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摘要: 從智能合約、智能法律合約等概念入手，依據現行法律條目的要求對智能合約法律化問題進行探討，指出智能合約法律化需滿足文法要求、非賦權原則、審查準則三個基本規則，并以典型智能法律合約語言SPESC、CML為實例剖析了其法律效力，辨析使其與原合同文本具有同等法律效力需滿足的條件。進而，結合智能合約系統架構及部署運行過程，在對所部署智能合約進行法律化辨析基礎上對區塊鏈智能合約及其鏈碼的法律地位進行了論證。最后，對當前智能法律合約邏輯模型與語言模型的研究進展進行總結，并加以討論和評價。上述工作表明當前智能法律合約研究是一條解決智能合約法律地位的可行途徑，有利于從現行法上把握智能合約在合約邏輯、仲裁流程、形式化驗證等方面的未來發展方向。Abstract: With the advancement of blockchain, smart contracts have become increasingly popular. However, the uncertain status by law severely limits their practical applications. To address the problem, smart legal contract (SLC) is proposed as a transitional technology between legal and smart contracts. Starting with the basic concept of SLCs, in this paper, we discussed the legalization of smart legal contracts based on the requirements of existing legislation items and highlight that legalization should meet three elementary principles, including the specified grammatical requirements (for regulating terminology and eliminating ambiguity), the principle of nonempowerment (for resolving the inherent contradiction between automatic execution and the rights of parties), and examination criteria (for handling legal validity and code security issues). Moreover, we analyzed SLC’s legal effect by taking typical smart legal contract languages, SPESC and CML as examples, and show that the contract program or chaincode has the same legal effect as the original contract, if and only if they satisfy three necessary conditions: (1) adopting the technical specification for generation and conclusion of SLCs; (2) complying with three abovementioned elementary principles; and (3) agreeing on declaration with the same legal effect. Furthermore, investigating the smart contract architecture and deployment, the legal status of both contract program and compiled chaincode was demonstrated in legal analysis of the deployed smart contract. Last, we discussed and evaluated the current situation of smart legal contract logic models and language models on SLCs. This work shows that the research on smart legal contracts is a suitable approach to guarantee the legal status of smart contracts, and the results will contribute to grasping the future research directions in several fields, such as contract logic, arbitration process, and formal verification, from the existing legislation viewpoint.
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Key words:
- smart legal contract /
- domain specific language /
- data massage /
- principle of legalization /
- blockchain
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圖 4 本文中智能法律合約轉化關系及相關要素間關系圖
Figure 4. Diagram of the transformation relationship between smart legal contracts
表 1 SPESC語法模型
Table 1. SPESC grammar model
Contract module name Module description Grammar definition Contract framework Contract ::= Title{ Parties+ Assets+ Terms+ Additions+ Signs+} Contract title The contract title may consist of the of the contract name and the contract number. Title::=contract Cname (:serial number Chash)? Contract party The description of contract party can include the party’s name, address, account number, and other attributes and values owned by this party, and technical measures such as the party’s identity authentication can be adopted to ensure the uniqueness of its identity. Parties ::=party group? Pname {field+ } Contract subject The contract subject refers to the object that the rights and obligations of the parties point to together, which is generally divided into things, behaviors, intellectual achievements, etc. Contract subject is represented by asset in the smart legal contract, and the description of such assets should exist in the blockchain. Assets ::= asset Aname{ info{ field+ } right{ field+ }} Asset expression The asset expression used for the reference of a certain asset in contracting terms. AssetExpressions ::= $ (amount)? (right of)? Aname Asset operations Deposit The party can deposit assets voluntarily from his party account to contract account. The deposit operation is applied into the transaction of action execution in the term, in which the party can designate the deposited assets directly by asset expression, and restrict the assets through comparing two values by relational operation to determine their relationship. The latter is used to grant the permission for transferring the designated assets only if the relationship is satisfied. Deposits ::= deposit (value RelationOperator)? AssetExpression Withdraw The party can withdraw assets from contract account in the execution of terms, where the assets are designated by the asset expression. Withdraws ::= withdraw AssetExpression Transfer The party can transfer assets from contract account to other party account in the execution of terms. Transfers ::= transfer AssetExpression to target Contract terms General terms General terms include the term’s name, the term’s parties, the rights and obligations of the parties (actions that must, can or are prohibited), the execution conditions of the term, the asset transactions, and the post-conditions to be satisfied after the execution of the term. GeneralTerms ::= term Tname: Pname (must|can|cannot) action(field+)
(when preCondition)?
(while transactions+)?
(where postCondition)?.Breach terms Breach terms refer to the legal liability to be assumed when the parties agreed by both parties do not perform the obligations stipulated in the smart legal contract or perform the obligations that do not conform to the contract. When the post-condition of the designated terms is not satisfied and the pre-condition of the breach term is satisfied, the related party must or can take action for setting the defaults, which may require to enforce asset operations and satisfy the post-condition of the breach term for the result of enforcement. BreachTerms ::= breach term Bname (against Tname+)? : Pname (must|can) action(field+)
(when preCondition)?
(while transactions+)?
(where postCondition)?.Arbitration terms Arbitration terms stipulates the method to solve controversy in smart legal contracts. The specific controversy can be stated by nature language and an arbitration institution may be designated. ArbitrationTerms ::= arbitration term: (The statement of any controversy)?
administered by institution : instName.Additional information Additional information can define necessary supplementary information in smart legal contract, including entity’s attribute, contract object, the property and signature of guarantor, additional term, program variable, and the declaration of data structure. Additions ::= field + | (addition Dname {field+}) 
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