基于要约–承诺的智能法律合约订立方法与实现

郭倩; 朱岩; 殷红建; 陈娥; 王迪; 刘国伟

doi:10.13374/j.issn2095-9389.2021.04.08.005

基于要约–承诺的智能法律合约订立方法与实现

doi: 10.13374/j.issn2095-9389.2021.04.08.005

郭倩¹,
朱岩^1, ,,
殷红建¹,
陈娥¹,
王迪¹,
刘国伟²

1.
北京科技大学计算机与通信工程学院, 北京 100083
2.
北京市经济和信息化局, 北京 100744

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）

详细信息

通讯作者:
E-mail: zhuyan@ustb.edu.cn

中图分类号: TP319
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- 被引次数: 0
出版历程
- 收稿日期: 2021-04-08
- 网络出版日期: 2021-06-22

Design and implementation of conclusion procedure in smart legal contracts based on negotiation and acceptance

1.
School of Computer & Communication Engineering, University of Science and Technology Beijing, Beijing 100083, China
2.
Beijing Municipal Bureau of Economy and Information Technology, Beijing 100744, China

More Information

Corresponding author: E-mail: zhuyan@ustb.edu.cn

摘要

摘要: 从合同订立的相关法律规定入手，通过引入合约范本化思想，提出了一种包含智能合约建立、部署、订立和存证四个阶段的规范化合约订立流程，使之满足书面合同成立要件的法律规定；同时，在合约范本中提出了书面化交互接口，使之满足合约“订”和“立”两个阶段的交互；此外，在智能法律合约语言SPESC中引入了合约订立相关语法，使之满足合约订立过程中的“要约–承诺”制度，并设计了三种区块链交易结构支持当事人注册、签名、条款执行中交互数据的存证；最后，以销售合约为实例，从订立过程的要约认定、承诺认定、存证合法性三方面辨析了所提智能法律合约订立方案的合规性。所做工作将有助于为智能法律合约的订立过程提供法律依据，促进我国智能合约的法律化建设。
- 智能法律合约 /
- 合同订立 /
- 合约范本 /
- 要约–承诺 /
- 合规性 /
- 法律存证
Abstract: Smart legal contract (SLC), as a form of smart contract in accordance with the law, has attracted extensive attention in recent years. However, the conclusion procedure of an SLC still lacks effective technical methods to make it conform to the current legal regulations, which directly affects the legitimacy of the SLC contract. Therefore, this paper starts with the relevant legal regulations of contract conclusion and introduces the idea of contract normative pattern (CNP), which is a reusable form, model, or template for contract conclusion. Based on these regulations, we propose a standardized conclusion procedure of smart legal contracts. This procedure includes four stages: establishment, deployment, conclusion, and deposit to meet the current legal regulations for the conditions of establishment in the written contracts. Meanwhile, a written form of interactive interface is proposed to satisfy the two stages of “negotiation” and “acceptance” in the CNP. The negotiation stage supports the parties to repeatedly negotiate and determine the pending contents in the CNP, and the acceptance stage is to activate the behavioral attribute by actively triggering predefined algorithms, such as registration and signature. In addition, the syntax of contract conclusion, including parties’ negotiation and acceptance, is introduced in the SLC language, SPESC, to adhere to the “negotiation-acceptance” mechanism in the conclusion procedure. In this paper, we design three blockchain’s transaction structures to store interactive data during party registration, signature, and clause execution. Finally, considering the sales contract as an example, we analyze the legitimacy of the proposed conclusion scheme based on three aspects: negotiation confirmation, acceptance confirmation, and deposit legitimacy. This paper will provide a legal basis for the conclusion procedure of an SLC and promote better achievement of legalization of a smart contract.
- smart legal contract /
- contract conclusion /
- contract normative pattern /
- negotiation–acceptance mechanism /
- legitimacy /
- deposit legitimacy

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图 1 智能合约归属图

Figure 1. Venn diagram of a smart contract

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图 2 智能合约订立框架

Figure 2. Framework of smart contract conclusion

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图 3 智能合约订立数据流程图

Figure 3. Data flow diagram of smart contract conclusion

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图 4 PESC编写的打印机销售合约示范文本

Figure 4. Pattern of a printer sales contract written by SPESC

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图 5 销售合约的订立流程图

Figure 5. Flowchart of sales contract conclusion

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图 6 买方Buyer注册合约交易结构图

Figure 6. Transaction datagram of a buyer registration contract

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图 7 买方Buyer签名交易结构图

Figure 7. Transaction datagram of a buyer signature contract

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图 8 买方Buyer订购交易结构图

Figure 8. Transaction datagram of a buyer purchase contract

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图 9 被填充后的打印机销售合约示范文本

Figure 9. Filled pattern of a printer sale contract

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表 1 伴随交易的交易结构

Table 1. Structure of accompanying transaction

Notation			Description
vin[]	ContractInput	contractAddress	Deployment address of contract
		latestCodeID	Transaction ID of latest contract code
		latestExecuteID	Transaction ID of latest contract status
		address	Contract address
		method	Contract interface
vout[]	ContractOutout	contractData	Contract status
		listSign	Signature list
		signature	Signature of current executor
		signdate	Signature date of the current signer

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表 2 以SPESC为例的智能法律合约语法模型

Table 2. Grammar model of smart legal contract based on SPESC

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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