通譯園地

“依法”的英譯策略研究

 2011/12/19    

“依法”的英譯策略研究
成都通譯翻譯 陳 濤


摘 要:“依法”是法律文件中的高頻詞,翻譯的妥當(dāng)與否涉及當(dāng)事人的權(quán)利義務(wù)問(wèn)題。而這方面的研究在國(guó)內(nèi)尚未充分展開(kāi),誤譯的情況時(shí)有發(fā)生,尤以“IN ACCORDANCE WITH THE LAW”的濫用最為明顯。本文以我國(guó)現(xiàn)行法律文本為素材,分析了“依法”的不同功能和效果,剖析先前翻譯實(shí)踐的經(jīng)驗(yàn)與不足,提出了“依法”的翻譯對(duì)策和等效翻譯原則。

關(guān)鍵詞:依法;英譯;IN ACCORDANCE WITH THE LAW;功能;效果

Abstract: In light of the frequent occurrence of the phrase “依法(YIFA)” in Chinese legal documents and the great concern of the translation thereof with the parties involved, and in light of the insufficient attention to this subject in Chinese translation community and the consequent confusion in the current translation practice, the author, on the basis of the current Chinese written laws, probes into the functions and effects of such phrase, and, drawing lessons from the past translation practice, esp., the misuse and overuse of “in accordance with the law”, arrives at several conclusions as to the translation of such phrase, esp., the equivalent-effect principle.

Key words: YIFA; E-C translation; in accordance with the law; function; effect

1. 前言
隨著社會(huì)的進(jìn)步和經(jīng)濟(jì)的發(fā)展,各種社會(huì)矛盾開(kāi)始顯現(xiàn),并日益凸顯出來(lái),迫切需要更多、更有針對(duì)性的法律法規(guī)來(lái)解決層出不窮的社會(huì)問(wèn)題,并需要通過(guò)契約,將民事活動(dòng)納入到法律的范疇中來(lái),提高民事活動(dòng)的有序性、可預(yù)測(cè)性和效率。國(guó)際合作更是打破了法律和契約適用的疆域限制,隨著“依法治國(guó)”執(zhí)政理念被逐步接受和貫徹執(zhí)行,整個(gè)國(guó)家的法治意識(shí)空前高漲,一場(chǎng)轟轟烈烈的造法運(yùn)動(dòng)正進(jìn)行得如火如荼。在這場(chǎng)運(yùn)動(dòng)中,翻譯無(wú)疑要起到橋梁和紐帶的作用。

“依法”乃我國(guó)法律文件中的高頻詞,從國(guó)家法律到企業(yè)章程,再到民事契約,概莫能外。僅以《中華人民共和國(guó)民法通則》(以下簡(jiǎn)稱《民法通則》)和《中華人民共和國(guó)勞動(dòng)合同法》(以下簡(jiǎn)稱《勞動(dòng)合同法》)為例,在這兩部篇幅不大的法律文本中,前者使用“依法”34次[[1]],后者26次[[2]],使用之頻繁,遠(yuǎn)遠(yuǎn)超過(guò)其他詞語(yǔ)。這反映了法律語(yǔ)言的嚴(yán)謹(jǐn)性,以及了“法”之于“行”的重要規(guī)范作用,也反映了該詞的多義性。僅以“依法納稅”和“依法治國(guó)”為例?!耙婪{稅”的義務(wù)主體是“中華人民共和國(guó)公民”[[3]],法律規(guī)定,該義務(wù)主體不但有義務(wù)納稅,還有義務(wù)按照法律規(guī)定的程序履行納稅義務(wù),也就是說(shuō),“依法”有兩個(gè)功能:1、納稅義務(wù)的依據(jù)(即“法”);2、納稅義務(wù)履行的行為準(zhǔn)則(亦即“法”);誠(chéng)如《中華人民共和國(guó)憲法》第五條規(guī)定:“中華人民共和國(guó)實(shí)行依法治國(guó),建設(shè)社會(huì)主義法治國(guó)家?!盵[4]]我們只能讀出“治國(guó)必以法”的要求來(lái),至于何人有義務(wù)去“治國(guó)”,憲法并未規(guī)定,也就是說(shuō),“依法納稅”之“依法”只有一個(gè)功能——“行為準(zhǔn)則”。

在這一問(wèn)題的處理上,譯界普遍存在的問(wèn)題是對(duì)“依法”的含義和功能缺乏理解,因而:翻譯策略的選擇不是建立在對(duì)原文含義與功能理解的基礎(chǔ)上,而是盲目照搬,訛傳了立法或立約者的意旨,出現(xiàn)了濫用“IN ACCORDANCE WITH THE LAW”的情況。以流傳最廣的三個(gè)《民法通則》英譯本——中華人民共和國(guó)國(guó)務(wù)院法制局英譯本(LAB)、澳洲CCH股份有限公司英譯本(CCH)、美國(guó)China Law Reporter雜志英譯本(CLR)——為例[5]:

◇ 原文:第三十七條
法人應(yīng)當(dāng)具備的條件:
(一)依法成立;
◆ 譯文:
Article 37 (LAB) A legal person shall have the following qualifications:
(1) establishment in accordance with the law;
Article 37 (CCH) A juristic person should meet the following conditions:
(1) establishment in accordance with the law;
Article 37 (CLR) A legal person must fulfill the following conditions:
(1) it must be established in accordance with the law;
▲ 分析:
法人成立與否,法律自不會(huì)強(qiáng)勉,也就是說(shuō),法律并不強(qiáng)加“成立”之義務(wù),僅就成立的過(guò)程進(jìn)行限定(過(guò)程控制功能),三個(gè)譯本不約而同地使用了“IN ACCORDANCE WITH THE LAW”。

◇ 原文:第三十八條
依照法律或法人組織章程規(guī)定,代表法人行使職權(quán)的負(fù)責(zé)人,是法人的法定代表人。

◆ 譯文:
Article 38 (LAB) In accordance with the law or the articles of association of the legal person, the responsible person who acts on behalf of the legal person in exercising its functions and powers shall be its legal representative.

Article 38 (CCH) A person who, in accordance with the law or the articles of association, is responsible for representing the legal person in the exercise of its duties and functions is the representative of the legal person.

Article 38 (CLR) The legal representative of the juristic person shall be the responsible person who exercises its powers on behalf of a juristic person in accordance with the law or provisions of the organizational charter of a juristic person.

▲ 分析:
“依照法律”是“依法”的全稱,在本例中,充當(dāng)“代表法人行使職權(quán)的負(fù)責(zé)人”的行為依據(jù),非在強(qiáng)加“代表法人行使職權(quán)”的義務(wù)于任何人,也非為“行使職權(quán)”確立行為準(zhǔn)則。但上述三例仍以“IN ACCORDANCE WITH THE LAW”作譯。

◇ 原文:第四十條
法人終止,應(yīng)依法進(jìn)行清算,停止清算范圍外的活動(dòng)。

◆ 譯文:
Article 40 (LAB) When a legal person terminates, it shall go into liquidation in accordance with the law and discontinue all other activities.

Article 40 (CCH) Upon termination, a legal person shall carry out liquidation and cease activities which are beyond the scope of the liquidation.

Article 40 (CLR) When a juristic person is terminated, it should carry out liquidation in accordance with the law, and acts outside the scope of the liquidation shall cease.

▲ 分析:
此“依法”功能有二:首先,要求相關(guān)人員在“法人終止”這一事件發(fā)生時(shí),必須實(shí)施清算,即義務(wù)強(qiáng)加功能;其次,實(shí)施“清算”,必須遵守法定程序,即過(guò)程控制功能。功能早已發(fā)生變化,而LAB譯文仍然采用“IN ACCORDANCE WITH THE LAW”,實(shí)屬不當(dāng)。

◇ 原文:第四十五條
企業(yè)法人由于以下原因之一終止:
(一)依法被撤銷(xiāo);

◆ 譯文:

Article 45 (LAB) An enterprise as legal person shall terminate for any of the following reasons:
(1) if it is dissolved by law;
Article 45 (CCH) A corporation shall terminate under any one of the following circumstances:
(i) legal annulment;
Article 45 (CLR) An enterprise-juristic person may be terminated for any of the following reasons:
(1) annulment in accordance with the law;

▲ 分析:
此“依法”重在交代“撤銷(xiāo)”這一法律行為的依據(jù)(行為依據(jù)功能),至于過(guò)程,則并不關(guān)心,也并未體現(xiàn)出任何部門(mén)或人員的“撤銷(xiāo)”義務(wù)。CLR的譯本作法是依然是以不變應(yīng)萬(wàn)變。

◇ 原文:第五十條
具備法人條件的事業(yè)單位、社會(huì)團(tuán)體,依法不需要辦理法人登記的,從成立之日起,具有法人資格;

◆ 譯文:
Article 50 (LAB) If according to the law an institution or social organization having the qualifications of a legal person needs not go through the procedures for registering as a legal person, it shall be qualified as a legal person on the day it is established;

Article 50 (CCH) An institution or association which fulfills the criteria of a legal person and which is not required by law to register as a legal person shall acquire the status of a legal person from the date of its establishment.

Article 50 (CLR) Institutional units and social organizations which meet the conditions necessary to be a juristic person that are not required by law to register as juristic persons have the status of juristic persons from the date they are established;

▲ 分析:
此“依法”何意呢?義務(wù)強(qiáng)加。我們發(fā)現(xiàn),在這種情況下,三個(gè)譯本的作者似乎發(fā)現(xiàn)了它的意義差別,紛紛變譯。

“IN ACCORDANCE WITH THE LAW”這一短語(yǔ)歷來(lái)為國(guó)內(nèi)學(xué)者、譯者所推崇,大凡法律翻譯著作[[6]][[7]][[8]],必有所載,儼然成了“依法”的欽定譯法,此誤譯之濫觴。我們來(lái)看看國(guó)外法律界對(duì)該短語(yǔ)的態(tài)度:《美國(guó)憲法》(The Constitution of the United States)未使用該短語(yǔ)[[9]],長(zhǎng)篇累牘的《澳大利亞憲法》(Commonwealth of Australia Constitution Act)共使用4次[[10]],而簡(jiǎn)短的《中國(guó)憲法》英譯本卻使用了28次[[11]]。

那么該短語(yǔ)究竟是什么意思呢?請(qǐng)看下面的定義。

“To be accordance is to be in conformity or compliance. In accordance is sometimes cumbersome, but often useful. E.g., ‘The search was conducted in accordance with FCI regulations and without excessive use of force’. Out of accordance with = not in conformity.”[[12]]

“In accordance with (或<美>to)與……一致;依據(jù);依照:In accordance with your request I am sending you the sample pages of dictionary.依據(jù)你的要求,現(xiàn)寄上詞典的樣張?!盵[13]]

關(guān)于該短語(yǔ)的含義,這兩部詞典的觀點(diǎn)完全一致,但在用法方面,均為談及。我們要追問(wèn):在“A shall do something in accordance with the law.”這一個(gè)常見(jiàn)的法律語(yǔ)句中,“IN ACCORDANCE WITH THE LAW”究竟是方式狀語(yǔ)(原文含義為“某事情必須依照法律規(guī)定的程序”)呢,還是依據(jù)狀語(yǔ)[[14]]呢(原文含義為“法律有規(guī)定,必須做某事”)?須知,兩種解釋所產(chǎn)生的法律效力大相徑庭。雖然憑借一般的句法規(guī)律,可以基本排除依據(jù)狀語(yǔ),但法律語(yǔ)言必須是嚴(yán)謹(jǐn)?shù)?,要最大程度消除歧義[[15]],況且我們的譯法選擇有許多,類(lèi)似上文所列《民法通則》第五十條三種譯文用的方法就值得借鑒,單就本例而言,完全可以作如下處理:

理解(1):
A shall do something in the way required by the law.

理解(2):
A. A shall do something, which is required by the law.
B. To comply with the law, A shall do something.

如此處理,一目了然,豈不快哉!可惜譯界、學(xué)界的同仁多未意識(shí)到這一點(diǎn),無(wú)視語(yǔ)言本身的邏輯和國(guó)外法律起草及翻譯實(shí)踐,抱緊了“IN ACCORDANCE WITH THE LAW”的殘缺不放。這就背離了法律語(yǔ)言的最高原則——ACCURACY(準(zhǔn)確)[[16]],會(huì)造成中外雙方信息不對(duì)稱,增加了糾紛發(fā)生的概率,譯者當(dāng)引以為鑒。

2. “依法”的含義與功能
上文談了“依法”的三大功能:(1)義務(wù)強(qiáng)加(如《民法通則》第五十條);(2)過(guò)程控制(如《民法通則》第三十七條);(3)行為依據(jù)(如《民法通則》第三十八條、第四十五條)。除此之外,“依法”的功能還有哪些呢?

(4) 權(quán)利授予。例如:

《勞動(dòng)合同法》第四十四條[[17]]

有下列情形之一的,勞動(dòng)合同終止:

(二)勞動(dòng)者開(kāi)始依法享受基本養(yǎng)老保險(xiǎn)待遇的;

(5) 法規(guī)重述。例如:

依法應(yīng)如何處理?

這五大功能并非總是各守一隅,往往聯(lián)合作戰(zhàn),即一個(gè)以上的功能(一般是兩個(gè))集于“依法”一詞,主要有以下幾種:

(1) 義務(wù)強(qiáng)加[+]過(guò)程控制。例如:

《民法通則》第四十條,見(jiàn)上文。

(2) 權(quán)利授予[+]過(guò)程控制。例如:

《勞動(dòng)合同法》第五十六條[[18]]
用人單位違反集體合同,侵犯職工勞動(dòng)權(quán)益的,工會(huì)可以依法要求用人單位承擔(dān)責(zé)任;因履行集體合同發(fā)生爭(zhēng)議,經(jīng)協(xié)商解決不成的,工會(huì)可以依法申請(qǐng)仲裁、提起訴訟。

除了彼此聯(lián)合外,上述功能還可能以否定的形式出現(xiàn)。

(1) 對(duì)“義務(wù)強(qiáng)加[+]過(guò)程控制”的否定。例如:

《勞動(dòng)合同法》第三十八條[[19]]
用人單位有下列情形之一的,勞動(dòng)者可以解除勞動(dòng)合同:

(三)未依法為勞動(dòng)者繳納社會(huì)保險(xiǎn)費(fèi)的;

(2) 對(duì)義務(wù)強(qiáng)加的否定。例如:

未依法在某日之前完成某項(xiàng)手續(xù)
(注:“完成手續(xù)”和上例的“繳納社會(huì)保險(xiǎn)費(fèi)”不同,無(wú)程度可言,結(jié)果只有兩種——完成或者沒(méi)完成,因而不存在過(guò)程控制一說(shuō)。)

綜上所述,在國(guó)內(nèi)的法律實(shí)踐中,“依法”主要有五大功能,可獨(dú)立存在,也可經(jīng)四種不同方式組合(彼此組合,以及與否定詞NOT的組合),因而產(chǎn)生九種不同的效果。

3. 正譯舉隅
接下來(lái),筆者結(jié)合實(shí)例,針對(duì)“依法”的九種不同效果,逐一試譯,僅供參考。(為節(jié)省篇幅,原文不贅)

(1) Eligible for legal personality, a non-profit institution or a social organization obtains its legal personality upon its establishment, where no registration is required by the law;

(2) A juristic person shall meet the requirements that it:
(i) be instituted in the way required by the law;

(3) A business corporation terminates, if:
(i) annulled by the law;

(4) The employment contract terminates, if:
(ii) the employee is legally entitled to the endowment insurance;

(5) What the law provides for this?

(6) While terminating, a juristic person shall discontinue all activities except for liquidation, which is required by the law and shall be conducted in the way required by the law.

(7) The labor union may, as empowered by the law, and shall claim, in the way required by the law, against the employer;

(8) (iii) breach the law by failing to pay the tax, or fail to pay the tax in the way required by the law;

(9) breach the law by failing to fulfill the procedures prior to a specific time

4. 結(jié)論
(1) 在國(guó)內(nèi)的法律實(shí)踐中,“依法”的含義和功能均較復(fù)雜,很多情況下都同時(shí)承載了一種以上的功能,譯者在翻譯之前,先要找出其真正含義;

(2) 國(guó)人慣用“IN ACCORDANCE WITH THE LAW”,竟至泛濫,而該英文短語(yǔ)的含義較寬泛,用法未臻統(tǒng)一,極易引起歧義,導(dǎo)致信息失真,將當(dāng)事各方置于風(fēng)險(xiǎn)之中;

(3) “IN ACCORDANCE WITH THE LAW”可用,但要慎用,譯者在實(shí)際翻譯中要弄清它的真實(shí)含義,選擇恰當(dāng)?shù)谋磉_(dá)法;

(4) 翻譯“依法”的前提是正確區(qū)分其功能和含義,以減少歧義和效果對(duì)等為原則,選取最優(yōu)的翻譯方法,精確翻譯是可能的。

參考文獻(xiàn):


作者簡(jiǎn)介:陳濤,成都通譯翻譯有限公司,翻譯總監(jiān)。研究方向:規(guī)范漢語(yǔ)、法律語(yǔ)言、語(yǔ)法、翻譯實(shí)踐與教學(xué)。E-mail: mailofchentao@foxmail.com,電話:15928915970。



附:


A. 論文總字?jǐn)?shù)(含標(biāo)點(diǎn)符號(hào))
4579

B. 論文標(biāo)題的英文(含副標(biāo)題、作者英文名)
Research on the C-E Translation of “依法”/Chen Tao

C. 詳細(xì)通信地址、郵編、電話號(hào)碼或手機(jī)號(hào)
地址:成都市望江路1號(hào)中海廣場(chǎng)705
郵編:610021
手機(jī):15928915970



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[[2]] 人民網(wǎng). 中華人民共和國(guó)民法通則. http://www.people.com.cn/GB/shehui/8217/39932/2944727.html

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[[4]] 新華網(wǎng). 中華人民共和國(guó)憲法. http://news.xinhuanet.com/newscenter/2004-03/15/content_1367387.htm

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[17]中華人民共和國(guó)中央人民政府官方網(wǎng)站. 中華人民共和國(guó)勞動(dòng)合同法. http://www.gov.cn/jrzg/2007-06/29/content_667720.htm

[[18]]中華人民共和國(guó)中央人民政府官方網(wǎng)站. 中華人民共和國(guó)勞動(dòng)合同法. http://www.gov.cn/jrzg/2007-06/29/content_667720.htm

[[19]]中華人民共和國(guó)中央人民政府官方網(wǎng)站. 中華人民共和國(guó)勞動(dòng)合同法. http://www.gov.cn/jrzg/2007-06/29/content_667720.htm