業(yè)主的財(cái)務(wù)安排

文 / 李 健

在建設(shè)工程合同中，合同價(jià)款支付義務(wù)是業(yè)主最重要的義務(wù)。在建設(shè)工程合同履行過(guò)程中，涉及預(yù)付款A(yù)dvance Payment、期中付款 Interim Payment、保留金支付 Payment of Retention Money 和最終支付Final Payment等。為保障承包商在合同下的權(quán)益，需要業(yè)主具備合同約定的資金或財(cái)務(wù)安排能力。

例 1—2.4 Employer's Financial Arrangements

The Employer shall submit，within 28 days after receiving any request from the Contractor， reasonable evidence that financial arrangements have been made and are being maintained which will enable the Employer to pay the Contract Price （as estimated at that time） in accordance with Clause 14 ［Contract Price and Payment］. If the Employer intends to make any material change to his financial arrangements， the Employer shall give notice to the Contractor with detailed particulars. （Contract for Construction， FIDIC， 1999）

試譯—2.4 業(yè)主的財(cái)務(wù)安排

業(yè)主應(yīng)當(dāng)在收到承包商請(qǐng)求后28天內(nèi)，提供合理證據(jù)證明其已作出并將維持財(cái)務(wù)安排，以使其能夠按照第14條［合同價(jià)格和支付］支付合同價(jià)格（當(dāng)時(shí)的估算值）。如果業(yè)主擬對(duì)其財(cái)務(wù)安排作重要變更，業(yè)主應(yīng)當(dāng)通知承包商詳細(xì)情況。

例2—2.5 資金來(lái)源證明及支付擔(dān)保

除專用合同條款另有約定外，發(fā)包人應(yīng)在收到承包人要求提供資金來(lái)源證明的書(shū)面通知后28天內(nèi)，向承包人提供能夠按照合同約定支付合同價(jià)款的相應(yīng)資金來(lái)源證明。

除專用合同條款另有約定外，發(fā)包人要求承包人提供履約擔(dān)保的，發(fā)包人應(yīng)當(dāng)向承包人提供支付擔(dān)保。支付擔(dān)?？梢圆捎勉y行保函或擔(dān)保公司擔(dān)保等形式，具體由合同當(dāng)事人在專用合同條款中約定。

（中國(guó)《建設(shè)工程施工合同（示范文本）》（GF—2017—0201）

試譯—2.5 Evidence of Sources of Funds or Payment Guarantee

Except as stated otherwise in the Particular Conditions， the Employer must submit to the Contractor， within 28 days after receiving any request in written form from the Contractor， the evidence of sources of funds that certifies the Employer will be able to pay the Contract Price as agreed in the Contract.

Except as stated otherwise in the Particular Conditions， where the Employer has requested the Contractor to submit a performance guarantee， the Employer must submit to the Contractor a payment guarantee. The parties may decide the payment guarantee to take the form of a bond offered by a bank， a guarantee offered by a guarantee corporation， or others， as agreed upon in the Particular Conditions.

點(diǎn)評(píng)

1．一般認(rèn)為，在建設(shè)工程合同中，讓承包商確信業(yè)主能夠支付合同價(jià)款是合乎情理的。所以業(yè)主應(yīng)當(dāng)提交證據(jù)證明其有相應(yīng)的財(cái)務(wù)安排financial arrangements，這種財(cái)務(wù)安排已經(jīng)做出并處于維持狀態(tài)（have been made and are being maintained），且足夠讓業(yè)主具備支付合同價(jià)款的能力（which will enable the Employer to pay the Contract Price）。

2．Contract for Construction， FIDIC， 1999 有一個(gè)專門的附件Forms of Security，即擔(dān)保函格式。具體的范例格式 example forms名稱反映出了工程建設(shè)中各種擔(dān)保（后三個(gè)主要是保障承包商權(quán)利的擔(dān)保）法律文件的英文表達(dá)，這里列出供使用時(shí)參考：母公司擔(dān)保Parent Company Guarantee，投標(biāo)擔(dān)保（投標(biāo)保函）Tender Security，履約擔(dān)保-無(wú)條件保函Performance Security-Demand Guarantee，履約擔(dān)保-保證擔(dān)保Performance Security-Surety Bond，預(yù)付款支付擔(dān)保 Advance Payment Guarantee，保留金支付擔(dān)保 Retention Money Guarantee，業(yè)主支付擔(dān)保Payment Guarantee by Employer?？梢?jiàn)，F(xiàn)IDIC傾向于把security作為擔(dān)保的大的范疇，至少涵蓋guarantee和bond等具體擔(dān)保形式。

3．但是，在傳統(tǒng)法律意義 the traditional legal sense 上，security 是指 an instrument given to secure the performance of an act，或者 collateral used to guarantee repayment of a debt，對(duì)履行特定行為或償還債務(wù)的擔(dān)保；它同時(shí)還有其“最常見(jiàn)”的現(xiàn)代意義the most common modern sense或者是對(duì)投資者而言的意義 the investor’s sense：an instrument indicating one of three things： ownership in a firm， a creditor relationship with a firm or with a national of local government， or some other rights to ownership，即證券；此外，security還有“保證人”的意思，即a surety， or a person bound by some type of guaranty，但這種用法在現(xiàn)代寫作中應(yīng)當(dāng)避免。在我的翻譯實(shí)踐中，我不選擇security作為一般意義的擔(dān)保的對(duì)應(yīng)詞—否則我們將在翻譯《證券法》《擔(dān)保法》這樣的名稱時(shí)產(chǎn)生混淆。Securities Laws是《證券法》的適當(dāng)翻譯。我用Guaranty Law of the PRC 譯中國(guó)《擔(dān)保法》名稱；《擔(dān)保法》規(guī)定了五種擔(dān)保方式，依次為保證、抵押、質(zhì)押、留置、定金，對(duì)應(yīng)的英文分別為：Suretyship，Mortgage，Pledge，Lien，Deposit。