Blockchain-based compliance auditing method, device, system and storage medium

Abstract

Embodiments of the present application provide a compliance audit method, device and system based on a blockchain and a storage medium. The method comprises: a first blockchain node corresponding to a subordinate unit receiving business application data submitted by a business terminal of the subordinate unit; further, if the business application data satisfies an intelligent contract in the first blockchain node, the first blockchain node synchronizes the business application data to a second blockchain node corresponding to a superior unit, so that a business terminal of the superior unit can approve the business application data obtained from the second blockchain node. It can be seen that the embodiments of the present application realize real-time automatic auditing of the business application data submitted by the business terminal of the subordinate unit, and improve the auditing efficiency. On the other hand, by using the non-tamperable nature of the data in the blockchain node, the authenticity of the audited data can also be improved, thereby being conducive to improving the accuracy of the compliance audit result.

Description

Technical Field

[0001] The present application relates to the field of Internet technology, and in particular to a blockchain-based compliance audit method, device, system, and storage medium. Background Art

[0002] At present, in order to supervise the economic activities of the units to ensure that they comply with national laws, regulations, guidelines and policies, and internal control systems, audits are conducted on the audited units (such as subordinate units and / or superior units) through compliance audits.

[0003] Figure 1 The following is a schematic diagram of the compliance audit method in the prior art. Figure 1 As shown, the business terminals of subordinate units and the business terminals of superior units are typically independent of each other. Subordinate units cannot submit their business data to their superior units for review before executing their business. Typically, the business data for that period is sent to the superior unit's business terminal via the subordinate unit's business terminal at regular intervals. After reviewing the business data of each subordinate unit, the superior unit's business terminal sends the business data, the corresponding review results, and the pending review information of the superior unit's business data to the audit unit's audit terminal, enabling auditors to conduct compliance audits on the pending review information received by the audit terminal.

[0004] It can be seen that the existing compliance audit method is a post-audit, which cannot guarantee that the information to be audited received by the audit terminal of the audit unit is true and has not been tampered with, resulting in the low accuracy of the existing compliance audit results. Summary of the Invention

[0005] The embodiments of the present application provide a blockchain-based compliance audit method, device, system, and storage medium, which solve the problem of low accuracy of existing compliance audit results.

[0006] In a first aspect, an embodiment of the present application provides a blockchain-based compliance audit method, comprising:

[0007] The first blockchain node receives business application data submitted by the business terminal of the subordinate unit;

[0008] If the business application data satisfies the smart contract in the first blockchain node, the first blockchain node synchronizes the business application data to the second blockchain node corresponding to the superior unit, so that the superior unit's business terminal can review and approve the business application data obtained from the second blockchain node;

[0009] The smart contract includes preset business rules for compliance audits.

[0010] In one possible implementation, before the first blockchain node synchronizes the business application data to the second blockchain node corresponding to the superior unit, the process further includes:

[0011] The first blockchain node receives the smart contract synchronized by the third blockchain node corresponding to the audit unit, wherein the smart contract is loaded onto the third blockchain node by the audit terminal of the audit unit.

[0012] In one possible implementation, after the first blockchain node synchronizes the business application data to the second blockchain node corresponding to the superior unit, the process further includes:

[0013] The first blockchain node receives the approval result information sent by the second blockchain node, so that the business terminal of the subordinate unit obtains the approval result information from the first blockchain node, wherein the approval result information is the result information of the approval of the business application data by the business terminal of the superior unit.

[0014] In a possible implementation, the method further includes:

[0015] The first blockchain node synchronizes the business application data to a third blockchain node corresponding to the audit unit.

[0016] In one possible implementation, after the first blockchain node receives the business application data submitted by the business terminal of the subordinate unit, the following steps are further included:

[0017] If the business application data does not satisfy the smart contract in the first blockchain node, the first blockchain node saves the compliance audit failure information so that the business terminal of the subordinate unit obtains the compliance audit failure information from the first blockchain node.

[0018] In a second aspect, an embodiment of the present application provides a blockchain-based compliance audit method, including:

[0019] The second blockchain node receives business application data sent by the first blockchain node corresponding to the subordinate unit, wherein the business application data satisfies the smart contract in the first blockchain node; the smart contract includes preset business rules for compliance audit;

[0020] The second blockchain node stores the business application data so that the business terminal of the superior unit can approve the business application data obtained from the second blockchain node.

[0021] In one possible implementation, after the second blockchain node stores the business application data so that the business terminal of the superior unit approves the business application data obtained from the second blockchain node, the process further includes:

[0022] The second blockchain node receives the approval result information of the business application data submitted by the business terminal of the superior unit;

[0023] The second blockchain node synchronizes the approval result information to the first blockchain node and the third blockchain node corresponding to the audit unit respectively.

[0024] In a third aspect, the present application provides a blockchain-based compliance audit method, including:

[0025] The third blockchain node receives a smart contract loaded by an audit terminal of an audit unit, wherein the smart contract includes preset business rules for compliance audit;

[0026] The third blockchain node synchronizes the smart contract to the first blockchain node corresponding to the subordinate unit, wherein the smart contract is used by the first blockchain node to approve the business application data submitted by the business terminal of the subordinate unit.

[0027] In one possible implementation, after the third blockchain node synchronizes the smart contract to the first blockchain node corresponding to the subordinate unit, the process further includes:

[0028] The third blockchain node receives the business application data synchronized by the first blockchain node, wherein the business application data satisfies the smart contract.

[0029] In one possible implementation, after the third blockchain node synchronizes the smart contract to the first blockchain node corresponding to the subordinate unit, the process further includes:

[0030] The third blockchain node receives the approval result information synchronized by the second blockchain node corresponding to the superior unit, wherein the approval result information is the approval result information of the business application data received by the second blockchain node from the business terminal of the superior unit.

[0031] In a fourth aspect, an embodiment of the present application provides a blockchain node, wherein the blockchain node is a first blockchain node corresponding to a subordinate unit, including:

[0032] The first receiving module is used to receive business application data submitted by the business terminal of the subordinate unit;

[0033] a first synchronization module, configured to synchronize the business application data to a second blockchain node corresponding to a superior entity if the business application data satisfies the smart contract in the first blockchain node, so that the superior entity's business terminal can review and approve the business application data obtained from the second blockchain node;

[0034] The smart contract includes preset business rules for compliance audits.

[0035] In a fifth aspect, an embodiment of the present application provides a blockchain node, wherein the blockchain node is a second blockchain node corresponding to a superior unit, including:

[0036] A first receiving module is configured to receive business application data sent by a first blockchain node corresponding to a subordinate unit, wherein the business application data satisfies a smart contract in the first blockchain node; the smart contract includes preset business rules for compliance auditing;

[0037] A saving module is used to save the business application data so that the business terminal of the superior unit can approve the business application data obtained from the second blockchain node.

[0038] In a sixth aspect, an embodiment of the present application provides a blockchain node, where the blockchain node is a third blockchain node corresponding to the audit unit, including:

[0039] A first receiving module is configured to receive a smart contract loaded by an audit terminal of an audit unit, wherein the smart contract includes preset business rules for compliance audit;

[0040] A synchronization module is used to synchronize the smart contract to the first blockchain node corresponding to the subordinate unit, wherein the smart contract is used by the first blockchain node to approve the business application data submitted by the business terminal of the subordinate unit.

[0041] In a seventh aspect, an embodiment of the present application provides a blockchain node, wherein the blockchain node is a first blockchain node corresponding to a subordinate unit, including: a memory and a processor;

[0042] Wherein, the memory is used to store program instructions;

[0043] The processor is configured to call and execute program instructions stored in the memory. When the processor executes the program instructions stored in the memory, the first blockchain node is configured to execute the method described in any implementation of the first aspect.

[0044] In an eighth aspect, an embodiment of the present application provides a blockchain node, wherein the blockchain node is a second blockchain node corresponding to a superior unit, including: a memory and a processor;

[0045] Wherein, the memory is used to store program instructions;

[0046] The processor is configured to call and execute program instructions stored in the memory. When the processor executes the program instructions stored in the memory, the second blockchain node is configured to execute the method described in any implementation of the second aspect.

[0047] In a ninth aspect, an embodiment of the present application provides a blockchain node, wherein the blockchain node is a third blockchain node corresponding to the audit unit, including: a memory and a processor;

[0048] Wherein, the memory is used to store program instructions;

[0049] The processor is configured to call and execute program instructions stored in the memory. When the processor executes the program instructions stored in the memory, the third blockchain node is configured to execute the method described in any implementation of the third aspect.

[0050] In the tenth aspect, an embodiment of the present application provides a blockchain-based compliance audit system, including: the first blockchain node described in the seventh aspect above, the second blockchain node described in the eighth aspect above, and the third blockchain node described in the ninth aspect above.

[0051] In the eleventh aspect, an embodiment of the present application provides a computer-readable storage medium, in which instructions are stored. When the instructions are executed on a computer, the computer executes the method described in any implementation of the first aspect, the method described in any implementation of the second aspect, or the method described in any implementation of the third aspect.

[0052] The blockchain-based compliance audit method, device, system and storage medium provided in the embodiment of the present application, after receiving the business application data submitted by the business terminal of the subordinate unit, the first blockchain node corresponding to the subordinate unit determines whether the above-mentioned business application data complies with the preset compliance audit business rules in the above-mentioned smart contract. Furthermore, when the first blockchain node determines that the business application data complies with the above-mentioned preset compliance audit business rules, it synchronizes the business application data to the second blockchain node corresponding to the superior unit, so that the business terminal of the superior unit can approve the business application data obtained from the second blockchain node. It can be seen that the embodiment of the present application realizes real-time automatic review of the business application data submitted by the business terminal of the subordinate unit, thereby improving the review efficiency; on the other hand, by utilizing the immutability of the data in the blockchain node, the authenticity of the audited data can also be improved, which is conducive to improving the accuracy of the compliance audit results. BRIEF DESCRIPTION OF THE DRAWINGS

[0053] Figure 1 A schematic diagram of a compliance audit method in the prior art;

[0054] Figure 2 Schematic diagram of application scenarios provided by embodiments of the present application;

[0055] Figure 3 A flowchart of a blockchain-based compliance audit method provided in one embodiment of the present application;

[0056] Figure 4 A flowchart of a blockchain-based compliance audit method provided in another embodiment of the present application;

[0057] Figure 5 A flowchart of a blockchain-based compliance audit method provided in another embodiment of the present application;

[0058] Figure 6 A flowchart of a blockchain-based compliance audit method provided in another embodiment of the present application;

[0059] Figure 7 A schematic diagram of the structure of a blockchain node provided in one embodiment of the present application;

[0060] Figure 8 A schematic diagram of the structure of a blockchain node provided in another embodiment of the present application;

[0061] Figure 9 A schematic diagram of the structure of a blockchain node provided in another embodiment of the present application;

[0062] Figure 10 A schematic diagram of the structure of a blockchain node provided in another embodiment of the present application. DETAILED DESCRIPTION

[0063] First, the application scenarios and some vocabulary involved in the embodiments of the present application are introduced.

[0064] Figure 2 This is a schematic diagram of an application scenario provided by an embodiment of the present application. Figure 2 As shown, the application scenarios of the embodiments of the present application may include, but are not limited to: a business terminal of a subordinate unit, a first blockchain node corresponding to the subordinate unit, a second blockchain node corresponding to the superior unit, a business terminal of the superior unit, a third blockchain node corresponding to the audit unit, and an audit terminal of the audit unit. The first blockchain node, the second blockchain node, and the third blockchain node belong to the same consortium chain.

[0065] It should be understood that the terms "subordinate unit" and "superordinate unit" in the embodiments of the present application are collective and relative terms. For example, if unit A is the superior unit of unit B, then unit A is the superior unit and unit B is the subordinate unit. For another example, if unit B is the superior unit of unit C, then unit B is the superior unit and unit C is the subordinate unit.

[0066] It should be noted that, for ease of description, the blockchain-based compliance audit solution provided in this application is described using one subordinate unit and one superior unit as an example in the embodiments of this application. It should be understood that when a superior unit includes multiple subordinate units, the specific implementation method is the same or similar to the implementation method described in the embodiments of this application.

[0067] In an embodiment of the present application, the audit terminal of the audit unit pre-installs a smart contract containing preset compliance audit business rules on the consortium chain through a third blockchain node, so that when the first blockchain node corresponding to the subordinate unit receives the business application data submitted by the business terminal of the subordinate unit, it can determine whether the business application data meets the compliance audit requirements based on the preset compliance audit business rules that are automatically synchronized. Furthermore, if the business application data meets the preset compliance audit business rules, that is, meets the compliance audit requirements, the first blockchain node synchronizes the business application data to the second blockchain node corresponding to the superior unit, so that the business terminal of the superior unit can approve the business application data obtained from the second blockchain node. It can be seen that the embodiment of the present application realizes real-time automatic review of the business application data submitted by the business terminal of the subordinate unit, and by utilizing the immutability of the data in the blockchain node, it can also improve the authenticity of the reviewed data, thereby solving the technical problem of low accuracy of existing compliance audit results caused by post-audit in the prior art.

[0068] The preset compliance audit business rules involved in the embodiments of this application refer to preset standard rules for qualified audits, which serve as judgment rules for reviewing whether the business application data meets the compliance audit requirements. For example, the preset compliance audit business rules may include, but are not limited to, preset procurement business rules. For example, the preset procurement business rules may include, but are not limited to, at least one of the following: a preset procurement commodity list, a preset commodity amount range, a preset commodity quantity, and preset supplier information.

[0069] The business terminals of the subordinate units, the business terminals of the superior units, or the audit terminals of the audit units involved in the embodiments of the present application may include, but are not limited to: mobile phones, computers, or tablets. For example, any terminal in the embodiments of the present application may be implemented through software and / or hardware.

[0070] The first blockchain node involved in the embodiments of the present application can be deployed in a lightweight gateway manner. For example, the first blockchain node can be a device in a server.

[0071] The second blockchain node and / or the third blockchain node involved in the embodiments of the present application can be deployed in a private manner as a local server. For example, the second blockchain node and / or the third blockchain node can be a server; of course, it can also be a device within the server.

[0072] Illustratively, any blockchain node involved in the embodiments of the present application can be implemented by software and / or hardware.

[0073] The numbers "first" and "second" in the embodiments of the present application are used to distinguish similar objects, and are not necessarily used to describe a specific order or sequence, and should not constitute any limitation to the embodiments of the present application.

[0074] The term "and / or" used in the embodiments of this application describes the relationship between associated objects, indicating that three possible relationships exist. For example, "A and / or B" can represent: A exists alone, A and B exist simultaneously, and B exists alone. A and B can be singular or plural. The character " / " generally indicates that the associated objects are in an "or" relationship.

[0075] The following specific embodiments are used to describe the technical solution of the present application in detail. The following specific embodiments can be combined with each other, and the same or similar concepts or processes may not be described in detail in some embodiments.

[0076] Figure 3 This is a flowchart of a blockchain-based compliance audit method provided in one embodiment of the present application. In this embodiment of the present application, the first blockchain node side corresponding to the above-mentioned subordinate unit is used as an example to introduce. Figure 3 As shown, the method of the embodiment of the present application may include:

[0077] Step S301: The first blockchain node receives business application data submitted by the business terminal of the subordinate unit.

[0078] In this embodiment of the present application, before executing a business, a subordinate unit may submit business application data to the first blockchain node corresponding to the subordinate unit through the subordinate unit's business terminal. For example, the business application data may be procurement business application data, which may include but is not limited to: a list of purchased goods, a range of commodity amounts, quantity of goods, and supplier information.

[0079] In this step, the first blockchain node receives the above-mentioned business application data submitted by the business terminal of the subordinate unit.

[0080] Optionally, to facilitate identification of the submitter of the business application data, the business application data may also include a signature signed by the subordinate entity's business terminal using its own electronic signature (or private key). This electronic signature may be the signature obtained by the subordinate entity's business terminal after completing blockchain identity authentication; of course, signatures may also be obtained by other means, which are not limited in this embodiment of the present application.

[0081] Step S302: If the business application data satisfies the smart contract in the first blockchain node, the first blockchain node synchronizes the business application data to the second blockchain node corresponding to the superior unit, so that the business terminal of the superior unit approves the business application data obtained from the second blockchain node.

[0082] In an embodiment of the present application, the audit terminal of the audit unit can load the smart contract containing the above-mentioned preset compliance audit business rules to the third blockchain node corresponding to the audit unit, so that the above-mentioned smart contract (containing the above-mentioned preset compliance audit business rules) can be preset on the alliance chain through the third blockchain node corresponding to the audit unit, so that each blockchain node in the alliance chain (for example, the first blockchain node corresponding to the subordinate unit, and / or the second blockchain node corresponding to the superior unit, etc.) can synchronously obtain the smart contract.

[0083] In this step, the first blockchain node automatically determines whether the business application data received in step S301 satisfies compliance audit requirements based on the pre-set procurement business rules in the smart contract. For example, the first blockchain node compares information in the business application data with corresponding information in the pre-set procurement business rules to determine whether the business application data satisfies the smart contract or compliance audit requirements.

[0084] For example, assuming that the preset procurement business rules include: a preset procurement commodity list and a preset commodity amount range, and the business application data includes: a procurement commodity list and a commodity amount range, the first blockchain node determines whether the procurement commodity list in the business application data belongs to the preset procurement commodity list, and whether the commodity amount range in the business application data belongs to the preset commodity amount range. If the procurement commodity list in the business application data belongs to the preset procurement commodity list, and the commodity amount range in the business application data belongs to the preset commodity amount range, the first blockchain node determines that the business application data complies with the preset procurement business rules, i.e., satisfies the smart contract and meets the compliance audit requirements. If the procurement commodity list in the business application data does not belong to the preset procurement commodity list, and / or the commodity amount range in the business application data does not belong to the preset commodity amount range, the first blockchain node determines that the business application data does not comply with the preset procurement business rules, i.e., does not comply with the smart contract and does not meet the compliance audit requirements.

[0085] Furthermore, if it is determined that the above-mentioned business application data satisfies the smart contract, the first blockchain node can synchronize the business application data to the second blockchain node corresponding to the superior unit, so that the business terminal of the superior unit can approve the business application data obtained from the second blockchain node.

[0086] It should be understood that the above-mentioned second blockchain node can provide a data query interface to the outside world, so that the business terminal of the superior unit can obtain the above-mentioned business application data from the second blockchain node by calling the data query interface.

[0087] In addition, the first blockchain node can also synchronize the above-mentioned business application data to the third blockchain node corresponding to the audit unit for retention to facilitate subsequent inspection.

[0088] Furthermore, if it is determined that the above-mentioned business application data does not satisfy the smart contract, the first blockchain node can save the compliance audit failure information so that the business terminal of the subordinate unit can obtain the compliance audit failure information from the first blockchain node, so that the subordinate unit can modify the above-mentioned business application data after receiving the compliance audit failure information, and then resubmit the modified business application data.

[0089] It should be understood that the above-mentioned first blockchain node can provide a data query interface to the outside world, so that the business terminal of the subordinate unit can obtain the above-mentioned compliance audit failure information from the first blockchain node by calling the data query interface; of course, the business terminal of the subordinate unit can also obtain other information from the first blockchain node by calling the data query interface, such as approval result information.

[0090] In an embodiment of the present application, after receiving the business application data submitted by the business terminal of the subordinate unit, the first blockchain node corresponding to the subordinate unit determines whether the business application data complies with the preset compliance audit business rules in the above-mentioned smart contract. Furthermore, when the first blockchain node determines that the business application data complies with the above-mentioned preset compliance audit business rules, it synchronizes the business application data to the second blockchain node corresponding to the superior unit, so that the business terminal of the superior unit can review and approve the business application data obtained from the second blockchain node. It can be seen that the embodiment of the present application realizes the real-time automatic review of the business application data submitted by the business terminal of the subordinate unit, thereby improving the review efficiency; on the other hand, by utilizing the immutability of the data in the blockchain node, the authenticity of the reviewed data can also be improved, which is conducive to improving the accuracy of the compliance audit results.

[0091] Furthermore, after step S302, the first blockchain node may also receive approval result information sent by the second blockchain node, so that the business terminal of the subordinate unit can obtain the approval result information from the first blockchain node and perform corresponding operations based on the approval result information. The approval result information is the result information of the approval of the business application data by the business terminal of the superior unit. Exemplarily, the approval result information may include, but is not limited to, approval success information or approval failure information.

[0092] For example, if the approval result information includes approval success information, the subordinate unit may execute the business corresponding to the business application data based on the approval success information. For example, assuming that the business application data is procurement business application data, the subordinate unit may execute the procurement business corresponding to the procurement business application data based on the approval success information.

[0093] In another exemplary embodiment, if the approval result information includes approval failure information, the subordinate unit may terminate the business corresponding to the business application data according to the approval failure information.

[0094] In the embodiment of the present application, regardless of whether the above-mentioned approval result information includes approval pass information or approval failure information, the above-mentioned business application data satisfies the above-mentioned smart contract and meets the compliance audit requirements.

[0095] Figure 4 This is a flowchart of a blockchain-based compliance audit method provided by another embodiment of the present application. Based on the above embodiment, the second blockchain node side corresponding to the above-mentioned superior unit is introduced as an example in the embodiment of the present application. Figure 4 As shown, the method of the embodiment of the present application may include:

[0096] Step S401: The second blockchain node receives business application data sent by the first blockchain node corresponding to the subordinate unit.

[0097] In this step, the second blockchain node receives the business application data sent by the first blockchain node corresponding to the subordinate entity. The business application data is sent by the first blockchain node after determining that it satisfies the smart contract within the first blockchain node. Specifically, the method by which the first blockchain node determines whether the business application data satisfies the smart contract can be found in step S302 of the above-mentioned embodiment of this application and will not be further described here.

[0098] Step S402: The second blockchain node saves the business application data so that the business terminal of the superior unit can approve the business application data obtained from the second blockchain node.

[0099] In this step, the second blockchain node saves the business application data so that the business terminal of the superior unit can review and approve the business application data obtained from the second blockchain node to determine whether the business application data can be approved, and feedback the approval result information of the business application data, thereby realizing real-time approval of the business application data submitted by the business terminal of the subordinate unit that meets the smart contract.

[0100] It should be understood that the above-mentioned second blockchain node can provide a data query interface to the outside world, so that the business terminal of the superior unit can obtain the above-mentioned business application data from the second blockchain node by calling the data query interface.

[0101] In the embodiment of the present application, the second blockchain node corresponding to the superior unit receives the business application data that satisfies the smart contract in the first blockchain node and stores the business application data, so that the business terminal of the superior unit can review and approve the business application data obtained from the second blockchain node. It can be seen that the embodiment of the present application realizes the real-time review of the business application data submitted by the business terminal of the subordinate unit that satisfies the smart contract, thereby improving the review efficiency. On the other hand, by utilizing the immutability of the data in the blockchain node, the authenticity of the reviewed data can also be improved.

[0102] Furthermore, after step S402, the second blockchain node may also receive approval result information for the business application data submitted by the business terminal of the superior unit; wherein the approval result information includes: approval success information or approval failure information. Furthermore, the second blockchain node may also synchronize the approval result information with the first blockchain node so that the business terminal of the subordinate unit can obtain the approval result information from the first blockchain node. On the other hand, the second blockchain node may also synchronize the approval result information with the third blockchain node corresponding to the audit unit for storage.

[0103] Optionally, to facilitate identification of the submitter of the approval result information, the approval result information also includes a signature signed by the superior entity's business terminal using its own electronic signature (or private key). This electronic signature can be the signature obtained by the superior entity's business terminal after completing blockchain identity authentication; of course, signatures obtained by other means are also possible, and this is not limited in the present embodiment.

[0104] Figure 5 This is a flowchart of a blockchain-based compliance audit method provided by another embodiment of the present application. Based on the above embodiment, the third blockchain node corresponding to the above audit unit is introduced as an example in the embodiment of the present application. Figure 5 As shown, the method of the embodiment of the present application may include:

[0105] Step S501: The third blockchain node receives the smart contract loaded by the audit terminal of the audit unit.

[0106] In an embodiment of the present application, the audit terminal of the audit unit can load the smart contract containing the above-mentioned preset compliance audit business rules into the above-mentioned third blockchain node. Correspondingly, the third blockchain node receives the above-mentioned smart contract loaded by the audit terminal of the audit unit.

[0107] Optionally, to facilitate identification of the party loading the smart contract, the smart contract also includes a signature signed by the audit unit's audit terminal using its own electronic signature (or private key). This electronic signature can be the signature obtained by the audit unit's audit terminal after completing blockchain identity authentication; of course, signatures obtained by other means are also possible, and this is not limited in the present embodiment.

[0108] Step S502: The third blockchain node synchronizes the smart contract to the first blockchain node corresponding to the subordinate unit.

[0109] In this step, the third blockchain node can synchronize the above-mentioned smart contract (including the above-mentioned preset compliance audit business rules) to the alliance chain, so that each blockchain node in the alliance chain (for example, the first blockchain node corresponding to the subordinate unit, and / or the second blockchain node corresponding to the superior unit, etc.) can synchronously obtain the smart contract, so that the first blockchain node can review and approve the business application data submitted by the business terminal of the subordinate unit according to the smart contract, and determine whether it meets the compliance audit requirements.

[0110] In the embodiment of the present application, the third blockchain node corresponding to the audit unit receives the smart contract loaded by the audit terminal of the audit unit and synchronizes the smart contract with the first blockchain node corresponding to the subordinate unit. This allows the first blockchain node to conduct real-time approval of the business application data submitted by the subordinate unit's business terminal based on the smart contract and determine whether it meets the compliance audit requirements, thereby facilitating improved compliance audit efficiency. On the other hand, by utilizing the immutability of data in the blockchain node, the authenticity of the audited data can also be improved, thereby facilitating improved accuracy of compliance audit results.

[0111] Furthermore, after the above step S502, the third blockchain node may also receive the business application data that satisfies the above smart contract synchronized by the first blockchain node for retention for subsequent inspection.

[0112] Furthermore, after step S502, the third blockchain node may also receive and store the approval result information corresponding to the business application data synchronized by the second blockchain node corresponding to the superior entity for subsequent review. The approval result information may be the approval result information of the business application data received by the second blockchain node from the superior entity's business terminal.

[0113] It should be noted that after the third blockchain node receives the above-mentioned business application data and / or the approval result information corresponding to the above-mentioned business application data, the audit terminal of the audit unit can also obtain the above-mentioned business application data and / or the approval result information corresponding to the above-mentioned business application data from the third blockchain node for filing.

[0114] It should be understood that the above-mentioned third blockchain node can provide a data query interface to the outside world, so that the audit terminal of the audit unit can obtain the above-mentioned business application data and / or the approval result information corresponding to the above-mentioned business application data from the third blockchain node by calling the data query interface.

[0115] Figure 6A flowchart of a blockchain-based compliance audit method provided for another embodiment of the present application. Based on the above embodiment, the present application embodiment is introduced in combination with the business terminal of the subordinate unit, the first blockchain node corresponding to the subordinate unit, the business terminal of the superior unit, the second blockchain node corresponding to the superior unit, the audit terminal of the audit unit, and the third blockchain node corresponding to the audit unit. Figure 6 As shown, the method of the embodiment of the present application may include:

[0116] Step S601: The audit terminal of the audit unit loads a smart contract to the third blockchain node corresponding to the audit unit. The smart contract includes the above-mentioned preset compliance audit business rules.

[0117] Step S602: The third blockchain node synchronizes the smart contract to each blockchain node in the alliance chain, such as the first blockchain node corresponding to the subordinate unit and / or the second blockchain node corresponding to the superior unit.

[0118] Step S603: The business terminal of the subordinate unit submits business application data to the first blockchain node corresponding to the subordinate unit.

[0119] Step S604: If it is determined that the business application data meets the compliance audit requirements according to the business rules of the compliance audit preset in the above-mentioned smart contract, the business application data is synchronized to the second blockchain node corresponding to the superior unit and the third blockchain node corresponding to the audit unit.

[0120] Step S605: The business terminal of the superior unit obtains the business application data from the second blockchain node and approves it.

[0121] Step S606: The business terminal of the superior unit submits the approval result information of the business application data to the second blockchain node.

[0122] Step S607: The second blockchain node synchronizes the approval result information of the business application data to the first blockchain node and the third blockchain node.

[0123] Step S608: The business terminal of the subordinate unit obtains the approval result information from the first blockchain node.

[0124] Step S609: The audit terminal of the audit unit obtains the above-mentioned business application data and / or the approval result information corresponding to the above-mentioned business application data from the third blockchain node.

[0125] The specific implementation methods of each step in the embodiments of the present application can refer to the corresponding contents in the above embodiments of the present application and will not be repeated here.

[0126] In summary, in the embodiment of the present application, the audit terminal of the audit unit pre-sets the smart contract containing the preset compliance audit business rules on the alliance chain through the third blockchain node, so that when the first blockchain node corresponding to the subordinate unit receives the business application data submitted by the business terminal of the subordinate unit, it can judge whether the business application data meets the compliance audit requirements based on the preset compliance audit business rules that are automatically synchronized. Furthermore, if the business application data meets the preset compliance audit business rules, that is, meets the compliance audit requirements, the first blockchain node synchronizes the business application data to the second blockchain node corresponding to the superior unit, so that the business terminal of the superior unit obtains the business application data from the second blockchain node and approves it. It can be seen that the embodiment of the present application realizes real-time review of the business application data submitted by the business terminal of the subordinate unit, thereby improving the review efficiency; on the other hand, by utilizing the immutability of the data in the blockchain node, the authenticity of the reviewed data can also be improved, which is conducive to improving the accuracy of the compliance audit results.

[0127] Figure 7 This is a schematic diagram of the structure of the blockchain node provided in one embodiment of the present application. The blockchain node provided in the embodiment of the present application can be the first blockchain node corresponding to the subordinate unit. Figure 7 As shown, the first blockchain node 70 provided in the embodiment of the present application may include: a first receiving module 701 and a first synchronization module 702.

[0128] The first receiving module 701 is configured to receive business application data submitted by a business terminal of a subordinate unit;

[0129] A first synchronization module 702 is configured to synchronize the business application data to a second blockchain node corresponding to a superior entity if the business application data satisfies the smart contract in the first blockchain node, so that the superior entity's business terminal can review and approve the business application data obtained from the second blockchain node;

[0130] The smart contract includes preset business rules for compliance audits.

[0131] In one possible implementation, the first blockchain node 70 further includes:

[0132] The second receiving module is used to receive the smart contract synchronized by the third blockchain node corresponding to the audit unit, wherein the smart contract is loaded onto the third blockchain node by the audit terminal of the audit unit.

[0133] In one possible implementation, the first blockchain node 70 further includes:

[0134] The third receiving module is used to receive the approval result information sent by the second blockchain node, so that the business terminal of the subordinate unit obtains the approval result information from the first blockchain node, wherein the approval result information is the result information of the approval of the business application data by the business terminal of the superior unit.

[0135] In one possible implementation, the first blockchain node 70 further includes:

[0136] The second synchronization module is used to synchronize the business application data to the third blockchain node corresponding to the audit unit.

[0137] In one possible implementation, the first blockchain node 70 further includes:

[0138] A saving module is used to save compliance audit failure information if the business application data does not satisfy the smart contract in the first blockchain node, so that the business terminal of the subordinate unit obtains the compliance audit failure information from the first blockchain node.

[0139] The first blockchain node provided in the embodiment of the present application can be used to execute the technical solution on the first blockchain node side corresponding to the above-mentioned subordinate unit in the above-mentioned blockchain-based compliance audit method embodiment of the present application. Its implementation principle and technical effects are similar and will not be repeated here.

[0140] Figure 8 This is a structural diagram of a blockchain node provided in another embodiment of the present application. The blockchain node provided in the embodiment of the present application may be a second blockchain node corresponding to a superior unit. Figure 8 As shown, the second blockchain node 80 provided in the embodiment of the present application may include: a first receiving module 801 and a storage module 802.

[0141] The first receiving module 801 is configured to receive business application data sent by a first blockchain node corresponding to a subordinate unit, wherein the business application data satisfies a smart contract in the first blockchain node; the smart contract includes preset business rules for compliance audits;

[0142] The saving module 802 is used to save the business application data so that the business terminal of the superior unit can approve the business application data obtained from the second blockchain node.

[0143] In one possible implementation, the second blockchain node 80 further includes:

[0144] A second receiving module is configured to receive the approval result information of the business application data submitted by the business terminal of the superior unit;

[0145] A synchronization module is used to synchronize the approval result information to the first blockchain node and the third blockchain node corresponding to the audit unit respectively.

[0146] The second blockchain node provided in the embodiment of the present application can be used to execute the technical solution on the second blockchain node side corresponding to the above-mentioned superior unit in the above-mentioned blockchain-based compliance audit method embodiment of the present application. Its implementation principle and technical effects are similar and will not be repeated here.

[0147] Figure 9 This is a structural diagram of a blockchain node provided in another embodiment of the present application. The blockchain node provided in the embodiment of the present application may be a third blockchain node corresponding to the audit unit. Figure 9 As shown, the third blockchain node 90 provided in the embodiment of the present application may include: a first receiving module 901 and a synchronization module 902.

[0148] The first receiving module 901 is configured to receive a smart contract loaded by an audit terminal of an audit unit, wherein the smart contract includes preset business rules for compliance audit;

[0149] The synchronization module 902 is used to synchronize the smart contract to the first blockchain node corresponding to the subordinate unit, wherein the smart contract is used by the first blockchain node to approve the business application data submitted by the business terminal of the subordinate unit.

[0150] In one possible implementation, the third blockchain node 90 further includes:

[0151] The second receiving module is used to receive business application data synchronized by the first blockchain node, wherein the business application data satisfies the smart contract.

[0152] In one possible implementation, the third blockchain node 90 further includes:

[0153] The third receiving module is used to receive the approval result information synchronized by the second blockchain node corresponding to the superior unit, wherein the approval result information is the approval result information of the business application data received by the second blockchain node from the business terminal of the superior unit.

[0154] The third blockchain node provided in the embodiment of the present application can be used to execute the technical solution on the third blockchain node side corresponding to the above-mentioned audit unit in the above-mentioned blockchain-based compliance audit method embodiment of the present application. Its implementation principle and technical effects are similar and will not be repeated here.

[0155] Figure 10This is a structural diagram of a blockchain node provided in another embodiment of the present application. The blockchain node provided in the embodiment of the present application may be the first blockchain node corresponding to a subordinate unit. Figure 10 As shown, the first blockchain node 100 provided in an embodiment of the present application may include: a memory 1001 and a processor 1002.

[0156] Wherein, the memory 1001 is used to store program instructions;

[0157] The processor 1002 is used to call and execute the program instructions stored in the memory 1001. When the processor 1002 executes the program instructions stored in the memory 1001, the first blockchain node is used to execute the technical solution on the first blockchain node side corresponding to the above-mentioned subordinate unit in the above-mentioned blockchain-based compliance audit method embodiment of this application. Its implementation principle and technical effects are similar and will not be repeated here.

[0158] The embodiment of the present application also provides a blockchain node, which can be a second blockchain node corresponding to a superior unit, and can include: a memory and a processor; its structural diagram can refer to the following Figure 9 shown.

[0159] Wherein, the memory is used to store program instructions;

[0160] The processor is used to call and execute the program instructions stored in the memory. When the processor executes the program instructions stored in the memory, the second blockchain node is used to execute the technical solution on the second blockchain node side corresponding to the above-mentioned superior unit in the above-mentioned blockchain-based compliance audit method embodiment of this application. Its implementation principle and technical effects are similar and will not be repeated here.

[0161] The embodiment of the present application also provides a blockchain node, which can be a third blockchain node corresponding to the audit unit, and can include: a memory and a processor; its structural diagram can refer to Figure 9 shown.

[0162] Wherein, the memory is used to store program instructions;

[0163] The processor is used to call and execute the program instructions stored in the memory. When the processor executes the program instructions stored in the memory, the third blockchain node is used to execute the technical solution on the third blockchain node side corresponding to the above-mentioned audit unit in the above-mentioned blockchain-based compliance audit method embodiment of this application. Its implementation principle and technical effects are similar and will not be repeated here.

[0164] An embodiment of the present application also provides a blockchain-based compliance audit system, including: a first blockchain node, a second blockchain node, and a third blockchain node as provided in the above embodiment; its implementation principles and technical effects are similar and will not be repeated here.

[0165] In one possible implementation, the blockchain-based compliance audit system may also include: a business terminal of the above-mentioned subordinate unit, a business terminal of the superior unit, and an audit terminal of the above-mentioned audit unit.

[0166] An embodiment of the present application also provides a computer-readable storage medium, in which instructions are stored. When the instructions are executed on a computer, the computer executes the technical solution on the first blockchain node side corresponding to the above-mentioned subordinate unit in the above-mentioned blockchain-based compliance audit method embodiment of the present application, the technical solution on the second blockchain node side corresponding to the above-mentioned superior unit in the above-mentioned blockchain-based compliance audit method embodiment of the present application, or the technical solution on the third blockchain node side corresponding to the above-mentioned audit unit in the above-mentioned blockchain-based compliance audit method embodiment of the present application. The implementation principles and technical effects are similar and will not be repeated here.

[0167] Those skilled in the art will understand that in the various embodiments of the present application, the size of the serial numbers of the above-mentioned processes does not mean the order of execution. The execution order of each process should be determined by its function and internal logic, and should not constitute any limitation on the implementation process of the embodiments of the present application.

[0168] Those skilled in the art will clearly understand that for the sake of convenience and brevity, the division of the above-mentioned functional modules is only used as an example for illustration. In actual applications, the above-mentioned functions can be assigned to different functional modules as needed, that is, the internal structure of the device can be divided into different functional modules to complete all or part of the functions described above. The specific working process of the device described above can refer to the corresponding process in the aforementioned method embodiment and will not be repeated here.

[0169] Finally, it should be noted that the above embodiments are only used to illustrate the technical solutions of the present application, rather than to limit them. Although the present application has been described in detail with reference to the aforementioned embodiments, those skilled in the art should understand that they can still modify the technical solutions described in the aforementioned embodiments, or make equivalent replacements for some or all of the technical features therein. These modifications or replacements do not deviate the essence of the corresponding technical solutions from the scope of the technical solutions of the embodiments of the present application.

Claims

1. A blockchain-based compliance audit method, characterized in that: include: The first blockchain node receives a smart contract containing preset compliance audit business rules synchronized by a third blockchain node corresponding to the audit unit, wherein the smart contract is loaded onto the third blockchain node by the audit unit's audit terminal; the preset compliance audit business rules include, but are not limited to, preset procurement business rules, which include, but are not limited to, at least one of the following: a preset procurement commodity list, a preset commodity amount range, a preset commodity quantity, and preset supplier information; The first blockchain node receives business application data submitted by a business terminal of a subordinate unit; If the business application data satisfies the smart contract in the first blockchain node, the first blockchain node synchronizes the business application data to the second blockchain node corresponding to the superior unit, so that the superior unit's business terminal can review and approve the business application data obtained from the second blockchain node; After the first blockchain node receives the business application data submitted by the business terminal of the subordinate unit, the process further includes: If the business application data does not satisfy the smart contract in the first blockchain node, the first blockchain node saves the compliance audit failure information so that the business terminal of the subordinate unit obtains the compliance audit failure information from the first blockchain node.

2. The method according to claim 1, characterized in that After the first blockchain node synchronizes the business application data to the second blockchain node corresponding to the superior unit, the method further includes: The first blockchain node receives the approval result information sent by the second blockchain node, so that the business terminal of the subordinate unit obtains the approval result information from the first blockchain node, wherein the approval result information is the result information of the approval of the business application data by the business terminal of the superior unit.

3. The method according to claim 1, characterized in that The method further comprises: The first blockchain node synchronizes the business application data to a third blockchain node corresponding to the audit unit.

4. A compliance audit method based on blockchain, characterized in that: include: The second blockchain node receives business application data sent by the first blockchain node corresponding to the subordinate unit, wherein the business application data satisfies the smart contract in the first blockchain node; the smart contract is a smart contract containing preset compliance audit business rules synchronized by the third blockchain node corresponding to the audit unit and received by the first blockchain node, and the synchronized smart contract is a smart contract loaded onto the third blockchain node by the audit terminal of the audit unit; the preset compliance audit business rules include but are not limited to: preset procurement business rules, which include but are not limited to at least one of the following: a preset procurement commodity list, a preset commodity amount range, a preset commodity quantity, and preset supplier information; The second blockchain node stores the business application data so that the business terminal of the superior unit can approve the business application data obtained from the second blockchain node.

5. The method according to claim 4, characterized in that After the second blockchain node stores the business application data so that the business terminal of the superior unit approves the business application data obtained from the second blockchain node, the method further includes: The second blockchain node receives approval result information of the business application data submitted by the business terminal of the superior unit; The second blockchain node synchronizes the approval result information to the first blockchain node and the third blockchain node corresponding to the audit unit respectively.

6. A blockchain-based compliance audit method, characterized in that: include: The third blockchain node receives the smart contract containing the preset compliance audit business rules loaded by the audit terminal of the audit unit; The preset compliance audit business rules include, but are not limited to: preset procurement business rules, which include, but are not limited to, at least one of the following: a preset procurement commodity list, a preset commodity amount range, a preset commodity quantity, and preset supplier information; The third blockchain node synchronizes the smart contract to the first blockchain node corresponding to the subordinate unit, wherein the smart contract is used to synchronize the business application data to the second blockchain node corresponding to the superior unit when the business application data satisfies the smart contract, so that the business terminal of the superior unit can approve the business application data obtained from the second blockchain node.

7. The method according to claim 6, characterized in that After the third blockchain node synchronizes the smart contract to the first blockchain node corresponding to the subordinate unit, the method further includes: The third blockchain node receives the business application data synchronized by the first blockchain node, wherein the business application data satisfies the smart contract.

8. The method according to claim 6 or 7, characterized in that After the third blockchain node synchronizes the smart contract to the first blockchain node corresponding to the subordinate unit, the method further includes: The third blockchain node receives the approval result information synchronized by the second blockchain node corresponding to the superior unit, wherein the approval result information is the approval result information of the business application data received by the second blockchain node from the business terminal of the superior unit.

9. A blockchain node, characterized in that: The blockchain node is the first blockchain node corresponding to the subordinate unit, including: The first receiving module is used to receive business application data submitted by the business terminal of the subordinate unit; a first synchronization module, configured to synchronize the business application data to a second blockchain node corresponding to a superior entity if the business application data satisfies the smart contract in the first blockchain node, so that the superior entity's business terminal can review and approve the business application data obtained from the second blockchain node; The system further includes: a second receiving module, configured to receive a smart contract containing preset compliance audit business rules, synchronized from a third blockchain node corresponding to the audit unit, wherein the smart contract is loaded onto the third blockchain node by the audit unit's audit terminal; the preset compliance audit business rules include, but are not limited to, preset procurement business rules, including, but not limited to, at least one of the following: a preset procurement commodity list, a preset commodity amount range, a preset commodity quantity, and preset supplier information; Also includes: A saving module is used to save compliance audit failure information if the business application data does not satisfy the smart contract in the first blockchain node, so that the business terminal of the subordinate unit obtains the compliance audit failure information from the first blockchain node.

10. A blockchain node, characterized in that: The blockchain node is the second blockchain node corresponding to the superior unit, including: A first receiving module is configured to receive business application data sent by a first blockchain node corresponding to a subordinate unit, wherein the business application data satisfies a smart contract in the first blockchain node; the smart contract is a smart contract containing preset compliance audit business rules that is synchronized by a third blockchain node corresponding to the audit unit and received by the first blockchain node, and the synchronized smart contract is a smart contract loaded onto the third blockchain node by the audit terminal of the audit unit; the preset compliance audit business rules include, but are not limited to, preset procurement business rules, which include, but are not limited to, at least one of the following: a preset procurement commodity list, a preset commodity amount range, a preset commodity quantity, and preset supplier information; A saving module is used to save the business application data so that the business terminal of the superior unit can approve the business application data obtained from the second blockchain node.

11. A blockchain node, characterized in that: The blockchain node is a third blockchain node corresponding to the audit unit, including: A first receiving module is configured to receive a smart contract containing preset compliance audit business rules loaded by an audit terminal of an audit unit; the preset compliance audit business rules include, but are not limited to, preset procurement business rules, including, but not limited to, at least one of the following: a preset procurement commodity list, a preset commodity amount range, a preset commodity quantity, and preset supplier information; The first synchronization module is used to synchronize the smart contract to the first blockchain node corresponding to the subordinate unit, wherein the smart contract is used to synchronize the business application data to the second blockchain node corresponding to the superior unit when the business application data satisfies the smart contract, so that the business terminal of the superior unit can approve the business application data obtained from the second blockchain node.

12. A blockchain node, characterized in that: The blockchain node is a first blockchain node corresponding to a subordinate unit, including: a memory and a processor; Wherein, the memory is used to store program instructions; The processor is configured to call and execute program instructions stored in the memory. When the processor executes the program instructions stored in the memory, the first blockchain node is configured to execute the method according to any one of claims 1 to 3.

13. A blockchain node, characterized in that: The blockchain node is a second blockchain node corresponding to the superior unit, including: a memory and a processor; Wherein, the memory is used to store program instructions; The processor is configured to call and execute program instructions stored in the memory. When the processor executes the program instructions stored in the memory, the second blockchain node is configured to execute the method according to claim 4 or 5.

14. A blockchain node, characterized in that: The blockchain node is a third blockchain node corresponding to the audit unit, including: a memory and a processor; Wherein, the memory is used to store program instructions; The processor is configured to call and execute program instructions stored in the memory. When the processor executes the program instructions stored in the memory, the third blockchain node is configured to execute the method according to any one of claims 6 to 8.

15. A blockchain-based compliance audit system, characterized in that: include: The first blockchain node as described in claim 12, the second blockchain node as described in claim 13, and the third blockchain node as described in claim 14.

16. A computer-readable storage medium, characterized in that The computer-readable storage medium stores instructions, and when the instructions are executed on a computer, the computer is caused to execute the method according to any one of claims 1 to 8.

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