工程科学学报.第44卷.第1期：68-81.2022年1月 Chinese Journal of Engineering,Vol.44,No.1:68-81,January 2022 https://doi.org/10.13374/j.issn2095-9389.2021.02.22.001;http://cje.ustb.edu.cn 智能法律合约及其研究进展 王 迪，朱岩)，陈娥，郭倩，李冀宁)，孙贻滋，伊然) 1)北京科技大学计算机与通信工程学院，北京1000832)中国电子学会，北京1000363)北京互联网法院.北京100160 通信作者，E-mail:zhuyan@ustb.edu.cn 摘要从智能合约、智能法律合约等概念入手，依据现行法律条目的要求对智能合约法律化问题进行探讨，指出智能合约 法律化需满足文法要求、非赋权原则、审查准则三个基本规则，并以典型智能法律合约语言SPESC、CML为实例剖析了其法 律效力，辨析使其与原合同文本具有同等法律效力需满足的条件，进而，结合智能合约系统架构及部署运行过程，在对所部 署智能合约进行法律化辨析基础上对区块链智能合约及其链码的法律地位进行了论证.最后，对当前智能法律合约逻辑模 型与语言模型的研究进展进行总结，并加以讨论和评价.上述工作表明当前智能法律合约研究是一条解决智能合约法律地 位的可行途径，有利于从现行法上把握智能合约在合约逻辑、仲裁流程、形式化验证等方面的未来发展方向 关键词智能法律合约：领域专用语言；数据电文：法律化原则：区块链 分类号TP319 Smart legal contract and its research progress WANG Di,ZHU Yan,CHEN E,GUO Qian",LI Ji-ning?),SUN Yi-P,YI Ran 1)School of Computer Communication Engineering,University of Science and Technology Beijing,Beijing 100083,China 2)The Chinese Institute of Electronics,Beijing 100036,China 3)Beijing Internet Court,Beijing 100160,China Corresponding author,E-mail:zhuyan@ustb.edu.cn 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. 收稿日期：2021-01-22 基金项目：国家科技部重点研发计划资助项目(2018YFB1402702):国家自然科学基金资助项目(61972032)智能法律合约及其研究进展 王    迪1)，朱    岩1) 苣，陈    娥1)，郭    倩1)，李冀宁2)，孙贻滋2)，伊    然3) 1) 北京科技大学计算机与通信工程学院，北京 100083    2) 中国电子学会，北京 100036    3) 北京互联网法院，北京 100160 苣通信作者， E-mail: zhuyan@ustb.edu.cn 摘    要    从智能合约、智能法律合约等概念入手，依据现行法律条目的要求对智能合约法律化问题进行探讨，指出智能合约 法律化需满足文法要求、非赋权原则、审查准则三个基本规则，并以典型智能法律合约语言 SPESC、CML 为实例剖析了其法 律效力，辨析使其与原合同文本具有同等法律效力需满足的条件. 进而，结合智能合约系统架构及部署运行过程，在对所部 署智能合约进行法律化辨析基础上对区块链智能合约及其链码的法律地位进行了论证. 最后，对当前智能法律合约逻辑模 型与语言模型的研究进展进行总结，并加以讨论和评价. 上述工作表明当前智能法律合约研究是一条解决智能合约法律地 位的可行途径，有利于从现行法上把握智能合约在合约逻辑、仲裁流程、形式化验证等方面的未来发展方向. 关键词    智能法律合约；领域专用语言；数据电文；法律化原则；区块链 分类号    TP319 Smart legal contract and its research progress WANG Di1) ，ZHU Yan1) 苣 ，CHEN E1) ，GUO Qian1) ，LI Ji-ning2) ，SUN Yi-zi2) ，YI Ran3) 1) School of Computer & Communication Engineering, University of Science and Technology Beijing, Beijing 100083, China 2) The Chinese Institute of Electronics, Beijing 100036, China 3) Beijing Internet Court, Beijing 100160, China 苣 Corresponding author, E-mail: zhuyan@ustb.edu.cn 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. 收稿日期: 2021−01−22 基金项目: 国家科技部重点研发计划资助项目（2018YFB1402702）；国家自然科学基金资助项目（61972032） 工程科学学报，第 44 卷，第 1 期：68−81，2022 年 1 月 Chinese Journal of Engineering, Vol. 44, No. 1: 68−81, January 2022 https://doi.org/10.13374/j.issn2095-9389.2021.02.22.001; http://cje.ustb.edu.cn