管理条例》)。这些译法均有字面翻译之嫌。不妨参照国际性法律文本。

例如,欧盟于2002年颁布并于2010年修订了《金融管理条例》(Financial Regualtion,FR)为例。FR是欧盟各国金融管理的基本准则。2012年1月,欧盟通过了一个新的实施细则(Rules of Application,RAP),代替了现行的实施细则(Implemeting Rules,IR)。该RAP包含更为详细和更具操作性的规则,对FR的日常实施极为重要。[137]欧盟的交通管理规则的具体实施细则也使用的是Implemeting Rules。[138]菲律宾的官网使用的也是类似表述。[139]

此外,从欧盟的立法议案“Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL establishing common rules and procedures for the implementation of the Union’s instruments for external action”中,[140]也可管窥类似结构的表达方式。在我国类似表述的英译时,不妨借鉴。例如:

第九十三条 国务院根据本法制定实施细则。(《中华人民共和国税收征收管理法》)

官方译文:Article 93The rules for the implementation of this Law shall be formulated by the State Council in accordance with this Law.

既然实施细则乃是一个法规名称,而法律法规名称理应简单明了,故不妨译为:

Article 93.The State Council may formulate Rules of Application/Implementing Rules of this Law.

4.关于与有关国际公约、条约关系的规定以及与其他法律、法规的关系的规定

对于国际公约或条约在我国的适用情况,大致可分为将其转化为国内法律后适用、直接适用于国内法律、或者与国内法有不同规定时适用国际法等几种模式。

例1 第九十一条 中华人民共和国同外国缔结的有关税收的条约、协定同本法有不同规定的,依照条约、协定的规定办理。(《税收征收管理法》)

译文:Article 91If the provisions of the relevant tax treaties or agreements concluded between the People’s Republic of China and foreign countries are in conflict with the provisions of this Law,the relevant matters shall be handled in accordance with the treaties or agreements.

改译:Whenever there is/In the event ofa conflict between the provisions of this Law and those/the provisions of the Tax Treaties or Agreements concluded by and between the People’s Republic of China and other countries,the provisions of the Treaties or Agreement shall prevail.[141]

译1几乎是原文的机械对译,如将“依照条约、协定的规定办理”译为“shall be handled in accordance with the treaties or agreements”,在语篇衔接上也不符合语篇的主位-述位推进模式,译文中无端出现的“the relevant matters”让人难以理解,遂改译。

例2 第九十条 中华人民共和国缔结或者参加的与固体废物污染环境防治有关的国际条约与本法有不同规定的,适用国际条约的规定;但是,中华人民共和国声明保留的条款除外。(《固体废物污染环境防治法》)

译1:If the international treaty regarding the prevention and control of environmental pollution by solid wastes concluded or acceded to by the People’s Republic of China contains provisions differing from those contained in this Law,the provisions of the international treaty shall prevail,with the exception of the provisions that the People’s Republic of China has announced reservation.

例2涉及“保留条款”的翻译,其译文与例1的译1颇为类似,后半部分几乎为机械对译。这种情况比较普遍。例如,对Convention on the elimination of all forms of discrimination against women的效力问题,我国法律的规定是“The People’s Republic of China does not consider itself bound by paragraph 1of article 29of the Convention.”,而爱尔兰法律中的表述为“Ireland

reserves the right for the time being to maintain provisions of Irish legislation in the area of social security which are more favorable to women than men.”。在翻译该条款时不妨参照有关国际条约中“保留条款”的通常表述方式。[142]试改译:

In the case of a conflict between the provisions under the present LAW and the obligations under the Convention concerning solid waste pollution prevention,the provisions of the Convention shall prevail;Provided that the People’s Republic of China reserves the right to give effect to certain section(s)of this LAW.[143]

5.关于实施时间、其他不适合在总则和分则中规定的内容

所有的法律、法规不论是否设立了附则一章,都有实施时间的规定,并且只要设有附则一章,其实施时间一般都放在附则中规定。这一点已在前面部分谈及,在此不赘述。由于我国法律目前对附则的内容没有统一的规定,因此上述内容并非在每部法律法规的附则中会予以规定。

【注释】

[1]列维-斯特劳斯,张祖建(译).结构人类学[M].北京:中国人民大学出版社,2006:225.

[2]Barthes,Roland.An Introduction to the Structural Analysis of Narrative[A].New Literary History[C].The Johns Hopkins University Press,Vol.6,No.2,1975:237.

[3]Alcaraz,E.&Hughes,B.Legal translation explained[M].Shanghai:Shanghai Foreign Language Education Press,2008.

[4]van Dijk,T.A.News Analysis[M].New Jersey:Lawrence Erlbaum Associates Publishers,1988:73.

[5]Cao,Debro.Translating law[M].上海:上海外语教育出版社,2008:104.

[6]“That part of an act of the legislature by which it is known,and distinguished from other acts the name of the act”。参见:http://legal-dictionary.thefreedictionary.com/title.

[7]The short title is the formal name by which a piece of primary legislation is usually referred to in the United Kingdom and other Westminster-influenced jurisdictions(such as Canada or Australia),as well as the United States;or It is the name by which an act is commonly known and cited.Unlike the long title which precedes the preamble and enacting formula and thus sits outside the main body of text,the short title for modern legislation is explicitly defined by a specific section,typically at the very end or very beginning of the main text.参见:http://en.wikipedia.org/wiki/Short_title;title的另一个意思:a subdivision of a Statute or code,例如:Title IX,见下文的相关内容。

[8]例如,美国联邦制定的诸多示范法,如Model Uniform Product Liability Act(《统一产品责任示范法》)、model penal Code(《刑法范典》等,都不具有拘束力。

[9]参见:Duke of Devonshire v.O’Connor(1890)24Q.B.D.468at p.478,per Lord Esher,M.R.

[10]参见:Glanville Williams.Learning the Law.Eleventh Edition.Stevens.1982.Page 44.在爱尔兰,引称一部立法的简称时也可省略该逗号。参见:The Interpretation Act 2005,section 14(3)(a).

[11]这种在法律制定年代的前后都使用逗号的情况在英国与爱尔兰等国都不是强制性的规定。

[12]有人将其译为《司法法》或《美国法院组织法》,对联邦法院的组织机构作了规定。该法在Marbury v.Madison一案中被裁定部分违宪。

[13]D.J.Gifford &John Salter.How to understand an act of parliament 19(1996)

[14]William N.Eskridge Jr.&Elizabeth Garett.Legislation 831.(2001).

[15]但英国立法的详称的措辞也有例外,如,Bill of Rights的详称为“An Act Declaring the Rights and Liberties of the Subject and Settling the Succession of the Crown”,即使用分词短语,而不使用不定式。美国法律也有使用分词做定语的情形,如有关拨款(appropriations)的立法的详称为“An Act making appropriations for..”,其议案的详称为“A Bill for an Act..”。此外,美国各州在该表述上也有差异,如Illinois州一个比较典型的详称为“AN ACT concerning safety”,其实该详称并不比其简称(Public Act 097-0737)更详尽,只是对该法的调整事项(subject matter)做了宽泛的说明,相对而言,New Hampshire州的立法中的详称则更为详尽,如“AN ACT relative to establishing a municipal bond rescission process,authorizing governing bodies to call a special meeting to consider reduction or rescission of appropriations,and clarifying special procedures enabling towns to respond appropriately to the American Recovery and Reinvestment Act of 2009.”

[16]当然,就法律名称的规范性这一视角而言,后三例的表述并不十分恰当。故也可以根据下文所述的功能翻译模式,将其分别译为:“本法旨在制定刑事规范;本条例旨在修订及综合与陪审员有关的法例;本法旨在为离婚及有关救济制定相应规定”。

[17]可译为“本法旨在取代1855年《提单法》并就提单及其他航运单证做出新规定。”(英国《1992年海上货物运输法》)

[18]尽管上议院是国会的一部分,但“国会议员”(MP,Member of Parliament)一词却仅指下议院的议员,因此,凡国会议员均可在其姓名后加上“MP”字样。此外,英国对参选国会议员有诸多资格限制,如年龄(须满21岁,2006年后改为18岁)、国籍(须英国公民)、不曾受法院发布的与破产有关的令状、精神健康、未曾被判叛国罪等。

[19]documents of Title:所有权凭证,包括收货单、码头收据收货单、仓单或书面交货指示等;

[20]sale of accounts出售账债<账债指任何对售出或租出之货物或对提供之服务收取付款的权利,只要此种权利未由票据或动产契据作为证明,而不论其是否已通过履行义务而获得)

[21]参见:http://www.wenminglawyer.com/show.aspx?id=2487

[22]腾超,孔飞燕.英汉法律互译:理论与实践[M].杭州:浙江大学出版社,2008:128.

[23]“大宗转让”指受本篇约束的企业非在正常业务中对原料、材料、商品或其他库存(该法第9~109条)之主要部分作出的任何大批量转让。而根据房地产综合服务机构“易城中国”的定义,大宗交易指交易额在5千万人民币以上,对于外资企业是1千万美元为限,以房地产广义资产的整体或部分作为主要交易对象出售、投资、收购等的交易行为。可见“大宗交易”这一概念已在很多领域运用,故不妨采纳。

[24]也称为recitals clause或WHEREAS clause,类似与preamble(序言),常用于表明订约缘由。

[25]Black’s Law Dictionary(6th Edition,Centennial Edition)(1891-1991).West Publishing Co.,1991:813.

[26]参见:http://candst.tripod.com/doi-pream.htm

[27]即法庭在所发布的命令中使用whereas条款,为其所做的判决提供理由或依据。例如:“whereas the plaintiff made a motion to compel the production of certain documents,and whereas the court has held a hearing on the motion and is fully advised on the matter,now therefore it is hereby ordered that the motion to compel the production of the documents requested is hereby denied”,即鉴于原告已提出请求,而法院对此请求进行听审后了解到了有关情况,特此驳回其请求。

[28]张文显.二十世纪西方法哲学思潮[M].北京:法律出版社,1996:138.

[29]参见:Marrakesh Agreement Establishing the World Trade Organization

[30]参见:Civil Procedure Rules 1999(英国)第一章。

[31]参见:《联合国国际货物销售合同公约》(1980)

[32]参见:http://en.wikipedia.org/wiki/List_of_enacting_clauses#endnote_US-CA

[33]李克兴,张新红.法律文本与法律翻译[M].北京:中国对外翻译出版公司,2005:517

[34]腾超,孔飞燕.英汉法律互译:理论与实践[M].杭州:浙江大学出版社,2008:128.

[35]参见:501A章《持久授权书(定明格式)规例》(E.R.2of 2012)(02/08/2012)

[36]参见:http://en.wikipedia.org/wiki/List_of_enacting_clauses#endnote_US-CA

[37]对于上述三种译法,可参见互联网的有关网址。

[38]http://www.library.uow.edu.au/helptraining/tutorials/legal/leg/purpose.html

[39]参见:Frances Russell,Christine Locke.English Law and Language[M].Cassell,1992:58-60.

[40]美国法典在排列顺序上具有下列特点:前六卷主要规定总则或与政体有关的事项,剩余的各卷是按照法律名称的第一个字母进行编排的。

[41]李克兴,张新红.法律文本与法律翻译[M].北京:中国对外翻译出版公司,2005;腾超,孔飞燕.英汉法律互译:理论与实践[M].杭州:浙江大学出版社,2008.

[42]张玉敏.知识产权理论与实务[M].北京:法律出版社,2003.

[43]http://en.wikipedia.org/wiki/United_States_Code

[44]参见美国《统一和标准法案起草规则》第15条的规定:(1)款用圆括号内的小写字母编号;(2)项用圆括号内的阿拉伯数字编号;(3)目用圆括号内的小罗马数字编号;(4)如果条不用字母或数字表明,常会引起混淆或计算机系统附带的问题。因此,在条〈§或section〉以下的层次一律采用带括号的次语;另见:BILL DRAFTING GUIDE 2011(http://www.leg.wa.gov/CodeReviser/Pages/bill_drafting_guide.aspx);Bill Drafting Manuals 2012(http://www.ncsl.org/legislative-staff/lsss/bill-drafting-manuals.aspx)。

[45]FIDIC是法语Fédération Internationale Des Ingénieurs-Conseils的首字母缩写,其英语意思是International Federation of Consulting Engineers,即由国际咨询工程师联合会(FIDIC)制定的以规范建设项目管理的合同文本《土木工程施工合同条件》。“菲迪克合同条件”被广泛用于国际性招标的工程项目中,并被世界银行、亚洲银行和非洲银行全文采用,作为各自贷款的工程项目的标准合同文件;是相关行业的国际规则,已成为工程招投标、工程咨询、工程项目管理和工程承包合同管理的重要依据,其总部设在日内瓦的在世贸中心。

[46]Black’s Law Dictionary,8thEd.,p.1372.

[47]其中的Subd表示subdivision,而division是我们在前面的章节中提及的常用part,即division常用用于代替part,其级别比chapter高。参见前面章节的相关内容。

[48]译文:声明在本公约对有关国家开始生效时同时生效。但是,保管人于此种生效后收到正式通知的声明,应于保管人收到声明之日起6个月后的第1个月第1天生效。根据第九十四条规定做出的相互单方面声明,应于保管人收到最后一份声明之日起6个月后的第1个月第1天生效。

[49]周旺生.北京大学现代远程教育法学专业指定教材:法理学[M].北京:北京大学出版社,2006:499.

[50]有学者认为,条款正文前表示该条文的内容摘要是一个条文的标题,并称之为“条标”(headnote),认为条标是近些年来我们的法规条文之前出现的新玩意,是某些归国法学留学人员努力的成果,也是立法技术同外国接轨的结晶。参见:http://www.chinalaw.gov.cn/article/jggz/ysyd/llyj/200412/20041200035936.shtml

[51]中华人民共和国国务院法制局.中华人民共和国涉外法规(英文版)[S].北京:中国法制出版社,1991.

[52]上海市人民政府法制办公室.上海市新闻办公室.上海市涉外经济法规规章汇编(1982-1990)[S].上海:上海人民出版社出版,1991.

[53]本句为《中华人民共和国海关对进出上海外高桥保税区货物、运输工具和个人携带物品的管理办法》的译文,但奇怪的是同一个名称却有二个译名。

[54]http://www.chinahotelsreservation.com/china_law/PROVISIONS_OF_china_law_THE_CUSTOMS365.html.

[55]http://treasure.1x1y.com.cn/useracticles/20060904/20060903223509317.html

[56]熊德米.法律翻译的特殊原则[J].西南政法大学学报,2011:(2).

[57]李克兴.法律翻译理论与实践[M].北京:北京大学出版社,2007:220.

[58]杜金榜.法律语言特点和法律翻译〔EB/OL〕.(2011-04-30).http://ielaw.uibe.edu.cn/html/faxuejiaoyu/20110330/15927.html

[59]考夫曼.法律哲学[M].刘幸义,译.北京:法律出版社,2004:170.

[60]It is sometimes referred to as the FLA by legal practitioners,is an Act of the Australian Parliament.It is one of four separate Acts that provide the framework for family law in Australia.It has 15parts and is the main Australian legislation dealing with divorce,parenting arrangements between separated parents(whether married or not),property separation following a divorce,and financial maintenance involving children or divorced spouses.

[61]英美法系国家的法律法规注意要分为:“Act,statutory instrument,statutory rule”等几类,对于该些类别的区别与种类,可参见Statutory Instruments Act 1992(Queensland)中的有关条款的说明。

[62]以英语为母语的西方习惯于用弱化动词和虚化动词结构来代替单个动词的直接表达,弱化动词和虚化动词以静态的形式间接地将动作概念娓娓道来,致使英语呈静态特征。参见尹振宇.静态、动态的英汉对比与翻译[J].柳州师专学报,2008:(6);连淑能.英汉对比研究[M].北京:高等教育出版社,1993:113,117.

[63]笔者曾在人大网站上查找法规,由于法律名称都是以law/regulations开头,主题词非常不明确,故在查找时颇为麻烦。美国法典50卷就是按照调整事项的首字母进行排列,查找非常方便。

[64]例如:paper boy报童(卖报之人);flower girl卖花女郎;ferry man艄公(在渡口工作的人);night man守夜人(晚上值夜之人);child bride童养媳(孩提时候便成为新娘);dog meat狗食(用于喂狗之肉);riot police并非“暴动警察”而是“防暴警察”。

[65]参见:http://www.faa.gov/documentLibrary/media/Notice/N7210.766.pdf

[66]Statute Law Review,Volume32,Issue3,pp.186-208.

[67]http://www.archives.gov/federal-register/write/legal-docs/headings.html

[68]参见:Section summary of the USA PATRIOT Act,Title II;以及:Marrakesh Agreement Establishing the World trade Organization

[69]究竟是“文书的送达”、“文书送达”、抑或“送达文书”为好?我国的《民事诉讼法》中并未使用“的”,如“直接送达、公告送达、送达日期、送达回执”,故译为“文书送达”为宜。

[70]学生曾将其误译为“受送达人”(其英文应为who is to be served),送达人指送达文书之人。

[71]由于该定语结构太长,如译成前置定语显得太长,故有学者采用“的字句”模式,将其译为“被告提出送达认收书的,法院通知原告”(参见:徐昕(译).英国民事诉讼规则[M].北京:中国法制出版社,2001:52.)。该表述若放在其他语境也未尚不可,但由于条款的名称一如法规名称,应言简意赅,且为名词结构,故改译。

[72]译文:根据本卷提起的任何私诉中,原告应承担举证责任,证明被告的作为与不作为违反了本卷的规定,给原告造成损失,因此原告可请求对方支付损害赔偿金。

[73]徐昕(译).英国民事诉讼规则[M].北京:中国法制出版社,2001:68.

[74]译文为:—本卷第119条或第365条(a)所述的优先权,或本卷第120、121或365条(c)所述的美国在先申请日利益,不适用于临时申请。

[75]参见:上海市《基本农田保护条例》的中英文版,1997:187.

[76]参见:Draft Minutes and decisions of EMSA Administrative Board of 25 03 2004

[77]参见:http://www.ascobans.org/pdf/mops/MOP7_1-03_AnnotatedAgenda.pdf

[78]陈忠诚.《民法通则》AAA译本评析[M].北京:法律出版社,2008.

[79]在制定法律时,这种立法技术常用于将原本不同的行为按照相同的行为处理,或者说将原本不符合某种规定的行为也按照该规定处理同一种类的东西进行解释,从而增加了理解难度。法律拟制这种立法技术,在一般人看来,无疑是荒诞的,正如Gibbons所说的“an apple,for the purposes of this section,is deemed to be a pear。”所以Tiersma认为,“From a descriptive stand-point,this is nonsense”。例如:“Court”includes every court and judge having jurisdiction in the case(Partnership Ordinance,Article 2),即“法院”包括法官,或者法院就等于法官。再如,“Day-old poultry”is deemed to be“any poultry of an age of 72hours or less”(New Zealand Poultry Act,1968),即根据该法律拟制,72-hour-old poultry仍可视为是day-old poultry;“A person is an individual,partnership,corporation,limited liability company,association,association,or other group,however organized”(Consumer Legal Remedies Act,California),在该例中,法律语境中的人包括人和机构,而在日常语言中,“人”是不能包括“公司”等机构的。

[80]http://saintjamespres.org/node/50

[81]鉴于民法在我国日常生活中的重要地位,梁慧星教授就建议在《民法典》中使用序言。

[82]其全文是:“We the people of the United States,in order to form a more perfect union,establish justice,insure domestic tranquility,provide for the common defense,promote the general welfare,and secure the blessings of liberty to ourselves and our posterity,do ordain and establish this Constitution for the United States of America.”

[83]其中的we类似汉语中的咱,我们,将听话人涵盖进来,如let’s go;孩子哭时,妈妈所说的“宝贝,咱不哭,啊!”,以及朱时茂和陈佩斯演的小品“陈小二”中的“咱爸”等表述,将听话人与说话人之间的距离拉近而形成一种亲密关系。

[84]http://cs2pr.us/Rich/28th_Amendment.html

[85]我国《民法典草案》的结构,是以潘德克吞式五编制为基础而变化,首先,将规范民事生活关系的规则,以法律关系为标准,划分为“物权”、债权、亲属、继承四编;其次采用提取公因式方式从四编内容中抽出共同规则,作为民法典的总则编,形成民法典的总则-分则结构;再次,考虑到新的合同类型和信的侵权行为类型,债权编内容太过膨胀,故将其分解为债权总则、合同、侵权行为三编,由债权总则编统率合同编和侵权行为编,形成双层结构

[86]http://www.businessdictionary.com/definition/general-provisions.html

[87]Ohio州的法典修订版中也使用的General provisions,参见:http://codes.ohio.gov/orc/gp;CHAPTER 168
COMMERCIAL PARTNERSHIPS ORDINANCE中也使用了该表述,参见http://www.justiceservices.gov.mt/DownloadDocument.aspx?app=lom&itemid=8688&l=1;此外,美国商法典(UCC)也使用的General provisions,如前所述,该法律并非官方所为,而是一些法律执业者的民间行为,故结合国际的一些经验和惯例以使该法典更具操作性。参见:http://www.law.cornell.edu/ucc/1/overview.html。

[88]学者在学理阐述中使用了“依据”、“根据”和“权源”等表述。由于立法中均采用“根据……”的表述,且有的立法中并未说明“权源”,故尽管《辞海》将“依据”与“根据”界定为同义词,本书采用“根据”这一表述。参见:梁慧星.不宜规定“根据宪法,制定本法”〔EB/OL〕.http://www.xianzheng.com/xzxk/detm~.asp?perID=721&classId=5&typecat,2007-10-03;另参见:辞海(1999年版缩印)[Z].上海:上海辞书出版社,2000:681,3701.

[89]我国法律法规并未对此单列条款名称,否则可译为“Section X Purposes;Legislative Basis.”

[90]了解法律的目的性,对司法解释有着重要的意义。在立法存在歧义时,用文义解释及其他解释方法得出两个不同的解释意见时,法官可以目的解释方法作为判断依据,即采纳其中最符合立法目的的解释意见。参见:梁慧星.法律的目的性(http://www.iolaw.org.cn/shownews.asp?id=5083)。

[91]周旺生,等.立法学[M].北京:法律出版社,2000:609.

[92]马春生.试论地方立法的依据[J].政府法制,1999:(1).

[93]不建议使用in order to,因其罕用于表示立法目的。作者曾对in order to的使用情况对多部英美法律进行检索,发现在Criminal Code(R.S.C.,1985,c.C-46)中没有一例使用,Trade Marks Act 1994以及其他一些国际性公约中都未使用该表述,35USC Patent中也只使用三处,而在马拉喀什WTO协定、美国的多数法律中都使用seeking;with a view to;to不定式等。

[94]有学者因立法中使用This Act is designed and enacted..的表述而主张把enact与formulate一起并列使用,全面倒是全面了,但略显啰嗦,毕竟这种并列结构在整个英美法系并不是主流。

[95]腾超、孔飞燕.英汉法律互译:理论与实践[M].杭州:浙江大学出版社,2008:238.

[96]对该译文,可参见:http://blog.tianya.cn/blogger/post_read.asp?BlogID=4212757&PostID=46062028

[97]在英美法系,类似的表示目的或立法依据的行文亦多采取这种方式,只是往往将法律的制定者或发布者表示出来。例如Ireland的Consumer Protection Code for Licensed Moneylenders(2009):Legislative Basis.-This Code is issued by and in the name of the Irish Financial Services Regulatory Authority(“the Financial Regulator”)under section 117of the Central Bank Act 1989and Section 8H(1)(f)of the Consumer Credit Act,1995(“the Act”).

[98]Elbert县的立法中将立法根据(Authority)表述为:“The Elbert County Subdivision Regulations are authorized by Title 30,Article 28,Colorado Revised Statutes,1973,as amended,and is hereby declared to be in accordance with all provisions of these Statutes”,该表述颇有特色,即详细地列明了该法的上位法,在翻译时不妨效仿。

[99]沈宗灵(主编).法学基础理论[M].北京:北京大学出版社,1994:382.

[100]卢云(主编).法理学[M].成都:四川人民出版社,1992:361.

[101]李龙(主编).法理学[M].武汉:武汉大学出版社,1996:358-362.

[102]Davies,Jack.Legislative Law and Process(2nd)[M].Beijing:Law Press,2005:167.

[103]参见《民法通则》第154条、《刑事诉讼法》第79条、《民事诉讼法》第75条、《票据法》第107条

[104]Haggard,Thomas R.Legal Drafting[M].Beijing,Law Press,2004:268-273.

[105]陶博.法律英语:中英双语法律文书制作[M].上海:复旦大学出版社,2004:174-175.

[106]http://www.propertymanagerpages.com/documents/Drake_THREE%20DAY%20NOTICE.pdf

[107]http://www.businessdictionary.com/definition/as-of-date.html

[108]参见:http://www.archives.gov/federal-register/write/legal-docs/clear-writing.html

[109]A period of time described as beginning“from”a specified day,act,or event does not include that day or the day of the event or act unless a contrary intention appears.

[110]if an enactment is expressed to take effect from a particular day,the enactment takes effect at the beginning of the next day.

[111]A period of time prescribed as ending“before”a specified day,act,or event does not include that day or the day of the act or event(see section 35(4)of the Interpretation Act 1999).

[112]腾超,孔飞燕.英汉法律互译:理论与实践[M].杭州:浙江大学出版社,2008:251.

[113]Concise Oxford English Dictionary[Z].Oxford University Press,2008.

[114]Flexner,Stuart Berg.Random House Compact Unabridged Dictionary(special second edition)[Z].New York:Random House,1996:120

[115]参见:991.11Effective date of acts.Every act and every portion of an act enacted by the legislature over the governor’s partial veto which does not expressly prescribe the time when it takes effect shall take effect on the day after its date of publication as designated under s.35.095(3)(b)。(Wisconsin Legislature:Chapter 991;SEE:https://docs.legis.wisconsin.gov/statutes/statutes/991

[116]http://www.21lawyer.cn/english/04c/2.html

[117]http://www.360doc.com/content/10/0909/16/423163_52408208.shtml

[118]腾超、孔飞燕.英汉法律互译:理论与实践[M].杭州:浙江大学出版社,2008:251.

[119]官方译文和学者的译文中都使用的是law,笔者译为laws and regulations更合乎法律语言的特征。关于“但书”的表述法,参见本书法律规则的逻辑结构中的有关章节。

[120]本书未如官方译文那样使用criminal act或如有的学者那样使用criminal conduct(参见:腾超,孔飞燕.英汉法律互译:理论与实践[M].杭州:浙江大学出版社,2008:244.)而使用criminal offense,因美国刑法典Article 15Criminal Offense对该词做了如下定义:“A criminal offense is an unlawful act:that is prescribed as c criminal offense by law;whose characteristics are specified by law;and for which a penalty is prescribed by law.”该规定对刑法中的“罪刑法定原则”(principle of legality)做了很好的诠释。

[121]参见:Criminal Code 2002(Australia)

[122]官方译文中使用了stipulations,殊不知该词表示的是协议中的约定,故改译为provisions。对此可参见布莱克法律词典(第8版,第1455页)。

[123]该文本的官方译本即采用的是“must abide by”,相关中文版和美国版也都使用的该模式。

[124]李龙主编.法理学[M].武汉:武汉大学出版社,1996:358-362.;张文显主编.法理学[M].北京:法律出版社,1997:92-95.

[125]有人认为civil rights不应译为“公民权利”而应译为“人身权利”。参见:刘大生.不确当的命名——评《Civil权利和政治权利国际公约》,http://www.flrchina.com/research/law/001/law022.htm

[126]这种表述略显啰嗦。其实可依据英美法系对法律的分类,即分为(1)Act;(2)statutory instrument(即议会授权其他机构制定的规则,也称为delegated or subordinate legislation。这类法律在1946年Statutory Instruments Act 1946颁布前称为statutory rules and orders)(这类法律类似于美国联邦政府的行政机构制定的federal regulations);(3)bye-laws(即由地方权力机构制定的法律。只是要注意,bye-laws(地方立法)这一表述常用于加拿大、英国以及一些英联邦国家,在美国法律中一般使用“code,ordinance以及regulation”来表示地方立法。参见:http://en.wikipedia.org/wiki/Law_of_the_Republic_of_Ireland#Secondary_legislation;http://law.duke.edu/lib/researchguides/english;http://en.wikipedia.org/wiki/By-law;李荣甫.法律英语教程(上)[M].成都:成都科技大学出版社,1994:23-26.

[127]参见:http://www.qstheory.cn/zz/fzjs/201105/t20110520_81566.htm

[128]犯罪行为不能被sentenced,只有人才能被sentenced,故在理解和翻译上有误。

[129]腾超、孔飞燕.英汉法律互译:理论与实践[M].杭州:浙江大学出版社,2008:249-250.

[130]布莱克词典(1990年第6版,1099页)将“sentence”定义为“[t]he judgment..imposing the punishment to be inflicted,usually in the form of a fine,incarceration,or probation”。美国的联邦判决法(Federal sentencing law)中也一贯使用“sentence”一词“to refer to the punishment actually imposed on a defendant”.参见:18 U.S.C.§§3551(b)and(c),3553(a),(b),(c),and(e),and 3554-3558。但是,尽管从技术层面而言该词可包括各种刑事处罚,但司法界常用该词表示处以“监禁”的处罚。参见:http://legal-dictionary.thefreedictionary.com/sentence。

[131]http://www.dir.ca.gov/oshsb/CDAC_in_Construction_Clean-Up_txtbdconder.pdf

[132]参见《民法通则》第一百五十五条:民法所称的“以上”、“以下”、“以内”、“届满”,包括本数;所称的“不满”、“以外”,不包括本数。

[133]http://www.rules.utah.gov/agencyresources/manual-rulewriter.pdf

[134]对此可参照:http://www.iihs.org/laws/GraduatedLicenseCompare.aspx,以了解美国各州对驾驶证发放的年龄限制的有关规定,并学习有关年龄和时间的表达方式。

[135]参见《中华人民共和国国际海运条例》(英文版)第56条。

[136]参见:中华人民共和国务院法制局编译的《中华人民共和国涉外法规汇编》,北京:中国法制出版社,1991.

[137]http://ec.europa.eu/budget/biblio/documents/regulations/regulations_en.cfm

[138]http://ec.europa.eu/transport/modes/air/single_european_sky/implementing_rules_en.htm

[139]http://www.gov.ph/section/legis/republic-acts/implementing-rules-and-regulations/

[140]http://ec.europa.eu/world/enp/docs/2011_prop_com_ext_instruments_en.pdf

[141]参照Patent Cooperation Treaty(PCT)Article 58Regulations的相关表述:“In the case of conflict between the provisions of the Treaty and those of the Regulations,the provisions of the Treaty shall prevail.”英国在Convention on the Elimination of All Forms of Discrimination Against Women中的表述为“the United Kingdom declares that,in the event of a conflict between obligations under the present Convention and its obligations under the Convention concerning the employment of women on underground work in mines of all kinds(ILO Convention No.45),the provisions of the last mentioned Convention shall prevail.”

[142]参见:http://untreaty.un.org/ilc/texts/instruments/english/draft%20articles/1_8_2011.pdf,以了解保留条款的有关规定;另参见:http://www.un.org/womenwatch/daw/cedaw/reservations-country.htm,了解一些典型的保留条款的表述方式。

[143]这种名称不能按照汉语的表述进行对译,应使用名词结构进行处理,参见前面法律法规名称翻译的相关内容;并参见:http://www.epa.ohio.gov/portals/41/p2/fact109.pdf

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