基 础
Law Terminology
1. In fact, the judicial branch of government plays a major role.
judicial branch：司法部门，即the branch of government consisting of the courts, whose function
is to interpret, apply, and generally administer and enforce the laws。Judicial branch 在美国仅仅
是法院系统，不像中国的司法部门包括公安机关、检察院和法院。尽管作为判例法国家，但美
国法院首先也是根据宪法和其他成文法来判案。Judicial branch 在美国分为联邦和各州两大系
统，名称和审级不尽相同，管辖权错综复杂。联邦系统法院包括地方法院（the district court）、
联邦上诉法院（US court of appeals）、美国最高法院（the US supreme court）。州系统法院包括
初审法院（trial court）、上诉法院（appellate court）、最高法院（supreme court）。
2. Giving legal advice without a license would constitute the unauthorized practice of law.
practice of law：律师执业活动，即 the professional work of a duly licensed lawyer, encompassing
a broad range of services such as conducting cases in court, preparing papers necessary to
bring about various transactions from conveying land to effecting corporate mergers, preparing legal
opinions on various points of law, drafting wills and other estate-planning documents, and advising
clients on legal questions. The term also includes activities that comparatively few lawyers engage in
but that require legal expertise, such as drafting legislation and court rules。美国律师执业活动有自
己一套完整的规范，这一规范不仅处于职业伦理的弱强制力地位，而且逐渐成为与其他类型法
律并驾齐驱的、具有强制力的法律范畴。尽管这一套规范是律师行业规范中最重要的一种，但
这种规范还要受到法院判例的司法审查。法院对律师执业行为所作出的判例具有判例法的效
力，这些判例则集中反映在美国法律协会所主持起草的《律师执业法重述》中。
3. sometimes referred to as Quasi contracts.
Quasi contracts： 准契约， 即 an obligation created by law for the sake of justice; specif, an
obligation imposed by law because of some special relationship between them, or because one of them
would otherwise be unjustly enriched. A Quasi contract is not actually a contract, but instead a remedy
that allows the plaintiff to recover a benefit conferred on the defendant。这一类契约缘起于除契约、
侵权行为等以外的债的发生原因，是指未得到当事人的同意而基于一方自愿的行为或其他法律
事实，发生与缔结契约一样的效果。“准契约”是罗马法上的概念，它包括无因管理、不当得
利、监护和保佐、意外共有、继承人与受遗赠人的关系等。“准契约”的概念也为《法国民法
典》所沿用。然而近代大多数国家的立法均排除“准契约”的概念，为无因管理、不当得利设置
独立的法律要件，并作为发生于本人与管理人之间，或于受益人与受损人之间的债的独立原因。
4. Courts often employ the parol evidence rule.
parol evidence rule：口头证据规则，即the common-law principle that a writing intended by
the parties to be a final embodiment of their agreement cannot be modified by evidence of earlier or
contemporaneous agreements that might add to, vary, or contradict the writing. This rule operates to
prevent a party from introducing extrinsic evidence of negotiations that occurred before or while the
agreement was being reduced to its final written form。口头证据规则（parol evidence rule）是合同
法上对于书面合同内容之外，一方提出的口头证据在解释争议合同内容时的效力如何，而发展
出的一套实体法上的规则。作为合同解释规则，美国合同法中的“口头证据规则”是指:“如
果合同主体同意书面文件是他们之间协议条款的最终和完整的表达，那么协议前或同时的证据
就不能被采纳用以否定或改变书面文件或给书面文件增加新的条款。” 它所排除的，也包括当事
人双方在最终协议达成之前书写的和交换的信件、电报、备忘录和协议草案等书面证据。
5. This also includes provisions for grievance and alternative forms of dispute resolution (arbitration
or mediation or both).
arbitration：仲裁，即a method of dispute resolution involving one or more neutral third parties
who are usu. agreed to by the disputing parties and whose decision is binding。在美国联邦法律
体系中，最重要的仲裁成文法为《联邦仲裁法》（Federal Arbitration Act，简称“FAA”）。 判断
仲裁协议的有效性主要有两个标准：可分离原则、程序性可仲裁问题。分离原则指主合同的效
力不一定影响仲裁条款的效力。程序性可仲裁问题是指当事人可以明确授权由仲裁员决定仲裁
程序是否开始。
Language Build-up
1. when the parties have to resort to a court to decide contractual issues.
resort to：诉诸，相当于seek，即make use of something for help。例句：If negotiations fail
we shall have to resort to action。在法律英语中，所谓的诉诸法律即为resort to law，而诉诸武力
则是resort to sword。另外，court of last resort 即为“终审法院”。
2. the other hand, numerous contracts emanate from business agreements involving oral contracts.
emanate from：发源于，例句：Much of the activity is likely to emanate from groups of hackers,
but the lines between private espionage and government-sponsored operations are blurred（大部分此类攻
击活动都是由黑客组织发动的，但是个人活动和政府背景的入侵行动之间的界限非常模糊）。
Case 1
HARMS v. NORTHLAND FORD DEALERS
602 N.W.2D 58 (S.D. 1999)
在对案例进行分析之前，本案判决中的几个语言要点值得关注：
1. male and female had to tee off from the amateur men’s tee box.
tee off：发球、开球，即(Individual Sports & Recreations) Golf to strike (the ball) from
a tee, as when starting a hole。表示“发球”的还可以用serve，但是在高尔夫球赛中表
示发球的只能用tee off。
2. Nothing in Continental’s instructions suggested that any different yardages were to
be used for the women contestants.
suggest：暗示、表明、体现，即to make evident indirectly; intimate or imply。例句：
However, the latest remarks of Emma Marcegaglia suggest that this argument is beginning
to wear thin。当suggest 表示“暗示”时，其同义词有hint, imply。
3. We ascribe to contract terms “their plain and ordinary meaning”.
ascribe to：归因于、认为是，即to attribute to a specified cause, source, or origin。
例句：Many in the Pentagon ascribe to what Washington policy wonks call the“ realist”
theory of foreign policy, which believes in narrowly defined international goals, not reshaping
the world。
为了更好地理解本案，判决书中涉及的几个法律术语有必要做以下解释：
1. The court also granted summary judgment to Moccasin Creek on its cross-claim
against Northland.
cross-claim：交叉诉讼，即a claim brought against a co-party in the same side of
a lawsuit. That is, a plaintiff brings a claim against another plaintiff, or a defendant brings a
claim against another defendant。交叉诉讼，又称为交叉请求，是指共同诉讼人中的一
个当事人可以在诉辩状中对其他共同诉讼人提出诉讼请求。根据《联邦民事诉讼规
则》第13 条第7 款的规定，所提出的交叉请求应当是基于作为本诉或反诉的诉讼标
的的交易或事件而产生的请求，或者与作为本诉之诉讼标的物的财产有关的请求。这
一判断标准与强制性反诉的判断标准是相似的，它授权法院在交叉请求的诉讼标的与
正在审理中的案件之诉讼标的没有足够关联时，有权裁决不许某一共同诉讼人提出交叉
诉讼。但与强制性反诉不同，交叉诉讼是任意性的，而非强制性的。
2. Northland appeals, contending that unresolved legal questions and genuine issues
of material fact existon Harms’ breach of contract claim and Moccasin Creek’s cross-claim.
appeal：上诉，即a proceeding undertaken to have a decision reconsidered by a higher
authority; esp., the submission of a lower court’s or agency’s decision to a higher court for review
and possible reversal。比如，the case is on appeal。在美国联邦和多数州的法院系统
中，上诉有两个阶段，即从初审法院（trial court）上诉到中间上诉法院（intermediate
appellate court, court of appeals），从中间上诉法院上诉到最高法院。在前一阶段中，
上诉是当事人的权利，所以称为appeal as of right, appeal by right 或appeal of right; 而
在后一阶段的上诉过程中，上诉并不当然地成为当事人的权利，通常是由最高法院享
有自由裁量权，决定是否接受上诉，此时，对于想要最高法院对案件进行复审的当事
人来说，只能请求最高法院的复审调卷令（writ of certiorari），如最高法院认为此案件
确实需要其介入，则向中级上诉法院颁发复审调卷令，将所有案卷调至最高法院，由
最高法院进行终审。在刑事案件中，上诉人不得就陪审团对事实问题作出的裁断进行
上诉，只能就法官适用法律的错误提出上诉，因此，其上诉审一般只进行法律审，且
基本上都是书面审。
本案的核心问题是关于判定breach of contract 是否成立，此外，还涉及Moccasin Creek 与
Northland 的交叉诉讼和禁止反言原则（estoppel）。
本案的原告是Jennifer Harms（ a collegiate golfer at Concordia College in Moorhead, Minnesota），
本案的被告是Northland Ford Dealers（ the contest sponsor）和Moccasin Creek（the Country Club
who hold the golf tournament）。
巡回法院支持了Harms 对两被告的诉讼请求，认为Northland Ford 确实违约，最高法院肯
定了这一观点。巡回法院也支持了Moccasin Creek 对Northland Ford 的交叉诉讼，但最高法院
驳回这部分判决，认为问题关键是Moccasin Creek 是否违反了与Northland Ford 的协定，没有
配备符合规格的比赛装置。
根据比赛规定，Northland Ford 会给第一位hit a hole-in-one at the eighth hole 的高尔夫选手
提供a new Ford Explorer 作为奖励。但是出于种种原因，Jennifer Harms 被判定发球起点错误、
未达到最小发球距离。因此Northland Ford 拒绝按约定给Harms 提供a new Ford Explorer 的奖
励: Northland later refused to award her the new vehicle。对于Northland Ford这种违反合同的行为，
Jennifer Harms 控告Ford 违约：As the contest sponsor, Northland breached its contract to award the
prize in accord with the announced rules。然而Northland Ford 又控告同样是被告的Moccasin Creek，
认为Moccasin Creek 没有按照协定建设符合高尔夫比赛规格的场地以至于发生现在的纠纷。
关于Northland Ford 是否违约，巡回法院认为毋庸置疑：The circuit court rightly concluded
that there were no issues of material fact on the breach of contract claim against Northland。最高法
院也持这一观点，认为即使原告Jennifer Harms 回学校参加校园比赛，也不能成为她放弃此次
比赛奖励资格的依据，根据禁止反言原则，被告Northland Ford 违约：Northland repudiated any
duty to perform under its contract。Moccasin Creek 没有要求审查Harms 的控告，而是直接提起
了对Northland 的交叉诉讼：Moccasin Creek does not request our review of Harms’ summary judgment
against it; instead, it seeks only to uphold its cross-claim against Northland。被告Northland
Ford 也提起了对Moccasin Creek 交叉诉讼的上诉。巡回法院支持了Moccasin Creek 的交叉诉讼，
但最高法院认为由于当事人Moccasin Creek并未提起对该案的重审，因而不必考虑这方面的事由。
Case 2
HILL-SHAFER PARTNERSHIP v. THE CHILSON
FAMILY TRUST
799 P.2D 810 (ARIZ. 1990)
在对案例进行分析之前，本案判决中的几个语言要点值得关注：
1. Whether the trial court, on the particular facts before it, correctly granted summary
judgment rescinding the real estate purchase contract on the grounds of lack of mutual
assent.
on the grounds of：基于理由、根据，即derived from, and therefore similar to, an
earlier work. If one work is “on the grounds” of an earlier work, it infringes the copyright in
the earlier work。表示“根据、基于”的词语还有according to, base on, on the basis of 等。
2. Later, they directed a title agency to prepare one deed to include the property north
of Butler and another deed to include the property south of Butler.
deed to：立契约把（财产）转让给，即grant something, such as land, to som-eone
or to transfer legal title to something to someone。例句：The number of people opting for
the voluntary protected trust deed to help write off their debts rose up by 51%。
为了更好地理解本案，判决书中涉及的几个法律术语有必要做以下解释：
1. The seller counterclaimed, seeking rescission of the contract.
counterclaim：反诉，即a claim for relief asserted against an opposing party after an
original claim has been made; a defendant’s claim in opposition to or as a set off against the
plaintiff’s claim。反诉是相对于本诉而言的，即本诉的被告针对同一法律关系向本诉的
原告提出的反请求，是指在已经开始的诉讼程序中，本诉的被告通过法院向本诉的原
告提出的一种独立的反请求。反诉必须是本诉的被告对本诉的原告提起，反诉的当事
人仍然是本诉的当事人，双方当事人不增加、不减少，仅是诉讼地位的互换。被告提
出反诉的纠纷必须属于按通常诉讼程序审理的案件。
2. Buyer“ accepted” seller’s counteroffer and the parties entered into a contract.
counteroffer：反要约，即an offeree’s new offer that varies the terms of the original offer
and that ordinarily rejects and terminates the original offer. A late or defective acceptance is
considered a counteroffer。反要约是指受要约人将原要约的内容加以扩张、限制或变更
后而予以接受的行为。可以把反要约理解为新的要约。反要约本身即是要约，符合要
约的一般构成要件。一方当事人向另一方当事人发出要约之后，受要约人又向要约人
回复新的要约，从而构成反要约。要约、反要约不断交复的过程其实就是合同的谈判
过程，直至双方达成共识为止。
本案的核心问题是：当事人对法律说明书存在误解，这种lack of mutual assent 的合同是否
可以解除。此外还涉及初审法院认定缺乏合意的合同可以解除是否正确。
本案的原告是Hill-Shafer Partnership（ buyer），被告是the Chilson Family Trust（seller）。初
审法院认定合同缺乏合意，并支持对于卖方the Chilson Family Trust 的控告。上诉法院驳回了
初审判决，认为问题不在于合同缺乏合意，而是单方错误，并发回初审法院重审。最高法院接
受卖方the Chilson Family Trust 的重审请求，反对上诉法院意见，认为不是对法律说明书的误
解才导致合同的解除，而是没有合意导致没有可执行的合同。
根据案情，买方Hill-Shafer Partnership 原本要购买的是the Triangle and Butler North plots
of land。但由于价钱没有谈妥，遂放弃。卖方the Chilson Family Trust 认为这块地应该有legal
description，并且要经过仔细调查。后来，在卖方的反要约中，legal description 里并没有描述
the Triangle and Butler North plots of land，反而是描述另一块地Butler North and Butler South。
买卖双方没有将合同看仔细即已签约。后卖方the Chilson Family Trust 发现错误要求改正legal
description，买方认为自己有正当理由接受当初卖方的转让。于是买方诉卖方不履行合同，卖
方反诉买方欺诈：buyer sued for specific performance. Seller counterclaimed, alleging fraudulent
concealment and racketeering, and also sought rescission and a decree quieting title in it。
关于卖方是否违约，初审法院支持卖方观点，同时也认为买方存在欺诈行为，并支持卖方
的产权归属要求：The trial court also granted summary judgment against buyer on the specific performance
claim and for seller on the quiet title claim, rescinding the contract for lack of mutual assent。
最高法院支持初审法院的意见，认为合同缺乏合意，根本没有可执行的合同。
