吴慧琼：涉区块链纠纷解决方式的选择及应用

内容摘要

Executive summary

随着区块链技术的逐步成熟，已有将该技术应用于商业领域的实践。尽管智能合约能够实现自主、自动地执行，但仍不可避免在履约过程中产生纠纷，甚至是新类型纠纷。仲裁的特性决定了其系涉区块链纠纷解决的理想方式。为了有效解决涉区块链纠纷，仲裁庭在电子证据认定上应结合区块链的特点进行审查。

As block chain technology matures, there is practice of applying it in the commercial sphere. While smart contracts are self-executing, disputes, even new types of disputes, are inevitable in the performance process.

一、涉区块链纠纷产生领域的评估

I. Assessment of areas in which disputes over the block chain arise

（一）区块链技术的特征及其主要应用

(i) Characteristics of block chain technology and its main applications

区块链的本质是一种分布式记账的数据库。在基于同一个交易协议的基础上，当一笔交易发起时，该交易系统内的所有节点都可以参与交易的响应。将一段时间内的所有交易信息记录下来并形成一个区块，按时间前后相连就形成区块链。因此，区块（无法被篡改的数据记录信息）与链（连续的、前后关联的诚实数据记录存储结构）相结合，便形成了区块链（保证诚实的数据系统），其存储了该交易系统从第一笔交易发起至今的所有历史数据，并为每一笔数据提供检索和查找功能，能够逐笔验证。由此，学界通常用“四去”来概括区块链技术的特征，即去中心化、去信任化、去特权化、去风险化。具体而言：

The essence of the block chain is a distributed bookkeeping database. On the basis of the same transaction agreement, all nodes in the trading system can be involved in the response to the transaction when the transaction is initiated. Recording all transaction information over a period of time and forming a block, connected around time, forms a block chain. Thus, blocks (which cannot be tampered with to record information) are combined with chains (continuously linked, sequentially linked honest data record storage structures) which form a block chain (a data system that ensures honesty) that stores all historical data from the start of the transaction to the present date and provides a search and search function for each data, which can be verified on a case-by-case basis. As a result, the academic community usually uses "four-way" to summarize the characteristics of block chain technology, i.e. decentralize, detrust, de-privilegation, de-riskization:

去中心化是区块链最基本的特征，强调区块链不依赖于某个中央处理节点。全网每个节点都负责记录、存储和更新数据，不需要有一个专门的数据库中心来维护，进而任一节点的损坏或者失效都不会影响整个系统的运作。

Decentralizing is the most basic feature of the block chain, emphasizing that the block chain is not dependent on a central processing node. Each node on the Internet is responsible for recording, storing and updating data, without the need for a dedicated database centre to maintain, so that the damage or failure of any one point does not affect the entire system.

去信任化强调区块链采用一套公开透明的数学加密算法使整个系统中的所有节点能够在自信任的环境下自动安全地交换数据。区块链依靠非对称加密和可靠数据库完成了信用背书，所有的规则事先都以算法程序的形式表述出来，参与方不需要知道交易对手信用度，更不需要借助第三方机构来进行交易背书或者担保验证，而只需要信任共同的算法就可以建立互信，通过算法为参与者创造信用、产生信任和达成共识。区块链扫除了参与方在协调过程中的障碍，运用共识算法来检验交易的真实性。

De-trusting emphasizes that block chains use a set of open and transparent mathematical encryption algorithms that allow all nodes of the system to exchange data automatically and safely in an environment of self-confidence. Block chains rely on asymmetric encryption and reliable databases for the completion of credit endorsements, all rules are expressed in advance in the form of algorithmic procedures, participants do not need to know the creditworthiness of their counterparties, nor do participants need to rely on third-party institutions for endorsement of transactions or security certification, but trust in common algorithms is needed to build mutual trust, credit creation, trust and consensus among participants through algorithms.

去特权化强调区块链中所有节点之间的地位都是同等的。每个节点都可以单独地请求服务或者提供服务，各个节点之间也就不再区分服务器和客户端，每一个网络的参与者都可以查询交易情况，从而有别于传统数据查询模式下仅是管理人员才能看到全盘或全程数据信息的情况。

Deprivilegation emphasizes the equal status of all nodes in the block chain. Each node can request or provide services individually, and the server and client can no longer be distinguished from each node, and participants in each network can search for transactions, thus distinguishing from the traditional data search model where managers only have access to complete or full-range data information.

去风险化强调区块链的数据不易纂改。一方面，区块链会为每一笔交易盖上时间戳，时间戳其实是对每一次交易的一个认证，时间签名直接写于区块链上，已经生成的区块在区块链中不得修改，否则会导致生成的哈希值（HASH）无法匹配。另一方面，区块链通过向全网广播的方式，让每个参与维护的节点都能复制获得一份完整数据库的拷贝。除非能够同时控制整个系统中超过51%的节点，否则单个节点对账本的纂改是无效的，也无法影响其他节点上的数据内容。所以区块链相较传统网络而言，数据的稳定性和可靠性极高。

On the one hand, the block chain will cover every transaction with a time stamp, which is actually an authentication for each transaction. The time signature is written directly on the block chain and the blocks that have been created cannot be modified in the block chain, which will result in the creation of Hashi values (HASH) that cannot be matched. On the other hand, the block chain, by broadcasting to the whole network, allows each of the maintained nodes to copy a complete copy of the database. Unless more than 51 per cent of the nodes in the system can be controlled simultaneously, the change in the logbook is ineffective and cannot affect the content of the data at other nodes.

区块链应用主要经历了三个阶段：比特币、智能合约和泛区块链应用生态。第一阶段是区块链技术中最初级的应用，在法律层面上主要是各国对电子货币的监管，较少会进入纠纷领域。第三阶段的根本则是智能合约在社会广泛领域的应用，而非仅局限于第二阶段的部分领域，进而形成一个区块链生态。因此，笔者认为，涉区块链的纠纷主要集中在智能合约的应用领域。智能合约区别于传统合同，对纠纷解决也提出了很多挑战，因此，需要对智能合约的特点做进一步研究。

The first phase is the first application of block chain technology, which, at the legal level, is mainly national regulation of electronic currency and less entry into the area of disputes. The third phase is based on the application of smart contracts in a wide range of areas of society, rather than limited to part of the second phase, which leads to the formation of a block chain ecology.

智能合约，通俗理解即为可自动执行的合同。智能合约的工作原理类似于计算机程序的if-then语句，即人们预先编好一个程序代码，当程序设定的条件满足时，随即触发系统自动执行相应的合约条款，以此完成交易和智能资产的转移，其在日常生活中最早的例子是自动售货机。

Smart contracts are generally understood to be self-executing contracts. Smart contracts work in a way that is similar to a computer program's if-then statement, where people pre-assemble a program code that triggers the automatic implementation of the corresponding contract terms by the system when the conditions set by the program are met, thus completing the transfer of transactions and smart assets, the earliest example of which is in daily life an ATM.

智能合约的特点在于自动、自主以及强制执行性。自动执行性在现实生活中，最典型的体现当属信用卡自动还款，在信用卡还款日，当还款条件被满足，计算机系统会自动完成这笔交易。自主执行性最直观的例子就是淘宝购物过程：现有模式下，买方选定特定商品后，支付的价款会先转入支付宝，待卖方收货确认无误后，价款才会转入卖方账户；而在区块链技术下，买卖双方可以设定附有买方确认收货后再移转货款条件的智能合约，待买方确认无误后，由计算机自动执行移转货款的合约，从而大大降低交易成本。因此，智能合约允许在没有第三方的情况下进行可信交易，而且这些交易可追踪、不可逆转，相比传统合同方法更为安全，且交易成本更低。

Automatic execution is characterized by automatic, autonomous and enforceable nature. In reality, the most typical manifestation of automatic repayment is credit card, and, on credit card repayment days, the computer system automatically completes the transaction. The most straightforward example of autonomous execution is the shopping process: under the current model, when a buyer selects a particular commodity, the price paid is transferred to the seller’s account before it is transferred to the seller’s account until confirmed by the seller’s receipt; and under block-chain technology, buyers and sellers can create smart contracts with the buyer’s confirmation of receipt before transferring the money, and, upon confirmation by the buyer, automatically execute the transfer contract by computer, thus significantly reducing the transaction cost. Smart contracts therefore allow for credible transactions without a third party, and these transactions are traceable, irreversible, safer than traditional contractual methods, and less costly.

以区块链为技术基础的智能合约大体分三类：一是“智能合约代码”，也就是常说的区块链代码。二是“智能法律合同”，即被用来指代该技术的特定应用，如用区块链来补充或代替现有法律合同的方式，成为智能合约代码和传统法律语言的整合。如ErisIndustries双集成系统、PrimaveradeFillipi加密账本交易法律框架和区块链联盟R3的智能合约系统Corda就是遵循该基本思路。三是“智能替代合约”，即用智能合约代码创建有商业价值的全新合同形式，如M2M(机器对机器)商业模式，在这种模式下，洗碗机能够自动购买清洁剂，汽车可以自动支付加油费。

Smart contracts based on block chains fall into three broad categories: first, “smart contract codes”, commonly referred to as block chain codes. Second, “intelligent legal contracts”, which are used to refer to specific applications of the technology, such as the use of block chains to supplement or replace existing legal contracts, become the integration of smart contract codes and traditional legal languages. Under these models, such as the ErisIndustries double integration system, the PrimaveradeFillipi legal framework for encrypting book transactions, and the Smart Contract System of the Block Chain Alliance R3, Corda follow this basic line. Third, “intelligent alternative contracts”, i.e., the creation of a new form of contract with commercial value using smart contract codes, such as the M2M (machine-to-machine) business model, where dishwashers can automatically buy cleaning agents and cars can automatically pay refuelling charges.

二、涉区块链纠纷解决方式的选择

II. Options for dispute resolution in relation to the block chain

（一）涉区块链纠纷的前瞻性展望

(i) A forward-looking outlook for disputes related to the block chain

基于智能合约的上述特点，有人提出智能合约可以完全消除纠纷的发生，因为协议各方达成一致意见后，交易将自动以离散的方式执行，人工无法干涉，纠纷无从而来。对于此观点，笔者难以苟同，主要有以下几个方面：

On the basis of the above-mentioned characteristics of an intelligent contract, it has been suggested that an intelligent contract can completely eliminate the occurrence of a dispute, since once the parties to the agreement have been reached, the transaction will be automatically executed in a discrete manner, with no artificial interference and no dispute will come to an end.

一是该观点是建立在这样一种假设，即协议各方是在一个仅限于数字交换的完美世界中开展交易，协议内容可以全部采用可执行的计算机指令形式表述且涵盖了所有可能出现的情形。从实践的角度看，商业合同中要求的大部分行为都发生在物理世界中，合同履行无法仅通过计算机执行，且合同履行过程中常常会出现事先未能预料到的情形，需要加入人为的干涉或主观判断。

The first is that the view is based on the assumption that the parties to an agreement deal in a perfect world limited to digital exchanges, where the content of the agreement can be expressed in the form of an enforceable computer directive and covers all possible situations. From a practical point of view, most of the acts required in a commercial contract take place in the physical world, the performance of the contract cannot be carried out solely through computers, and the performance of the contract is often preceded by unforeseen circumstances requiring artificial interference or subjective judgement.

二是智能合约能够自动执行，但是如何正确、合适地处理意外场景下的合约执行，是一个尚未解决的问题。比如通过智能合约，销售商或银行收回对尚未支付完价款或贷款的汽车的使用权。当需要收回的汽车正在高速公路上行驶，收回汽车使用权的操作将是十分危险的，如何准确判断汽车的可执行状态存在技术难点。

The second is that smart contracts can be executed automatically, but it is an open question how to deal correctly and appropriately with contract enforcement in the event of an accident. Through smart contracts, for example, a seller or bank recovers the right to use a car that has not yet paid its full price or loan.

三是智能合约具有去信任化的特点，这意味着如果该合约中出现错误，甚至一方在合约代码的设计过程中编入具有欺诈性质的程序，以非法取得对方的财产的情况下，智能合约无法被及时改正。现实生活中，这些问题可以通过中心化的系统撤销，但是智能合约则无法实现。这样的系统，反而可能带来新的纠纷。

The third is the detrusting nature of a smart contract, which means that an intelligent contract cannot be corrected in a timely manner if there is a mistake in the contract, or even if one party incorporates fraudulent procedures in the design of the contract code in order to illegally acquire the property of the other. In reality, these problems can be eliminated by a centralized system, but not by an intelligent contract. Such a system could lead to new disputes.

综上，笔者认为，就现有的技术来看，尽管可以通过事前设定自动执行的智能合约以避免部分纠纷，但不可能完全避免所有纠纷的发生，甚至可能基于智能合约的特点发生新类型纠纷。

In summary, I believe that, as far as available technology is concerned, although it is possible to avoid some disputes by pre-empting an automated intellectual contract, it is not possible to completely avoid all disputes, or even new types of disputes based on the characteristics of intelligent contracts.

（二）涉区块链纠纷解决方式的比较

(ii) Comparison of resolution of disputes involving the block chain

目前主流的纠纷解决方式包括调解、仲裁和诉讼。由于调解不具有裁判性质，因此主要的纠纷解决方式为仲裁和诉讼，两种方式各有利弊。根据两种纠纷解决方式的特点，笔者认为，仲裁是解决涉区块链纠纷的理想途径。主要有以下几方面的理由：

The prevailing methods of dispute resolution include mediation, arbitration, and litigation. Since conciliation is not adjudicatory in nature, the main methods of dispute resolution are arbitration and litigation, which have advantages and disadvantages. On the basis of the characteristics of the two modes of dispute resolution, I believe that arbitration is the ideal way to resolve disputes related to the block chain.

第一，仲裁的非国家性有利于涉区块链纠纷的跨国解决。区块链交易技术与协议各方的跨国特质，使得在涉区块链争议解决中，仲裁裁决依据《纽约公约》跨境执行具有巨大的便利优势。

First, the non-State nature of arbitration facilitates the cross-border resolution of disputes involving the block chain. The technology of block chain transactions and the transnational character of the parties to the agreement make cross-border enforcement of arbitral awards under the New York Convention a significant advantage in the resolution of disputes involving the block chain.

第二，仲裁程序的灵活性能够与新类型纠纷保持同步。仲裁程序可由协议各方定制，从而可以满足区块链技术的不断发展需求，使纠纷解决的机制与纠纷本身的发展保持同步。另外，仲裁的灵活性有助于避免区块链用户使用假名以及已公开区块不可改变所带来的程序困扰。

Second, the flexibility of arbitral proceedings can be synchronized with that of new types of disputes. The arbitration procedure can be customized by the parties to the agreement to meet the evolving needs of block chain technology and to synchronize dispute resolution mechanisms with the development of the dispute itself. Furthermore, the flexibility of arbitration helps to avoid procedural distress caused by the use of pseudonyms by the users of the block chain and the immutable nature of the published blocks.

第三，仲裁庭的专业性有利于涉区块链纠纷的最终解决。智能合约条款的内容不同于传统合约，对合约进行解释的难度较大。通常意义上的传统合约内容，往往是采用自然语言——例如汉语言文字或者外文文字——予以记载。但智能合约是利用计算机代码在合约方之间阐述、验证和执行合同，是用代码来表述合约内容。这些智能合约的工作原理类似于其他计算机程序的if-then语句，当一个预先设定的条件被触发时，智能合约就会执行相应的合同条款。因此，当与智能合约有关的纠纷起诉到法院时，对法官的职业素养提出了更高的要求。法官是法律方面的专家，但如果不熟悉计算机代码技术，便不能像审理其他传统合约案件一样，清晰地了解合约内容，从而正确地适用法律进行裁判。解决前述困境的途径有三种：

Third, the professional nature of the arbitral tribunal is conducive to the ultimate resolution of disputes involving block chains. The contents of smart contract terms are different from those of traditional contracts, which are more difficult to interpret. Traditional contract content is often documented in natural languages, such as Chinese or foreign text.

一是法官和人民陪审员组成合议庭，吸纳计算机方面的专家作为专家型人民陪审员，协助法官对智能合约进行解读。但专家型的人民陪审员的灵活性远不及仲裁员的选择，因为专家型人民陪审员通常是由法院预先确定的。尽管其是计算机方面的专家，但由于专家型人民陪审员的人数限制，或者由于法院对纠纷的专业特性不甚了解，导致预先确定的专家型人民陪审员并非解决涉案纠纷的特定领域专家。

The first is that judges and people’s assessors form collegiate panels that include computer experts as expert people’s assessors to assist judges in interpreting smart contracts. But the flexibility of expert people’s jurors is far from equal to that of arbitrators, since expert people’s assessors are usually pre-determined by the courts. Although they are computer experts, they are not experts in specific fields of dispute resolution because of limitations on the number of expert people’s assessors or because the courts are not aware of the professional nature of the dispute.

二是庭审中由当事人引入专家证人以其对区块链技术的专业知识来向审判组织阐明、解释有关内容。但专家证人出庭作证并不是一项简单的工作，其需要准备非常多的材料，收集案件证据，然后作出结论意见，这其中花费的时间最终会体现在诉讼成本上。另外，由于专家证人由一方当事人申请，其在法庭上发表的专业意见难以避免地会向对申请方有利的一面倾斜，偏离了客观中立的准则。

The second is the introduction by the parties of expert witnesses in court of their expertise in block chain techniques to explain and explain the content to the trial organization. But expert witnesses testify in court is not a simple exercise, and they need to prepare very much material, collect evidence in the case and then make concluding remarks, which ultimately takes time to reflect the costs of the proceedings. Moreover, as expert witnesses are requested by a party, it is difficult to avoid giving professional opinions in court in favour of the applicant, which deviates from the criteria of objective neutrality.

三是法官在庭后咨询请教熟悉计算机技术的一些专家学者，让他们辅助对合同进行内容的解释与说理。但被请教的专家学者在不完全了解案件情况的前提下提供的意见可能是片面的，该意见未经庭审质证辩论，就被作为认定事实的依据之一也有较大风险。此外，该做法有违审判秘密的保护。

Third, after the judge consults with a number of expert scholars who are familiar with computer technology to assist in the interpretation and interpretation of the content of the contract. But the opinion given by the invited expert scholars without being fully aware of the circumstances of the case may be one-sided, and there is a greater risk that it will be used as a basis for finding the facts without being heard. Moreover, this practice is contrary to the protection of the confidentiality of the trial.

相比之下，仲裁程序较好地解决了裁判过程中的专业性障碍。由于当事人最了解纠纷中的专业问题，其知晓该领域的专家，而仲裁员的选任由当事人主导，甚至可以通过特定仲裁条款突破仲裁员名册的范畴，因此当事人可以指定其信任的专家，从而更有利于纠纷被专业地裁决。

By contrast, arbitral proceedings better address the professional obstacles in the decision process. Since the parties are best acquainted with the professional issues in the dispute, they know the experts in the field, and the selection of arbitrators is dominated by the parties, even through a specific arbitration clause, the parties may appoint experts to whom they trust, thereby facilitating the professional adjudication of the dispute.

最后，仲裁还有利于实现涉区块链纠纷的闭环解决方案。仲裁庭可以读取区块链中存储的证据从而作出裁决，同时再将裁决储存到区块链中（如果裁决事项涉及数字资产的交易，该裁决还可以自动执行）。事实上，模拟仲裁已经在区块链上成功地开展。

Finally, arbitration is also conducive to achieving a closed-ring solution to block chain disputes. The arbitral tribunal may take evidence stored in the block chain and make its decision, while storing the award in the block chain (and, if the award relates to transactions involving digital assets, the award can also be enforced automatically). In fact, the moot arbitration has been successfully conducted on the block chain.

三、涉区块链纠纷对仲裁的挑战及应对措施

III. Challenges to arbitration and responses to block chain disputes

证据是纠纷解决中的核心。相比较传统纠纷解决方式，涉区块链纠纷的证据大部分是电子证据，如何对这些证据进行合法合理地存证，以及仲裁庭如何对存证的电子数据进行认定，是仲裁亟需解决的问题。

Evidence is at the core of dispute resolution. Compared to traditional dispute resolution, evidence relating to block chain disputes is mostly electronic evidence, how such evidence can be legitimately and reasonably documented, and how the arbitral tribunal determines the electronic data on which the evidence is stored, is an urgent issue for arbitration.

（一）涉区块链纠纷的存证

(i) Documentation of block chain disputes

涉区块链的存证业务流程主要包括：用户在业务平台注册并进行实名身份认证、用户获取平台方颁发的数字证书、用户在平台上开展业务、业务平台在业务节点留取电子签名后的电子数据，完成交易，并将交易内容存储入区块链。

Documented business processes related to block chains include, inter alia, user registration and real name authentication on the business platform, user access to platform-issued digital certificates, user operations on the platform, business platform electronic data after business nodes retain electronic signatures, complete transactions and store transaction content into block chains.

前述过程具体涉及如下几个关键节点：

The aforementioned process involves, in particular, the following key nodes:

一是业务平台注册和实名认证。用户在业务平台进行注册，业务平台需要对用户的身份进行实名认证才可以进行下一步操作，用户在注册后要求对个人或者企业身份进行核验，个人核验主要通过姓名、身份证号码、身份证正反面照片、银行卡号、人脸识别等信息完成，企业核验主要通过企业名称、法定代表人信息、代理人信息、企业统一信用代码或者组织机构代码等信息完成。当核验通过后，由平台或权威第三方CA机构给个人或者企业颁发数字证书，作为网络中代表身份的统一标识。

The user is registered on the business platform, the business platform needs to authenticate the identity of the user, the user requires verification of the identity of the individual or the business, personal verification is done mainly through information such as name, ID number, negative photo of the identity card, bank card number, face recognition, etc., and enterprise verification is done mainly through information such as the name of the business, legal representative information, proxy information, corporate uniform credit code or organizational code.

二是待存证数据的产生。用户在每次进行关键业务操作时都要进行对操作内容的可靠电子签名和对电子签名动作的真实意愿表达。电子签名是指数据电文中以电子形式所含、所附用于识别签名人身份并表明签名人认可其中内容的数据。通俗点说，电子签名就是通过密码技术对电子文档进行电子形式的签名，并非是书面签名的数字图像化，它类似于手写签名或印章，也可以说就是电子印章。

Second is the generation of pending data. Each time a user performs a critical business operation, it performs a reliable electronic signature of the operational content and a genuine expression of will to the electronic signature action. An electronic signature is the data contained in the data message in electronic form, which is used to identify the signatory and indicate its approval by the signatory. It is commonly said that an electronic signature is an electronic signature of the electronic document through password technology, not a digital visualization of a written signature, which is similar to a handwritten signature or seal, or an electronic stamp.

三是数据存储。区块链中记录的是交易信息，通过前面的两步产生了待存储的证据数据，该数据由可检索的标识和电子签名结果组成，按照区块链数据存储的原理，由分布式的记账节点竞争记账权，当某个节点竞争胜出拥有记账权，该节点把待存储的证据数据打包存储在区块链的节点上同时加盖时间戳。由于区块链是一个完全分布式的结构，这样所有的节点都拥有了这个数据。由于第三方存证平台是系统中的某一节点，其也相应记载了系统中交易的电子数据。

Third is data storage. The chain of blocks contains transactional information, resulting in evidence data to be stored through the first two steps, consisting of searchable markings and electronic signature results, which, in accordance with the principle of block chain data storage, are competitive rights to account by distributed account nodes, which, when a node competes for rights to account, packs the evidence data to be stored together with a time stamp on the node of the block chain. Since the block chain is a fully distributed structure, all nodes possess this data. Since the third-party record platform is a particular node in the system, it also records the electronic data of transactions in the system accordingly.

（二）涉区块链纠纷的链上证据审查

(ii) Linked evidence review of block chain disputes

所谓“链上证据”是指智能合约履行过程中，同步存储于区块链上的交易信息。对于此部分电子证据的审查，仍旧围绕证据的三性，即真实性、关联性、合法性。鉴于电子数据具有虚拟性、易损性、不易感知等特性，导致了电子数据的真实性、客观性在纠纷解决中成为当事人争议的焦点。对电子数据真实性的审查主要关注电子数据的生成、收集以及保存与传送。

The review of this part of the electronic evidence continues to revolve around three elements of the evidence, namely authenticity, relevance, legitimacy. Given the virtuality, vulnerability, invisibility, etc., of electronic data, this leads to the authenticity of electronic data and objectivity becoming the focus of the parties' dispute in dispute resolution. The review of the authenticity of electronic data focuses on the generation, collection and preservation and transmission of electronic data.

一是链上电子数据的生成。此部分主要审查电子数据来源上是否具有唯一性、确定性。针对电子数据的生成，其存储介质及程序运行过程均将影响电子数据的真实性。从存储介质来看，电子数据生成时，其所存的网络空间或软硬盘功能是否正常，会影响电子数据的真实性。从运行过程来看，生成电子数据的程序有无故障、能否正常运行以及是否会遭受人为干扰都可能影响电子数据的真实性。区块链由于其分布式特性，数据是存放在系统中每个节点上的，所以小部分节点的数据损坏是不会影响到整体系统的运行，保障了所存电子数据的真实性。

The first is the generation of electronic data on the chain. This part examines, inter alia, whether the electronic data source is unique and certain. For the generation of electronic data, both its storage medium and the process of running it will affect the authenticity of electronic data. From the storage medium, whether the electronic data is generated in a normal cyberspace or diskette function will affect the authenticity of electronic data. From the operating process, the failure of the process of generating electronic data, its proper operation and whether it will be subjected to human interference may affect the authenticity of electronic data. Because of its distributional properties, the data stored on each node of the system, the data damage at a small part of the node will not affect the operation of the system and will safeguard the authenticity of the stored electronic data.

二是链上电子数据的收集。此部分主要审查电子数据的提取是否完整，是否符合客观、完全、恰当的要求，是否存在纂改可能。在收集电子数据时，一定要以全面收集为原则，以保证电子数据的完整性。基于区块链的数据存证系统，在产生存证数据时由于是由可靠电子签名产生，确保了当事人是本人操作，数据真实有效，通过区块链的数据存证系统自动存储数据，一方面排除了收集人员主观因素的影响，保障了所得电子数据的真实性；另一方面也杜绝了中心化第三方存证的可纂改风险。

The second is the collection of electronic data on the chain. This part examines whether the extraction of electronic data is complete, compatible with objective, complete and appropriate requirements, and whether there is a possibility of modification. In the collection of electronic data, it is important to ensure the integrity of electronic data by using the principle of comprehensive collection as a basis for the collection of electronic data.

三是链上电子数据的保存。电子数据具有不易感知的特点，且对于存储软件或载体较为敏感。在保存过程中，即使发生变化也很难为人所识别。而且在保存过程中容易出现误差、删改等不良操作。基于区块链的数据存证系统具有分布式、自信任的特点，任何一个节点的损坏或失效都不会影响整个系统的运作。对电子数据进行分布式存储保障了电子数据的安全，且能够保证整个系统中的所有节点能够在自信任的环境下自动安全地交换数据，不会出现电子数据不可修复的情况。同时，区块链结构中也存储了对存证数据的摘要，可以通过数学算法很容易地验证存储的原始数据是否遭到纂改。

Three are the preservation of electronic data on the chain. Electronic data are not easily perceptible and sensitive to the storage of software or carriers. It is difficult to recognize, even if changes occur, during the preservation process. It is also difficult to identify bad practices, such as errors, deletions, etc. During the preservation process. Data-processing systems based on block chains are distributed and self-trusted, and damage or failure of any node does not affect the entire system. Distributed storage of electronic data guarantees the security of electronic data and ensures that all nodes throughout the system are able to exchange data automatically and safely in a trusted environment.

四是链上电子数据的传送。电子数据从最开始产生到最终被仲裁庭提取使用，可能会经过若干环节的传送。在传送的过程中应当考虑电子数据是否有可能被删减或修改。以时间为维度的话，则该传送过程应能够形成一条封闭的“线”，即电子数据的保管链条。建立保管链条的目的在于保护证据的真实性，由此可以杜绝诉讼他方对该证据可靠性的质疑。目前的电子数据传送，无法保证传送链条的真实有效性，该证据也就有可能会因为真实性原因，被仲裁庭拒绝。区块链具有公开透明、以及集体维护等技术特性，保证存证在区块链上的数据是公开的，任何人都可以通过公开的接口查看区块链上的数据信息。而且通过单个节点对账本的篡改是无效的，也无法影响其他节点上的数据内容。这样，存证数据一旦存储到区块链上，所有节点上也会同步拥有，就不会存在其它中间环节，保证了电子数据传送的真实性。

The aim of the chain of custody is to protect the authenticity of the evidence, thereby preventing the prosecution from questioning the reliability of the evidence. The current electronic data transfer, which does not guarantee the authenticity of the chain, may be rejected by the arbitral tribunal for reasons of authenticity. The technical characteristics of the chain, such as open transparency and collective maintenance, should be taken into account. The chain of custody should be able to form a closed “line”, i.e. the chain of custody of the electronic data.

如前所述，智能合约在履行过程中，相关交易数据同步记载于区块链每个节点之上，且不易被纂改，并形成完整的保管链条。仲裁庭在审查链上电子证据时，基本可以直接确认其真实性。

As noted earlier, in the course of performing an intelligent contract, the relevant transaction data are synchronized over each node of the block chain and are not easily modified and form a complete chain of custody. The arbitral tribunal can generally directly confirm the authenticity of the electronic evidence on the chain.

（三）涉区块链纠纷的非链上证据审查

(iii) Non-chained review of evidence related to block chain disputes

正如本文所述，区块链的应用并非是在一个完美的数字世界中，而往往会牵涉到物理世界。因而，涉区块链纠纷中亦会存在非同步存储于区块链上的证据（例如，双方当事人在合同签订或者履行过程中的线下磋商或者涉及非合同方当事人的证据），当事人可能在纠纷发生时将非链上证据通过第三方平台存证至区块链上。由于该存证发生于交易发生后，因此，对此类证据的审查区别于交易发生时同步存储于区块链上的链上证据。对于这些非链上电子证据的审查，笔者认为可以从以下几个方面进行把握：

As noted here, blocks chains are not applied in a perfect digital world, but often involve the physical world. Thus, non-synchronous evidence is also available in block chain disputes (e.g., under-theline consultations between the parties during the signing or performance of the contract or evidence involving non-contracting parties), and the parties may record non-chain evidence through a third-party platform to the block chain at the time of the dispute. Since the record occurred after the transaction, the examination of such evidence was distinguished from evidence in the chain that was stored simultaneously in the chain at the time of the transaction.

第一，审查存证平台的资质。主要是审查第三方存证平台是否独立于案件当事人，比如第三方存证平台的股东及经营范围是否区别于案件当事人，是否具有中立性。另外，第三方存证平台是否通过国家网络与信息安全产品质量监督检验中心完整性鉴别检测。

First, it reviews the qualifications of the record-keeping platform. It reviews primarily whether the third-party record-keeping platform is independent of the parties to the case, such as the shareholders of the third-party record-keeping platform and its scope of operation, and is neutral.

第二，审查取证技术手段的可信度。审查第三方存证平台采用的技术是否能够确保不受病毒和木马感染的入侵，是否获得网站安全一级认证证书等。若具备前述条件，在无相反证据否定的情况下，应认定该第三方存证平台具有电子数据存证的安全环境。例如，第三方存证平台在收到网页URL时，会自动请求互联网环境下的目标地址，目标地址自动返回状态码及网页信息，以确认请求的URL系有效的可访问地址，从而确保链接的抓取是在互联网环境下进行。

Second, to examine the credibility of forensic techniques. To examine whether the technology employed by the third-party record-keeping platform ensures protection against virus and wooden horse infections and whether it obtains, for example, a website security level certification certificate. If the above-mentioned conditions are met, the third-party record-keeping platform should be found to have a secure environment for electronic data storage, without adverse evidence to the contrary. For example, when the third-party record-keeping platform receives a web page URL, it automatically requests a target address in the Internet environment, the target address returns automatically to the status code and web information to confirm that the requested URL is a valid access address, thus ensuring that the link is captured in an Internet environment.

第三，审查电子证据保存的完整性。由于区块链具有难以纂改、删除的特点，在确认诉争电子数据已保存至区块链后，可以认定电子证据的内容具有完整性。因此，要审查电子证据的完整性即在于审查电子数据是否已上传至区块链，可以从电子数据是否真实上传和上传的电子数据是否为诉争的电子数据两方面进行审查。根据当事人展示的数据指纹（即哈希值）在区块链中进行搜索和比对，一方面可以通过查看该数据指纹被写入区块链的时间来确定该电子数据是否真实上传以及上传的时间；另一方面可以通过比对数据指纹是否一致来确定电子数据是否遭到了篡改，从而确认电子证据保存的完整性，即从上链至今保存完整、未被修改。

Third, to review the integrity of electronic evidence preservation. Because of the difficult character of block chains to modify and delete, the integrity of the content of electronic evidence can be determined by confirming that the electronic data in dispute has been stored in the block chain. Thus, the integrity of electronic evidence is to examine whether the electronic data has been uploaded to the block chain and can be reviewed from the point of view of whether the electronic data has been genuinely uploaded and uploaded to the electronic data. On the basis of the fingerprint (i.e. the Hashi value) displayed by the party, the search and comparison in the block chain can be made, on the one hand, to determine whether the electronic data has been genuinely uploaded and time of uploading, and, on the other hand, to ascertain whether the electronic data has been tampered with by comparing the consistency of the digital fingerprints, thus confirming the integrity of the preservation of electronic evidence, i.e., that it has remained intact and unmodified from the upper chain to the present.

虽然涉区块链纠纷尚未大量产生，但技术革新的高速，使得区块链技术在不久的将来会被大量应用于商业实践中。为此，本文拟通过对涉区块链纠纷的前瞻性展望，以期为即将到来的新类型纠纷做好准备。

Although no significant number of block chain disputes have yet arisen, the rapid pace of technological innovation has made it possible for block chain technology to be used extensively in business practice in the near future. To this end, it is proposed to adopt a forward-looking vision of block chain disputes with a view to preparing for new types of disputes that are about to come.

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Shanghai City Law Society welcomes your contribution.

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来源：《上海法学研究》集刊2019年第17卷（上海国际经济贸易仲裁委员会卷）。转引转载请注明出处。

Source: Shanghai Law Study, vol. 17, 2019 (Shanghai International Economic and Trade Arbitration Commission volume).

原标题：《吴慧琼：涉区块链纠纷解决方式的选择及应用》

Original title: Oh Hye-jun: Choice and application of dispute resolution in relation to the block chain