Subject
近日某法律翻譯博主提出了這一議題悍缠,我認為本身是一個很有探討價值的問題猜敢,足見該博主一直在堅持一線翻譯實踐并且常懷批判性思維姑荷,值得點贊!但是锣枝,該博主提出厢拭,根據general assignment在美國破產法中的特定含義,不宜譯為“概括轉讓”撇叁,而應轉譯為“(為債權人的利益)全面轉讓財產/轉讓全部財產”。筆者認為畦贸,該博主的這一提法頗有值得商榷之處陨闹,故不揣淺陋,另辟道場薄坏,作此爭鳴之文趋厉。
general assignment僅僅在“破產替代方案”的意義上使用嗎?
該博主最重要的立論依據是general assignment一語與assignment for the benefit of creditors (ABC)同義胶坠,是《美國破產法》(Bankruptcy Code)第7章(清算破產)的較節(jié)省成本的替代方案君账,不需經過破產訴訟程序,出現債務危機的公司(debtor)可以將其公司財產全盤轉讓給其自行選擇的第三方受托人(assignee as trustee)沈善,由該第三方發(fā)揮破產訴訟里法院指定的負責清算的破產財產受托人(trustee in bankruptcy)的同等職責乡数,最終通過general assignment亦可達到與清算破產同等的效果。該博主稱:“assignment for the benefit of creditors涉及的是轉讓債務人的財產闻牡,與債務無關”净赴,而根據我國法律規(guī)定,“?當事人一方經對方同意罩润,可以將自己在合同中的權利和義務一并轉讓給第三人(《民法典》第555條)玖翅。”所以,general assignment不宜譯為“概括轉讓”金度。那么应媚,真如該博主所言,general assignment在英美法中猜极,僅僅在作為清算破產的替代方案的意義上使用嗎中姜?
答案顯然是否定的!實際上魔吐,在英美法背景的英文合同中扎筒,大量的和general assignment有關的合同與美國破產法或債務方尋求破產替代方案并無直接關聯。試看以下三例:
§1. WHEREAS, in connection with the consummation of thesale and transfer of the Purchased?Assets, the?assumption?of the Assumed Liabilities and the other transactions contemplatedby the Purchase Agreement, each Assignor and the Assignee now seek to consummatethe sale and transfer of the Purchased Assets of Selling Subsidiary 1 andSelling Subsidiary 2 and the assumption of the Assumed Liabilities of SellingSubsidiary 1 and Selling Subsidiary 2.(摘自某GENERAL ASSIGNMENT AND ASSUMPTION AGREEMENT)
從這項鑒于條款酬姆,可以清楚地獲知嗜桌,這份協(xié)議的目的是通過概括性地轉讓資產(股權)并承擔債務氏义,從而最終實現企業(yè)之間的資產重組匿值,顯然并不是瀕臨破產的債務方委托第三方進行“準破產清算式”的純粹為了甩爛攤子的財產轉讓。
§2. WHEREAS, Company A and its Subsidiaries herebyand by certain other instrumentstransfer?or will transfer to Company B and its Subsidiaries?substantially all of the assets of?the Business owned by Company A and its Subsidiaries, and Company Band its Subsidiaries?assume or?will assume certain liabilities relating to the Business, in eachcase effective as of the Effective Date and in accordance with the MasterSeparation and Distribution Agreement, dated as of May?5, between theParties (the "Master Separation Agreement").(摘自另一GENERAL ASSIGNMENT AND?ASSUMPTION AGREEMENT)
從第二份協(xié)議的鑒于條款可以看出钧汹,這份協(xié)議的目的是通過概括性地轉讓資產并承擔債務相满,最終實現《公司分立與財產分配主協(xié)議》所規(guī)定的企業(yè)分立或公司分拆层亿,也屬于廣義上的資產重組手段之一,顯然也不同于美國破產法語境下的general assignment立美。
§3.10.1 General Assignment Requirements
This Agreement may be assigned by a Party only with the prior written consent of the other Parties;?...Forall assignments by any Party, the assignee must assume in a writing, to beprovided to the other Party or Parties,all rights, duties, and obligations of?the assignor arising under this Agreement, including the insurancerequirements in Article 6 of this Agreement.(摘自某SERVICE AGREEMENT)
從這份服務協(xié)議的“概括轉讓要求”條款可以看出匿又,受讓方必須概括性地繼受轉讓方的所有權利、責任和義務建蹄。
基于上述三份常規(guī)協(xié)議文本所提供的真實例證碌更,筆者認為,該博主由于搜證廣度不夠洞慎,因而片面地將general assignment的其中一種特定用法誤放大為該術語的完整內涵痛单,犯了“以偏概全”的基本錯誤,對一般讀者誤導性極大劲腿。實際上旭绒,general assignment的主流用法還是指的合同權利與義務(或資產與債務)的概括性一體轉讓,這種概括轉讓的最終目的可能是一般合同權利義務的概括繼受焦人,也可能是以股權轉讓挥吵、兼并收購或分拆分立等方式實現資產重組。
美國破產法語境下的general assignment真就不能譯為“概括轉讓”嗎垃瞧?
如上所述蔫劣,筆者已經證明,在大多數主流合同文本中个从,將general assignment譯為“概括轉讓”脉幢,并無不妥歪沃,甚或可說相當貼切。現在筆者進一步追問嫌松,即便在美國破產法語境下沪曙,general assignment是否果真如該博主所言,不宜譯為“概括轉讓”呢萎羔?液走!
答案又是否定的!該博主斷言general assignment不宜譯為“概括轉讓”的基本邏輯是贾陷,中國立法規(guī)定的概括轉讓是合同權利與義務的“一并”轉讓缘眶,而general assignment只涉及“財產”的轉讓,而與“債務”無關髓废。而事實則再次證明巷懈,該博主的這一斷言過于倚重字面分析,而忽視了基本法理的探究慌洪。維基百科在美國general assignment程序的作用機制(Mechanism)里明確點明顶燕,“The assignment for the benefit of creditors is a common lawcontract between the board of directors and the assignee in which the board"assigns" theassets and liabilitiesof thecompany to the assignee, a third party.?”即明確指出是由產生債務危機的公司的董事會將公司資產(權利)和負債(責任)同時概括性地轉讓給第三方受讓人。試想一下冈爹,一個瀕臨破產的公司涌攻,怎么可能全是資產而沒有負債呢?频伤!恐怕大部分情況下負債還是占大頭的恳谎。為了保障債權人利益,破產法里的破產財產一定是概括轉讓的(這一原則幾乎不分法系憋肖,中外皆同)惠爽。受托人此后的實際操作程序,也是先要清算破產財產瞬哼,變賣財產之后是要先還債的,這個還債的過程租副,就表明了所清算的財產一定都是和負債綁定的坐慰,所以,破產法里的財產轉讓用僧,一定是概括性轉讓结胀,名義上是轉讓“財產”,實際上一定是“權責同體”的责循。如果有人想把產生債務危機的公司的還有價值的資產都拿走糟港,而負債他都不管,公司和債權人會傻到這種份兒上嗎院仿?秸抚!因此速和,我認為,即便就美國破產法實務而言剥汤,把將資產和負債整體打包轉讓的general assignment譯為“概括轉讓”颠放,也并無不妥。
相反吭敢,該博主所主張的將general assignment譯為“(為債權人的利益)全面轉讓財產/轉讓全部財產”碰凶,筆者則認為極為不妥。首先鹿驼,于法理不合欲低,如上所述,即便在美國破產法語境下畜晰,general assignment所轉讓的也絕非僅僅是財產砾莱,故而在譯出語中突顯“財產”二字,實屬謬誤舷蟀。其次恤磷,缺乏直觀對照性,該博主的譯名近乎“詞典釋義”野宜,誰能把general assignment僅僅兩個單詞構成的英文術語和“(為債權人的利益)全面轉讓財產/轉讓全部財產”這么長一串“釋義式”的譯出語在字面上對上號扫步?!作為術語的譯名匈子,一定要兼顧簡潔性和字面直觀性河胎,希望僅僅通過譯名就能反映一個術語的全部內涵是不現實的,筆者認為“概括轉讓”一語虎敦,不僅內涵契合游岳,而且對照工整而又約定俗成,實無另辟蹊徑之必要其徙。順便提一句胚迫,assignment for the benefit of creditors的譯法,for the benefit of在此處要根據語境活譯唾那,直譯就略顯生硬了访锻,宜譯為“旨在清償債權人而進行的轉讓”。
“概括轉讓”反譯為英文只有general?assignment一種表達方式嗎闹获?
(1)就一般習慣用法而言花盐,在英美法里assignment一般對應rights, titles, benefit, property,而duties, obligations, liabilities, debt一般是用delegation菇爪。所以權利和義務的概括性轉讓算芯,按照一般用語習慣有時候體現為assignment?of rights and delegation of obligations (duties),略顯繁瑣凳宙,近乎意譯熙揍,其實也未見得地道。
(2)其實氏涩,進一步研究可以發(fā)現届囚,assignment作轉讓講時的既可能指權利,也可能指責任是尖,如《LexisNexis英漢法律詞典》對assignment一詞的釋義點明:
A transfer ofrights or?liabilities?such as those that arise under an instrument, chose in action, or debt.根據法律文書意系、據法權產或債務而作出的權利或責任的轉讓。
而實務中饺汹,assignment后面接duties, obligations的用法更是屢見不鮮蛔添,如:
§4. Assignment of Duties.?Executiveshall have such?duties?as may be assigned to him from time to time by the Company's Board of Directorscommensurate with his experience and responsibilities in the position for whichhe is employed pursuant to Section 1 above. Such?duties?shall be exercised subject to the control andsupervision of the Board of Directors of the Company.
所以,概括性轉讓徑譯為assignment?of rights and obligations(duties)也是沒有問題的兜辞,但也不算特別地道迎瞧。
(3)實際上,英美法系的不同jurisdictions都出現了不少將“assign a contract”認定為同時轉讓合同項下的“rights(benefit)”和“obligations(burden)”的判例逸吵,也就是說assignment of contract的意思基本就等同于中文語境里的“概括轉讓”凶硅。英美法現實的判例法準則是:assignment在一般原則上僅指rights的轉讓,而不指obligations的轉讓扫皱,但有例外咏尝,滿足兩個條件:(1)主要為保護非轉讓合同方的利益(如破產里的債權人),(2)必須經非轉讓合同方事先同意啸罢,則assignment可以用來指權利和義務的概括性轉讓。有時胎食,在具體語境中扰才,assignment單獨一個詞(只要沒有特別指明僅轉讓權利),實際上已足以指稱中文的“概括轉讓”厕怜。比如:
§5. An assignment of contract occurs when one party to anexisting contract (the "assignor") hands off the contract's?obligations?and benefits to another party (the "assignee"). Ideally,the assignor wants the assignee to step into his shoes and assume all of hiscontractual?obligations and rights.
這里的assignment of contract不就恰恰指的是中文的“概括轉讓”嗎衩匣。
兩個小問題
1蕾总、《元照》把general assignment譯為“全面轉讓”,筆者也考慮過將其另譯為“全體性轉讓”琅捏,但委實都不如“概括轉讓”來得順耳生百,這就是約定俗成的力量,就像沒有人會把common law翻成“共同法”柄延,哪怕有的學者認為這個譯法更符合原義蚀浆。
2、有時general assignment并不是指轉讓行為搜吧,而是指規(guī)定轉讓行為的書面文件(多為復數)市俊,這時候應譯為“概括轉讓書(協(xié)議)”。