A method for tracking electronic archive data and conducting multi-party collaborative auditing based on blockchain smart contracts

Abstract

This invention proposes a blockchain-based smart contract-based method for archival data tracking and multi-party collaborative auditing. It leverages blockchain technology to ensure the authenticity and immutability of archival data, and combines this with smart contracts to achieve an efficient and transparent auditing process. The method employs a multi-level encrypted storage and unique identifier generation mechanism for archival data to accurately track the flow of archives. Smart contracts automatically record and verify access behavior to ensure operational compliance. The multi-party collaborative auditing utilizes a distributed consensus algorithm, allowing multiple auditors to participate while ensuring the objectivity and authority of the audit results. This invention improves the security, transparency, and efficiency of archival data management and auditing, and can be widely applied to archival management and auditing scenarios in government, enterprise, and educational sectors.

Description

Technical Field

[0001] This invention belongs to the fields of electronic records management and artificial intelligence blockchain technology, specifically involving a method for tracking electronic records data and multi-party collaborative auditing based on blockchain smart contracts. Background Technology

[0002] With the acceleration of social digitalization, electronic archives, as an important digital asset, are widely used in government administration, corporate management, education and research, gradually replacing traditional paper archives. However, the development of electronic archive management also faces many challenges and pain points. For example, electronic archive systems typically rely on centralized databases for storage and management. However, the biggest weakness of this centralized architecture lies in the risk of single point of failure. Once the database is compromised, subjected to hacker attacks, or due to abuse of privileges by internal operators, the archive data may be tampered with or deleted. In such cases, the authenticity and integrity of the archive data will be difficult to guarantee. In addition, sensitive archives may be leaked during storage and transmission due to lack of encryption or insufficient encryption strength. Electronic archives involve various operations (such as creation, modification, transmission, and deletion) throughout their lifecycle, but in traditional archive management systems, the recording of these operations usually relies on independent log systems. This log recording method is not only easily modified or deleted by humans, but also lacks a systematic traceability mechanism, failing to ensure the comprehensiveness and accuracy of the records. Especially when disputes or security incidents occur with the archives, reconstructing the operational history of the archives often becomes extremely difficult.

[0003] Traditional auditing processes often rely on manual operations or offline analysis by external auditing firms, making it difficult to identify problems in real time. Audit report generation is time-consuming and susceptible to subjective human factors, leading to inaccurate and incomplete audit results. Furthermore, traditional methods lack automated support for verifying access permissions and auditing the legality of operational records, resulting in low audit efficiency and credibility. Record management systems typically involve multiple roles, including record administrators, auditors, record users, and regulatory agencies. Different roles have different access requirements and collaboration needs. Traditional centralized systems often suffer from abuse of permissions and information silos when coordinating trust and collaboration among multiple parties. Moreover, effective supervision of cross-institutional data sharing and audit collaboration is difficult, reducing the transparency and credibility of the record management system. In conclusion, electronic record management urgently needs a technological means that can improve the security of record data storage and management, achieve comprehensive tracking and transparent recording of operational activities, and enhance the efficiency and credibility of multi-party collaborative audits.

[0004] As an emerging distributed ledger technology, blockchain has been widely applied in finance, healthcare, and supply chain sectors in recent years due to its decentralized, tamper-proof, and traceable characteristics. By storing data records across multiple nodes, blockchain technology can effectively prevent single points of failure and data tampering. For example, blockchain platforms such as Hyperledger and Ethereum support distributed storage and smart contract functions, providing high transparency and automation for data management. However, the application of blockchain technology in electronic records management is still in the exploratory stage. Existing research focuses more on areas such as financial transactions and product traceability, failing to provide systematic solutions for the diverse needs of records management.

[0005] Smart contracts are one of the core functions of blockchain technology. By writing executable contract code, operations can be automatically executed when preset conditions are met. For example, in supply chain management, smart contracts can automatically verify transaction conditions and complete payments. However, current research on smart contracts for document management mainly focuses on simple permission verification and data access control, lacking support for complex operational scenarios (such as dynamic permission adjustments and behavior auditing). Furthermore, existing contract designs still have shortcomings in efficiency and security, especially when processing massive amounts of document data, which may lead to performance bottlenecks.

[0006] Most current electronic record management systems adopt a centralized architecture, relying on database technology for data storage, access control, and operation logging. While this architecture has a certain level of maturity, it suffers from single points of failure and is vulnerable to malicious attacks. Furthermore, the log recording system for record operations is independent of the data storage system, resulting in a lack of interoperability between the two, and tracing operation history often requires additional manual processing. More importantly, centralized systems struggle to address trust issues in multi-party collaborative scenarios, especially in cross-institutional audits, where transparency and data consistency cannot be effectively guaranteed.

[0007] Distributed collaboration technologies have been applied in various fields in recent years, such as remote work and cloud computing collaboration. However, these technologies typically rely on trusted third parties or centralized services to coordinate data sharing and collaborative operations, which still presents trust risks. Furthermore, in the field of auditing, traditional distributed auditing methods mainly rely on external auditing firms, making it difficult to fully guarantee the authenticity of data and the transparency of the audit process, thus failing to meet the needs of multi-party collaboration in electronic records management. Summary of the Invention

[0008] To address the aforementioned issues, this invention proposes a method for tracking and multi-party collaborative auditing of electronic archival data based on blockchain smart contracts. Archival data is stored using a blockchain distributed ledger, leveraging its tamper-proof characteristics to ensure the authenticity and immutability of archival records. Simultaneously, a hash algorithm generates a unique identifier for each piece of archival data, enabling rapid detection of data tampering. Dynamic permission management and operation behavior recording are implemented based on smart contracts. All archival operations require permission verification through smart contracts, and operation logs are automatically generated and recorded on the blockchain, ensuring the comprehensiveness, transparency, and non-forgeability of operation records. Utilizing the consensus mechanism and distributed nature of blockchain, multiple auditing parties can participate in archival auditing. Each party independently verifies the authenticity of the data and the compliance of the operation based on the operation records on the blockchain, reaching a consensus result through a consensus algorithm to ensure the objectivity and transparency of the audit. In the data storage and transmission stages, a multi-level encryption mechanism is employed for archival data. Sensitive data is protected using asymmetric encryption technology, while ordinary data is protected using symmetric encryption technology to improve efficiency. Furthermore, dynamic hash values ​​are generated using random salts and metadata to further enhance data security and collision resistance. This invention fundamentally solves the challenges of data security, operation tracking, and multi-party collaborative auditing in electronic records management by organically combining blockchain technology, smart contracts, and encryption mechanisms, providing a new technological path for the digital transformation of the records management field.

[0009] To solve the above-mentioned technical problems, the technical solution adopted by the present invention is as follows:

[0010] A method for tracking and multi-party collaborative auditing of electronic archive data based on blockchain smart contracts includes the following steps:

[0011] S1. Encrypt electronic archive data before storage, using asymmetric encryption technology to protect the security of sensitive information; generate a unique identifier hash value for each archive using a hash algorithm to mark and verify the integrity and authenticity of the archive;

[0012] S2 builds an operation record system for file management on the blockchain, using smart contracts to automatically record every operation, including details of access, modification and transfer operations. The operation record covers key information such as operator identity, operation time and operation type, and is attached with timestamps and digital signatures to ensure that the record is tamper-proof and verifiable.

[0013] S3 employs a fine-grained permission management and real-time auditing mechanism based on smart contracts to ensure that access to and operation of archive data comply with preset rules. The smart contract dynamically verifies user permissions based on operation requests, automatically generates operation audit logs, and stores them in the blockchain for multi-party verification. Through the automated execution of smart contracts, the transparency and credibility of permission management are improved, providing a guarantee for the security and compliance of archives.

[0014] S4 leverages the distributed storage characteristics of blockchain to design a multi-party collaborative audit process. Auditors can independently verify the authenticity of the archive data and the compliance of the operation based on the operation records on the blockchain. The audit results are aggregated and consensus is reached through a distributed consensus mechanism, preventing tampering or bias by a single auditor. The results of the collaborative audit are stored in the form of blockchain.

[0015] In S1, asymmetric encryption technology is used to protect the security of sensitive information, and a unique identifier is generated for each file using a hash algorithm:

[0016] S11, Data classification processing classifies the electronic archive data D into sensitive information sections D. s And general information section D n ,satisfy:

[0017] Sensitive information D s Using asymmetric encryption technology, let K... pub and K pri These are the public and private keys used for encryption. The encrypted representation of sensitive information is: E s =Enc(D s ,K pub ), where Enc represents the encryption operation, which can only be performed by those holding the private key K. pri Only authorized users can perform the decryption operation Dec(E) s ,K pri )Restore D s ; For ordinary information D n Using symmetric encryption, let the symmetric key be K. s The encrypted ordinary information is represented as E. n =Enc(D n ,K s The decryption operation corresponds to D. n =Dec(E n ,K s );

[0018] S12, encrypt the data E s and E n It is stored together with its unique identifier H, which is generated by the hash function H = Hash(D); the hash function guarantees the integrity and immutability of the archive data.

[0019] E s E n H is stored as transaction data on the blockchain, and each record contains the following information:

[0020] T = {E s E n ,H,Metadata}

[0021] Metadata includes operation timestamps and operator identity information to ensure data traceability.

[0022] The operation record system for file management built on the blockchain in S2 is as follows:

[0023] S21, In the file management operation, capture and extract key operation behaviors in real time, including operator identity U, operation type O, operation target D, timestamp T, and unique identifier of operation device E; standardize according to preset format to form structured operation record R={U,O,D,T,E}.

[0024] To ensure the authenticity and immutability of the operation records, a digital signature σ is generated for each record R, using the private key K. pri Sign the record:

[0025] σ=Sign(R,K pri )

[0026] Sign is a digital signature algorithm that requires only the operator's public key K. pub Able to verify signatures;

[0027] S22, when an operation occurs, the smart contract automatically triggers the verification of the operation behavior, including user permission verification and data consistency check; after the verification is successful, the smart contract will record R and signature σ and store them in the blockchain. Operations that fail the verification will be rejected by the smart contract and the abnormal event will be recorded.

[0028] The operation records verified by the smart contract are packaged into transactions T and stored on the blockchain; each transaction contains the following fields T = {R, σ, Block ID, Prev Hash, T} s}, where R is the operation record data, σ is the digital signature, BlockID is the block number, Prev Hash is the hash value of the previous block used to link the blockchain, and T s It is the timestamp of the current transaction;

[0029] On the blockchain, each block contains multiple transaction records, and each transaction has a unique signature and hash value; the block structure is Block = {Block ID, Prev Hash, Merkle Root, {T1, T2, ..., T}. n In this context, the Merkle Root is the root node of the Merkle tree representing the hash value of the transaction record, used for efficient verification of record integrity.

[0030] The fine-grained permission management and real-time auditing mechanism based on smart contracts in S3 is as follows:

[0031] S31, perform fine-grained hierarchical classification of user permissions, dividing permissions into different levels according to file management needs; each level of permission corresponds to a specific scope of operation and restrictions, let the permission set be P = {p1, p2, ..., p...} n User U's permission set is}

[0032] Smart contracts dynamically allocate user permissions, adjusting the scope of permissions based on the operation content and context. When a user requests an operation file D, the smart contract verifies whether the user possesses the corresponding permissions. Conditions include time limits, geographical restrictions, and operation frequency. The permission verification result is returned to the operator in real time. Role-based access control is implemented through smart contracts, grouping users into different roles, each with a different set of permissions P. R User U's permissions are determined by their role R. U Decide,

[0033] S32, each user operation is recorded in real time by the smart contract, including user identity U, operation type O, target file D, timestamp T, and additional metadata; the operation record is defined as R = {U, O, D, T, Metadata};

[0034] After the recording is completed, the smart contract verifies the legality of the operation to ensure that the operation complies with the permission rules and audit requirements; the smart contract generates audit logs in real time, hashes the recorded data R and stores it on the blockchain, and the log generation formula is L = Hash(R);

[0035] S32, the transaction format stored on the blockchain is T={R,L,σ,T s}, where σ is the digital signature, and T s To record timestamps; the smart contract has built-in anomaly detection rules that automatically identify potential anomalies by analyzing the legality and frequency of operations; if a user frequently attempts to access without authorization or operates from an abnormal IP address, the smart contract triggers an alarm and records the abnormal operation;

[0036] The auditor uses smart contracts to access operation records in the blockchain in real time to verify the authenticity and compliance of user operations; the audit results are automatically generated into a report and stored in the blockchain, and the report includes the number of legitimate operations, abnormal operation records, audit time range, and statistical summary.

[0037] The multi-party collaborative audit process designed in S4 is as follows:

[0038] S41, the multi-party collaborative audit process includes the following participating roles: the record management party M is responsible for the generation and maintenance of record data, and the audit party set A = {A1, A2, ..., A...} nThis includes an internal audit team and external regulatory agencies to verify the compliance of document operations. The blockchain nodes are N = {N1, N2, ..., N}. m A distributed storage and consensus network jointly built by all parties;

[0039] Blockchain systems store file operation records, block B i The data structure is B i ={Block ID,Prev Hash,Merkle Root,t,σ i}, where Merkle Root = H(H(T1)||H(T2)||…||H(T) j T = {T1, T2, ..., T} j} is a transaction set containing archive operation logs, σ i It is the digital signature of the block-generating node;

[0040] S42, The operation log R generated by the document management system includes the following fields: R = U, O, D, T, Metadata, σ U} where U is the user identity, O is the operation type, D is the operation target (archive data), T is the timestamp, and Metadata is additional metadata. It is a user signature used to verify the source of the operation; the log generates a unique identifier H(R) = Hash(U||O||D||T||) using a hash function, and is represented in the form of a transaction T. j Stored to blockchain T j ={H(R),σ U ,T s};

[0041] The auditor extracts the operation log R from the blockchain, recalculates the log hash value H′(R) = Hash(U||O||D||T||Metadata) for data integrity verification, and verifies H. ′ If (R) = H(R), and they do not match, mark it as tampered;

[0042] S43, Permission compliance verification: Verify whether user U has permission p to execute operation O. Then mark it as a violation, where P U It is the set of permissions for user U, determined by role R. U Decide, Statistical analysis of user U's operation frequency F(U,T) within the audit scope. range ):

[0043]

[0044] Among them, Total Ops(U,T) rangeTo represent user U within a specified time range T range The total number of operations performed within the process; the master node broadcasts the audit proposal during the pre-preparation phase; other nodes verify the proposal and broadcast preparation messages during the preparation phase; consensus is reached after receiving at least 2f+1 preparation messages during the commit phase; the final audit report is generated: Audit Report = {Audit ID, Summary, Details, σ final ,T s}, where Audit ID is a unique identifier for the audit task, Summary is a summary of the audit results, Details are the audit details, and σ final The final signature is recorded as a blockchain transaction, which can be queried and traced by authorized parties.

[0045] Compared with the prior art, the beneficial effects of this invention are:

[0046] This invention leverages the distributed storage and immutability of blockchain to fundamentally guarantee the security and trustworthiness of archival data and operation records. Each archival operation generates a detailed record via smart contract and stores it on the blockchain as a transaction, ensuring that no record can be tampered with or forged. Sensitive information is protected through multi-level encryption technology, and a unique identifier is generated using a hash algorithm, enabling rapid detection of data tampering risks. Furthermore, digital signature technology verifies the authenticity of the operation's origin, effectively preventing data leaks and privilege abuse risks common in centralized systems, comprehensively enhancing the security of archival management.

[0047] Through the smart contract mechanism of this invention, every file operation is recorded in real time, including key information such as the operator's identity, operation type, target file, and timestamp, ensuring full traceability of the operation. The smart contract automatically performs permission verification and operation legality checks, and triggers alarms when abnormal operations occur, ensuring the compliance of file operations. Simultaneously, this invention supports multi-party collaborative auditing; each auditor can independently verify logs and generate consistent audit results using the blockchain consensus mechanism, thereby ensuring the transparency of the audit process and the objectivity of the results. This achieves dynamic tracking and real-time auditing of file operations, effectively improving management transparency and supervision efficiency.

[0048] This invention significantly improves the efficiency of multi-party collaborative auditing by leveraging the consensus mechanism of blockchain and the automated execution of smart contracts. Audit tasks and log records are shared via the blockchain, supporting cross-institutional audit collaboration and effectively eliminating information silos in traditional systems. Distributed storage and multi-party participation mechanisms avoid single points of failure and one-sided bias; all audit results are agreed upon through a consensus mechanism, ensuring the impartiality of the audit. Upon completion of the audit, the system automatically generates an audit report containing a results summary, detailed records, and a digital signature, supporting rapid querying and tracing, greatly simplifying the audit process and reducing operational complexity, providing an efficient and reliable solution for archival auditing in complex scenarios. Attached Figure Description

[0049] To more clearly illustrate the embodiments of the present invention or the technical solutions in the prior art, the drawings used in the description of the embodiments or the prior art will be briefly introduced below. Obviously, the drawings in the following description are merely exemplary, and those skilled in the art can derive other embodiments based on the provided drawings without creative effort.

[0050] The structures, proportions, sizes, etc. illustrated in this specification are only for the purpose of assisting those skilled in the art in understanding and reading the content disclosed herein, and are not intended to limit the conditions under which the present invention can be implemented. Therefore, they have no substantial technical significance. Any modifications to the structure, changes in the proportions, or adjustments to the size, without affecting the effects and objectives that the present invention can produce, should still fall within the scope of the technical content disclosed in the present invention.

[0051] Figure 1 This is a flowchart of an embodiment of the present invention. Detailed Implementation

[0052] To make the objectives, technical solutions, and advantages of the embodiments of the present invention clearer, the technical solutions in the embodiments of the present invention will be clearly and completely described below. Obviously, the described embodiments are only some embodiments of this application, and not all embodiments. These descriptions are only for further illustrating the features and advantages of the present invention, and not for limiting the claims of the present invention. Based on the embodiments in this application, all other embodiments obtained by those skilled in the art without creative effort are within the scope of protection of this application.

[0053] The specific embodiments of the present invention will be described in further detail below with reference to the accompanying drawings and examples. The following examples are for illustrative purposes only and are not intended to limit the scope of the invention.

[0054] like Figure 1As shown, the framework of this invention mainly consists of the following four steps, which are connected layer by layer and ultimately merged. The process mainly includes the following steps:

[0055] S1. Encrypt electronic archive data before storage, using asymmetric encryption technology to protect the security of sensitive information; generate a unique identifier hash value for each archive using a hash algorithm to mark and verify the integrity and authenticity of the archive;

[0056] In S1, asymmetric encryption technology is used to protect the security of sensitive information, and a unique identifier is generated for each file using a hash algorithm:

[0057] S11, Data classification processing classifies the electronic archive data D into sensitive information sections D. s And general information section D n ,satisfy:

[0058] Sensitive information D s Using asymmetric encryption technology, let K... pub and K pri These are the public and private keys used for encryption. The encrypted representation of sensitive information is: E s =Enc(D s ,K pub ), where Enc represents the encryption operation, which can only be performed by those holding the private key K. pri Only authorized users can perform the decryption operation Dec(E) s ,K pri )Restore D s ; For ordinary information D n Using symmetric encryption, let the symmetric key be K. s The encrypted ordinary information is represented as E. n =Enc(D n ,K s The decryption operation corresponds to D. n =Dec(E n ,K s );

[0059] S12, encrypt the data E s and E n It is stored together with its unique identifier H, which is generated by the hash function H = Hash(D); the hash function guarantees the integrity and immutability of the archive data.

[0060] E s E n H is stored as transaction data on the blockchain, and each record contains the following information:

[0061] T = {E sE n ,H,Metadata}

[0062] Metadata includes operation timestamps and operator identity information to ensure data traceability.

[0063] S2 builds an operation record system for file management on the blockchain, using smart contracts to automatically record every operation, including details of access, modification and transfer operations. The operation record covers key information such as operator identity, operation time and operation type, and is attached with timestamps and digital signatures to ensure that the record is tamper-proof and verifiable.

[0064] S21, In the file management operation, capture and extract key operation behaviors in real time, including operator identity U, operation type O, operation target D, timestamp T, and unique identifier of operation device E; standardize according to preset format to form structured operation record R={U,O,D,T,E}.

[0065] To ensure the authenticity and immutability of the operation records, a digital signature σ is generated for each record R, using the private key K. pri Sign the record:

[0066] σ=Sign(R,K pri )

[0067] Sign is a digital signature algorithm that requires only the operator's public key K. pub Able to verify signatures;

[0068] S22, when an operation occurs, the smart contract automatically triggers the verification of the operation behavior, including user permission verification and data consistency check; after the verification is successful, the smart contract will record R and signature σ and store them in the blockchain. Operations that fail the verification will be rejected by the smart contract and the abnormal event will be recorded.

[0069] The operation records verified by the smart contract are packaged into transactions T and stored on the blockchain; each transaction contains the following fields T = {R, σ, Block ID, Prev Hash, T} s}, where R is the operation record data, σ is the digital signature, BlockID is the block number, Prev Hash is the hash value of the previous block used to link the blockchain, and T s It is the timestamp of the current transaction;

[0070] On the blockchain, each block contains multiple transaction records, and each transaction has a unique signature and hash value; the block structure is Block = {Block ID, Prev Hash, Merkle Root, {T1, T2, ..., T}. nIn this context, the Merkle Root is the root node of the Merkle tree representing the hash value of the transaction record, used for efficient verification of record integrity.

[0071] S3 employs a fine-grained permission management and real-time auditing mechanism based on smart contracts to ensure that access to and operation of archive data comply with preset rules. The smart contract dynamically verifies user permissions based on operation requests, automatically generates operation audit logs, and stores them in the blockchain for multi-party verification. Through the automated execution of smart contracts, the transparency and credibility of permission management are improved, providing a guarantee for the security and compliance of archives.

[0072] S31, perform fine-grained hierarchical classification of user permissions, dividing permissions into different levels according to file management needs; each level of permission corresponds to a specific scope of operation and restrictions, let the permission set be P = {p1, p2, ..., p...} n User U's permission set is}

[0073] Smart contracts dynamically allocate user permissions, adjusting the scope of permissions based on the operation content and context. When a user requests an operation file D, the smart contract verifies whether the user possesses the corresponding permissions. Conditions include time limits, geographical restrictions, and operation frequency. The permission verification result is returned to the operator in real time. Role-based access control is implemented through smart contracts, grouping users into different roles, each with a different set of permissions P. R User U's permissions are determined by their role R. U Decide,

[0074] S32, each user operation is recorded in real time by the smart contract, including user identity U, operation type O, target file D, timestamp T, and additional metadata; the operation record is defined as R = {U, O, D, T, Metadata};

[0075] After the recording is completed, the smart contract verifies the legality of the operation to ensure that the operation complies with the permission rules and audit requirements; the smart contract generates audit logs in real time, hashes the recorded data R and stores it on the blockchain, and the log generation formula is L = Hash(R);

[0076] S32, the transaction format stored on the blockchain is T={R,L,σ,T s}, where σ is the digital signature, and T s To record timestamps; the smart contract has built-in anomaly detection rules that automatically identify potential anomalies by analyzing the legality and frequency of operations; if a user frequently attempts to access without authorization or operates from an abnormal IP address, the smart contract triggers an alarm and records the abnormal operation;

[0077] The auditor uses smart contracts to access operation records in the blockchain in real time to verify the authenticity and compliance of user operations; the audit results are automatically generated into a report and stored in the blockchain, and the report includes the number of legitimate operations, abnormal operation records, audit time range, and statistical summary.

[0078] S4 leverages the distributed storage characteristics of blockchain to design a multi-party collaborative audit process. Auditors can independently verify the authenticity of the archive data and the compliance of the operation based on the operation records on the blockchain. The audit results are aggregated and consensus is reached through a distributed consensus mechanism, preventing tampering or bias by a single auditor. The results of the collaborative audit are stored in the form of blockchain.

[0079] S41, the multi-party collaborative audit process includes the following participating roles: the record management party M is responsible for the generation and maintenance of record data, and the audit party set A = {A1, A2, ..., A...} n This includes an internal audit team and external regulatory agencies to verify the compliance of document operations. The blockchain nodes are N = {N1, N2, ..., N}. m A distributed storage and consensus network jointly built by all parties;

[0080] Blockchain systems store file operation records, block B i The data structure is B i ={Block ID,Prev Hash,Merkle Root,T,σ i}, where Merkle Root = H(H(T1)||H(T2)||…||H(T) j T = {T1, T2, ..., T} j} is a transaction set containing archive operation logs, σ i It is the digital signature of the block-generating node;

[0081] S42, The operation log R generated by the document management system includes the following fields: R = U, O, D, T, Metadata, σ U} where U is the user identity, O is the operation type, D is the operation target (archive data), T is the timestamp, and Metadata is additional metadata. It is a user signature used to verify the source of the operation; the log generates a unique identifier H(R) = Hash(U||O||D||T||) using a hash function, and is represented in the form of a transaction T. j Stored to blockchain T j ={H(R),σ U ,T s};

[0082] The auditor extracts the operation log R from the blockchain, recalculates the log hash value H′(R) = Hash(U||O||D||T||Metadata) for data integrity verification, and verifies H. ′ If (R) = H(R), and they do not match, mark it as tampered;

[0083] S43, Permission compliance verification: Verify whether user U has permission p to execute operation O. Then mark it as a violation, where P U It is the set of permissions for user U, determined by role R. U Decide, Statistical analysis of user U's operation frequency F(U,T) within the audit scope. range ):

[0084]

[0085] Among them, Total Ops(U,T) range To represent user U within a specified time range T range The total number of operations performed within the process; the master node broadcasts the audit proposal during the pre-preparation phase; other nodes verify the proposal and broadcast preparation messages during the preparation phase; consensus is reached after receiving at least 2f+1 preparation messages during the commit phase; the final audit report is generated: Audit Report = {Audit ID, Summary, Details, σ final ,T s}, where Audit ID is a unique identifier for the audit task, Summary is a summary of the audit results, Details are the audit details, and σ final The final signature is recorded as a blockchain transaction, which can be queried and traced by authorized parties.

[0086] This invention utilizes operation logs and data storage records from a simulated electronic records management system. Data sources include: an enterprise document system (based on internal document collaboration and auditing scenarios, involving multi-party sharing and tracking of sensitive information); a data scale of 50,000 documents; and the generation of 1,000,000 operation logs per scenario, with operation types including read, modify, delete, and approve. Multi-party collaboration involves simulating 10-20 distributed nodes, each storing a complete blockchain copy.

[0087] To verify the effectiveness of this invention, it was compared with the following methods: (1) Traditional centralized archive management system: Based on centralized database storage and management of archive operation records, it lacks distributed characteristics and anti-tampering capabilities. (2) Blockchain + storage solution (without smart contracts): Archive operation logs are stored on the blockchain, but smart contracts are not used for permission management and automated auditing. (3) Distributed database + permission control system: Operation logs are recorded using a distributed database, and auditing is performed in conjunction with static permission verification. (4) The method of this invention: Based on blockchain and smart contracts, it supports distributed storage, multi-party collaborative auditing, dynamic permission management and real-time tracking. Specific experimental results are compared in Table 1.

[0088] Table 1 Comparison of experimental results using different methods

[0089]

[0090] Experimental results demonstrate that this invention excels in several key indicators, particularly in tamper detection rate and audit efficiency, achieving a leading level. Thanks to the tamper-proof nature of blockchain, this invention achieves a 100% tamper detection rate, significantly better than the 76% of traditional centralized record management systems. Furthermore, through automated execution of smart contracts, the average execution time for audit tasks is only 5 seconds, representing improvements of 50% and 66% compared to blockchain + storage solutions (10 seconds) and distributed database solutions (15 seconds), respectively, and far superior to the 60 seconds of traditional systems. In multi-party collaborative tasks, this invention coordinates the auditing parties through a consensus mechanism, completing the task in 20 seconds, significantly more efficient than blockchain + storage solutions (30 seconds) and distributed database solutions (25 seconds), while also overcoming the limitation of traditional systems in supporting multi-party collaboration.

[0091] In terms of system performance and real-time performance, this invention demonstrates a high level of optimization. Its TPS reaches 500, which, while lower than the 2000 of a centralized system, is significantly better than the 600 of a blockchain + storage solution and the 1500 of a distributed database solution. Log recording latency is 150ms, slightly higher than the distributed database solution (100ms), but significantly lower than the 200ms of the blockchain + storage solution. Overall, this invention balances system performance and operational real-time performance while ensuring data security and collaboration efficiency, providing an efficient, secure, and transparent solution for complex document management scenarios.

[0092] The above description only illustrates the preferred embodiments of the present invention. However, the present invention is not limited to the above embodiments. Within the scope of knowledge possessed by those skilled in the art, various changes can be made without departing from the spirit of the present invention, and all such changes should be included within the protection scope of the present invention.

Claims

1. A method for tracking electronic archive data and conducting multi-party collaborative auditing based on blockchain smart contracts, characterized in that, Includes the following steps: S1. Encrypt electronic archive data before storage, using asymmetric encryption technology to protect sensitive information and symmetric encryption to protect ordinary information; generate a unique identifier hash value for each archive using a hash algorithm; S2 builds an operation record system for file management on the blockchain, using smart contracts to automatically record each operation, including details of access, modification and transfer operations; the operation record covers key information such as operator identity, operation time, operation type, and is accompanied by timestamp and digital signature. S3 is based on smart contract design for fine-grained permission management and real-time auditing mechanisms to ensure that access to and operation of archive data comply with preset rules; the smart contract dynamically verifies user permissions based on operation requests, automatically generates operation audit logs, and stores them in the blockchain for multi-party verification; S4 leverages the distributed storage characteristics of blockchain to design a multi-party collaborative audit process, with all parties jointly constructing a distributed storage and consensus network. The auditor extracts operation logs R from the blockchain, verifies data integrity, and recalculates the log hash value H. ′ (R), verify H ′ (R) = H(R), where H(R) is a unique identifier generated by the hash function. If they do not match, they are marked as tampered with. The audit results are aggregated and a consensus is reached through a distributed consensus mechanism. The permission compliance verification checks whether user U has permission p to execute operation O. Then mark it as a violation, where P U It is the set of permissions for user U, determined by role R. U Decide, Statistical analysis of user U's operation frequency F(U,T) within the audit scope. range ): Among them, Total Ops(U,T) range To represent user U within a specified time range T range The total number of operations performed within the process; the master node broadcasts the audit proposal during the pre-preparation phase; other nodes verify the proposal and broadcast preparation messages during the preparation phase; consensus is reached after receiving at least 2f+1 preparation messages during the commit phase; the final audit report is generated: Audit Report = {Audit ID, Summary, Details, σ final ,T s }, where Audit ID is a unique identifier for the audit task, Summary is a summary of the audit results, Details are the audit details, and σ final For the final signature, T s The report is stored as a blockchain transaction with timestamps, allowing authorized parties to query and trace its origin.

2. The method for tracking and multi-party collaborative auditing of electronic archive data based on blockchain smart contracts according to claim 1, characterized in that, In S1, asymmetric encryption technology is used to protect the security of sensitive information, and a unique identifier is generated for each file using a hash algorithm: S11, Data classification processing classifies the electronic archive data D into sensitive information sections D. s And general information section D n Satisfying: D = D s ∪D n , Sensitive information D s Using asymmetric encryption technology, let K... pub and K pri These are the public and private keys used for encryption. The encrypted representation of sensitive information is: E s =Enc(D s ,K pub ), where Enc represents the encryption operation, which can only be performed by those holding the private key K. pri Only authorized users can perform the decryption operation Dec(E) s ,K pri )Restore D s ; For ordinary information D n Using symmetric encryption, let the symmetric key be K. s The encrypted ordinary information is represented as E. n =Enc(D n ,K s The decryption operation corresponds to D. n =Dec(E n ,K s ); S12, encrypt the data E s and E n It is stored together with its unique identifier H, which is generated using the hash function H = Hash(D); E s E n H is stored as transaction data on the blockchain, and each record contains the following information: Q={E s ,E n ,H,Metadata} Metadata includes the operation timestamp and the operator's identity information.

3. The method for tracking electronic archive data and conducting multi-party collaborative auditing based on blockchain smart contracts according to claim 2, characterized in that, The operation record system for file management built on the blockchain in S2 is as follows: S21, In the file management operation, capture and extract key operation behaviors in real time, including operator user U, operation type O, operation target D, timestamp T, and unique identifier of operation device E; standardize according to preset format to form structured management record C={U,O,D,T,E}. Generate a digital signature σ for each record C using the private key K. pri Sign the record: σ=Sign(C,K pri ) Sign is a digital signature algorithm that requires only the operator's public key K. pub Able to verify signatures; S22, when an operation occurs, the smart contract automatically triggers the verification of the operation behavior, including user permission verification and data consistency check; after the verification is successful, the smart contract will store the record C and signature σ in the blockchain. Operations that fail the verification will be rejected by the smart contract and the abnormal event will be recorded. The operation records verified by the smart contract are packaged into transactions J and stored on the blockchain; each transaction contains the following fields J = {C, σ, BlockID, Prev Hash, T} s }, where C is the operation record data, σ is the digital signature, Block ID is the block number, Prev Hash is the hash value of the previous block used to link the blockchain, and T s It is the timestamp of the current transaction; On the blockchain, each block contains multiple transaction records, and each transaction has a unique signature and hash value; the block structure is Block = {BlockID, Prev Hash, Merkle Root, {T1, T2, ..., T}. n }}, where Merkle Root is the root node of the Merkle tree of the transaction record hash values, T1, T2, ..., T n These are the timestamps from time 1 to n.

4. The method for tracking electronic archive data and conducting multi-party collaborative auditing based on blockchain smart contracts according to claim 3, characterized in that, The fine-grained permission management and real-time auditing mechanism based on smart contracts in S3 is as follows: S31, perform fine-grained hierarchical classification of user permissions, dividing permissions into different levels according to file management needs; each level of permission corresponds to a specific scope of operation and restrictions, let the permission set be P = {p1, p2, ..., p...} n User U's permission set is} Smart contracts dynamically allocate user permissions, adjusting the scope of permissions based on the operation content and context. When a user requests an operation file D, the smart contract verifies whether the user possesses the corresponding permissions. Conditions include time limits, geographical restrictions, and operation frequency. The permission verification result is returned to the operator in real time. Role-based access control is implemented through smart contracts, grouping users into different roles, each with a different set of permissions P. R User U's permissions are determined by their role R. U Decide; S32, each user operation is recorded in real time by the smart contract, including user identity U, operation type O, target file D, timestamp T, and additional metadata; the operation record is defined as R = {U, O, D, T, Metadata}; After the recording is completed, the smart contract verifies the legality of the operation; the smart contract generates an audit log in real time, hashes the recorded data R and stores it on the blockchain. The log generation formula is L = Hash(R), where Hash(R) is the hash value of the record R. S32, the transaction format stored on the blockchain is S={R,L,σ,T} s }, where σ is the digital signature, and T s To record timestamps; smart contracts have built-in anomaly detection rules that automatically identify potential anomalies by analyzing the legality and frequency of operations. If a user frequently attempts to access the system without authorization or operates from an abnormal IP address, the smart contract will trigger an alarm and record the abnormal operation. The auditor uses smart contracts to access operation records in the blockchain in real time to verify the authenticity and compliance of user operations; the audit results are automatically generated into a report and stored in the blockchain, and the report includes the number of legitimate operations, abnormal operation records, audit time range, and statistical summary.

5. The method for tracking and multi-party collaborative auditing of electronic archive data based on blockchain smart contracts according to claim 4, characterized in that, The multi-party collaborative audit process designed in S4 is as follows: S41, the multi-party collaborative audit process includes the following participating roles: The record management party m is responsible for generating and maintaining record data; the audit party set a includes the internal audit team and external regulatory agencies, verifying the compliance of record operations; and the blockchain node B = {B1,…,B...} m }, where m is the number of nodes; Blockchain systems store file operation records, block B i The data structure is B i ={Block ID,Prev Hash,Merkle Root,J,σ i }, where Merkle Root = H(H(J1)||H(J2)||…||H(J j J = {J1, J2, ..., J} j } is a transaction set containing archive operation logs, σ i It is the digital signature of the block-generating node; S42, The operation log R generated by the document management system includes the following fields: R = {U, O, D, T, Metadata, σ} U } where U is the user identity, O is the operation type, D is the operation target (archive data), T is the timestamp, and Metadata is additional metadata. It is a user signature used to verify the source of the operation; the log generates a unique identifier H(R) = Hash(U||O||D||T||) using a hash function, and is presented in the form of a transaction J. j Stored to blockchain J j ={H(R),σ U ,T s }, T s For timestamps.

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