GB/Z 205-2026 区块链和分布式记账技术 治理指南

ICS35.240

CCSL70

中华人民共和国国家标准化指导性技术文件

GB/Z205—2026/ISO/TS23635：2022

区块链和分布式记账技术治理指南

Blockchainanddistributedledgertechnologies—Guidelinesforgovernance

（ISO/TS23635：2022，IDT）

2026⁃07⁃30发布

国家市场监督管理总局

国家标准化管理委员会发布

GB/Z205—2026/ISO/TS23635：2022

目次

前言··························································································································Ⅲ

引言··························································································································Ⅳ

1范围·······················································································································1

2规范性引用文件········································································································1

3术语和定义··············································································································1

4治理原则·················································································································1

4.1概述·················································································································1

4.2原则·················································································································2

4.2.1原则1：定义实体参与方的标识符·······································································2

4.2.2原则2：实现去中心化决策················································································2

4.2.3原则3：明确问责机制······················································································2

4.2.4原则4：公开透明····························································································2

4.2.5原则5：激励机制与系统治理目标一致·································································2

4.2.6原则6：性能和可扩展性···················································································2

4.2.7原则7：基于风险的决策及合规义务履行······························································2

4.2.8原则8：保证安全和隐私···················································································2

4.2.9原则9：满足互操作性要求················································································2

5DLT系统治理框架····································································································3

5.1概述·················································································································3

5.2与其他治理框架的比较·························································································3

5.3DLT系统治理的考虑事项·····················································································3

5.4决策权和决策制定·······························································································5

5.5问责机制···········································································································6

5.6激励与激励机制··································································································6

6不同类型DLT系统的治理··························································································7

6.1DLT系统类型····································································································7

6.2许可DLT系统的治理··························································································9

6.3非许可公有DLT系统的治理················································································10

7系统生命周期治理和内容治理····················································································10

7.1DLT系统生命周期治理·······················································································10

7.1.1概述··········································································································10

7.1.2创建阶段治理······························································································11

7.1.3运行阶段治理······························································································11

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GB/Z205—2026/ISO/TS23635：2022

7.1.4终止阶段治理······························································································12

7.2DLT系统环境治理·····························································································12

7.2.1DLT治理概览·····························································································12

7.2.2数据··········································································································12

7.2.3协议··········································································································13

7.2.4应用程序····································································································13

7.2.5组织机构····································································································13

8治理框架中的角色···································································································13

9治理工具···············································································································15

9.1概述················································································································15

9.2账本内及账本外治理工具·····················································································16

9.2.1概述··········································································································16

9.2.2账本内治理工具···························································································16

9.2.3账本外治理工具···························································································17

9.3实现治理机制的相关考虑·····················································································17

9.3.1适应性·······································································································17

9.3.2风险··········································································································17

9.3.3隐私··········································································································18

10互操作治理···········································································································19

参考文献····················································································································21

Ⅱ

GB/Z205—2026/ISO/TS23635：2022

前言

本文件为规范类指导性技术文件。

本文件按照GB/T1.1—2020《标准化工作导则第1部分：标准化文件的结构和起草规则》的规

定起草。

本文件等同采用ISO/TS23635：2022《区块链和分布式记账技术治理指南》，文件类型由ISO

的技术规范调整为我国的国家标准化指导性技术文件。

请注意本文件的某些内容可能涉及专利。本文件的发布机构不承担识别专利的责任。

本文件由中华人民共和国工业和信息化部提出。

本文件由全国区块链和分布式记账技术标准化技术委员会（SAC/TC590）归口。

本文件起草单位：中国电子技术标准化研究院、中船（浙江）海洋科技有限公司、深圳大学、杭州趣

链科技股份有限公司、广州赛西标准检测研究院有限公司、科大讯飞股份有限公司、暗链科技（深圳）有

限公司、四川港投数智物贸产业发展有限公司、中国工商银行股份有限公司、远光软件股份有限公司、

安徽中科晶格技术有限公司、中移动信息技术有限公司、上海零数众合信息科技有限公司、中国民航信

息网络股份有限公司、广东电网有限责任公司广州供电局、深圳前海微众银行股份有限公司、复旦大

学、杭州高新区（滨江）区块链与数据安全研究院、地纬智能科技股份有限公司、暨南大学、广东粤电信

息科技有限公司、南方电网互联网服务有限公司、广东烟草东莞市有限公司、广东省电信规划设计院有

限公司。

本文件主要起草人：孙琳、王文亮、刘伟丽、郑佩玉、兰春嘉、任园、吴刚、李努锲、毛超逸、陈颖妍、

程晗蕾、程昊天、马志宇、周胜坤、颜爱军、王泽昊、阚海斌、杜静漪、仪莉、胡喆、高海东、翁健、高玉翔、

马吉顺、韩鹏、张晴、杨珍、詹大卫、蔺静茹、叶昕、赵培、房东尧、鲁静、吴晶、黄士超、宋文鹏、林炀平、

闵新平、曾哲君、李明、李成博、刘厚钦、桂媛、周天、胡周达、钱漫。

Ⅲ

GB/Z205—2026/ISO/TS23635：2022

引言

本文件探讨了分布式记账技术（DLT）系统中，如何有效且高效地运行关键治理要素，如决策权、问

责和激励机制。鉴于DLT系统快速发展的特性及广泛应用，本文件在多种情境下提供了指导和规范。

DLT系统挑战了现有的治理观念。在非许可的公有分布式账本中，系统可能包含无数潜在的匿

名DLT用户和节点。即使是许可的公有区块链，也可能拥有混合治理结构，结合了中心化和去中心化

的治理要素。在缺乏中央治理机构的情况下，分布式账本系统在所有权、决策权、问责和透明度以及激

励机制等方面的治理问题，无法仅通过传统的治理机制来解决。因此，对于DLT系统而言，重要的是

参与者要明确其身份，并确定谁负责且能指导及控制DLT系统的运行，或者至少能参与DLT系统的

发展。对于组织和更广泛的行业而言，在缺乏有效的DLT治理机制的情况下参与DLT系统的发展

是不可取的。

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GB/Z205—2026/ISO/TS23635：2022

区块链和分布式记账技术治理指南

1范围

本文件给出了分布式记账技术（DLT）系统的治理指导原则和框架。

本文件适用于指导分布式记账技术系统的风险、监管环境等相关治理，以实现有效、高效、规范的

分布式记账技术系统应用。

2规范性引用文件

下列文件中的内容通过文中的规范性引用而构成本文件必不可少的条款。其中，注日期的引用文

件，仅该日期对应的版本适用于本文件；不注日期的引用文件，其最新版本（包括所有的修改单）适用于

本文件。

ISO22739区块链和分布式记账技术术语（Blockchainanddistributedledgertechnologies—

Vocabulary）

注：GB/T43572—2023区块链和分布式记账技术术语（ISO22739：2020，IDT）

3术语和定义

ISO22739界定的以及下列术语和定义适用于本文件。

ISO和IEC维护的用于标准化的术语数据库网址如下：

——ISO在线浏览平台：https：///obp

——IEC电工百科：https：///

3.1

分布式记账技术治理distributedledgertechnologygovernance

DLT治理DLTgovernance

指导和控制分布式记账技术系统，包括账本内和账本外决策权分配、激励、责任和职责。

3.2

治理实体governingbody

对分布式记账技术治理的性能与合规性负责的实体。

4治理原则

4.1概述

本章节规定了九项面向DLT系统治理的行动原则，后续文件会更详细地阐述。这些原则帮助利

益相关方评估和改进治理机制、结构和活动，并实现治理目标，即有效、高效和规范地使用DLT系统。

同时也实现了对利益相关方在治理框架内履行职责的正确激励。

DLT系统的治理宜包括在其创建、运行和终止过程中致力于解决可持续性问题。

注：关于可持续性问题的有用信息源自ISO26000和《联合国可持续发展目标（SDGs）》。

治理原则为DLT系统的机制、结构和活动的实施提供了基础。每项原则表述其重要性和宜采取

的措施，但没有规定这些行动如何、何时或由谁实施，这取决于DLT系统的性质。

1